[Federal Register Volume 73, Number 126 (Monday, June 30, 2008)]
[Rules and Regulations]
[Pages 37096-37350]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: R8-7999]



[[Page 37095]]

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Part IV





Environmental Protection Agency





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40 CFR Parts 9, 85, et al.



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

  Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules 
and Regulations  

[[Page 37096]]


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ENVIRONMENTAL PROTECTION AGENCY

40 CFR Parts 9, 85, 86, 89, 92, 94, 1033, 1039, 1042, 1065, and 
1068

[EPA-HQ-OAR-2003-0190; FRL-8545-3]
RIN 2060-AM06


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

    Editorial Note: FR Doc. E8-7999 was originally published at 
pages 25098 to 25352 in the issue of Tuesday, May 6, 2008. This 
document included numerous typographical and other errors that were 
inadvertently introduced in the printing process. Because of the 
number of errors, this document is being republished in its 
entirety. This republication does not change the effective date of 
the original document.

AGENCY: Environmental Protection Agency (EPA).

ACTION: Final rule.

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SUMMARY: EPA is adopting a comprehensive program to dramatically reduce 
pollution from locomotives and marine diesel engines. The controls will 
apply to all types of locomotives, including line-haul, switch, and 
passenger, and all types of marine diesel engines below 30 liters per 
cylinder displacement, including commercial and recreational, 
propulsion and auxiliary. The near-term emission standards for newly-
built engines will phase in starting in 2009. The near-term program 
also includes new emission limits for existing locomotives and marine 
diesel engines that apply when they are remanufactured, and take effect 
as soon as certified remanufacture systems are available, as early as 
2008. The long-term emissions standards for newly-built locomotives and 
marine diesel engines are based on the application of high-efficiency 
catalytic aftertreatment technology. These standards begin to take 
effect in 2015 for locomotives and in 2014 for marine diesel engines. 
We estimate particulate matter (PM) reductions of 90 percent and 
nitrogen oxides (NOX) reductions of 80 percent from engines 
meeting these standards, compared to engines meeting the current 
standards.
    We project that by 2030, this program will reduce annual emissions 
of NOX and PM by 800,000 and 27,000 tons, respectively. EPA 
projects these reductions will annually prevent up to 1,100 PM-related 
premature deaths, 280 ozone-related premature deaths, 120,000 lost work 
days, 120,000 school day absences, and 1.1 million minor restricted-
activity days. The annual monetized health benefits of this rule in 
2030 will range from $9.2 billion to $11 billion, assuming a 3 percent 
discount rate, or between $8.4 billion to $10 billion, assuming a 7% 
discount rate. The estimated annual social cost of the program in 2030 
is projected to be $740 million, significantly less than the estimated 
benefits.

DATES: This rule is effective on July 7, 2008. The incorporation by 
reference of certain publications listed in this regulation is approved 
by the Director of the Federal Register as of July 7, 2008.

ADDRESSES: EPA has established a docket for this action under Docket ID 
No. EPA-HQ-2003-0190. All documents in the docket are listed on the 
www.regulations.gov web site. Although listed in the index, some 
information is not publicly available, e.g., CBI or other information 
whose disclosure is restricted by statute. Certain other material, such 
as copyrighted material, is not placed on the Internet and will be 
publicly available only in hard copy form. Publicly available docket 
materials are available either electronically through 
www.regulations.gov or in hard copy at the Air Docket, EPA/DC, EPA 
West, Room 3334, 1301 Constitution Ave., NW., Washington, DC. The 
Public Reading Room is open from 8:30 a.m. to 4:30 p.m., Monday through 
Friday, excluding legal holidays. The telephone number for the Public 
Reading Room is (202) 566-1744, and the telephone number for the Air 
Docket is (202) 566-1742.

FOR FURTHER INFORMATION CONTACT: John Mueller, U.S. EPA, Office of 
Transportation and Air Quality, Assessment and Standards Division 
(ASD), Environmental Protection Agency, 2000 Traverwood Drive, Ann 
Arbor, MI 48105; telephone number: (734) 214-4275; fax number: (734) 
214-4816; e-mail address: [email protected], or Assessment and 
Standards Division Hotline; telephone number: (734) 214-4636.

SUPPLEMENTARY INFORMATION: 

Does This Action Apply to Me?

 Locomotives

    Entities potentially affected by this action are those that 
manufacture, remanufacture or import locomotives or locomotive engines; 
and those that own or operate locomotives. Regulated categories and 
entities include:

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                                              Examples of potentially
       Category           NAICS code \1\         affected entities
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Industry..............     333618, 336510  Manufacturers,
                                            remanufacturers and
                                            importers of locomotives and
                                            locomotive engines.
Industry..............    482110, 482111,  Railroad owners and
                                   482112   operators.
Industry..............             488210  Engine repair and
                                            maintenance.
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    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 regulated. To determine whether 
your company is regulated by this action, you should carefully examine 
the applicability criteria in 40 CFR 92.1, 1033.1, 1065.1, and 1068.1. 
If you have questions, consult the person listed in the preceding FOR 
FURTHER INFORMATION CONTACT section.
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    \1\ North American Industry Classification System (NAICS).
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 Marine Engines and Vessels

    Entities potentially affected by this action are companies and 
persons that manufacture, sell, or import into the United States new 
marine compression-ignition engines, companies and persons that rebuild 
or maintain these engines, companies and persons that make vessels that 
use such engines, and the owners/operators of such vessels. Affected 
categories and entities include:

[[Page 37097]]



------------------------------------------------------------------------
                                              Examples of potentially
       Category           NAICS code \1\         affected entities
------------------------------------------------------------------------
Industry..............             333618  Manufacturers of new marine
                                            diesel engines.
Industry..............   33661 and 346611  Ship and boat building; ship
                                            building and repairing.
Industry..............             811310  Engine repair, remanufacture,
                                            and maintenance.
Industry..............                483  Water transportation, freight
                                            and passenger.
Industry..............             487210  and Sightseeing
                                            Transportation, Water.
Industry..............               4883  Support Activities for Water
                                            Transportation.
Industry..............               1141  Fishing.
Industry..............             336612  Boat building (watercraft not
                                            built in shipyards and
                                            typically of the type
                                            suitable or intended for
                                            personal use).
------------------------------------------------------------------------

    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 regulated. To determine whether 
your company is regulated by this action, you should carefully examine 
the applicability criteria in 40 CFR 94.1, 1042.1, 1065.1, and 1068.1. 
If you have questions, consult the person listed in the preceding FOR 
FURTHER INFORMATION CONTACT section.

Outline of This Preamble

I. Overview
    A. What Is EPA Finalizing and How Does It Differ From the 
Proposal?
    B. Why Is EPA Taking This Action?
II. Air Quality and Health Impacts
    A. Overview
    B. Public Health Impacts
    C. Environmental Impacts
    D. Other Criteria Pollutants Affected by This Final Rule
    E. Emissions from Locomotive and Marine Diesel Engines
III. Emission Standards
    A. What Locomotives and Marine Engines Are Covered?
    B. What Standards Are We Adopting?
    C. Are the Standards Feasible?
IV. Certification and Compliance Program
    A. Issues Common to Locomotives and Marine Engines
    B. Compliance Issues Specific to Locomotives
    C. Compliance Issues Specific to Marine Engines
V. Costs and Economic Impacts
    A. Engineering Costs
    B. Cost Effectiveness
    C. EIA
VI. Benefits
VII. Alternative Program Options
    A. Summary of Alternatives
    B. Summary of Results
VIII. Public Participation
IX. Statutory and Executive Order Reviews
    A. Executive Order 12866: Regulatory Planning and Review
    B. Paperwork Reduction Act
    C. Regulatory Flexibility Act
    D. Unfunded Mandates Reform Act
    E. Executive Order 13132 (Federalism)
    F. Executive Order 13175 (Consultation and Coordination With 
Indian Tribal Governments)
    G. Executive Order 13045: Protection of Children From 
Environmental Health and Safety Risks
    H. Executive Order 13211: Actions That Significantly Affect 
Energy Supply, Distribution, or Use
    I. National Technology Transfer Advancement Act
    J. Executive Order 12898: Federal Actions to Address 
Environmental Justice in Minority Populations and Low-Income 
Populations
    K. Congressional Review Act
X. Statutory Provisions and Legal Authority

I. Overview

    This final rule completes an important step in EPA's ongoing 
National Clean Diesel Campaign (NCDC) by adding new programs for 
locomotives and marine diesel engines to the clean diesel initiatives 
we have already undertaken for highway, other nonroad, and stationary 
diesel engines. As detailed below, it significantly strengthens the 
locomotive and marine diesel programs we proposed last year (72 FR 
15938, April 3, 2007), especially in controlling emissions during the 
critical early years through the early introduction of advanced 
technologies and the more complete coverage of existing engines. When 
fully implemented, this coordinated set of new programs will reduce 
harmful diesel engine emissions to a small fraction of their previous 
levels.
    The new programs address all types of diesel locomotives-- line-
haul, switch, and passenger rail, and all types of marine diesel 
engines below 30 liters per cylinder displacement (hereafter referred 
to as ``marine diesel engines'').\2\ These engines are used to power a 
wide variety of vessels, from small fishing and recreational boats to 
large tugs and Great Lakes freighters. They are also used to generate 
auxiliary vessel power, including on ocean-going ships.
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    \2\ Marine diesel engines at or above 30 liters per cylinder, 
called Category 3 engines, are typically used for propulsion power 
on ocean-going ships. EPA is addressing Category 3 engines through 
separate actions, including a planned rulemaking for a new tier of 
federal standards (see Advance Notice of Proposed Rulemaking 
published December 7, 2007 at 72 FR 69522) and participation on the 
U.S. delegation to the International Maritime Organization for 
negotiations of new international standards (see http://www.epa.gov/otaq/oceanvessels.com for information on both of those actions), as 
well as EPA's Clean Ports USA Initiative (see http://www.epa.gov/cleandiesel/ports/index.htm).
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    Emissions of fine particulate matter (PM2.5) and 
nitrogen oxides (NOX) from these diesel engines contribute 
to nonattainment of the National Ambient Air Quality Standards (NAAQS) 
for PM2.5 and ozone. Today, locomotives and marine diesel 
engines account for about 20 percent of mobile source NOX 
emissions and 25 percent of mobile source diesel PM2.5 
emissions in the U.S. Absent this final action, by 2030 the relative 
contributions of NOX and PM2.5 from these engines 
would have grown to 35 and 65 percent, respectively.
    We are finalizing a comprehensive three-part program to address 
this problem. First, we are adopting stringent emission standards for 
existing locomotives and for existing commercial marine diesel engines 
above 600 kilowatt (kW) (800 horsepower (hp)). These standards apply 
when the engines are remanufactured. This part of the program will take 
effect as soon as certified remanufacture systems are available, for 
some engines as early as a few months from now. Under our existing 
program, locomotives have been certified to one of three tiers of 
standards: Tier 0 for locomotives originally built between 1973 and 
2001, Tier 1 for those built between 2002 and 2004, and Tier 2 for 
those built in or after 2005. Under this new program, certified 
locomotive remanufacture systems must be made available by 2010 for 
Tier 0 and Tier 1 locomotives, and by 2013 for Tier 2 locomotives. 
Remanufacture systems that are certified for use in marine engine 
remanufactures are likewise required to be used. We are not, however, 
setting a specific compliance date for certified marine diesel 
remanufacture systems because we expect that engine manufacturers will 
be well motivated by the market opportunity to certify emissions-
compliant systems.
    Second, we are adopting a set of near-term emission standards, 
referred to as Tier 3, for newly-built locomotives and

[[Page 37098]]

marine engines. The Tier 3 standards reflect the application of 
technologies to reduce engine-out particulate matter (PM) and 
NOX.
    Third, we are adopting longer-term standards, referred to as Tier 
4, for newly-built locomotives and marine engines. Tier 4 standards 
reflect the application of high-efficiency catalytic aftertreatment 
technology enabled by the availability of ultra-low sulfur diesel fuel 
(ULSD). These standards take effect in 2015 for locomotives, and phase 
in over time for marine engines, beginning in 2014. Finally, we are 
adopting provisions in all three parts of the program to eliminate 
emissions from unnecessary locomotive idling.
    Locomotives and marine diesel engines designed to these Tier 4 
standards will achieve PM reductions of 90 percent and NOX 
reductions of 80 percent, compared to engines meeting the current Tier 
2 standards. The new standards will also yield sizeable reductions in 
emissions of nonmethane hydrocarbons (NMHC), carbon monoxide (CO), and 
hazardous compounds known as air toxics. Table I-1 summarizes the PM 
and NOX emission reductions for the new standards compared 
to today's (Tier 2) emission standards; for remanufactured engines, the 
comparison is to the current standards for each tier of locomotives 
covered, and to typical unregulated levels for marine engines.

                            Table I-1.--Reductions From Levels of Existing Standards
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                                                                                PM
                 Sector                            Standards tier           (percent)         NOX (percent)
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Locomotives.............................  Remanufactured Tier 0..........           60  15-20.
                                          Remanufactured Tier 1..........           50  ........................
                                          Remanufactured Tier 2..........           50  ........................
                                          Tier 3.........................           50  ........................
                                          Tier 4.........................           90  80.
                                          All tiers--idle emissions......           50  50.
Marine Diesel Engines \a\...............  Remanufactured Engines.........        25-60  Up to 20.
                                          Tier 3.........................           50  20.
                                          Tier 4.........................           90  80.
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Note: (a) Standards vary by displacement and within power categories. Reductions indicated are typical.

    On a nationwide annual basis, these reductions will amount to 
800,000 tons of NOX and 27,000 tons of PM by 2030, resulting 
annually in the prevention of up to 1,100 PM-related premature deaths, 
280 ozone-related premature deaths, 120,000 lost work days, 120,000 
school day absences, and 1.1 million minor restricted-activity days. We 
estimate the annual monetized health benefits of this rule in 2030 will 
range from $9.2 billion to $11 billion, assuming a 3 percent discount 
rate, or between $8.4 billion to $10 billion, assuming a 7% discount 
rate.\3\ The estimated annual social cost of the program in 2030 is 
projected to be $740 million, significantly less than the estimated 
benefits.
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    \3\ Low and high benefits estimates are derived from a range of 
ozone-related premature mortality studies (including an assumption 
of no causality) and PM2.5-related premature mortality 
based on the ACS study (Pope et al., 2002). Benefits also include 
PM2.5- and ozone-related morbidity benefits. See section 
VI for a complete discussion and analysis of benefits associated 
with the final rule.
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A. What Is EPA Finalizing and How Does it Differ From the Proposal?

    This final rule makes a number of important changes to the program 
set out in our Notice of Proposed Rulemaking (NPRM). Among these are 
changes that will yield significantly greater overall NOX 
and PM reductions, especially in the critical early years of the 
program: The adoption of standards for remanufactured marine engines 
and a 2-year pull-ahead of the Tier 4 NOX requirements for 
line-haul locomotives and for 2000-3700 kW (2760-4900 hp) marine 
engines.
    The major elements of the final program are summarized below. We 
are also revising existing testing, certification, and compliance 
provisions to better ensure emissions control in use. Detailed 
provisions and our justifications for them are discussed in sections 
III and IV. Section VII of this preamble describes a number of 
alternatives that we considered in developing the rule. After 
evaluating the alternatives, we believe that our new program provides 
the best opportunity for achieving timely and very substantial 
emissions reductions from locomotive and marine diesel engines. It 
balances a number of key factors: (1) Achieving very significant 
emissions reductions as early as possible, (2) providing appropriate 
lead time to develop and apply advanced control technologies, and (3) 
coordinating requirements in this final rule with existing highway and 
nonroad diesel engine programs. The provisions we are finalizing that 
are different from the proposed program are:
     The adoption of standards for remanufactured marine diesel 
engines to address emissions from the existing fleet (this was 
presented as one of the proposal alternatives),
     Inclusion of Tier 4 NOX controls on 2015-2016 
model year locomotives at initial build rather than at first 
remanufacture,
     A two-year pull-ahead of the Tier 4 NOX 
standard for 2000-3700 kW marine engines to 2014,
     Inclusion of Class II railroads in the remanufactured 
locomotives program,
     No Tier 4 standards for the small fleet of large 
recreational vessels at this time,
     A revised approach to migratory vessels that spend part of 
their time overseas,
     Credit for locomotive design measures that reduce 
emissions as part of efforts to improve efficiency,
     A number of changes to test and compliance requirements 
detailed in sections III and IV.
    Overall, our comprehensive three-part approach to setting standards 
for locomotives and marine diesel engines will provide very large 
reductions in PM, NOX, and toxic compounds, both in the 
near-term (as early as 2008), and in the long-term. These reductions 
will be achieved in a manner that: (1) Leverages technology 
developments in other diesel sectors, (2) aligns well with the clean 
diesel fuel requirements already being implemented, and (3) provides 
the lead time needed to deal with the significant engineering design 
workload that is involved.
(1) Locomotive Emission Standards
    We are setting stringent exhaust emission standards for newly-built 
and remanufactured locomotives, furthering

[[Page 37099]]

the initiative for cleaner locomotives started in 2004 with the 
establishment of the ULSD locomotive fuel program, and adding this 
important category of engines to the highway and nonroad diesel 
applications already covered under EPA's National Clean Diesel 
Campaign.
    Briefly, for newly-built line-haul locomotives we are setting a new 
Tier 3 PM standard of 0.10 grams per brake horsepower-hour (g/bhp-hr), 
based on improvements to existing engine designs. This standard will 
take effect in 2012. We are also setting new Tier 4 standards of 0.03 
g/bhp-hr for PM and 1.3 g/bhp-hr for NOX, based on the 
evolution of high-efficiency catalytic aftertreatment technologies now 
being developed and introduced in the highway diesel sector. The Tier 4 
standards will take effect in 2015. We are requiring that 
remanufactured Tier 2 locomotives meet a PM standard of 0.10 g/bhp-hr, 
based on the same engine design improvements as Tier 3 locomotives, and 
that remanufactured Tier 0 and Tier 1 locomotives meet a 0.22 g/bhp-hr 
PM standard. We are also requiring that remanufactured Tier 0 
locomotives meet a NOX standard of 7.4 g/bhp-hr, the same 
level as current Tier 1 locomotives, or 8.0 g/bhp-hr if the locomotive 
is not equipped with a separate loop intake air cooling system. Section 
III provides a detailed discussion of these new standards, and section 
IV details improvements being made to the applicable test, 
certification, and compliance programs.
    In setting our original locomotive emission standards in 1998, the 
historic pattern of transitioning older line-haul locomotives to road- 
and yard-switcher service resulted in our making little distinction 
between line-haul and switch locomotives. Because of the increase in 
the size of new locomotives in recent years, that pattern cannot be 
sustained by the railroad industry, as today's 4000+ hp (3000+ kW) 
locomotives are poorly suited for switcher duty. Furthermore, although 
there is still a fairly sizeable legacy fleet of older smaller line-
haul locomotives that could find their way into the switcher fleet, 
essentially the only newly-built switchers put into service over the 
last two decades have been of radically different design, employing one 
to three smaller high-speed diesel engines designed for use in nonroad 
applications. We are establishing new standards and special 
certification provisions for newly-built and remanufactured switch 
locomotives that take these factors into account.
    Locomotives spend a substantial amount of time idling, during which 
they emit harmful pollutants, consume fuel, create noise, and increase 
maintenance costs. We are requiring that idle controls, such as 
Automatic Engine Stop/Start Systems (AESS), be included on all newly-
built Tier 3 and Tier 4 locomotives. We also are requiring that they be 
installed on all existing locomotives that are subject to the new 
remanufactured engine standards, at the point of first remanufacture 
under the standards, unless already equipped with idle controls. 
Additional idle emissions control beyond AESS is encouraged in our 
program by factoring it into the certification test program.
(2) Marine Engine Emission Standards
    We are setting emissions standards for newly-built and 
remanufactured marine diesel engines with displacements up to 30 liters 
per cylinder (referred to as Category 1 and 2, or C1 and C2, engines). 
Newly-built engines subject to the new standards include those used in 
commercial, recreational, and auxiliary power applications, and those 
below 37 kW (50 hp) that were previously regulated in our nonroad 
diesel program.
    The new marine diesel engine standards include stringent engine-
based Tier 3 standards for newly-built marine diesel engines that phase 
in beginning in 2009. These are followed by aftertreatment-based Tier 4 
standards for engines above 600 kW (800 hp) that phase in beginning in 
2014. The specific levels and implementation dates for the Tier 3 and 
Tier 4 standards vary by engine size and power. This yields an array of 
emission standards levels and start dates that help ensure the most 
stringent standards feasible at the earliest possible time for each 
group of newly-built marine engines, while helping engine and vessel 
manufacturers implement the program in a manner that minimizes their 
costs for emission reductions. The new standards and implementation 
schedules, as well as their technological feasibility, are described in 
detail in section III of this preamble.
    We are also adopting standards to address the considerable impact 
of emissions from large marine diesel engines installed in vessels in 
the existing fleet. These standards apply to commercial marine diesel 
engines above 600 kW when these engines are remanufactured, and take 
effect as soon as certified remanufacture systems are available. The 
final requirements are different from the programmatic alternative on 
which we sought comment in that there is no mandatory date by which 
marine remanufacture systems must be made available. However, systems 
for the larger Category 2 marine diesel engines are expected to become 
available at the same time as the locomotive remanufacture systems for 
similar engines, as early as 2008, because Category 2 marine diesel 
engines are often derived from locomotive engines. This new marine 
remanufacture program is described in more detail in section 
III.B(2)(b). We intend to revisit this program in the future to 
evaluate the extent to which remanufacture systems are being introduced 
into the market without a mandatory requirement, and to determine if 
the program should be extended to small commercial and recreational 
engines as well.
    Taken together, the program elements described above constitute a 
comprehensive program that addresses the problems caused by locomotive 
and marine diesel emissions from both a near-term and long-term 
perspective. It does this while providing for an orderly and cost-
effective implementation schedule for the railroads, vessel owners, 
manufacturers, and remanufacturers.

B. Why Is EPA Taking This Action?

(1) Locomotives and Marine Diesels Contribute to Serious Air Pollution 
Problems
    As we discuss extensively in both the proposal and today's action, 
EPA strongly believes it is appropriate to take steps now to reduce 
future emissions from locomotive and marine diesel engines. Emissions 
from these engines generate significant emissions of PM2.5 
and NOX that contribute to nonattainment of the National 
Ambient Air Quality Standards for PM2.5 and ozone. 
NOX is a key precursor to ozone and secondary PM formation. 
These engines also emit hazardous air pollutants or air toxics, which 
are associated with serious adverse health effects. Finally, emissions 
from locomotive and marine diesel engines cause harm to public welfare, 
including contributing to visibility impairment and other harmful 
environmental impacts across the U.S.
    The health and environmental effects associated with these 
emissions are a classic example of a negative externality (an activity 
that imposes uncompensated costs on others). With a negative 
externality, an activity's social cost (the cost borne to society 
imposed as a result of the activity taking place) exceeds its private 
cost (the cost to those directly engaged in the activity). In this 
case, as described below and in section

[[Page 37100]]

II, emissions from locomotives and marine diesel engines and vessels 
impose public health and environmental costs on society. However, these 
added costs are not reflected in the costs of those using these engines 
and equipment. The current market and regulatory scheme do not correct 
this externality because firms in the market are rewarded for 
minimizing their production costs, including the costs of pollution 
control, and do not benefit from reductions in emissions. In addition, 
firms that may take steps to use equipment that reduces air pollution 
may find themselves at a competitive disadvantage compared to firms 
that do not. The emission standards that EPA is finalizing help address 
this market failure and reduce the negative externality from these 
emissions by providing a regulatory incentive for engine and locomotive 
manufacturers to produce engines and locomotives that emit fewer 
harmful pollutants and for railroads and vessel builders and owners to 
use those cleaner engines.
    Emissions from locomotive and marine diesel engines account for 
substantial portions of the country's current ambient PM2.5 
and NOX levels. We estimate that today these engines account 
for about 20 percent of mobile source NOX emissions and 
about 25 percent of mobile source diesel PM2.5 emissions. 
Under this rulemaking, by 2030, NOX emissions from these 
diesel engines will be reduced annually by 800,000 tons and 
PM2.5 emissions by 27,000 tons, and these reductions will 
grow beyond 2030 as fleet turnover to the cleanest engines continues.
    EPA has already taken steps to bring emissions levels from highway 
and nonroad diesel vehicles and engines to very low levels over the 
next decade, while the per horsepower-hour emission levels for 
locomotive and marine diesel engines remain at much higher levels--
comparable to the emissions for highway trucks in the early 1990s.
    Both ozone and PM2.5 contribute to serious public health 
problems, including premature mortality, aggravation of respiratory and 
cardiovascular disease (as indicated by increased hospital admissions 
and emergency room visits, school absences, loss work days, and 
restricted activity days), changes in lung function and increased 
respiratory symptoms, altered respiratory defense mechanisms, and 
chronic bronchitis. Diesel exhaust is of special public health concern, 
and since 2002 EPA has classified exposure to diesel exhaust as likely 
to be carcinogenic to humans by inhalation from environmental 
exposures.\4\ Recent studies are showing that populations living near 
large diesel emission sources such as major roadways, rail yards, and 
marine ports are likely to experience greater diesel exhaust exposure 
levels than the overall U.S. population, putting them at greater health 
risks.5, 6
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    \4\ U.S. EPA (2002) Health Assessment Document for Diesel Engine 
Exhaust. EPA/600/8-90/057F. Office of Research and Development, 
Washington DC. This document is available electronically at http://cfpub.epa.gov/ncea/cfm/recordisplay.cfm?deid=29060.
    \5\ Kinnee, E.J.; Touman, J.S.; Mason, R.; Thurman, J.; Beidler, 
A.; Bailey, C.; Cook, R. (2004) Allocation of onroad mobile 
emissions to road segments for air toxics modeling in an urban area. 
Transport. Res. Part D 9: 139-150.
    \6\ State of California Air Resources Board. Roseville Rail Yard 
Study. Stationary Source Division, October 14, 2004. This document 
is available electronically at: http://www.arb.ca.gov/diesel/documents/rrstudy.htm and State of California Air Resources Board. 
Diesel Particulate Matter Exposure Assessment Study for the Ports of 
Los Angeles and Long Beach, April 2006. This document is available 
electronically at: http://www.arb.ca.gov/regact/marine2005/portstudy0406.pdf.
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    EPA recently conducted an initial screening-level analysis \7\ of 
selected marine port areas and rail yards to better understand the 
populations that are exposed to diesel particulate matter (DPM) 
emissions from these facilities.8, 9 This screening-level 
analysis focused on a representative selection of national marine ports 
and rail yards.\10\ Of the 47 marine ports and 37 rail yards selected, 
the results indicate that at least 13 million people, including a 
disproportionate number of low-income households, African-Americans, 
and Hispanics, living in the vicinity of these facilities, are being 
exposed to ambient DPM levels that are 2.0 [mu]g/m3 and 0.2 
[mu]g/m3 above levels found in areas further from these 
facilities. Because those populations exposed to DPM emissions from 
marine ports and rail yards are more likely to be low-income and 
minority residents, these populations will benefit from the controls 
being finalized in this action. The detailed findings of this study are 
available in the public docket for this rulemaking.
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    \7\ This type of screening-level analysis is an inexact tool and 
not appropriate for regulatory decisionmaking; it is useful in 
beginning to understand potential impacts and for illustrative 
purposes. Additionally, the emissions inventories used as inputs for 
the analyses are not official estimates and likely underestimate 
overall emissions because they are not inclusive of all emission 
sources at the individual ports in the sample. For example, most 
inventories included emissions from ocean-going vessels (powered by 
Category 3 engines), as well as some commercial vessel categories, 
including harbor crafts, (powered by Category 1 and 2 engines), 
cargo handling equipment, locomotives, and heavy-duty vehicles. This 
final rule will not address emissions from ocean-going vessels, 
cargo handling equipment or heavy-duty vehicles.
    \8\ ICF International. September 28, 2007. Estimation of diesel 
particulate matter concentration isopleths for marine harbor areas 
and rail yards. Memorandum to EPA under Work Assignment Number 0-3, 
Contract Number EP-C-06-094. This memo is available in Docket EPA-
HQ-OAR-2003-0190.
    \9\ ICF International. September 28, 2007. Estimation of diesel 
particulate matter population exposure near selected harbor areas 
and rail yards. Memorandum to EPA under Work Assignment Number 0-3, 
Contract Number EP-C-06-094. This memo is available in Docket EPA-
HQ-OAR-2003-0190.
    \10\ The Agency selected a representative sample of the top 150 
U.S. ports including coastal, inland, and Great Lake ports. In 
selecting a sample of rail yards the Agency identified a subset from 
the hundreds of rail yards operated by Class I Railroads.
---------------------------------------------------------------------------

    Today, millions of Americans continue to live in areas that do not 
meet existing air quality standards. Currently, ozone concentrations 
exceeding the 8-hour ozone NAAQS occur over wide geographic areas, 
including most of the nation's major population centers. As of October 
10, 2007, approximately 88 million people live in 39 designated areas 
(which include all or part of 208 counties) that either do not meet the 
current PM2.5 NAAQS or contribute to violations in other 
counties, and 144 million people live in 81 areas (which include all or 
part of 368 counties) designated as not in attainment for the 8-hour 
ozone NAAQS. These numbers do not include the people living in areas 
where there is a significant future risk of failing to maintain or 
achieve either the current or future PM2.5 or ozone NAAQS.
    In addition to public health impacts, there are public welfare and 
environmental impacts associated with ozone and PM2.5 
emissions. Ozone causes damage to vegetation which leads to crop and 
forestry economic losses, as well as harm to national parks, wilderness 
areas, and other natural systems. NOX and direct emissions 
of PM2.5 can contribute to the impairment of visibility in 
many parts of the U.S., where people live, work, and recreate, 
including national parks, wilderness areas, and mandatory class I 
federal areas. The deposition of airborne particles can also reduce the 
aesthetic appeal of buildings and culturally important objects through 
soiling and can contribute directly (or in conjunction with other 
pollutants) to structural damage by means of corrosion or erosion. 
Finally, NOX emissions from diesel engines contribute to the 
acidification, nitrification, and eutrophication of water bodies.
    While EPA has already adopted many emission control programs that 
are expected to reduce ambient ozone and PM2.5 levels, 
including the Clean Air Interstate Rule (CAIR) (70 FR 25162, May 12, 
2005) and the Clean Air

[[Page 37101]]

Nonroad Diesel Rule (69 FR 38957, June 29, 2004), the Heavy Duty Engine 
and Vehicle Standards and Highway Diesel Fuel Sulfur Control 
Requirements (66 FR 5002, Jan. 18, 2001), and the Tier 2 Vehicle and 
Gasoline Sulfur Program (65 FR 6698, Feb. 10, 2000), the additional 
PM2.5 and NOX emission reductions resulting from 
this rule will assist states in attaining and maintaining the Ozone and 
the PM2.5 NAAQS both near term and in the decades to come.
    In September 2006, EPA finalized revised PM2.5 NAAQS 
standards and over the next few years the EPA will undergo the process 
of designating areas that do not meet this new standard. EPA modeling, 
conducted as part of finalizing the revised NAAQS, projects that in 
2015 up to 52 counties with 53 million people may violate either the 
daily or annual standards for PM2.5 (or both), while an 
additional 27 million people in 54 counties may live in areas that have 
air quality measurements within 10 percent of the revised NAAQS. Even 
in 2020 up to 48 counties, with 54 million people, may still not be 
able to meet the revised PM2.5 NAAQS and an additional 25 
million people, living in 50 counties, are projected to have air 
quality measurements within 10 percent of the revised standards. The 
locomotive and marine diesel PM2.5 reductions resulting from 
this rulemaking are needed by a number of states to both attain and 
maintain the revised PM2.5 NAAQS.
    State and local governments continue working to protect the health 
of their citizens and comply with requirements of the Clean Air Act 
(CAA or ``the Act''). As part of this effort they recognize the need to 
secure additional major reductions in both diesel PM2.5 and 
NOX emissions by undertaking numerous state-level 
actions.11 However, they have also urged Agency action to 
finalize a strong locomotive and marine diesel engine program that will 
provide crucial emission reductions both in the near and long-term.
---------------------------------------------------------------------------

    \11\ Two examples of state and local actions are: California Air 
Resources Board (2006). Emission Reduction Plan for Ports and Goods 
Movements (April 2006), Available electronically at www.arb.ca.gov/gmp/docs/finalgmpplan090905.pdf; Connecticut Department of 
Environmental Protection (2006). Connecticut's Clean Diesel Plan 
(January 2006). See http://www.dep.state.ct.us/air2/diesel/index.htm 
for description of initiative.
---------------------------------------------------------------------------

    The federal program finalized today results in earlier and 
significantly greater NOX and PM reductions from the 
locomotive and marine sector than the proposed program because of the 
first-ever national standards for remanufactured marine engines and the 
starting of Tier 4 NOX requirements for line-haul 
locomotives and for 2000-3700 kW (2760-4900 hp) marine engines two 
years earlier than proposed. These changes reflect important 
cooperative efforts by the regulated industry to implement cleaner 
technology as early as possible. While the program finalized today will 
help many states and communities achieve cleaner air, for some areas, 
such as the South Coast of California, the reductions achieved through 
this rule will not alone enable them to meet their near-term ozone and 
PM air quality goals. This was also the case for our 1998 locomotive 
rulemaking, where the State of California worked with Class I railroads 
operating in southern California to develop a Memoranda of 
Understanding (MOU) ensuring that the cleanest technologies enabled by 
federal rules were expeditiously introduced in areas of California with 
greatest air quality improvement needs. EPA continues to support 
California's efforts to reconcile likely future growth in the 
locomotive and marine sector with the public health protection needs of 
the area, and today's final rule includes provisions which are well-
suited to encouraging early deployment of cleaner technologies through 
the development of similar programs.
    In addition to these new standards, EPA has a number of voluntary 
programs that help enable government, industry, and local communities 
to address challenging air quality problems. The EPA SmartWay program 
has worked with railroads to encourage them to reduce unnecessary 
locomotive idling and will continue to promote the use of innovative 
idle reduction technologies that can substantially reduce locomotive 
emissions while reducing fuel consumption. EPA's National Clean Diesel 
Campaign, through its Clean Ports USA program is working with port 
authorities, terminal operators, and trucking and rail companies to 
promote cleaner diesel technologies and emission reduction strategies 
through education, incentives, and financial assistance. Part of these 
efforts involves voluntary retrofit programs that can further reduce 
emissions from the existing fleet of diesel engines. Finally, EPA is 
implementing a new Sustainable Ports Strategy which will allow EPA to 
partner with ports, business partners, communities and other 
stakeholders to become world leaders in sustainability, including 
achieving cleaner air. This new strategy builds on the success of 
collaborative work EPA has been doing in partnership with the American 
Association of Port Authorities (AAPA), and through port related 
efforts of Clean Ports USA, SmartWay, EPA's Regional Diesel 
Collaboratives and other programs. Together these approaches augment 
the regulations being finalized today, helping states and communities 
achieve larger reductions sooner in the areas of our country that need 
them the most.
(2) Advanced Technologies Can Be Applied
    Air pollution from locomotive and marine diesel exhaust is a 
challenging problem. However, we believe it can be addressed 
effectively through a combination of engine-out emission reduction 
technologies and high-efficiency catalytic aftertreatment technologies. 
As discussed in greater detail in section III.C, the development of 
these aftertreatment technologies for highway and nonroad diesel 
applications has advanced rapidly in recent years, so that new engines 
can achieve very large emission reductions in PM and NOX (in 
excess of 90 and 80 percent, respectively).
    High-efficiency PM control technologies are being broadly used in 
many parts of the world and are being used domestically to comply with 
EPA's heavy-duty truck standards that started taking effect in the 2007 
model year. These technologies are highly durable and robust in use and 
have proved extremely effective in reducing exhaust hydrocarbon (HC) 
and carbon monoxide emissions.
    Control of NOX emissions from locomotive and marine 
diesel engines can also be achieved with high-efficiency exhaust 
emission control technologies. Such technologies are expected to be 
used to meet the stringent NOX standards included in EPA's 
heavy-duty highway diesel and nonroad Tier 4 programs and have been in 
production for heavy-duty trucks in Europe since 2005 and in many 
stationary source applications throughout the world.
    Section III.C discusses additional engineering challenges in 
applying these technologies to newly-built locomotive and marine 
engines, as well as the development steps that we expect to be taken to 
resolve the challenges. With the lead time available and the assurance 
of ULSD for the locomotive and marine sectors in 2012, as provided by 
our 2004 final rule for nonroad engines and fuel, we are confident the 
application of advanced technology to locomotives and marine diesel 
engines will proceed at a reasonable rate of progress and will result 
in systems

[[Page 37102]]

capable of achieving the new standards on time.
(3) Basis for Action Under the Clean Air Act
    Authority for the actions promulgated in this document is granted 
to the EPA by sections 114, 203, 205, 206, 207, 208, 213, 216, and 
301(a) of the Clean Air Act as amended in 1990 (42 U.S.C. 7414, 7522, 
7524, 7525, 7541, 7542, 7547, 7550 and 7601(a)).
    Authority to Set Standards. EPA is promulgating emissions standards 
for new marine diesel engines pursuant to its authority under section 
213(a)(3) and (4) of the CAA. EPA is promulgating emission standards 
for new locomotives and new engines used in locomotives pursuant to its 
authority under section 213(a)(5) of the CAA.
    EPA has previously determined that certain existing locomotive 
engines, when they are remanufactured, are returned to as-new condition 
and are expected to have the same performance, durability, and 
reliability as freshly-manufactured locomotive engines. Consequently we 
set emission standards for these remanufactured engines that apply at 
the time of remanufacture (defined as ``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 * * *'' (see 61 FR 53102, October 4, 1996; 40 
CFR 92.2). In this action we are adopting new tiers of standards for 
both freshly manufactured and remanufactured locomotives and locomotive 
engines.
    In the proposal for this rulemaking we also discussed applying a 
similar approach to marine diesel engines. Many marine diesel engines, 
particularly those above 600 kW (800 hp), periodically undergo a 
maintenance process that returns them to as-new condition. A full 
rebuild that brings an engine back to as-new condition includes a 
complete overhaul of the engine, including piston, rings, liners, 
turbocharger, heads, bearings, and geartrain/camshaft removal and 
replacement. Engine manufacturers typically provide instructions for 
such a full rebuild. Marine diesel engine owners complete this process 
to maintain engine reliability, durability, and performance over the 
life of their vessel, and to avoid the need to repower (replace the 
engine) before their vessel wears out. A commercial marine vessel can 
be in operation in excess of 40 years, which means that a marine diesel 
engine may be remanufactured to as-new condition three or more times 
before the vessel is scrapped.
    Because these remanufactured engines are returned to as-new 
condition, section 213(a)(3) and (4) give EPA the authority to set 
emission standards for those engines. We are adopting requirements for 
remanufactured marine diesel engines, described in section III.B(2)(b) 
of this action. For the purpose of this program, we are defining 
remanufacture as the replacement of all cylinder liners, either in one 
maintenance event or over the course of five years (for the purpose of 
this program, ``replacement'' includes the removing, inspecting and 
requalifying a liner). While replacement of cylinder liners is only one 
element of a full rebuild, it is common to all rebuilds. Marine diesel 
engines that do not have their cylinder liners replaced all at once or 
within a five-year period, or that do not perform cylinder liner 
replacement at all, are not considered to be returned to as-new 
condition and therefore are not considered to be remanufactured. Those 
engines will not be subject to the marine remanufacture requirements.
    Pollutants That Can Be Regulated. CAA section 213(a)(3) directs the 
Administrator to set NOX, volatile organic compounds (VOCs), 
or carbon monoxide standards for classes or categories of engines such 
as marine diesel engines that contribute to ozone or carbon monoxide 
concentrations in more than one nonattainment area. These ``standards 
shall achieve the greatest degree of emission reduction achievable 
through the application of technology which the Administrator 
determines will be available for the engines or vehicles, giving 
appropriate consideration to cost, lead time, noise, energy, and safety 
factors associated with the application of such technology.''
    CAA section 213(a)(4) authorizes the Administrator to establish 
standards to control emissions of pollutants which ``may reasonably be 
anticipated to endanger public health and welfare'' where the 
Administrator determines, as it has done for emissions of PM, that 
nonroad engines as a whole contribute significantly to such air 
pollution. The Administrator may promulgate regulations that are deemed 
appropriate, taking into account costs, noise, safety, and energy 
factors, for classes or categories of new nonroad vehicles and engines 
which cause or contribute to such air pollution.
    Level of the Standards. CAA section 213(a)(5) directs EPA to adopt 
emission 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, the noise, energy, and safety factors associated with the 
applications of such technology.'' Section 213(a)(5) does not require 
any review of the contribution of locomotive emissions to pollution, 
though EPA does provide such information in this rulemaking. As 
described in section III of this preamble and in chapter 4 of the final 
Regulatory Impact Analysis (RIA), EPA has evaluated the available 
information to determine the technology that will be available for 
locomotives and engines subject to EPA standards.
    Certification and Implementation. EPA is also acting under its 
authority to implement and enforce both the marine diesel emission 
standards and the locomotive emission standards. Section 213(d) 
provides that the standards EPA adopts for both new locomotive and 
marine diesel engines ``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 and marine 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.
    Technological Feasibility and Cost of Standards. The evidence 
provided in section III.C of this Preamble and in chapter 4 of the RIA 
indicates that the stringent emission standards we are setting today 
for newly-built and remanufactured locomotive and marine diesel engines 
are feasible and reflect the greatest degree of emission reduction 
achievable through the use of technology that will be available in the 
model years to which they apply. We have given appropriate 
consideration to costs in setting these standards. Our review of the 
costs and cost-effectiveness of these standards indicate that they will 
be reasonable and comparable to the cost-effectiveness of other 
emission reduction strategies that EPA has required in prior 
rulemakings. We have also reviewed and given appropriate consideration 
to the energy factors of this rule in terms of fuel efficiency as well 
as any safety and noise factors associated with these standards.
    Health and Environmental Need for the Standards. The information in

[[Page 37103]]

section II of this Preamble and chapter 2 of the RIA regarding air 
quality and public health impacts provides strong evidence that 
emissions from marine diesel engines and locomotives significantly and 
adversely impact public health or welfare. EPA has already found in 
previous rules that emissions from new marine diesel engines contribute 
to ozone and carbon monoxide concentrations in more than one area which 
has failed to attain the ozone and carbon monoxide NAAQS (64 FR 73300, 
December 29, 1999). EPA has also previously determined that it is 
appropriate to establish PM standards for marine diesel engines under 
section 213(a)(4), and the additional information on the 
carcinogenicity of exposure to diesel exhaust noted above reinforces 
this finding. In addition, we have already found that emissions from 
nonroad engines as a whole significantly contribute to air pollution 
that may reasonably be anticipated to endanger public welfare due to 
regional haze and visibility impairment (67 FR 68241, Nov. 8, 2002). We 
find here, based on the information in the NPRM and in section II of 
this preamble and Chapters 2 and 3 of the final RIA, that emissions 
from the new marine diesel engines likewise contribute to regional haze 
and to visibility impairment.
    The PM and NOX emission reductions resulting from these 
standards are important to states' efforts in attaining and maintaining 
the ozone and the PM2.5 NAAQS in the near term and in the 
decades to come. As noted above, the risk to human health and welfare 
will be significantly reduced by the standards finalized in today's 
action.

II. Air Quality and Health Impacts

    The locomotive and marine diesel engines subject to this final rule 
generate significant emissions of particulate matter (PM) and nitrogen 
oxides (NOX) that contribute to nonattainment of the 
National Ambient Air Quality Standards (NAAQS) for PM2.5 and 
ozone. These engines also emit hazardous air pollutants or air toxics 
that are associated with serious adverse health effects and contribute 
to visibility impairment and other harmful environmental impacts across 
the U.S.
    By 2030, these standards are expected to reduce annual locomotive 
and marine diesel engine PM2.5 emissions by 27,000 tons; 
NOX emissions by 800,000 tons; and volatile organic compound 
(VOC) emissions by 43,000 tons as well as reducing carbon monoxide (CO) 
and toxic compounds known as air toxics.\12\
---------------------------------------------------------------------------

    \12\ Nationwide locomotive and marine diesel engines comprise 
approximately 3 percent of the nonroad mobile sources hydrocarbon 
inventory. EPA National Air Quality and Emissions Trends Report 
1999. March 2001, Document Number: EPA 454/R-0-004. This document is 
available in Docket EPA-HQ-OAR-2003-0190. This document is available 
electronically at: http://www.epa.gov/air/airtrends/aqtrnd99/.
---------------------------------------------------------------------------

    We project that reductions of PM2.5, NOX, and 
VOC emissions from locomotive and marine diesel engines will produce 
nationwide air quality improvements. According to air quality modeling 
performed in conjunction with this rule, all 39 current 
PM2.5 nonattainment areas will experience a decrease in 
their projected 2030 design values. Likewise the 133 mandatory class I 
federal areas that EPA modeled will all see improvements in their 
visibility. This rule will also result in nationwide ozone benefits. In 
2030, 573 counties (of 579 that have monitored data) experience at 
least a 0.1 ppb decrease in their ozone design values.

A. Overview

    From a public health perspective, we are concerned with locomotive 
and marine diesel engines' contributions to atmospheric levels of 
particulate matter in general, diesel PM2.5 in particular, 
various gaseous air toxics, and ozone. Today, locomotive and marine 
diesel engine emissions represent a substantial portion of the U.S. 
mobile source diesel PM2.5 and NOX inventories, 
approximately 20 percent of mobile source NOX and 25 percent 
of mobile source diesel PM2.5. Over time, the relative 
contribution of these diesel engines to air quality problems is 
expected to increase as the emission contribution from other mobile 
sources decreases and the usage of locomotives and marine vessels 
increases. By 2030, without the additional emissions controls finalized 
in today's rule, locomotive and marine diesel engines will emit about 
65 percent of the total mobile source diesel PM2.5 emissions 
and 35 percent of the total mobile source NOX emissions.
    Based on the most recent data available for this rule, air quality 
problems continue to persist over a wide geographic area of the United 
States. As of October 10, 2007 there are approximately 88 million 
people living in 39 designated areas (which include all or part of 208 
counties) that either do not meet the current PM2.5 NAAQS or 
contribute to violations in other counties, and 144 million people 
living in 81 areas (which include all or part of 366 counties) 
designated as not in attainment for the 8-hour ozone NAAQS. These 
numbers do not include the people living in areas where there is a 
significant future risk of failing to maintain or achieve either the 
current or future PM2.5 or ozone NAAQS. Figure II-1 
illustrates the widespread nature of these problems. This figure 
depicts counties which are currently designated nonattainment for 
either or both the 8-hour ozone NAAQS and PM2.5 NAAQS. It 
also shows the location of mandatory class I federal areas for 
visibility.
BILLING CODE 1505-01-D

[[Page 37104]]

[GRAPHIC] [TIFF OMITTED] TR06MY08.000

BILLING CODE 1505-01-C

[[Page 37105]]

    The engine standards finalized in this rule will help reduce 
emissions of PM, NOX, VOCs, CO, and air toxics and their 
associated health and environmental effects. Emissions from locomotives 
and diesel marine engines contribute to PM and ozone concentrations in 
many, if not all, of these nonattainment areas.\13\ The engine 
standards being finalized today will become effective as early as 2008, 
making the expected PM2.5, NOX, and VOC inventory reductions 
from this rulemaking critical to a number of states as they seek to 
either attain or maintain the current PM2.5 or ozone NAAQS.
---------------------------------------------------------------------------

    \13\ See section II.B.(1)(c) and II.B.(2)(c) for a summary of 
the impact emission reductions from locomotive and marine diesel 
engines will have on air quality in current PM2.5 and ozone 
nonattainment areas.
---------------------------------------------------------------------------

    Beyond the impact locomotive and marine diesel engines have on our 
nation's ambient air quality the diesel exhaust emissions from these 
engines are also of particular concern since exposure to diesel exhaust 
is classified as likely to be carcinogenic to humans by inhalation from 
environmental levels of exposure.\14\ Many people spend a large portion 
of time in or near areas of concentrated locomotive or marine diesel 
emissions, near rail yards, marine ports, railways, and waterways. 
Recent studies show that populations living near large diesel emission 
sources such as major roadways,\15\ rail yards \16\ and marine ports 
\17\ are likely to experience greater diesel exhaust exposure levels 
than the overall U.S. population, putting them at a greater health 
risk.
---------------------------------------------------------------------------

    \14\ U.S. EPA (2002) Health Assessment Document for Diesel 
Engine Exhaust. EPA/600/8-90/057F. Office of Research and 
Development, Washington, DC. This document is available in Docket 
EPA-HQ-OAR-2003-0190. This document is available electronically at 
http://cfpub.epa.gov/ncea/cfm/recordisplay.cfm?deid=29060.
    \15\ Kinnee, E.J.; Touma, J.S.: Mason, R.; Thurman, J.; Beidler, 
A.; Bailey, C.; Cook, R. (2004) Allocation of onroad mobile 
emissions to road segments for air toxics modeling in an urban area. 
Transport. Res. Part D 9:139-150; also see Cohen, J.; Cook, R; 
Bailey, C.R.; Carr, E. (2005) Relationship between motor vehicle 
emissions of hazardous pollutants, roadway proximity, and ambient 
concentrations in Portland, Oregon. Environ. Modeling & Software 20: 
7-12.
    \16\ Hand, R.; Di, P; Servin, A.; Hunsaker, L.; Suer, C. (2004) 
Roseville Rail Yard Study. California Air Resources Board. This 
document is available in Docket EPA-HQ-OAR-2003-0190. [Online at 
http://www.arb.ca.gov/diesel/documents/rrstudy.htm].
    \17\ Di P.; Servin, A.; Rosenkranz, K.; Schwehr, B.; Tran, H. 
(April 2006); Diesel Particulate Matter Exposure Assessment Study 
for the Ports of Los Angeles and Long Beach. State of California Air 
Resources Board.
---------------------------------------------------------------------------

    EPA recently conducted an initial screening-level analysis \18\ of 
selected marine port areas and rail yards to better understand the 
populations that are exposed to diesel particulate matter (DPM) 
emissions from these facilities.19, 20 This screening-level 
analysis focused on a representative selection of national marine ports 
and rail yards.\21\ Of the 47 marine ports and 37 rail yards selected, 
the results indicate that at least 13 million people, including a 
disproportionate number of low-income households, African-Americans, 
and Hispanics, living in the vicinity of these facilities, are being 
exposed to ambient DPM levels that are 2.0 [mu]g/m3 and 0.2 
[mu]g/m3 above levels found in areas further from these 
facilities. Because those populations exposed to DPM emissions from 
marine ports and rail yards are more likely to be low-income and 
minority residents, these populations will benefit from the controls 
being finalized in this action. The detailed findings of this study are 
available in the public docket for this rulemaking.
---------------------------------------------------------------------------

    \18\ This type of screening-level analysis is an inexact tool 
and not appropriate for regulatory decision-making; it is useful in 
beginning to understand potential impacts and for illustrative 
purposes. Additionally, the emissions inventories used as inputs for 
the analyses are not official estimates and likely underestimate 
overall emissions because they are not inclusive of all emission 
sources at the individual ports in the sample. For example, most 
inventories included emissions from ocean-going vessels (powered by 
Category 3 engines), as well as some commercial vessel categories, 
including harbor crafts (powered by Category 1 and 2 engines), cargo 
handling equipment, locomotives, and heavy-duty vehicles. This final 
rule will not address emissions from ocean-going vessels, cargo 
handling equipment or heavy-duty vehicles.
    \19\ ICF International. September 28, 2007. Estimation of diesel 
particulate matter concentration isopleths for marine harbor areas 
and rail yards. Memorandum to EPA under Work Assignment Number 0-3, 
Contract Number EP-C-06-094. This memo is available in Docket EPA-
HQ-OAR-2003-0190.
    \20\ ICF International. September 28, 2007. Estimation of diesel 
particulate matter population exposure near selected harbor areas 
and rail yards. Memorandum to EPA under Work Assignment Number 0-3, 
Contract Number EP-C-06-094. This memo is available in Docket EPA-
HQ-OAR-2003-0190.
    \21\ The Agency selected a representative sample of the top 150 
U.S. ports including coastal, inland and Great Lake ports. In 
selecting a sample of rail yards the Agency identified a subset from 
the hundreds of rail yards operated by Class I Railroads.
---------------------------------------------------------------------------

    In the following sections we review important public health effects 
linked to pollutants emitted from locomotive and marine diesel engines. 
First, the human health effects caused by the pollutants and their 
current and projected ambient levels are discussed. Following the 
discussion of health effects, the modeled air quality benefits 
resulting from this action and the welfare effects associated with 
emissions from diesel engines are presented. Finally, the locomotive 
and marine engine emission inventories for the primary pollutants 
affected by this rule are provided. In summary, the emission reductions 
from this rule will contribute to controlling the health and welfare 
problems associated with ambient PM and ozone levels and with diesel-
related air toxics.
    Taken together, the materials in this section and in the proposal 
describe the need for tightened emission standards for both locomotive 
and marine diesel engines and the air quality and public health 
benefits resulting from this program. This section is not an exhaustive 
treatment of these issues. For a fuller understanding of the topics 
treated here, you should refer to the extended presentations in Chapter 
2, 3 and 5 of the Regulatory Impact Analysis (RIA) accompanying this 
final rule.

B. Public Health Impacts

(1) Particulate Matter
    The locomotive and marine engine standards detailed in this action 
will result in significant reductions in primary (directly emitted) 
PM2.5 emissions. In addition, the standards finalized today will reduce 
emissions of NOX and VOCs, which contribute to the formation 
of secondary PM2.5. Locomotive and marine diesel engines emit high 
levels of NOX, which react in the atmosphere to form 
secondary PM2.5 (namely ammonium nitrate). These engines also emit SO2 
and VOC, which react in the atmosphere to form secondary PM2.5 composed 
of sulfates and organic carbonaceous PM2.5. This rule will reduce both 
primary and secondary PM.

[[Page 37106]]

(a) Background
    Particulate matter (PM) represents a broad class of chemically and 
physically diverse substances. It can be principally characterized as 
discrete particles that exist in the condensed (liquid or solid) phase 
spanning several orders of magnitude in size. PM is further described 
by breaking it down into size fractions. PM10 refers to particles 
generally less than or equal to 10 micrometers ([mu]m) in diameter. 
PM2.5 refers to fine particles, generally less than or equal to 2.5 
[mu]m in diameter. Inhalable (or ``thoracic'') coarse particles refer 
to those particles generally greater than 2.5 [mu]m but less than or 
equal to 10 [mu]m in diameter. Ultrafine PM refers to particles less 
than 100 nanometers (0.1 [mu]m) in diameter. Larger particles tend to 
be removed by the respiratory clearance mechanisms (e.g. coughing), 
whereas smaller particles are deposited deeper in the lungs.
    Fine particles are produced primarily by combustion processes and 
by transformations of gaseous emissions (e.g., SOx, NOX and 
VOC) in the atmosphere. The chemical and physical properties of PM2.5 
may vary greatly with time, region, meteorology, and source category. 
Thus, PM2.5 may include a complex mixture of different pollutants 
including sulfates, nitrates, organic compounds, elemental carbon and 
metal compounds. These particles can remain in the atmosphere for days 
to weeks and travel hundreds to thousands of kilometers.
    The primary PM2.5 NAAQS includes a short-term (24-hour) 
and a long-term (annual) standard. The 1997 PM2.5 NAAQS 
established by EPA set the 24-hour standard at a level of 65 [mu]g/
m3 based on the 98th percentile concentration averaged over 
three years. The annual standard specifies an expected annual 
arithmetic mean not to exceed 15 [mu]g/m3 averaged over 
three years.
    EPA has recently amended the NAAQS for PM2.5 (71 FR 
61144, October 17, 2006). The final rule, signed on September 21, 2006, 
addressed revisions to the primary and secondary NAAQS for PM to 
provide increased protection of public health and welfare, 
respectively. The level of the 24-hour PM2.5 NAAQS was 
revised from 65 [mu]g/m3 to 35 [mu]g/m3 and the 
level of the annual PM2.5 NAAQS was retained at 15 [mu]g/
m3. With regard to the secondary standards for 
PM2.5, EPA has revised these standards to be identical in 
all respects to the revised primary standards.
(b) Health Effects of PM2.5
    Scientific studies show ambient PM is associated with a series of 
adverse health effects. These health effects are discussed in detail in 
the 2004 EPA Particulate Matter Air Quality Criteria Document (PM 
AQCD), and the 2005 PM Staff Paper.22, 23 Further discussion 
of health effects associated with PM can also be found in the RIA for 
this rule.
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    \22\ U.S. EPA (2004) Air Quality Criteria for Particulate Matter 
(Oct 2004), Volume I Document No. EPA600/P-99/002aF and Volume II 
Document No. EPA600/P-99/002bF. This document is available in Docket 
EPA-HQ-OAR-2003-0190.
    \23\ U.S. EPA (2005) Review of the National Ambient Air Quality 
Standard for Particulate Matter: Policy Assessment of Scientific and 
Technical Information, OAQPS Staff Paper. EPA-452/R-05-005. This 
document is available in Docket EPA-HQ-OAR-2003-0190.
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    Health effects associated with short-term exposures (hours to days) 
to ambient PM include premature mortality, increased hospital 
admissions, heart and lung diseases, increased cough, adverse lower-
respiratory symptoms, decrements in lung function and changes in heart 
rate rhythm and other cardiac effects. Studies examining populations 
exposed to different levels of air pollution over a number of years, 
including the Harvard Six Cities Study and the American Cancer Society 
Study, show associations between long-term exposure to ambient 
PM2.5 and both total and cardiovascular and respiratory 
mortality.\24\ In addition, a reanalysis of the American Cancer Society 
Study shows an association between fine particle and sulfate 
concentrations and lung cancer mortality.\25\
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    \24\ Dockery, DW; Pope, CA III: Xu, X; et al. 1993. An 
association between air pollution and mortality in six U.S. cities. 
N Engl J Med 329:1753-1759.
    \25\ Pope, C. A., III; Burnett, R. T.; Thun, M. J.; Calle, E. 
E.; Krewski, D.; Ito, K.; Thurston, G. D. (2002) Lung cancer, 
cardiopulmonary mortality, and long-term exposure to fine 
particulate air pollution. J. Am. Med. Assoc. 287:1132-1141.
---------------------------------------------------------------------------

    The health effects of PM2.5 have been further documented 
in local impact studies which have focused on health effects due to 
PM2.5 exposures measured on or near roadways. These studies 
take into account all air pollution sources, including both spark-
ignition (gasoline) and diesel powered vehicles, and indicate that 
exposure to PM2.5 emissions near roadways, which are 
dominated by mobile sources, are associated with potentially serious 
health effects. For instance, a recent study found associations between 
concentrations of cardiac risk factors in the blood of healthy young 
police officers and PM2.5 concentrations measured in 
vehicles.\26\ Also, a number of studies have shown associations between 
residential or school outdoor concentrations of some fine particle 
constituents that are found in motor vehicle exhaust, and adverse 
respiratory outcomes, including asthma prevalence in children who live 
near major roadways.27, 28, 29 Although the engines 
considered in this rule differ from those in these studies with respect 
to their applications and fuel qualities, these studies provide an 
indication of the types of health effects that might be expected to be 
associated with personal exposure to PM2.5 emissions from 
large marine diesel and locomotive engines.
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    \26\ Riediker, M.; Cascio, W.E.; Griggs, T.R.; et al. (2004) 
Particulate matter exposure in cars is associated with 
cardiovascular effects in healthy young men. Am J Respir Crit Care 
Med 169: 934-940.
    \27\ Van Vliet, P.; Knape, M.; de Hartog, J.; Janssen, N.; 
Harssema, H.; Brunekreef, B. (1997). Motor vehicle exhaust and 
chronic respiratory symptoms in children living near freeways. Env. 
Research 74: 122-132.
    \28\ Brunekreef, B., Janssen, N.A.H.; de Hartog, J.; Harssema, 
H.; Knape, M.; van Vliet, P. (1997). Air pollution from truck 
traffic and lung function in children living near roadways. 
Epidemiology 8:298-303.
    \29\ Kim, J.J.; Smorodinsky, S.; Lipsett, M.; Singer, B.C.; 
Hodgson, A.T.; Ostro, B. (2004). Traffic-related air pollution near 
busy roads: The East Bay children's respiratory health study. Am. J. 
Respir. Crit. Care Med. 170: 520-526.
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    Recent new studies from the State of California provide evidence 
that PM2.5 emissions within marine ports and rail yards can 
contribute significantly to elevated ambient concentrations near these 
sources.30, 31 A substantial number of people experience 
exposure to locomotive and marine diesel engine emissions, raising 
potential health concerns. The controls finalized in this action will 
help reduce exposure to PM2.5, specifically exposure to 
marine port and rail yard related diesel PM2.5 sources. 
Additional information on marine port and rail yard emissions and 
ambient exposures can be found in Chapter 2 of the RIA.
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    \30\ State of California Air Resources Board. Roseville Rail 
Yard Study. Stationary Source Division, October 14, 2004. This 
document is available in Docket EPA-HQ-OAR-2003-0190. This document 
is available electronically at: http://www.arb.ca.gov/diesel/documents/rrstudy.htm.
    \31\ State of California Air Resources Board. Diesel Particulate 
Matter Exposure Assessment Study for the Ports of Los Angeles and 
Long Beach, April 2006. This document is available in Docket EPA-HQ-
OAR-2003-0190. This document is available electronically at: ftp://ftp.arb.ca.gov/carbis/msprog/offroad/marinevess/documents/portstudy0406.pdf.
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(c) Current and Projected PM2.5 Levels

[[Page 37107]]

    PM2.5 concentrations exceeding the level of the 
PM2.5 NAAQS occur in many parts of the country.\32\ In 2005 
EPA designated 39 nonattainment areas for the 1997 PM2.5 
NAAQS (70 FR 943, January 5, 2005). These areas are comprised of 208 
full or partial counties with a total population exceeding 88 million. 
The 1997 PM2.5 NAAQS was recently revised and the 2006 
PM2.5 NAAQS became effective on December 18, 2006. Table II-
1 presents the number of counties in areas currently designated as 
nonattainment for the 1997 PM2.5 NAAQS as well as the number 
of additional counties that have monitored data that is violating the 
2006 PM2.5 NAAQS.

  Table II-1.--Fine Particle Standards: Current Nonattainment Areas and
                        Other Violating Counties
------------------------------------------------------------------------
   Nonattainment areas/other violating       Number of
                counties                     counties      Population a
------------------------------------------------------------------------
1997 PM2.5 Standards: 39 areas currently             208      88,394,000
 designated.............................
2006 PM2.5 Standards: counties with                   49      18,198,676
 violating monitors b...................
                                         -------------------------------
    Total...............................             257    106,595,676
------------------------------------------------------------------------
Notes:
(a) Population numbers are from 2000 census data.
(b) This table provides an estimate of the counties violating the 2006
  PM2.5 NAAQS based on 2003-05 air quality data. The areas designated as
  nonattainment for the 2006 PM2.5 NAAQS will be based on 3 years of air
  quality data from later years. Also, the county numbers in the summary
  table includes only the counties with monitors violating the 2006
  PM2.5 NAAQS. The monitored county violations may be an underestimate
  of the number of counties and populations that will eventually be
  included in areas with multiple counties designated nonattainment.

    A number of state governments have told EPA that they need the 
reductions this rule will provide in order to meet and maintain the 
PM2.5 NAAQS. Areas designated as not attaining the 1997 
PM2.5 NAAQS will need to attain the 1997 standards in the 
2010 to 2015 time frame, and then maintain them thereafter. The 
attainment dates associated with the potential new 2006 
PM2.5 nonattainment areas are likely to be in the 2015 to 
2020 timeframe. The emission standards finalized in this action become 
effective as early as 2008 making the NOX, PM, and VOC 
inventory reductions from this rulemaking useful to states in attaining 
or maintaining the PM2.5 NAAQS.
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    \32\ A listing of the PM2.5 nonattainment areas is 
included in the RIA for this rule.
---------------------------------------------------------------------------

    EPA has already adopted many emission control programs that are 
expected to reduce ambient PM2.5 levels and which will 
assist in reducing the number of areas that fail to achieve the 
PM2.5 NAAQS. Even so, our air quality modeling for this 
final rule projects that in 2020, with all current controls but 
excluding the reductions achieved through this rule, up to 11 counties 
with a population of 24 million may not attain the current annual 
PM2.5 standard of 15 [mu]g/m3. These numbers do 
not account for additional areas that have air quality measurements 
within 10 percent of the annual PM2.5 standard. These areas, 
although not violating the standards, will also benefit from the 
additional reductions from this rule ensuring long-term maintenance of 
the PM2.5 NAAQS.
    Air quality modeling performed for this final rule shows that in 
2020 and 2030 all 39 current PM2.5 nonattainment areas will 
experience decreases in their PM2.5 design values. For areas 
with current PM2.5 design values greater than 15 [mu]g/
m3 the modeled future-year population weighted 
PM2.5 design values are expected to decrease on average by 
0.08 [mu]g/m3 in 2020 and by 0.16 [mu]g/m3 in 
2030. The maximum decrease for future-year PM2.5 design 
values will be 0.38 [mu]g/m3 in 2020 and 0.81 [mu]g/
m3 in 2030. The air quality modeling methodology and the 
projected reductions are discussed in more detail in Chapter 2 of the 
RIA.
(2) Ozone
    The locomotive and marine engine standards finalized in this action 
are expected to result in significant reductions of NOX and 
VOC emissions. NOX and VOC contribute to the formation of 
ground-level ozone pollution or smog. People in many areas across the 
U.S. continue to be exposed to unhealthy levels of ambient ozone.
(a) Background
    Ground-level ozone pollution is typically formed by the reaction of 
volatile organic compounds (VOC) and nitrogen oxides (NOX) 
in the lower atmosphere in the presence of heat and sunlight. These 
pollutants, often referred to as ozone precursors, are emitted by many 
types of pollution sources, such as highway and nonroad motor vehicles 
and engines, power plants, chemical plants, refineries, makers of 
consumer and commercial products, industrial facilities, and smaller 
area sources.
    The science of ozone formation, transport, and accumulation is 
complex.\33\ Ground-level ozone is produced and destroyed in a cyclical 
set of chemical reactions, many of which are sensitive to temperature 
and sunlight. When ambient temperatures and sunlight levels remain high 
for several days and the air is relatively stagnant, ozone and its 
precursors can build up and result in more ozone than typically occurs 
on a single high-temperature day. Ozone can also be transported into an 
area from pollution sources found hundreds of miles upwind, resulting 
in elevated ozone levels even in areas with low local VOC or 
NOX emissions.
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    \33\ U.S. EPA Air Quality Criteria for Ozone and Related 
Photochemical Oxidants (Final). U.S. Environmental Protection 
Agency, Washington, DC, EPA 600/R-05/004aF-cF, 2006. This document 
is available in Docket EPA-HQ-OAR-2003-0190. This document may be 
accessed electronically at: http://www.epa.gov/ttn/naaqs/standards/ozone/s_o3_cr_cd.html.
---------------------------------------------------------------------------

    The current ozone NAAQS, established by EPA in 1997, has an 8-hour 
averaging time. The 8-hour ozone NAAQS is met at an ambient air quality 
monitoring site when the average of the annual fourth-highest daily 
maximum 8-hour average ozone concentration over three years is less 
than or equal to 0.084 ppm. On June 20, 2007, EPA proposed to 
strengthen the ozone NAAQS, the proposed revisions reflect new 
scientific evidence about ozone and its effects on people and public 
welfare.\34\ The final

[[Page 37108]]

ozone NAAQS rule is scheduled for March 2008.
---------------------------------------------------------------------------

    \34\ EPA proposed to set the 8-hour primary ozone standard to a 
level within the range of 0.070-0.075 ppm. The agency also requested 
comments on alternative levels of the 8-hour primary ozone standard, 
within a range from 0.060 ppm up to and including retention of the 
current standard (0.084 ppm). EPA also proposed two options for the 
secondary ozone standard. One option would establish a new form of 
standard designed specifically to protect sensitive plants from 
damage caused by repeated ozone exposure throughout the growing 
season. This cumulative standard would add daily ozone 
concentrations across a three-month period. EPA proposed to set the 
level of the cumulative standard within the range of 7 to 21 ppm-
hours. The other option would follow the current practice of making 
the secondary standard equal to the proposed 8-hour primary 
standard.
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(b) Health Effects of Ozone
    The health and welfare effects of ozone are well documented and are 
assessed in EPA's 2006 ozone Air Quality Criteria Document (ozone AQCD) 
and EPA Staff Paper.35, 36 Ozone can irritate the 
respiratory system, causing coughing, throat irritation, and/or 
uncomfortable sensation in the chest. Ozone can reduce lung function 
and make it more difficult to breathe deeply; breathing may also become 
more rapid and shallow than normal, thereby limiting a person's 
activity. Ozone can also aggravate asthma, leading to more asthma 
attacks that require medical attention and/or the use of additional 
medication. There is evidence of an elevated risk of mortality 
associated with acute exposure to ozone, especially in the summer or 
warm season when ozone levels are typically high. Animal toxicological 
evidence indicates that with repeated exposure, ozone can inflame and 
damage the lining of the lungs, which may lead to permanent changes in 
lung tissue and irreversible reductions in lung function. People who 
are more susceptible to effects associated with exposure to ozone can 
include children, the elderly, and individuals with respiratory disease 
such as asthma. Those with greater exposures to ozone, for instance due 
to time spent outdoors (e.g., children and outdoor workers), are also 
of particular concern.
---------------------------------------------------------------------------

    \35\ U.S. EPA Air Quality Criteria for Ozone and Related 
Photochemical Oxidants (Final). U.S. Environmental Protection 
Agency, Washington, DC, EPA 600/R-05/004aF-cF, 2006. This document 
is available in Docket EPA-HQ-OAR-2003-0190. This document may be 
accessed electronically at: http://www.epa.gov/ttn/naaqs/standards/ozone/s_o3_cr_cd.html.
    \36\ U.S. EPA (2007) Review of the National Ambient Air Quality 
Standards for Ozone, Policy Assessment of Scientific and Technical 
Information. OAQPS Staff Paper.EPA-452/R-07-003. This document is 
available in Docket EPA-HQ-OAR-2003-0190. This document is available 
electronically at: http:www.epa.gov/ttn/naaqs/standards/ozone/s_o3_cr_.html.
---------------------------------------------------------------------------

    The recent ozone AQCD also examined relevant new scientific 
information that has emerged in the past decade, including the impact 
of ozone exposure on such health effects as changes in lung structure 
and biochemistry, inflammation of the lungs, exacerbation and causation 
of asthma, respiratory illness-related school absence, hospital 
admissions and premature mortality. Animal toxicological studies have 
suggested potential interactions between ozone and PM with increased 
responses observed to mixtures of the two pollutants compared to either 
ozone or PM alone. The respiratory morbidity observed in animal studies 
along with the evidence from epidemiologic studies supports a causal 
relationship between acute ambient ozone exposures and increased 
respiratory-related emergency room visits and hospitalizations in the 
warm season. In addition, there is suggestive evidence of a 
contribution of ozone to cardiovascular-related morbidity and non-
accidental and cardiopulmonary mortality.
(c) Current and Projected Ozone Levels
    Ozone concentrations exceeding the level of the 8-hour ozone NAAQS 
occur over wide geographic areas, including most of the nation's major 
population centers.\37\ As of October 10, 2007, there were 
approximately 144 million people living in 81 areas (which include all 
or part of 366 counties) designated as not in attainment with the 8-
hour ozone NAAQS. These numbers do not include the people living in 
areas where there is a future risk of failing to maintain or attain the 
8-hour ozone NAAQS.
---------------------------------------------------------------------------

    \37\ A listing of the 8-hour ozone nonattainment areas is 
included in the RIA for this rule.
---------------------------------------------------------------------------

    States with 8-hour ozone nonattainment areas are required to take 
action to bring those areas into compliance in the future. Based on the 
final rule designating and classifying 8-hour ozone nonattainment areas 
(69 FR 23951, April 30, 2004), most 8-hour ozone nonattainment areas 
will be required to attain the ozone NAAQS in the 2007 to 2013 time 
frame and then maintain the NAAQS thereafter.\38\ Many of these 
nonattainment areas will need to adopt additional emission reduction 
programs and the NOX and VOC reductions from this final 
action are particularly important for these states. In addition, EPA's 
review of the ozone NAAQS is currently underway with a final rule 
scheduled for March 2008. If the ozone NAAQS is revised then new 
nonattainment areas will be designated. While EPA is not relying on it 
for purposes of justifying this rule, the emission reductions from this 
rulemaking will also be helpful to states if EPA revises the ozone 
NAAQS to be more stringent.
---------------------------------------------------------------------------

    \38\ The Los Angeles South Coast Air Basin 8-hour ozone 
nonattainment area will have to attain before June 15, 2021.
---------------------------------------------------------------------------

    EPA has already adopted many emission control programs that are 
expected to reduce ambient ozone levels. These control programs are 
described in section I.B.1 of this preamble. As a result of these 
programs, the number of areas that fail to meet the 8-hour ozone NAAQS 
in the future is expected to decrease. Based on the air quality 
modeling performed for this rule, which does not include any additional 
local controls, we estimate nine counties (where 22 million people are 
projected to live) will exceed the 8-hour ozone NAAQS in 2020.\39\ An 
additional 39 counties (where 29 million people are projected to live) 
are expected to be within 10 percent of violating the 8-hour ozone 
NAAQS in 2020.
---------------------------------------------------------------------------

    \39\ We expect many of the 8-hour ozone nonattainment areas to 
adopt additional emission reduction programs but we are unable to 
quantify or rely upon future reductions from additional state and 
local programs that have not yet been adopted.
---------------------------------------------------------------------------

    This rule results in reductions in nationwide ozone levels. The air 
quality modeling projects that in 2030, 573 counties (of 579 that have 
monitored data) experience at least a 0.1 ppb decrease in their ozone 
design values. There are three nonattainment areas in southern 
California, the Los Angeles-South Coast Air Basin nonattainment area, 
the Riverside Co. (Coachella Valley) nonattainment area and the Los 
Angeles--San Bernardino (W. Mojave) nonattainment area, which will 
experience 8-hour ozone design value increases due to the 
NOX disbenefits which occur in these VOC-limited ozone 
nonattainment areas. Briefly, NOX reductions at certain 
times and in some areas can lead to increased ozone levels. The air 
quality modeling methodology (Section 2.3), the projected reductions 
(Section 2.2.4), and the limited NOX disbenefits (Section 
2.2.4.2.1), are discussed in more detail in Chapter 2 of the RIA.
    Results from the air quality modeling conducted for this final rule 
indicate that the locomotive and marine diesel engine emission 
reductions in 2020 and 2030 will improve both the average and 
population-weighted average ozone concentrations for the U.S. In 
addition, the air quality modeling shows that on average this final 
rule will help bring counties closer to ozone attainment as well as 
assist counties whose ozone concentrations are within ten percent below 
the standard. For example, in projected nonattainment counties, on a 
population-weighted basis, the 8-hour ozone design value will on 
average decrease by 0.13 ppb in 2020 and 0.62 ppb in 2030.\40\
---------------------------------------------------------------------------

    \40\ Ozone design values are reported in parts per million (ppm) 
as specified in 40 CFR part 50. Due to the scale of the design value 
changes in this action, results have been presented in parts per 
billion (ppb) format.
---------------------------------------------------------------------------

    The impact of the reductions has also been analyzed with respect to 
those areas that have the highest design

[[Page 37109]]

values, at or above 85 ppb, in 2020. We project there will be nine U.S. 
counties with design values at or above 85 ppb in 2020. After 
implementation of this rule, we project that one of these nine counties 
will drop below 85 ppb. Further, two of the nine counties will be at 
least 10 percent closer to a design value of less than 85 ppb, and on 
average all nine counties will be about 18 percent closer to a design 
value of less than 85 ppb.
(3) Air Toxics
    People experience elevated risk of cancer and other noncancer 
health effects from exposure to the class of pollutants known 
collectively as ``air toxics''. Mobile sources are responsible for a 
significant portion of this exposure. According to the National Air 
Toxic Assessment (NATA) for 1999, mobile sources, including locomotive 
and marine diesel marine engines, were responsible for 44 percent of 
outdoor toxic emissions and almost 50 percent of the cancer risk among 
the 133 pollutants quantitatively assessed in the 1999 NATA. Benzene is 
the largest contributor to cancer risk of all the assessed pollutants 
and mobile sources were responsible for about 68 percent of all benzene 
emissions in 1999. Although the 1999 NATA did not quantify cancer risks 
associated with exposure to diesel exhaust, EPA has concluded that 
diesel exhaust ranks with other emissions that the national-scale 
assessment suggests pose the greatest relative risk.
    According to the 1999 NATA, nearly the entire U.S. population was 
exposed to an average level of air toxics that has the potential for 
adverse respiratory noncancer health effects. This potential was 
indicated by a hazard index (HI) greater than 1.\41\ Mobile sources 
were responsible for 74 percent of the potential noncancer hazard from 
outdoor air toxics in 1999. About 91 percent of this potential 
noncancer hazard was from acrolein; \42\ however, the confidence in the 
RfC for acrolein is medium \43\ and confidence in NATA estimates of 
population noncancer hazard from ambient exposure to this pollutant is 
low.\44\ It is important to note that NATA estimates of noncancer 
hazard do not include the adverse health effects associated with 
particulate matter identified in EPA's Particulate Matter Air Quality 
Criteria Document. Gasoline and diesel engine emissions contribute 
significantly to particulate matter concentration.
---------------------------------------------------------------------------

    \41\ To express chronic noncancer hazards, we used the RfC as 
part of a calculation called the hazard quotient (HQ), which is the 
ratio between the concentration to which a person is exposed and the 
RfC. (RfC is defined by EPA as, ``an estimate of a continuous 
inhalation exposure to the human population, including sensitive 
subgroups, with uncertainty spanning perhaps an order of magnitude, 
which is likely to be without appreciable risks of deleterious 
noncancer effects during a lifetime.'') A value of the HQ less than 
one indicates that the exposure is lower than the RfC and that no 
adverse health effects would be expected. Combined noncancer hazards 
were calculated using the hazard index (HI), defined as the sum of 
hazard quotients for individual air toxic compounds that affect the 
same target organ or system. As with the hazard quotient, a value of 
the HI at or below 1.0 will likely not result in adverse effects 
over a lifetime of exposure. However, a value of the HI greater than 
1.0 does not necessarily suggest a likelihood of adverse effects. 
Furthermore, the HI cannot be translated into a probability that 
adverse effects will occur and is not likely to be proportional to 
risk.
    \42\ U.S. EPA (2006) National-Scale Air Toxics Assessment for 
1999. This material is available electronically at http://www.epa.gov/ttn/atw/nata1999/risksum.html.
    \43\ U.S. EPA (2003) Integrated Risk Information System File of 
Acrolein. National Center for Environmental Assessment, Office of 
Research and Development, Washington, D.C. 2003. This material is 
available electronically at http://www.epa.gov/iris/subst/0364.htm.
    \44\ U.S. EPA (2006) National-Scale Air Toxics Assessment for 
1999. This material is available electronically at http://www.epa.gov/ttn/atw/nata1999/risksum.html.
---------------------------------------------------------------------------

    The NATA modeling framework has a number of limitations which 
prevent its use as the sole basis for setting regulatory standards. 
These limitations and uncertainties are discussed on the 1999 NATA 
website.\45\ Even so, this modeling framework is very useful in 
identifying air toxic pollutants and sources of greatest concern, 
setting regulatory priorities, and informing the decision making 
process.
---------------------------------------------------------------------------

    \45\ U.S. EPA (2006) National-Scale Air Toxics Assessment for 
1999. http://www.epa.gov/ttn/atw/nata1999.
---------------------------------------------------------------------------

    The following section provides a brief overview of air toxics which 
are associated with nonroad engines, including locomotive and marine 
diesel engines, and provides a discussion of the health risks 
associated with each air toxic.
(a) Diesel Exhaust (DE)
    Locomotive and marine diesel engines emit diesel exhaust (DE), a 
complex mixture comprised of carbon dioxide, oxygen, nitrogen, water 
vapor, carbon monoxide, nitrogen compounds, sulfur compounds and 
numerous low-molecular-weight hydrocarbons. A number of these gaseous 
hydrocarbon components are individually known to be toxic, including 
aldehydes, benzene and 1,3-butadiene. The diesel particulate matter 
(DPM) present in diesel exhaust consists of fine particles (< 2.5 
[mu]m), including a subgroup with a large number of ultrafine particles 
(< 0.1 [mu]m). These particles have a large surface area which makes 
them an excellent medium for adsorbing organics and their small size 
makes them highly respirable and able to reach the deep lung. Many of 
the organic compounds present on the particles and in the gases are 
individually known to have mutagenic and carcinogenic properties. 
Diesel exhaust varies significantly in chemical composition and 
particle sizes between different engine types (heavy-duty, light-duty), 
engine operating conditions (idle, accelerate, decelerate), and fuel 
formulations (high/low sulfur fuel). Also, there are emissions 
differences between on-road and nonroad engines because the nonroad 
engines are generally of older technology. This is especially true for 
locomotive and marine diesel engines.\46\
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    \46\ U.S. EPA (2002) Health Assessment Document for Diesel 
Engine Exhaust. EPA/600/8-90/057F Office of Research and 
Development, Washington DC. Pp1-1 1-2. This document is available 
electronically at http://cfpub.epa.gov/ncea/cfm/recordisplay.cfm?deid=29060. This document can be found in Docket 
EPA-HQ-OAR-2003-0190.
---------------------------------------------------------------------------

    After being emitted in the engine exhaust, diesel exhaust undergoes 
dilution as well as chemical and physical changes in the atmosphere. 
The lifetime for some of the compounds present in diesel exhaust ranges 
from hours to days.
(i) Diesel Exhaust: Potential Cancer Effects
    In EPA's 2002 Diesel Health Assessment Document (Diesel HAD),\47\ 
exposure to diesel exhaust was classified as likely to be carcinogenic 
to humans by inhalation from environmental exposures, in accordance 
with the revised draft 1996/1999 EPA cancer guidelines. A number of 
other agencies (National Institute for Occupational Safety and Health, 
the International Agency for Research on Cancer, the World Health 
Organization, California EPA, and the U.S. Department of Health and 
Human Services) have made similar classifications. However, EPA also 
concluded in the Diesel HAD that it is not possible currently to 
calculate a cancer unit risk for diesel exhaust due to a variety of 
factors that limit the current studies, such as limited quantitative 
exposure histories in occupational groups investigated for lung cancer.
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    \47\ U.S. EPA (2002) Health Assessment Document for Diesel 
Engine Exhaust. EPA/600/8-90/057F Office of Research and 
Development, Washington, DC. This document is available 
electronically at http://cfpub.epa.gov/ncea/cfm/recordisplay.cfm?deid=29060. This document can be found in Docket 
EPA-HQ-OAR-2003-0190.
---------------------------------------------------------------------------

    For the Diesel HAD, EPA reviewed 22 epidemiologic studies on the 
subject of the carcinogenicity of workers exposed

[[Page 37110]]

to diesel exhaust in various occupations, finding increased lung cancer 
risk, although not always statistically significant, in 8 out of 10 
cohort studies and 10 out of 12 case-control studies within several 
industries, including railroad workers. Relative risk for lung cancer 
associated with exposure ranged from 1.2 to 1.5, although a few studies 
show relative risks as high as 2.6. Additionally, the Diesel HAD also 
relied on two independent meta-analyses, which examined 23 and 30 
occupational studies respectively, which found statistically 
significant increases in smoking-adjusted relative lung cancer risk 
associated with exposure to diesel exhaust, of 1.33 to 1.47. These 
meta-analyses demonstrate the effect of pooling many studies and in 
this case show the positive relationship between diesel exhaust 
exposure and lung cancer across a variety of diesel exhaust-exposed 
occupations.48, 49
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    \48\ Bhatia, R., Lopipero, P., Smith, A. (1998) Diesel exposure 
and lung cancer. Epidemiology 9(1):84-91.
    \49\ Lipsett, M; Campleman, S; (1999) Occupational exposure to 
diesel exhaust and lung cancer: a meta-analysis. Am J Public Health 
80(7): 1009-1017.
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    In the absence of a cancer unit risk, the Diesel HAD sought to 
provide additional insight into the significance of the diesel exhaust-
cancer hazard by estimating possible ranges of risk that might be 
present in the population. An exploratory analysis was used to 
characterize a possible risk range by comparing a typical environmental 
exposure level for highway diesel sources to a selected range of 
occupational exposure levels. The occupationally observed risks were 
then proportionally scaled according to the exposure ratios to obtain 
an estimate of the possible environmental risk. A number of 
calculations are needed to accomplish this, and these can be seen in 
the EPA Diesel HAD. The outcome was that environmental risks from 
diesel exhaust exposure could range from a low of 10-4 to 
10-5 to as high as 10-3, reflecting the range of 
occupational exposures that could be associated with the relative and 
absolute risk levels observed in the occupational studies. Because of 
uncertainties, the analysis acknowledged that the risks could be lower 
than 10-4 or 10-5, and a zero risk from diesel 
exhaust exposure was not ruled out.
    Retrospective health studies of railroad workers have played an 
important part in determining that exposure to diesel exhaust is likely 
to be carcinogenic to humans by inhalation from environmental 
exposures. Key evidence of the diesel exhaust exposure linkage to lung 
cancer comes from two retrospective case-control studies of railroad 
workers which are discussed at length in the Diesel HAD and summarized 
in Chapter 2 of the RIA.
(ii) Diesel Exhaust: Other Health Effects
    Noncancer health effects of acute and chronic exposure to diesel 
exhaust emissions are also of concern to the EPA. EPA derived a diesel 
exhaust reference concentration (RfC) from consideration of four well-
conducted chronic rat inhalation studies showing adverse pulmonary 
effects.50, 51, 52, 53 The RfC is 5 [mu]g/
m3 for diesel exhaust as measured by diesel PM. This RfC 
does not consider allergenic effects such as those associated with 
asthma or immunologic effects. There is growing evidence, discussed in 
the Diesel HAD, that exposure to diesel exhaust can exacerbate these 
effects, but the exposure-response data are presently lacking to derive 
an RfC. The EPA Diesel HAD states, ``With DPM [diesel particulate 
matter] being a ubiquitous component of ambient PM, there is an 
uncertainty about the adequacy of the existing DE [diesel exhaust] 
noncancer database to identify all of the pertinent DE-caused noncancer 
health hazards.'' (p. 9-19). The Diesel HAD concludes ``that acute 
exposure to DE [diesel exhaust] has been associated with irritation of 
the eye, nose, and throat, respiratory symptoms (cough and phlegm), and 
neurophysiological symptoms such as headache, lightheadedness, nausea, 
vomiting, and numbness or tingling of the extremities.'' \54\
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    \50\ Ishinishi, N; Kuwabara, N; Takaki, Y; et al. (1988) Long-
term inhalation experiments on diesel exhaust. In: Diesel exhaust 
and health risks. Results of the HERP studies. Ibaraki, Japan: 
Research Committee for HERP Studies; pp. 11-84.
    \51\ Heinrich, U; Fuhst, R; Rittinghausen, S; et al. (1995) 
Chronic inhalation exposure of Wistar rats and two different strains 
of mice to diesel engine exhaust, carbon black, and titanium 
dioxide. Inhal. Toxicol. 7:553-556.
    \52\ Mauderly, JL; Jones, RK; Griffith, WC; et al. (1987) Diesel 
exhaust is a pulmonary carcinogen in rats exposed chronically by 
inhalation. Fundam. Appl. Toxicol. 9:208-221.
    \53\ Nikula, KJ; Snipes, MB; Barr, EB; et al. (1995) Comparative 
pulmonary toxicities and carcinogenicities of chronically inhaled 
diesel exhaust and carbon black in F344 rats. Fundam. Appl. Toxicol. 
25:80-94.
    \54\ ``Health Assessment Document for Diesel Engine Exhaust,'' 
U.S. Environmental Protection Agency, 600/8-90/057F, http://www.epa.gov/ttn/atw/dieselfinal.pdf, May 2002, p. 9-9.
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    Exposure to diesel exhaust has also been shown to cause serious 
noncancer effects in occupational exposure studies. One study of 
railroad workers and electricians, cited in the Diesel HAD,\55\ found 
that exposure to diesel exhaust resulted in neurobehavioral impairments 
in one or more areas including reaction time, balance, blink reflex 
latency, verbal recall, and color vision confusion indices. Pulmonary 
function tests also showed that 10 of the 16 workers had airway 
obstruction and another group of 10 of 16 workers had chronic 
bronchitis, chest pain, tightness, and hyperactive airways. Finally, a 
variety of studies have been published subsequent to the completion of 
the Diesel HAD. One such study, published in 2006,\56\ found that 
railroad engineers and conductors with diesel exhaust exposure from 
operating trains had an increased incidence of chronic obstructive 
pulmonary disease (COPD) mortality. The odds of COPD mortality 
increased with years on the job so that those who had worked more than 
16 years as an engineer or conductor after 1959 had an increased risk 
of 1.61 (95% confidence interval, 1.12-2.30). EPA is assessing the 
significance of this study within the context of the broader 
literature.
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    \55\ Kilburn (2000) See HAD Chapter 5-7.
    \56\ Hart, JE; Laden F; Schenker, M.B.; and Garshick, E. Chronic 
Obstructive Pulmonary Disease Mortality in Diesel-Exposed Railroad 
Workers; Environmental Health Perspective July 2006: 1013-1016.
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(iii) Ambient PM2.5 Levels and Exposure to Diesel Exhaust PM
    The Diesel HAD also briefly summarizes health effects associated 
with ambient PM and discusses the EPA's annual PM2.5 NAAQS 
of 15 [mu]g/m\3\. There is a much more extensive body of human data 
showing a wide spectrum of adverse health effects associated with 
exposure to ambient PM, of which diesel exhaust is an important 
component. The PM2.5 NAAQS is designed to provide protection from the 
noncancer and premature mortality effects of PM2.5 as a whole.
(iv) Diesel Exhaust PM Exposures
    Exposure of people to diesel exhaust depends on their various 
activities, the time spent in those activities, the locations where 
these activities occur, and the levels of diesel exhaust pollutants in 
those locations. The major difference between ambient levels of diesel 
particulate and exposure levels for diesel particulate is that exposure 
accounts for a person moving from location to location, proximity to 
the emission source, and whether the exposure occurs in an enclosed 
environment.

Occupational Exposures

    Occupational exposures to diesel exhaust from mobile sources, 
including

[[Page 37111]]

locomotive engines and marine diesel engines, can be several orders of 
magnitude greater than typical exposures in the non-occupationally 
exposed population.
    Over the years, diesel particulate exposures have been measured for 
a number of occupational groups. A wide range of exposures have been 
reported, from 2 [mu]g/m3 to 1,280 [mu]g/m3, for 
a variety of occupations. Studies have shown that miners and railroad 
workers typically have higher diesel exposure levels than other 
occupational groups studied, including firefighters, truck dock 
workers, and truck drivers (both short and long haul).\57\ As discussed 
in the Diesel HAD, the National Institute of Occupational Safety and 
Health (NIOSH) has estimated a total of 1,400,000 workers are 
occupationally exposed to diesel exhaust from on-road and nonroad 
vehicles including locomotive and marine diesel engines.
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    \57\ Diesel HAD Page 2-110, 8-12; Woskie, SR; Smith, TJ; 
Hammond, SK: et al. (1988a) Estimation of the DE exposures of 
railroad workers: II. National and historical exposures. Am J Ind 
Med 12:381-394.
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Elevated Concentrations and Ambient Exposures in Mobile Source-Impacted 
Areas

    Regions immediately downwind of rail yards and marine ports may 
experience elevated ambient concentrations of directly-emitted 
PM2.5 from diesel engines. Due to the unique nature of rail 
yards and marine ports, emissions from a large number of diesel engines 
are concentrated in a small area. Furthermore, emissions occur at or 
near ground level, allowing emissions of diesel engines to reach nearby 
receptors without fully mixing with background air.
    A 2004 study conducted by the California Air Resources Board (CARB) 
examined the air quality impacts of railroad operations at the J.R. 
Davis Rail Yard, the largest service and maintenance rail facility in 
the western United States.\58\ The yard occupies 950 acres along a one-
quarter mile wide and four-mile long section of land in Roseville, CA. 
The study developed an emissions inventory for the facility for the 
year 2000 and modeled ambient concentrations of diesel PM using a well-
accepted dispersion model (ISCST3). The study estimated substantially 
elevated diesel PM concentrations in an area 5,000 meters from the 
facility, with higher concentrations closer to the rail yard. Using 
local meteorological data, annual average contributions from the rail 
yard to ambient diesel PM concentrations under prevailing wind 
conditions were 1.74, 1.18, 0.80, and 0.25 [mu]g/m3 at 
receptors located 200, 500, 1000, and 5000 meters from the yard, 
respectively. Several tens of thousands of people live within the area 
estimated to experience substantial increases in annual average ambient 
PM2.5 as a result of these rail yard emissions.
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    \58\ Hand, R.; Pingkuan, D.; Servin, A.; Hunsaker, L.; Suer, C. 
(2004) Roseville rail yard study. California Air Resources Board. 
[Online at http://www.arb.ca.gov/diesel/documents/rrstudy.htm] This 
document can be found in Docket EPA-HQ-OAR-2003-0190.
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    Another study from CARB evaluated air quality impacts of diesel 
engine emissions within the Ports of Long Beach and Los Angeles in 
California, one of the largest ports in the U.S.\59\ Like the earlier 
rail yard study, the port study employed the ISCST3 dispersion model. 
Using local meteorological data, annual average concentrations were 
substantially elevated over an area exceeding 200,000 acres. Because 
the ports are located near heavily-populated areas, the modeling 
indicated that over 700,000 people lived in areas with at least 0.3 
[mu]g/m\3\ of port-related diesel PM in ambient air, about 360,000 
people lived in areas with at least 0.6 [mu]g/m3 of diesel 
PM, and about 50,000 people lived in areas with at least 1.5 ug/
m3 of ambient diesel PM directly from the port. Most 
recently, CARB released several additional Railyard Health Risk 
Assessments which all show that diesel PM emissions result in 
significantly higher pollution risks in nearby communities.\60\ 
Together these studies highlight the substantial contribution these 
facilities make to elevated ambient concentrations in populated areas.
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    \59\ State of California Air Resources Board. Diesel Particulate 
Matter Exposure Assessment Study for the Ports of Los Angeles and 
Long Beach, April 2006. This document is available in Docket EPA-HQ-
OAR-2003-0190. This document is available electronically at: ftp://ftp.arb.ca.gov/carbis/msprog/offroad/marinevess/documents/portstudy0406.pdf.
    \60\ These studies are available in Docket EPA-HQ-OAR-2003-0190. 
Studies are also available at http://www.arb.ca.gov/railyard/hra/hra.htm.
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    As mentioned in section II.A of this preamble, EPA recently 
conducted an initial screening-level analysis of a representative 
selection of national marine port areas and rail yards to begin to 
better understand the populations that are exposed to DPM emissions 
from these facilities.61, 62 As part of this study, a 
computer geographic information system (GIS) was used to identify the 
locations and property boundaries of 47 marine ports and 37 rail yard 
facilities.\63\ Census information was used to estimate the size and 
demographic characteristics of the population living in the vicinity of 
the ports and rail yards. The results indicate that at least 13 million 
people, including a disproportionate number of low-income, African-
Americans, and Hispanics, live in the vicinity of these facilities and 
are being exposed to ambient DPM levels that are 2.0 [mu]g/
m3 and 0.2 [mu]g/m3 above levels found in areas 
further from these facilities. These populations will benefit from the 
controls being finalized in this action. This study is discussed in 
greater detail in chapter 2 of the RIA and detailed findings of this 
study are available in the public docket for this rulemaking.
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    \61\ ICF International. September 28, 2007. Estimation of diesel 
particulate matter concentration isopleths for marine harbor areas 
and rail yards. Memorandum to EPA under Work Assignment Number 0-3, 
Contract Number EP-C-06-094. This memo is available in Docket EPA-
HQ-OAR-2003-0190.
    \62\ ICF International. September 28, 2007. Estimation of diesel 
particulate matter population exposure near selected harbor areas 
and rail yards. Memorandum to EPA under Work Assignment Number 0-3, 
Contract Number EP-C-06-094. This memo is available in Docket EPA-
HQ-OAR-2003-0190.
    \63\ The Agency selected a representative sample of the top 150 
U.S. ports including coastal, inland, and Great Lake ports. In 
selecting a sample of rail yards the Agency identified a subset from 
the hundreds of rail yards operated by Class I Railroads.
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(b) Other Air Toxics--benzene, 1,3-butadiene, formaldehyde, 
acetaldehyde, acrolein, POM, naphthalene
    Locomotive and marine diesel engine exhaust emissions also 
contribute to ambient levels of other air toxics known or suspected as 
human or animal carcinogens, or that have noncancer health effects. 
These other air toxics include benzene, 1,3-butadiene, formaldehyde, 
acetaldehyde, acrolein, polycyclic organic matter (POM), and 
naphthalene. All of these compounds, except acetaldehyde, were 
identified as national or regional cancer risk or noncancer hazard 
drivers in the 1999 National-Scale Air Toxics Assessment (NATA) and 
have significant inventory contributions from mobile sources. That is, 
for a significant portion of the population, these compounds pose a 
significant portion of the total cancer and noncancer risk from 
breathing outdoor air toxics. The reductions in locomotive and marine 
diesel engine emissions finalized in this rulemaking will help reduce 
exposure to these harmful substances.
    Benzene: EPA has characterized benzene as a known human carcinogen 
(causing leukemia) by all routes of exposure, and concludes that 
exposure is associated with additional health effects, including 
genetic changes in both humans and animals and increased proliferation 
of bone marrow cells in

[[Page 37112]]

mice.64, 65, 66 EPA states in its IRIS database that data 
indicate a causal relationship between benzene exposure and acute 
lymphocytic leukemia and suggests a relationship between benzene 
exposure and chronic non-lymphocytic leukemia and chronic lymphocytic 
leukemia. The IARC has determined that benzene is a human carcinogen 
and the U.S. DHHS has characterized benzene as a known human 
carcinogen.67, 68
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    \64\ U.S. EPA. 2000. Integrated Risk Information System File for 
Benzene. This material is available electronically at http://www.epa.gov/iris/subst/0276.htm.
    \65\ International Agency for Research on Cancer (IARC). 1982. 
Monographs on the evaluation of carcinogenic risk of chemicals to 
humans, Volume 29, Some industrial chemicals and dyestuffs, World 
Health Organization, Lyon, France, p. 345-389.
    \66\ Irons, R.D.; Stillman, W.S.; Colagiovanni, D.B.; Henry, 
V.A. 1992. Synergistic action of the benzene metabolite hydroquinone 
on myelopoietic stimulating activity of granulocyte/macrophage 
colony-stimulating factor in vitro, Proc. Natl. Acad. Sci. 89:3691-
3695.
    \67\ International Agency for Research on Cancer (IARC). 1987. 
Monographs on the evaluation of carcinogenic risk of chemicals to 
humans, Volume 29, Supplement 7, Some industrial chemicals and 
dyestuffs, World Health Organization, Lyon, France.
    \68\ U.S. Department of Health and Human Services National 
Toxicology Program 11th Report on Carcinogens available at: http://ntp.niehs.nih.gov/go/16183.
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    A number of adverse noncancer health effects including blood 
disorders, such as preleukemia and aplastic anemia, have also been 
associated with long-term exposure to benzene.69, 70 The 
most sensitive noncancer effect observed in humans, based on current 
data, is the depression of the absolute lymphocyte count in 
blood.71, 72 In addition, recent work, including studies 
sponsored by the Health Effects Institute (HEI), provides evidence that 
biochemical responses are occurring at lower levels of benzene exposure 
than previously known.73, 74, 75, 76 EPA's IRIS program has 
not yet evaluated these new data.
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    \69\ Aksoy, M. (1989). Hematotoxicity and carcinogenicity of 
benzene. Environ. Health Perspect. 82: 193-197.
    \70\ Goldstein, B.D. (1988). Benzene toxicity. Occupational 
medicine. State of the Art Reviews. 3: 541-554.
    \71\ Rothman, N., G.L. Li, M. Dosemeci, W.E. Bechtold, G.E. 
Marti, Y.Z. Wang, M. Linet, L.Q. Xi, W. Lu, M.T. Smith, N. Titenko-
Holland, L.P. Zhang, W. Blot, S.N. Yin, and R.B. Hayes (1996) 
Hematotoxicity among Chinese workers heavily exposed to benzene. Am. 
J. Ind. Med. 29: 236-246.
    \72\ U.S. EPA (2002) Toxicological Review of Benzene (Noncancer 
Effects). Environmental Protection Agency, Integrated Risk 
Information System (IRIS), Research and Development, National Center 
for Environmental Assessment, Washington DC. This material is 
available electronically at http://www.epa.gov/iris/subst/0276.htm.
    \73\ Qu, O.; Shore, R.; Li, G.; Jin, X.; Chen, C.L.; Cohen, B.; 
Melikian, A.; Eastmond, D.; Rappaport, S.; Li, H.; Rupa, D.; 
Suramaya, R.; Songnian, W.; Huifant, Y.; Meng, M.; Winnik, M.; Kwok, 
E.; Li, Y.; Mu, R.; Xu, B.; Zhang, X.; Li, K. (2003) HEI Report 115, 
Validation & Evaluation of Biomarkers in Workers Exposed to Benzene 
in China.
    \74\ Qu, Q., R. Shore, G. Li, X. Jin, L.C. Chen, B. Cohen, et 
al. (2002) Hematological changes among Chinese workers with a broad 
range of benzene exposures. Am. J. Industr. Med. 42: 275-285.
    \75\ Lan, Qing, Zhang, L., Li, G., Vermeulen, R., et al. (2004) 
Hematotoxically in Workers Exposed to Low Levels of Benzene. Science 
306: 1774-1776.
    \76\ Turtletaub, K.W. and Mani, C. (2003) Benzene metabolism in 
rodents at doses relevant to human exposure from Urban Air. Research 
Reports Health Effect Inst. Report No.113.
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    1,3-Butadiene: EPA has characterized 1,3-butadiene as carcinogenic 
to humans by inhalation.77, 78 The IARC has determined that 
1, 3-butadiene is a human carcinogen and the U.S. DHHS has 
characterized 1,3-butadiene as a known human 
carcinogen.79, 80 There are numerous studies consistently 
demonstrating that 1,3-butadiene is metabolized into genotoxic 
metabolites by experimental animals and humans. The specific mechanisms 
of 1,3-butadiene-induced carcinogenesis are unknown; however, the 
scientific evidence strongly suggests that the carcinogenic effects are 
mediated by genotoxic metabolites. Animal data suggest that females may 
be more sensitive than males for cancer effects associated with 1,3-
butadiene exposure; while there are insufficient data in humans from 
which to draw conclusions about sensitive subpopulations.
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    \77\ U.S. EPA (2002) Health Assessment of 1,3-Butadiene. Office 
of Research and Development, National Center for Environmental 
Assessment, Washington Office, Washington, DC. Report No. EPA600-P-
98-001F. This document is available electronically at http://www.epa.gov/iris/supdocs/buta-sup.pdf.
    \78\ U.S. EPA (2002) Full IRIS Summary for 1,3-butadiene (CASRN 
106-99-0). Environmental Protection Agency, Integrated Risk 
Information System (IRIS), Research and Development, National Center 
for Environmental Assessment, Washington, DC http://www.epa.gov/iris/subst/0139.htm.
    \79\ International Agency for Research on Cancer (IARC) (1999) 
Monographs on the evaluation of carcinogenic risk of chemicals to 
humans, Volume 71, Re-evaluation of some organic chemicals, 
hydrazine and hydrogen peroxide and Volume 97 (in preparation), 
World Health Organization, Lyon, France.
    \80\ U.S. Department of Health and Human Services (2005) 
National Toxicology Program 11th Report on Carcinogens available at: 
ntp.niehs.nih.gov/index.cfm?objectid=32BA9724-F1F6-975E-7FCE50709CB4C932.
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    1,3-Butadiene also causes a variety of reproductive and 
developmental effects in mice; no human data on these effects are 
available. The most sensitive effect was ovarian atrophy observed in a 
lifetime bioassay of female mice.\81\
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    \81\ Bevan, C.; Stadler, J.C.; Elliot, G.S.; et al. (1996) 
Subchronic toxicity of 4-vinylcyclohexene in rats and mice by 
inhalation. Fundam. Appl. Toxicol. 32:1-10.
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    Formaldehyde: Since 1987, EPA has classified formaldehyde as a 
probable human carcinogen based on evidence in humans and in rats, 
mice, hamsters, and monkeys.\82\ EPA is currently reviewing recently 
published epidemiological data. For instance, research conducted by the 
National Cancer Institute (NCI) found an increased risk of 
nasopharyngeal cancer and lymphohematopoietic malignancies such as 
leukemia among workers exposed to formaldehyde.83, 84 NCI is 
currently updating these studies. A recent National Institute of 
Occupational Safety and Health (NIOSH) study of garment workers also 
found increased risk of death due to leukemia among workers exposed to 
formaldehyde.\85\ Extended follow-up of a cohort of British chemical 
workers did not find evidence of an increase in nasopharyngeal or 
lymphohematopoietic cancers, but a continuing statistically significant 
excess in lung cancers was reported.\86\ Recently, the IARC re-
classified formaldehyde as a human carcinogen (Group 1).\87\
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    \82\ U.S. EPA (1987) Assessment of Health Risks to Garment 
Workers and Certain Home Residents from Exposure to Formaldehyde, 
Office of Pesticides and Toxic Substances, April 1987.
    \83\ Hauptmann, M.; Lubin, J.H.; Stewart, P.A.; Hayes, R.B.; 
Blair, A. 2003. Mortality from lymphohematopoetic malignancies among 
workers in formaldehyde industries. Journal of the National Cancer 
Institute 95: 1615-1623.
    \84\ Hauptmann, M.; Lubin, J.H.; Stewart, P.A.; Hayes, R.B.; 
Blair, A. 2004. Mortality from solid cancers among workers in 
formaldehyde industries. American Journal of Epidemiology 159: 1117-
1130.
    \85\ Pinkerton, L.E. 2004. Mortality among a cohort of garment 
workers exposed to formaldehyde: an update. Occup. Environ. Med. 61: 
193-200.
    \86\ Coggon, D, EC Harris, J Poole, KT Palmer. 2003. Extended 
follow-up of a cohort of British chemical workers exposed to 
formaldehyde. J National Cancer Inst. 95:1608-1615.
    \87\ International Agency for Research on Cancer (IARC). 2006. 
Formaldehyde, 2-Butoxyethanol and 1-tert-Butoxypropan-2-ol. Volume 
88. (in preparation), World Health Organization, Lyon, France.
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    Formaldehyde exposure also causes a range of noncancer health 
effects, including irritation of the eyes (burning and watering of the 
eyes), nose and throat. Decreased pulmonary function has been observed 
in humans. Effects from repeated exposure in humans include respiratory 
tract irritation, chronic bronchitis and nasal epithelial lesions.\88\
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    \88\ U.S. Department of Health and Human Services Agency for 
Toxic Substances and Disease Registry. 1999. Toxicological Profile 
for formaldehyde. Available at http://www.atsdr.cdc.gov/toxprofiles/tp111.html.
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    Acetaldehyde: EPA has characterized acetaldehyde as a probable 
human carcinogen, based on nasal tumors in rats.\89\ Acetaldehyde is 
reasonably

[[Page 37113]]

anticipated to be a human carcinogen by the U.S. Department of Health 
and Human Services (DHHS) in the 11th Report on Carcinogens and is 
classified as possibly carcinogenic to humans (Group 2B) by the 
International Agency for Research on Carcinogens 
(IARC).90, 91 EPA is currently conducting a reassessment of 
cancer and noncancer risk from inhalation exposure to acetaldehyde.
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    \89\ U.S. EPA. 1991. Integrated Risk Information System File of 
Acetaldehyde. Research and Development, National Center for 
Environmental Assessment, Washington, DC. This material is available 
electronically at http://www.epa.gov/iris/subst/0290.htm.
    \90\ U.S. Department of Health and Human Services National 
Toxicology Program 11th Report on Carcinogens available at: 
ntp.niehs.nih.gov/index.cfm?objectid=32BA9724-F1F6-975E-7FCE50709CB4C932.
    \91\ International Agency for Research on Cancer (IARC). 1999. 
Re-evaluation of some organic chemicals, hydrazine, and hydrogen 
peroxide. IARC Monographs on the Evaluation of Carcinogenic Risk of 
Chemical to Humans, Vol 71. Lyon, France.
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    The primary noncancer effects of exposure to acetaldehyde vapors 
include irritation of the eyes, skin, and respiratory tract.\92\ In 
short-term (4 week) rat studies, compound-related histopathological 
changes were observed only in the respiratory system at various 
concentration levels of exposure.93, 94 Data from these 
studies were used by EPA to develop an inhalation reference 
concentration. Some asthmatics have been shown to be a sensitive 
subpopulation to decrements in functional expiratory volume (FEV1 test) 
and bronchoconstriction upon acetaldehyde inhalation.\95\
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    \92\ U.S. EPA. 1991. Integrated Risk Information System File of 
Acetaldehyde. This material is available electronically at http://www.epa.gov/iris/subst/0290.htm.
    \93\ Appleman, L.M., R.A. Woutersen, V.J. Feron, R.N. Hooftman, 
and W.R.F. Notten. 1986. Effects of the variable versus fixed 
exposure levels on the toxicity of acetaldehyde in rats. J. Appl. 
Toxicol. 6: 331-336.
    \94\ Appleman, L.M., R.A. Woutersen, and V.J. Feron. 1982. 
Inhalation toxicity of acetaldehyde in rats. I. Acute and subacute 
studies. Toxicology. 23: 293-297.
    \95\ Myou, S.; Fujimura, M.; Nishi K.; Ohka, T.; and Matsuda, T. 
1993. Aerosolized acetaldehyde induces histamine-mediated 
bronchoconstriction in asthmatics. Am. Rev. Respir. Dis. 148(4 Pt 
1): 940-3.
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    Acrolein: Acrolein is extremely acrid and irritating to humans when 
inhaled, with acute exposure resulting in upper respiratory tract 
irritation, mucus hypersecretion and congestion. Levels considerably 
lower than 1 ppm (2.3 mg/m3) elicit subjective complaints of 
eye and nasal irritation and a decrease in the respiratory 
rate.96, 97 Lesions to the lungs and upper respiratory tract 
of rats, rabbits, and hamsters have been observed after subchronic 
exposure to acrolein. Based on animal data, individuals with 
compromised respiratory function (e.g., emphysema, asthma) are expected 
to be at increased risk of developing adverse responses to strong 
respiratory irritants such as acrolein. This was demonstrated in mice 
with allergic airway-disease by comparison to non-diseased mice in a 
study of the acute respiratory irritant effects of acrolein.\98\ EPA is 
currently in the process of conducting an assessment of acute exposure 
effects for acrolein. The intense irritancy of this carbonyl has been 
demonstrated during controlled tests in human subjects who suffer 
intolerable eye and nasal mucosal sensory reactions within minutes of 
exposure.\99\
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    \96\ Weber-Tschopp, A; Fischer, T; Gierer, R; et al. (1977) 
Experimentelle reizwirkungen von Acrolein auf den Menschen. Int Arch 
Occup Environ Hlth. 40(2):117-130. In German.
    \97\ Sim, VM; Pattle, RE. (1957) Effect of possible smog 
irritants on human subjects. J Am Med Assoc. 165(15):1908-1913.
    \98\ Morris JB, Symanowicz PT, Olsen JE, et al. 2003. Immediate 
sensory nerve-mediated respiratory responses to irritants in healthy 
and allergic airway-diseased mice. J Appl Physiol. 94(4):1563-1571.
    \99\ Sim VM, Pattle RE. Effect of possible smog irritants on 
human subjects. JAMA. 165: 1980-2010, 1957.
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    EPA determined in 2003 that the human carcinogenic potential of 
acrolein could not be determined because the available data were 
inadequate. No information was available on the carcinogenic effects of 
acrolein in humans and the animal data provided inadequate evidence of 
carcinogenicity.\100\ The IARC determined in 1995 that acrolein was not 
classifiable as to its carcinogenicity in humans.\101\
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    \100\ U.S. EPA. (2003). Integrated Risk Information System File 
of Acrolein. Research and Development, National Center for 
Environmental Assessment, Washington, DC. This material is available 
at http://www.epa.gov/iris/subst/0364.htm.
    \101\ International Agency for Research on Cancer (IARC). 1995. 
Monographs on the evaluation of carcinogenic risk of chemicals to 
humans, Volume 63, Dry cleaning, some chlorinated solvents and other 
industrial chemicals, World Health Organization, Lyon, France.
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    Polycyclic Organic Matter (POM): POM is generally defined as a 
large class of organic compounds which have multiple benzene rings and 
a boiling point greater than 100 degrees Celsius. Many of the compounds 
included in the class of compounds known as POM are classified by EPA 
as probable human carcinogens based on animal data. One of these 
compounds, naphthalene, is discussed separately below. Polycyclic 
aromatic hydrocarbons (PAHs) are a subset of POM that contain only 
hydrogen and carbon atoms. A number of PAHs are known or suspected 
carcinogens. Recent studies have found that maternal exposures to PAHs 
(a subclass of POM) in a population of pregnant women were associated 
with several adverse birth outcomes, including low birth weight and 
reduced length at birth, as well as impaired cognitive development at 
age three.102, 103 EPA has not yet evaluated these recent 
studies.
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    \102\ Perera, F.P.; Rauh, V.; Tsai, W-Y.; et al. (2002) Effect 
of transplacental exposure to environmental pollutants on birth 
outcomes in a multiethnic population. Environ Health Perspect. 111: 
201-205.
    \103\ Perera, F.P.; Rauh, V.; Whyatt, R.M.; Tsai, W.Y.; Tang, 
D.; Diaz, D.; Hoepner, L.; Barr, D.; Tu, Y.H.; Camann, D.; Kinney, 
P. (2006) Effect of prenatal exposure to airborne polycyclic 
aromatic hydrocarbons on neurodevelopment in the first 3 years of 
life among inner-city children. Environ Health Perspect. 114: 1287-
1292.
---------------------------------------------------------------------------

    Naphthalene: Naphthalene is found in small quantities in gasoline 
and diesel fuels but is primarily a product of combustion. EPA recently 
released an external review draft of a reassessment of the inhalation 
carcinogenicity of naphthalene.\104\ The draft reassessment recently 
completed external peer review.\105\ Based on external peer review 
comments received to date, additional analyses are being undertaken. 
This external review draft does not represent official agency opinion 
and was released solely for the purposes of external peer review and 
public comment. Once EPA evaluates public and peer reviewer comments, 
the document will be revised. The National Toxicology Program listed 
naphthalene as ``reasonably anticipated to be a human carcinogen'' in 
2004 on the basis of bioassays reporting clear evidence of 
carcinogenicity in rats and some evidence of carcinogenicity in 
mice.\106\ California EPA has released a new risk assessment for 
naphthalene, and the IARC has reevaluated naphthalene and re-classified 
it as Group 2B: Possibly carcinogenic to humans.\107\ Naphthalene also 
causes a number of chronic non-cancer effects in animals, including

[[Page 37114]]

abnormal cell changes and growth in respiratory and nasal tissues.\108\
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    \104\ U.S. EPA (2004) Toxicological Review of Naphthalene 
(Reassessment of the Inhalation Cancer Risk), Environmental 
Protection Agency, Integrated Risk Information System, Research and 
Development, National Center for Environmental Assessment, 
Washington, DC. This material is available electronically at http://www.epa.gov/iris/subst/0436.htm.
    \105\ Oak Ridge Institute for Science and Education (2004) 
External Peer Review for the IRIS Reassessment of the Inhalation 
Carcinogenicity of Naphthalene. August 2004. http://cfpub.epa.gov/ncea/cfm/recordisplay.cfm?deid=84403.
    \106\ National Toxicology Program (NTP). (2004). 11th Report on 
Carcinogens. Public Health Service, U.S. Department of Health and 
Human Services, Research Triangle Park, NC. Available from: http://ntp-server.niehs.nih.gov.
    \107\ International Agency for Research on Cancer (IARC) (2002) 
Monographs on the Evaluation of the Carcinogenic Risk of Chemicals 
for Humans. Vol. 82. Lyon, France.
    \108\ U.S. EPA (1998) Toxicological Review of Naphthalene, 
Environmental Protection Agency, Integrated Risk Information System, 
Research and Development, National Center for Environmental 
Assessment, Washington, DC. This material is available 
electronically at http://www.epa.gov/iris/subst/0436.htm.
---------------------------------------------------------------------------

C. Environmental Impacts

    There are a number of public welfare effects associated with the 
presence of ozone, NOX and PM2.5 in the ambient 
air. In this section we discuss visibility, the impact of deposition on 
ecosystems and materials, and the impact of ozone on plants, including 
trees, agronomic crops and urban ornamentals.
(1) Visibility
    Visibility can be defined as the degree to which the atmosphere is 
transparent to visible light. Airborne particles degrade visibility by 
scattering and absorbing light. Visibility is important because it has 
direct significance to people's enjoyment of daily activities in all 
parts of the country. Individuals value good visibility for the well-
being it provides them directly, where they live and work and in places 
where they enjoy recreational opportunities. Visibility is also highly 
valued in significant natural areas such as national parks and 
wilderness areas and special emphasis is given to protecting visibility 
in these areas. For more information on visibility, see the final 2004 
PM AQCD as well as the 2005 PM Staff Paper.109, 110
---------------------------------------------------------------------------

    \109\ U.S. EPA (2004) Air Quality Criteria for Particulate 
Matter (Oct 2004), Volume I Document No. EPA600/P-99/002aF and 
Volume II Document No. EPA600/P-99/002bF. This document is available 
in Docket EPA-HQ-OAR-2003-0190.
    \110\ U.S. EPA (2005) Review of the National Ambient Air Quality 
Standard for Particulate Matter: Policy Assessment of Scientific and 
Technical Information, OAQPS Staff Paper. EPA-452/R-05-005. This 
document is available in Docket EPA-HQ-OAR-2003-0190.
---------------------------------------------------------------------------

    EPA is pursuing a two-part strategy to address visibility. First, 
to address the welfare effects of PM on visibility, EPA has set 
secondary PM2.5 standards which act in conjunction with the 
establishment of a regional haze program. In setting this secondary 
standard, EPA has concluded that PM2.5 causes adverse effects on 
visibility in various locations, depending on PM concentrations and 
factors such as chemical composition and average relative humidity. 
Second, section 169 of the Clean Air Act provides additional authority 
to address existing visibility impairment and prevent future visibility 
impairment in the 156 national parks, forests and wilderness areas 
categorized as mandatory class I federal areas (62 FR 38680-81, July 
18, 1997).\111\ In July 1999, the regional haze rule (64 FR 35714) was 
put in place to protect the visibility in mandatory class I federal 
areas. Visibility can be said to be impaired in both PM2.5 
nonattainment areas and mandatory class I federal areas.
---------------------------------------------------------------------------

    \111\ These areas are defined in section 162 of the Act as those 
national parks exceeding 6,000 acres, wilderness areas and memorial 
parks exceeding 5,000 acres, and all international parks which were 
in existence on August 7, 1977.
---------------------------------------------------------------------------

    Locomotives and marine engines contribute to visibility concerns in 
these areas through their primary PM2.5 emissions and their 
NOX emissions which contribute to the formation of secondary 
PM2.5.
Current Visibility Impairment
    As of October 10, 2007, almost 90 million people live in 
nonattainment areas for the 1997 PM2.5 NAAQS. These populations, as 
well as large numbers of individuals who travel to these areas, are 
likely to experience visibility impairment. In addition, while 
visibility trends have improved in mandatory class I federal areas the 
most recent data show that these areas continue to suffer from 
visibility impairment.\112\ In summary, visibility impairment is 
experienced throughout the U.S., in multi-state regions, urban areas, 
and remote mandatory class I federal areas.113, 114
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    \112\ U.S. EPA (2002). Latest Findings on National Air Quality--
2002 Status and Trends. EPA 454/K-03-001.
    \113\ U.S. EPA. Air Quality Designations and Classifications for 
the Fine Particles (PM2.5) National Ambient Air Quality Standards, 
December 17, 2004. (70 FR 943, Jan 5, 2005) This document is also 
available on the Web at: http://www.epa.gov/pmdesignations/.
    \114\ U.S. EPA. Regional Haze Regulations, July 1, 1999. (64 FR 
35714, July 1, 1999).
---------------------------------------------------------------------------

Future Visibility Impairment
    Air quality modeling conducted for this final rule was used to 
project visibility conditions in 133 mandatory class I federal areas 
across the U.S. in 2020 and 2030. The results indicate that improvement 
in visibility will occur in all mandatory class I federal areas 
although all areas will continue to have annual average deciview levels 
above background in 2020 and 2030. Chapter 2 of the RIA contains more 
detail on the visibility portion of the air quality modeling.
(2) Plant and Ecosystem Effects of Ozone
    Elevated ozone levels contribute to environmental effects, with 
impacts to plants and ecosystems being of most concern. Ozone can 
produce both acute and chronic injury in sensitive species depending on 
the concentration level and the duration of the exposure. Ozone effects 
also tend to accumulate over the growing season of the plant, so that 
even low concentrations experienced for a longer duration have the 
potential to create chronic stress on vegetation. Ozone damage to 
plants includes visible injury to leaves and a reduction in food 
production through impaired photosynthesis, both of which can lead to 
reduced crop yields, forestry production, and use of sensitive 
ornamentals in landscaping. In addition, the reduced food production in 
plants and subsequent reduced root growth and storage below ground, can 
result in other, more subtle plant and ecosystems impacts. These 
include increased susceptibility of plants to insect attack, disease, 
harsh weather, interspecies competition and overall decreased plant 
vigor. The adverse effects of ozone on forest and other natural 
vegetation can potentially lead to species shifts and loss from the 
affected ecosystems, resulting in a loss or reduction in associated 
ecosystem goods and services. Lastly, visible ozone injury to leaves 
can result in a loss of aesthetic value in areas of special scenic 
significance like national parks and wilderness areas. The final 2006 
Criteria Document presents more detailed information on ozone effects 
on vegetation and ecosystems.
    As discussed above, locomotive and marine diesel engine emissions 
of NOX contribute to ozone and therefore the NOX 
standards will help reduce crop damage and stress on vegetation from 
ozone.
(3) Atmospheric Deposition
    Wet and dry deposition of ambient particulate matter delivers a 
complex mixture of metals (e.g., mercury, zinc, lead, nickel, aluminum, 
cadmium), organic compounds (e.g., POM, dioxins, furans) and inorganic 
compounds (e.g., nitrate, sulfate) to terrestrial and aquatic 
ecosystems. The chemical form of the compounds deposited is impacted by 
a variety of factors including ambient conditions (e.g., temperature, 
humidity, oxidant levels) and the sources of the material. Chemical and 
physical transformations of the particulate compounds occur in the 
atmosphere as well as the media onto which they deposit. These 
transformations in turn influence the fate, bioavailability and 
potential toxicity of these compounds. Atmospheric deposition has been 
identified as a key component of the environmental and human health

[[Page 37115]]

hazard posed by several pollutants including mercury, dioxin and 
PCBs.\115\
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    \115\ U.S. EPA (2000). Deposition of Air Pollutants to the Great 
Waters: Third Report to Congress. Office of Air Quality Planning and 
Standards. EPA-453/R-00-0005. This document is available in Docket 
EPA-HQ-OAR-2003-0190.
---------------------------------------------------------------------------

    Adverse impacts on water quality can occur when atmospheric 
contaminants deposit to the water surface or when material deposited on 
the land enters a water body through runoff. Potential impacts of 
atmospheric deposition to water bodies include those related to both 
nutrient and toxic inputs. Adverse effects to human health and welfare 
can occur from the addition of excess particulate nitrate nutrient 
enrichment, which contributes to toxic algae blooms and zones of 
depleted oxygen, which can lead to fish kills, frequently in coastal 
waters. Particles contaminated with heavy metals or other toxins may 
lead to the ingestion of contaminated fish, ingestion of contaminated 
water, damage to the marine ecology, and limited recreational uses. 
Several studies have been conducted in U.S. coastal waters and in the 
Great Lakes Region in which the role of ambient PM deposition and 
runoff is investigated.116, 117, 118, 119, 120
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    \116\ U.S. EPA (2004). National Coastal Condition Report II. 
Office of Research and Development/ Office of Water. EPA-620/R-03/
002. This document is available in Docket EPA-HQ-OAR-2003-0190.
    \117\ Gao, Y., E.D. Nelson, M.P. Field, et al. 2002. 
Characterization of atmospheric trace elements on PM2.5 particulate 
matter over the New York-New Jersey harbor estuary. Atmos. Environ. 
36: 1077-1086.
    \118\ Kim, G., N. Hussain, J.R. Scudlark, and T.M. Church. 2000. 
Factors influencing the atmospheric depositional fluxes of stable 
Pb, 210Pb, and 7Be into Chesapeake Bay. J. Atmos. Chem. 36: 65-79.
    \119\ Lu, R., R.P. Turco, K. Stolzenbach, et al. 2003. Dry 
deposition of airborne trace metals on the Los Angeles Basin and 
adjacent coastal waters. J. Geophys. Res. 108(D2, 4074): AAC 11-1 to 
11-24.
    \120\ Marvin, C.H., M.N. Charlton, E.J. Reiner, et al. 2002. 
Surficial sediment contamination in Lakes Erie and Ontario: A 
comparative analysis. J. Great Lakes Res. 28(3): 437-450.
---------------------------------------------------------------------------

    Adverse impacts on soil chemistry and plant life have been observed 
for areas heavily impacted by atmospheric deposition of nutrients, 
metals and acid species, resulting in species shifts, loss of 
biodiversity, forest decline and damage to forest productivity. 
Potential impacts also include adverse effects to human health through 
ingestion of contaminated vegetation or livestock (as in the case for 
dioxin deposition), reduction in crop yield, and limited use of land 
due to contamination.
    The NOX, VOC and PM standards finalized in this action 
will help reduce the environmental impacts of atmospheric deposition.
(4) Materials Damage and Soiling
    The deposition of airborne particles can reduce the aesthetic 
appeal of buildings and culturally important articles through soiling, 
and can contribute directly (or in conjunction with other pollutants) 
to structural damage by means of corrosion or erosion.\121\ Particles 
affect materials principally by promoting and accelerating the 
corrosion of metals, by degrading paints, and by deteriorating building 
materials such as concrete and limestone. Particles contribute to these 
effects because of their electrolytic, hygroscopic, and acidic 
properties, and their ability to adsorb corrosive gases (principally 
sulfur dioxide). The rate of metal corrosion depends on a number of 
factors, including the deposition rate and nature of the pollutant; the 
influence of the metal protective corrosion film; the amount of 
moisture present; variability in the electrochemical reactions; the 
presence and concentration of other surface electrolytes; and the 
orientation of the metal surface.
---------------------------------------------------------------------------

    \121\ U.S. EPA (2005). Review of the National Ambient Air 
Quality Standards for Particulate Matter: Policy Assessment of 
Scientific and Technical Information, OAQPS Staff Paper. This 
document is available in Docket EPA-HQ-OAR-2003-0190.
---------------------------------------------------------------------------

    The PM2.5 standards finalized in this action will help reduce the 
airborne particles that contribute to materials damage and soiling.

D. Other Criteria Pollutants Affected by This Final Rule

    Locomotive and marine diesel engines account for about 1 percent of 
the mobile source carbon monoxide (CO) inventory. Carbon monoxide (CO) 
is a colorless, odorless gas produced through the incomplete combustion 
of carbon-based fuels. The current primary NAAQS for CO are 35 ppm for 
the 1-hour average and 9 ppm for the 8-hour average. These values are 
not to be exceeded more than once per year. As of October 10, 2007, 
there are 854 thousand people living in 4 areas (made up of 5 counties) 
that are designated as nonattainment for CO.
    Carbon monoxide enters the bloodstream through the lungs, forming 
carboxyhemoglobin and reducing the delivery of oxygen to the body's 
organs and tissues. The health threat from CO is most serious for those 
who suffer from cardiovascular disease, particularly those with angina 
or peripheral vascular disease. Healthy individuals also are affected, 
but only at higher CO levels. Exposure to elevated CO levels is 
associated with impairment of visual perception, work capacity, manual 
dexterity, learning ability and performance of complex tasks. Carbon 
monoxide also contributes to ozone nonattainment since carbon monoxide 
reacts photochemically in the atmosphere to form ozone. Additional 
information on CO related health effects can be found in the Air 
Quality Criteria for Carbon Monoxide.\122\
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    \122\ U.S. EPA (2000). Air Quality Criteria for Carbon Monoxide, 
EPA/600/P-99/001F. This document is available in Docket EPA-HQ-OAR-
2003-0190.
---------------------------------------------------------------------------

E. Emissions from Locomotive and Marine Diesel Engines

(1) Overview
    The engine standards in this final rule will affect emissions of 
PM2.5, NOX, VOCs, CO, and air toxics for 
locomotive and marine diesel engines. Based on our analysis for this 
rulemaking, we estimate that in 2001 locomotive and marine diesel 
engines contributed almost 60,000 tons (18 percent) to the national 
mobile source diesel PM2.5 inventory and about 2.0 million 
tons (16 percent) to the mobile source NOX inventory. In 
2030, absent the standards finalized today, these engines will 
contribute about 50,000 tons (65 percent) to the mobile source diesel 
PM2.5 inventory and almost 1.6 million tons (35 percent) to 
the mobile source NOX inventory. Under today's final 
standards, by 2030, annual NOX emissions from these engines 
will be reduced by 800,000 tons, PM2.5 emissions by 27,000 
tons, and VOC emissions by 43,000 tons.
    Locomotive and marine diesel engine emissions are expected to 
continue to be a significant part of the mobile source emissions 
inventory, both nationally and in ozone and PM2.5 
nonattainment areas, in the coming years. Absent the standards 
finalized today, we expect overall emissions from these engines to 
decrease modestly over the next ten to fifteen years then remain 
relatively flat through 2025 due to existing regulations such as lower 
fuel sulfur requirements, the phase-in of locomotive and marine diesel 
Tier 1 and Tier 2 engine standards, and the current Tier 0 locomotive 
remanufacturing requirements. Starting after 2025, emission inventories 
from these engines once again begin increasing due to growth in the 
locomotive and marine sectors, see Table II-2.
    Each sub-section below discusses one of the affected pollutants, 
including expected emissions reductions associated with the final 
standards. Table II-2 summarizes the impacts of this rule for 2012, 
2015, 2020, 2030 and

[[Page 37116]]

2040. Further details on our inventory estimates are available in 
chapter 3 of the RIA.
BILLING CODE 1505-01-D
[GRAPHIC] [TIFF OMITTED] TR06MY08.001

BILLING CODE 1505-01-C
(2) PM2.5 Emission Reductions
    As described earlier, EPA believes that reductions of diesel 
PM2.5 emissions are an important part of the nation's 
progress toward clean air. PM2.5 reductions resulting from 
this final rule will reduce hazardous air pollutants or air toxics from 
these engines, reduce diesel exhaust exposure in communities near these 
emissions sources, and help areas address visibility and other 
environmental impacts associated with PM2.5 emissions.
    In 2001, annual emissions from locomotive and marine diesel engines 
totaled about 60,000 tons (18 percent) of the national mobile source 
diesel PM2.5 inventory and by 2030 these engines, absent 
this final rule, contribute about 50,000 tons (65 percent) of the 
mobile source diesel PM2.5 inventory. Both Table II-2 and 
Figure II-2 show that PM2.5 emissions are relatively flat 
through 2030 before beginning to rise again due to growth in these 
sectors.
    Table II-2 and Figure II-2 present PM2.5 emission 
reductions from locomotive and marine diesel engines with the final 
standards required in this rule. Emissions of PM2.5 drop in 
2012 and 2015 by 4,200 and 7,300 tons respectively. By 2020, annual 
PM2.5 reductions total 14,500 tons and by 2030 emissions are 
reduced further by 27,000 tons annually. Significant reductions from 
these engines continue through 2040 when approximately 37,000 tons of 
PM2.5 are annually eliminated as a result of this rule.
BILLING CODE 1505-01-D

[[Page 37117]]

[GRAPHIC] [TIFF OMITTED] TR06MY08.002

BILLING CODE 1505-01-C
(3) NOX Emissions Reductions
    In 2001 annual emissions from locomotive and marine diesel engines 
totaled about 2.0 million tons. Due to earlier engine standards for 
these engines, annual NOX emissions drop to approximately 
1.6 million tons in 2030. Both Table II-2 and Figure II-3 show 
NOX emissions remaining fairly flat through 2030 before 
beginning to rise again due to growth in these sectors.
    As shown in Table II-2 and Figure II-3, in the near term this rule 
reduces annual NOX emissions from the current national 
inventory baseline by 87,000 tons in 2012 and 161,000 tons in 2015. By 
2020, annual NOX emissions are cut by 371,000 tons and by 
2030--795,000 tons are eliminated. As with PM2.5 emissions, 
a yearly decline in NOX emissions continues through 2040 
when more than 1.1 million tons of NOX are annually reduced 
from locomotive and marine diesel engines.
    These numbers are comparable to emission reductions projected in 
2030 for our already established Clean Air Nonroad Diesel (CAND) 
program. Table II-3 provides the 2030 NOX emission 
reductions (and PM reductions) for this rule compared to the Heavy-Duty 
Highway rule and CAND rule. The 2030 NOX reductions of about 
738,000 tons for the CAND rule are slightly less than those from this 
rule.
BILLING CODE 1505-01-D

[[Page 37118]]

[GRAPHIC] [TIFF OMITTED] TR06MY08.003

BILLING CODE 1505-01-C

   Table II-3.--Projected 2030 Emissions Reductions From Recent Mobile
                              Source Rules
                              [Short tons]
------------------------------------------------------------------------
                     Rule                           NOX         PM2.5
------------------------------------------------------------------------
Locomotive and Marine.........................      795,000       27,000
Clean Air Nonroad Diesel......................      738,000      129,000
Heavy-Duty Highway............................    2,600,000      109,000
------------------------------------------------------------------------

(4) Volatile Organic Compounds Emissions Reductions
    Emissions of volatile organic compounds (VOCs) from locomotive and 
marine diesel engines are shown in Table II-2, along with the estimates 
of the reductions we expect from the HC standard in our rule in 2012, 
2015, 2020, 2030 and 2040. In 2012, 8,000 tons of VOCs are reduced and 
in 2015 15,000 tons are annually eliminated from the inventory. By 
2020, reductions will expand to 28,000 tons annually from these 
engines. Over the next ten years, annual reductions from controlled 
locomotive and marine diesel engines will produce annual VOC reductions 
of 43,000 tons in 2030 and 55,000 tons in 2040. Figure II-4 shows our 
estimate of VOC emissions between 2006 and 2040 both with and without 
this rule.
BILLING CODE 1505-01-D

[[Page 37119]]

[GRAPHIC] [TIFF OMITTED] TR06MY08.004

BILLING CODE 1505-01-C

III. Emission Standards

    This section details the emission standards, implementation dates, 
and other major requirements of the new program. Following brief 
summaries of the types of locomotives and marine engines covered, we 
describe the provisions for:
     Standards for remanufactured Tier 0, 1, and 2 locomotives,
     Tier 3 and Tier 4 standards for newly-built line-haul 
locomotives,
     Standards and other provisions for switch locomotives,
     Requirements to reduce idling locomotive emissions,
     Tier 3 and Tier 4 standards for newly-built marine diesel 
engines, and
     Standards for remanufactured marine diesel engines.
    An assessment of the technological feasibility of the standards 
follows the program description. To ensure that the benefits of the 
standards are realized throughout the useful life of these engines, and 
to incorporate lessons learned over the last few years from the 
existing test and compliance programs, we are also revising test 
procedures and related certification requirements, and adding 
comparable provisions for remanufactured marine diesel engines. These 
are described in section IV.

A. What Locomotives and Marine Engines Are Covered?

    The regulations being adopted affect locomotives currently 
regulated under part 92 and marine diesel engines and vessels currently 
regulated under parts 89, 1039, and 94, as described below.\123\ In 
addition, they apply to existing marine diesel engines above 600 kW 
(800 hp).
---------------------------------------------------------------------------

    \123\ All of the regulatory parts referenced in this preamble 
are parts in Title 40 of the Code of Federal Regulations, unless 
otherwise noted.
---------------------------------------------------------------------------

    With some exceptions, the locomotive regulations apply for all 
locomotives originally built in or after 1973 that operate extensively 
within the United States. See section IV.B for a discussion of the 
exemption for locomotives that are used only incidentally within the 
U.S. The exceptions include historic steam-powered locomotives and 
locomotives powered solely by an external source of electricity. In 
addition, the regulations generally do not apply to some existing 
locomotives owned by small businesses. Furthermore, engines used in

[[Page 37120]]

locomotive-type vehicles with less than 750 kW (1006 hp) total power 
(used primarily for railway maintenance), engines used only for hotel 
power (for passenger railcar equipment), and engines that are used in 
self-propelled passenger-carrying railcars, are excluded from these 
regulations. The engines used in these smaller locomotive-type vehicles 
are generally subject to the nonroad engine requirements of Parts 89 
and 1039.
    The marine diesel engine program applies to all propulsion and 
auxiliary engines with per cylinder displacement up to 30 liters.\124\ 
For purposes of these standards, these marine diesel engines are 
categorized both by per cylinder displacement and by maximum engine 
power.
---------------------------------------------------------------------------

    \124\ Marine diesel engines at or above 30 liters per cylinder, 
called Category 3 engines, are typically used for propulsion power 
on ocean-going ships. EPA is addressing Category 3 engines through 
separate actions, including a planned rulemaking for a new tier of 
federal standards (see Advance Notice of Proposed Rulemaking 
published December 7, 2007 at 72 FR 69522) and participation on the 
U.S. delegation to the International Maritime Organization for 
negotiations of new international standards (see http://www.epa.gov/otaq/oceanvessels.com for information on both of those actions), as 
well as EPA's Clean Ports USA Initiative (see http://www.epa.gov/cleandiesel/ports/index.htm).
---------------------------------------------------------------------------

    According to our existing definitions, a marine engine is defined 
as an engine that is installed or intended to be installed on a marine 
vessel. Engines that are on a vessel but that are not ``installed'' are 
generally considered to be land-based nonroad engines and are regulated 
under 40 CFR part 89 or part 1039. Consistent with our current marine 
diesel engine program, the standards adopted in this rule apply to 
engines manufactured for sale in the United States or imported into the 
United States beginning with the effective date of the standards. The 
standards also apply to any engine installed for the first time in a 
marine vessel after it has been used in another application subject to 
different emission standards. In other words, an existing nonroad 
diesel engine would become a new marine diesel engine, and subject to 
the marine diesel engine standards, when it is marinized for use in a 
marine application.
    Consistent with our current program, the marine engine standards we 
are finalizing will not apply to marine diesel engines installed on 
foreign vessels. While we received many comments requesting that we 
extend the new standards to engines on foreign vessels operating in the 
United States, we have determined that it is appropriate to postpone 
this decision to our rulemaking for Category 3 marine diesel engines. 
This will allow us to consider all engines on an ocean-going vessel as 
a system; this may facilitate the application of advanced emission 
control technologies because these engines often share a common fuel 
and/or exhaust system. This approach is also consistent with the United 
States Government's proposal to amend Annex VI of the International 
Convention for the Prevention of Pollution from Ships (MARPOL) 
currently under consideration at the International Maritime 
Organization (IMO), which calls for significant emission reductions 
from all engines on ocean-going vessels.\125\ EPA expects to finalize 
new Category 3 engine emission standards in late 2009.\126\
---------------------------------------------------------------------------

    \125\ See ``Revision of the MARPOL Annex VI, the NOX 
Technical Code and Related Guidelines; Development of Standards for 
NOX, PM, and SOX,'' submitted by the United 
States, BLG 11/15, Sub-Committee on Bulk Liquids and Gases, 11th 
Session, Agenda Item 5, February 9, 2007, Docket ID EPA-HQ-OAR-2007-
0121-0034. This document, along with the U.S. Statement concerning 
the same, is also available on our Web site: www.epa.gov/otaq/oceanvessels.com.
    \126\ See 72 FR 68518, December 5, 2007 for the new regulatory 
deadline for the final rule for an additional tier of standards for 
Category 3 rulemaking (final rule by December 17, 2009).
---------------------------------------------------------------------------

B. What Standards Are We Adopting?

(1) Locomotive Standards
(a) Line-Haul Locomotives
    We are setting new emission standards for newly-built and 
remanufactured line-haul locomotives. Our standards for newly-built 
line-haul locomotives will be implemented in two tiers: Tier 3, based 
on engine design improvements, and Tier 4, based on the application of 
the high-efficiency catalytic aftertreatment technologies now being 
developed and introduced in the highway diesel sector. Our standards 
for remanufactured line-haul locomotives apply to all Tier 0, 1, and 2 
locomotives and are based on engine design improvements. Table III-1 
summarizes the line-haul locomotive standards and implementation dates. 
The feasibility of the new standards and the technologies involved are 
discussed in detail in section III.C.

                                  Table III.--1 Line-Haul Locomotive Standards
                                                   [g/bhp-hr]
----------------------------------------------------------------------------------------------------------------
            Standards apply to                   Take effect in year            PM          NOX           HC
----------------------------------------------------------------------------------------------------------------
Remanufactured Tier 0 without separate      2008 as Available, 2010               0.22          8.0         1.00
 loop intake air cooling.                    Required.
Remanufactured Tier 0 with separate loop    2008 as Available, 2010               0.22          7.4         0.55
 intake air cooling.                         Required.
Remanufactured Tier 1.....................  2008 as Available, 2010               0.22          7.4         0.55
                                             Required.
Remanufactured Tier 2.....................  2008 as Available, 2013               0.10          5.5         0.30
                                             Required.
New Tier 3................................  2012.........................         0.10          5.5         0.30
New Tier 4................................  2015.........................         0.03          1.3         0.14
----------------------------------------------------------------------------------------------------------------

(i) Remanufactured Locomotives
    As proposed, we are setting new standards for the existing fleet of 
Tier 0, Tier 1, and Tier 2 locomotives, to apply at the time of 
remanufacture. These standards will also apply at the first 
remanufacture of Tier 2 locomotives added to the fleet between now and 
the start of Tier 3.
    Commenters have suggested that EPA adopt a naming convention for 
the standards tiers to avoid confusion over whether, for example, the 
terms ``Tier 0 standards'' and ``Tier 0 locomotives'' are referring to 
the ``old'' Tier 0 standards adopted in 1998 or the ``new'' Tier 0 
standards promulgated in this rule. A similar confusion may exist for 
old and new Tier 1 and Tier 2 standards, including for marine engines. 
The confusion is compounded by the fact that many of the locomotives 
previously subject to the old Tier 0 standards will now be subject to 
the new Tier 1 standards, and so a Tier 0 locomotive that is upgraded 
to meet them could fairly be called a Tier 1 locomotive, and likewise 
for Tier 2/Tier 3 standards.

[[Page 37121]]

    In response, we are adopting a simple approach whereby a Tier 0 
locomotive remanufactured under the more stringent Tier 0 standards we 
are adopting in this rule will be designated a Tier 0+ locomotive. A 
Tier 0 locomotive originally manufactured with a separate loop intake 
air cooling system that is remanufactured to the Tier 1+ standards will 
be designated as a Tier 1+ locomotive. We are adopting the same 
approach for Tier 1 and Tier 2 locomotives. That is, those 
remanufactured under the new standards would be called Tier 1+ and Tier 
2+ locomotives, respectively. We are also suggesting that in many 
contexts, including a number of places in this final rule, there is 
really no need to make distinctions of this sort, as no ambiguity 
arises. In these contexts it would be perfectly acceptable to drop the 
``+'' designation and simply refer to Tier 0, 1, and 2 locomotives and 
standards.
    As described in section IV.B(3), the new Tier 0+, 1+, and 2+ 
standards (and corresponding switch-cycle standards) may apply when a 
Tier 0, 1, or 2 locomotive is remanufactured anytime after this final 
rule takes effect, if a certified remanufacture system is available. 
However, this early certification is voluntary on the part of the 
manufacturers, and so if no emissions control system is certified early 
for a locomotive, these standards will instead apply beginning January 
1, 2010 for Tier 0 and 1, and no later than January 1, 2013 for Tier 2. 
We are also adopting the proposed reasonable cost provision, described 
in section IV.B(3), to protect against the unlikely event that the only 
certified systems made in the early program phase are exorbitantly 
priced.
    Although under this approach, certification of new remanufacture 
systems in the early phase of the program is voluntary, we believe that 
developers will strive to certify systems to the new standards as early 
as possible, even in 2008, to establish these products in the market, 
especially for the locomotive models anticipated to have significant 
numbers coming due for remanufacture in the next few years. This focus 
on higher volume products also maximizes the potential for large 
emission reductions very early in this program, greatly offsetting the 
effect of slow turnover to new Tier 3 and Tier 4 locomotives inherent 
in this sector.
    These remanufactured locomotive standards represent PM reductions 
of about 50 percent for Tier 0 and Tier 1 locomotives, and 
NOX reductions of about 20 percent for Tier 0+ locomotives 
with separate loop aftercooling. Significantly, these reductions will 
be substantial in the early years. This will be important to State 
Implementation Plans (SIPs) being developed to achieve attainment with 
the NAAQS, owing to the 2008 start date and relatively rapid 
remanufacture schedule (roughly every 7 years, though it varies by 
locomotive model and age).
    Some commenters argued for delaying the remanufactured locomotive 
standards and some argued for accelerating them. However, little 
technical justification was provided on either side and, after 
reconsideration, we believe the proposed standards and dates are 
appropriate. However, based on the comments, we have identified two 
current Tier 0 locomotive models that are not likely to meet the new 
standards under the full range of required test conditions, owing to 
limitations in the original locomotive design. These are the General 
Electric (GE) Dash-8 locomotives not equipped with separate loop 
aftercooling, and the Electro-Motive Diesel (EMD) SD70MAC locomotives 
that are equipped with separate loop aftercooling. As a result, we are 
allowing an exception in ambient temperature and altitude conditions 
under which these models, when remanufactured, must meet the new 
standards, as detailed in the Part 1033 regulations. These exceptions 
are limited to the extent that it is technically feasible to meet the 
relevant standards under most in-use conditions.
(ii) Newly-Built Locomotives
    We are adopting the proposed Tier 3 and Tier 4 line-haul locomotive 
standards but with an earlier start date for Tier 4 NOX, 
along with an additional compliance flexibility option. We requested 
comment in the NPRM on whether additional NOX emission 
reductions would be feasible and appropriate for Tier 3 locomotives in 
the 2012 timeframe, based on reoptimization of existing Tier 2 
NOX control technologies, or the addition of new engine-
based technologies such as exhaust gas recirculation (EGR). 
Manufacturers submitted detailed technical comments indicating that 
achieving such reductions would result in a large fuel economy penalty, 
a major engine redesign that would hamper Tier 4 technology 
development, or both. Our own review of the technical options leads us 
to the same conclusion and we are therefore finalizing the Tier 3 
emissions standards as proposed.
    We proposed to allow manufacturers to defer meeting the Tier 4 
NOX standard on newly-built locomotives until the 2017 model 
year, in order to work through any implementation and technological 
issues that might arise with advanced NOX control 
technology. Even so, we expected that manufacturers would undertake a 
single comprehensive redesign program for Tier 4, relying on the same 
basic locomotive platform and overall emission control space 
allocations for all Tier 4 product years. With this in mind, we 
proposed that locomotives certified under Tier 4 in 2015 and 2016 
without Tier 4 NOX control systems should have these systems 
added when they undergo their first remanufacture and be subject to the 
Tier 4 NOX standard thereafter.
    We received many comments from state and local air quality 
agencies, and from environmental organizations, arguing that earlier 
implementation of these advanced technologies is technologically 
feasible and emphatically stating that they were needed to address the 
nation's air quality problems. Further review of the test data 
available for the proposed rule and of new test data available since 
the proposal supports the argument for earlier implementation of Tier 4 
NOX controls. This information is discussed in detail in 
section III.C. Consequently, after considering this data and industry 
comments regarding feasibility, we have concluded that the progress 
made in the development of NOX aftertreatment technology has 
been such that this proposed allowance to defer NOX control 
is not consistent with our obligation under section 213(a)(3) of the 
Clean Air Act to set standards that ``achieve the greatest degree of 
emission reduction achievable through the application of technology 
which the Administrator determines will be available for the engines or 
vehicles, giving appropriate consideration to cost, lead time, noise, 
energy, and safety factors associated with the application of such 
technology.''
    We are therefore not adopting this allowance for deferred 
NOX control in 2015-2016 Tier 4 locomotives, effectively 
advancing the Tier 4 NOX standard for locomotives by two 
years. Besides meeting our obligation under the Clean Air Act, this 
change will simplify the certification and compliance program for all 
stakeholders by providing a single step for Tier 4 implementation. It 
will also provide substantial additional NOX reductions 
during years that are important to some states for NAAQS attainment, 
thus helping to address what was arguably the most critical comment we 
received from state and local air agencies and environmental 
organizations.
    We recognize that designing locomotives to meet the stringent Tier 
4

[[Page 37122]]

standards in 2015 with the high levels of performance and reliability 
demanded by the railroad industry will be challenging. As in other 
recent EPA mobile source programs, we proposed and are finalizing 
several compliance flexibility measures to aid the transition to these 
very clean technologies. Specifically, we are adopting two distinct 
compliance flexibility options for NOX that, while ensuring 
the earliest possible introduction of advanced emission control, will 
provide locomotive manufacturers some level of risk mitigation should 
the technology solutions prove to be less robust than we project. The 
first compliance flexibility is consistent with the flexibility program 
described in our NPRM providing an in-use compliance margin for 
NOX of 1.3 g/bhp-hr at full useful life (i.e., a 2.6 g/bhp-
hr emissions cap for in-use testing) for the first three Tier 4 model 
years. See section IV.A(8) for details on this program.
    The second flexibility provision is an alternative NOX 
compliance option that reduces the in-use NOX add-on to 0.6 
g/bhp-hr (i.e., a 1.9 g/bhp-hr emissions cap for any in-use testing) 
for model years 2015-2022. While significantly tightening the in-use 
emissions cap, the provision provides manufacturers with significantly 
more time to develop advanced NOX emission control systems 
using real in-use experiences from the locomotive fleet. Complementing 
this focus on improving technology through experience with the in-use 
fleet, this provision also allows manufacturers to substitute 
additional in-use tests on locomotives in lieu of the typical 
production line testing requirements of our locomotive regulations. 
This optional in-use testing would be in addition to the current in-use 
testing requirements of our locomotive certification program. See 
section IV.A(8) for details on this program.
    For reasons explained in the NPRM, Tier 4 line-haul locomotives 
will not be required to meet standards on the switch cycle, but we are 
requiring that newly-built Tier 3 locomotives and Tier 0 through Tier 2 
locomotives remanufactured under this program be subject to switch 
cycle standards, set at levels above the line-haul cycle standards. 
Section III.B(1)(b) provides details.
(b) Switch Locomotives
    The NPRM discussed at some length the importance and challenges of 
turning over today's large switch locomotive fleet to clean diesel. In 
response, we proposed standards and other provisions aimed at 
overcoming these challenges by encouraging the replacement of old high-
emitting units with newly-built or refurbished locomotives powered by 
very clean engines developed for the nonroad equipment market.
    We are adopting the new standards for switch locomotives that we 
proposed. As proposed, we are also continuing the existing Part 92 
policy of requiring Tier 0 switch locomotives to only meet standards on 
the switch cycle, while requiring Tier 1 and Tier 2 locomotives to meet 
the applicable standards on both the line-haul and switch cycles. This 
policy was adopted to ensure that manufacturers design emission 
controls to function broadly over all notches. The switch cycle 
standards shown in Table III-2 will require emission reductions 
equivalent to those required by our new standards that apply over the 
line-haul cycle. Note that these switch cycle standards also apply to 
the Tier 3 and earlier line-haul locomotives that are subject to 
compliance requirements on the switch cycle, as mentioned above and in 
Section III.B(1)(b).
    We are also adopting the proposed Tier 3 and 4 emission standards 
for newly-built switch locomotives, as shown in Table III-2. These 
standards are slightly more stringent than the Tier 3 and Tier 4 line-
haul standards. Given these more stringent switch cycle standards, it 
is not necessary to require to Tier 3 and 4 switchers to meet the line-
haul standards over the line-haul cycle.

                             Table III.--2 Emission Standards for Switch Locomotives
                                                   [g/bhp-hr]
----------------------------------------------------------------------------------------------------------------
   Switch locomotive standards apply to          Take effect in year            PM          NOX           HC
----------------------------------------------------------------------------------------------------------------
Remanufactured Tier 0.....................  2008 as available, 2010               0.26         11.8         2.10
                                             required.
Remanufactured Tier 1.....................  2008 as available, 2010               0.26         11.0         1.20
                                             required.
Remanufactured Tier 2.....................  2008 as available, 2013               0.13          8.1         0.60
                                             required.
Tier 3....................................  2011.........................         0.10          5.0         0.60
Tier 4....................................  2015.........................         0.03          1.3         0.14
----------------------------------------------------------------------------------------------------------------

    We are also finalizing the proposed streamlined certification 
option to help in the early implementation of the switch locomotive 
program. As described in section IV.B(9), during a 10-year program 
start-up period aimed at encouraging the turnover of the existing 
switcher fleet to the new cleaner engines, switch locomotives may use 
nonroad-certified engines (Table III-3) without need for an additional 
certification under the locomotive program. In the years before the 
nonroad Tier 4 start dates, we are making this provision available 
using pre-Tier 4 nonroad engines meeting today's standards of 0.15 g/
bhp-hr PM and 3.0/4.8 g/bhp-hr NOX+NMHC (below/above 750 
hp), because switchers built with these nonroad engines will still be 
much cleaner than those meeting the current switch locomotive Tier 2 
standards of 0.24 and 8.1 g/bhp-hr PM and NOX, respectively.
    Commenters suggested that we allow the use of even earlier-tier 
nonroad engines under this option, as these would still be 
substantially cleaner than the engines being replaced. However, we feel 
this would defeat the purpose of the program, and would not be 
justifiable on a feasibility basis, as current-tier nonroad engines 
will be available for incorporation into new switchers in any year of 
the program. We are adopting other compliance and ABT provisions 
relevant to switch locomotives as discussed in section IV.B(1), (2), 
(3), and (9).

[[Page 37123]]



                          Table III.--3 Relevant Large Nonroad Engine Tier 4 Standards
                                                   [g/bhp-hr]
----------------------------------------------------------------------------------------------------------------
             Engine power                Model year       PM                            NOX
----------------------------------------------------------------------------------------------------------------
At or Below 750 hp....................         2011         0.01  3.0 (NOX+NMHC) \a\
                                               2014         0.01  0.30
750-1200 hp...........................         2011        0.075  2.6
                                               2015         0.02  0.50
Over 1200 hp..........................         2011        0.075  0.50 genset; 2.6 non-genset
                                               2015         0.02  0.50
----------------------------------------------------------------------------------------------------------------
Note: (a) 0.30 NOX for 50% of sales in 2011-2013, or alternatively 1.5 g NOX for 100% of sales.

    Finally, we are revising the definition of a switch locomotive to 
make clear that it is the total switch locomotive power rating 
(including power from any auxiliary engines that can operate when a 
main engine is operating), and not the individual engine power rating, 
that must be below 2300 hp to qualify, and to drop the unnecessary 
requirement that it be designed or used primarily for short distance 
operation. This clears up the ambiguity in the Part 92 definition over 
multi-engine switchers.
(c) Reduction of Locomotive Idling Emissions
    We are adopting the proposed requirement that an Automatic Engine 
Stop/Start System (AESS) be used on all new Tier 3 and Tier 4 
locomotives and installed on all existing locomotives that are subject 
to the new remanufactured engine standards, at the point of first 
remanufacture under the new standards. Locomotives equipped with an 
AESS device under this program must shut down the locomotive engine 
after no more than 30 continuous minutes of idling, and be able to stop 
and start the engine at least six times per day without causing engine 
damage or other serious problems. Continued idling is allowed under the 
following conditions: to prevent engine damage such as damage caused by 
coolant freezing, to maintain air pressure for brakes or starter 
systems, to recharge the locomotive battery, to perform necessary 
maintenance, or to otherwise comply with applicable government 
regulations.
    Commenters also pointed out that it can sometimes be appropriate to 
allow a locomotive to idle to heat or cool the cab, and we are adopting 
regulations to allow it where necessary. Our implementation of this 
provision will rely on the strong incentive railroads have to limit 
idling to realize fuel cost savings after they have invested capital by 
installing an AESS system on a locomotive. We expect the railroads to 
appropriately develop policies instructing operators when it is 
acceptable to idle the locomotive to provide heating or cooling to the 
locomotive cab. We do not believe that those individuals responsible 
for developing railroad policies have any incentive to encourage or 
allow unnecessary idling. It is our intention to stay abreast of how 
well this combination of idle control systems and railroad policies 
does in fact accomplish the intended goal of reducing unnecessary 
idling. In general, we may consider it to be circumvention of this 
provision for an individual operator to use the AESS system in a manner 
other than that for which the system was designed and implemented per a 
railroad's policy directive.
    A further reduction in idling emissions can be achieved through the 
use of onboard auxiliary power units (APUs), either as standalone 
systems or in conjunction with an AESS. In contrast to AESS, which 
works to reduce unnecessary idling, the APU goes further by also 
reducing the amount of time when locomotive engine idling is necessary, 
especially in cold weather climates. APUs are small (less than 50 hp) 
diesel engines that stop and start themselves as needed to provide: 
heat to both the engine coolant and engine oil, power to charge the 
batteries, and power to run accessories such as those required for cab 
comfort. This allows the much larger locomotive engine to be shut down 
while the locomotive remains in a state of readiness, thereby reducing 
fuel consumption without the risk of the engine being damaged in cold 
weather. APUs are powered by nonroad engines compliant with EPA or 
State of California nonroad engine standards, and emit at much lower 
levels than an idling locomotive under current standards.
    Some commenters suggested we require both an AESS and an APU. 
However, the amount of idle reduction an APU can provide is dependent 
on a number of variables, such as the function of the locomotive (e.g., 
a switcher or a line-haul), where it operates (i.e., geographical 
area), and its operating characteristics (e.g., number of hours per day 
that it operates). As we stated in the NPRM, at this time we are not 
requiring that APUs be installed on every locomotive because it is not 
clear how much additional benefit they would provide outside of regions 
and times of the year where low temperatures or other factors that 
warrant the use of an APU exist and because they do involve some 
inherent design and operational complexities that could not be 
justified without such commensurate benefits. We are, however, adopting 
the proposed provision to encourage the additional use of APUs by 
providing in our test regulations, a process by which the manufacturer 
can appropriately account for the proven emission benefits of a more 
comprehensive idle reduction system.
    In response to comment, we are adopting a more flexible approach 
that will allow the idle reduction requirement for remanufactured Tier 
0+, 1+, and 2+ locomotives to be addressed in a separate certification 
apart from the certification of the full remanufacture system. Under 
this approach, remanufacturers will be allowed to obtain a certificate 
for a system that meets all of the requirements of part 1033 except for 
those of Sec.  1033.115(g). However, since the idle controls would 
still need to be installed in a certified configuration before the 
remanufactured locomotive is returned to service, some other entity 
would need to obtain a certificate to cover the requirements of Sec.  
1033.115(g). (This separate certification approach is somewhat 
analogous to allowing a motor vehicle engine manufacturer to hold the 
certificate for exhaust emission standards and a motor vehicle 
manufacturer to hold the certificate for evaporative emission standards 
for a single motor vehicle.) Note that manufacturers of freshly 
manufactured locomotives and their customers will also have the choice 
as to whether the AESS is installed as part of the certified engine 
configuration at the factory or by an aftermarket company pursuant to a 
separate certification before the freshly manufactured locomotive is 
put into

[[Page 37124]]

service. These provisions will allow more companies to remain in the 
AESS manufacturing market and thus provide more choices to the 
railroads.
    As described in Chapter 5 of the RIA, manufacturers of AESS, and 
demonstrations done in partnership between government and industry have 
shown that for most locomotives the fuel savings that result in the 
first few years after installation of an AESS system will offset the 
cost of adding the system to the locomotive. Given these short payback 
times for adding idle reduction technologies to a typical locomotive, 
normal market forces have led many railroads to retrofit a number of 
their locomotives with such controls. However, as is common with 
pollution, market prices generally do not account for the external 
social costs of the idling emissions, leading to an underinvestment in 
idling reduction systems. This rulemaking addresses those locomotives 
for which the railroads judge the fuel savings insufficient to justify 
the cost of the retrofit. We believe that applying AESS to these 
locomotives is appropriate when one also considers the significant 
emissions reductions that will result.
(2) Marine Diesel Engine Standards
(a) Newly-Built Marine Engines
    We are adopting Tier 3 and Tier 4 emission standards for newly-
built marine diesel engines with displacements under 30 liters per 
cylinder. Our analysis of the feasibility of these standards is 
summarized in section III.C and detailed in the RIA.
    We are retaining our existing per-cylinder displacement approach to 
establishing cutpoints for standards, but are revising and refining it 
in several places to ensure that the appropriate standards apply to 
every group of engines in this very diverse sector and to provide for 
an orderly phase-in of the program to spread out the redesign workload 
burden:
    We are moving the C1/C2 cutpoint from 5 liters/cylinder to 7 
liters/cylinder, because the latter is a more accurate cutpoint between 
today's high- and medium-speed diesels.
    We are revising the per-cylinder displacement cutpoints within 
Category 1 to better define the application of standards.
    An additional differentiation is made between high power density 
engines typically used in planing vessels and standard power density 
engines, with a cutpoint between them set at 35 kW/liter (47 hp/liter).
    We are removing the distinction for marine diesels under 37 kW (50 
hp) in Category 1, originally made because these were regulated under 
our nonroad engine program.
    Finally, we will further group engines by maximum engine power, 
especially in regards to setting appropriate long-term aftertreatment-
based standards.
    Note that we are retaining the differentiation between recreational 
and non-recreational marine engines within Category 1 because there are 
differences in their certification programs. Also, as discussed below, 
we are not finalizing Tier 4 standards for recreational marine engines 
at this time. Section IV.C(10) clarifies the definition of recreational 
marine diesel engine.
    The new standards and implementation schedules are shown on Tables 
III-4 through 7. Briefly summarized, the marine diesel standards 
include stringent engine-based Tier 3 standards, phasing in over 2009-
2014. They also include aftertreatment-based Tier 4 standards for 
commercial marine engines at or above 600 kW (800 hp), phasing in over 
2014-2017. For engines of power levels not included in the Tier 3 and 
Tier 4 tables, the previous tier of standards (Tier 2 or Tier 3, 
respectively) continues to apply. These standards and implementation 
dates are the same as those proposed except: (1) Recreational marine 
engines are not subject to Tier 4 standards; (2) The Tier 4 
NOX standard for 2000-3700 kW engines has been pulled 
forward by two years; (3) The proposed optional Tier 4 approach 
coordinated with locomotive Tier 4 has been modified; and (4) based on 
comments we received, the Tier 3 standards for high power density 
engines in the 3.5 to 7 liter/cylinder category (Table III-5) have been 
adjusted slightly to better align them with standards in other 
categories. The first three of these changes are discussed in more 
detail below. See section 3.2.1.1 of the Summary and Analysis of 
Comments document for discussion of the fourth.

                                  Table III-4.--Tier 3 Standards for Marine Diesel C1 Commercial Standard Power Density
--------------------------------------------------------------------------------------------------------------------------------------------------------
         Maximum engine power                     L/cylinder                PM  g/bhp-hr (g/kW-hr)       NOX+HC \d\ g/bhp-hr  (g/kW-hr)     Model year
--------------------------------------------------------------------------------------------------------------------------------------------------------
<19 kW................................  <0.9                            0.30 (0.40)                    5.6 (7.5)                                    2009
--------------------------------------------------------------------------------------------------------------------------------------------------------
19 to <75 kW..........................  <0.9 \a\                        0.22 (0.30)                    5.6 (7.5)                                    2009
                                                                        0.22 (0.30) \b\                3.5 (4.7) \b\                                2014
--------------------------------------------------------------------------------------------------------------------------------------------------------
75 to <3700 kW........................  <0.9                            0.10 (0.14)                    4.0 (5.4)                                    2012
                                        0.9-<1.2                        0.09 (0.12)                    4.0 (5.4)                                    2013
                                        1.2-<2.5                        0.08 (0.11) \c\                4.2 (5.6)                                    2014
                                        2.5-<3.5                        0.08 (0.11) \c\                4.2 (5.6)                                    2013
                                        3.5-<7.0                        0.08 (0.11) \c\                4.3 (5.8)                                   2012
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
(a) <75 kW engines at or above 0.9 L/cylinder are subject to the corresponding 75-3700 kW standards.
(b) Option: 0.15 g/bhp-hr (0.20 g/kW-hr) PM/4.3 g/bhp-hr (5.8 g/kW-hr) NOX+HC in 2014.
(c) This standard level drops to 0.07 g/bhp-hr (0.10 g/kW-hr) in 2018 for <600 kW engines.
(d) Tier 3 NOX+HC standards do not apply to 2000-3700 kW engines.


                           Table III-5.--Tier 3 Standards for Marine Diesel C1 Recreational and Commercial High Power Density
--------------------------------------------------------------------------------------------------------------------------------------------------------
         Maximum engine power                     L/cylinder                PM g/bhp-hr  (g/kW-hr)         NOX+HC g/bhp-hr  (g/kW-hr)       Model year
--------------------------------------------------------------------------------------------------------------------------------------------------------
<19 kW................................  <0.9                            0.30 (0.40)                    5.6 (7.5)                                    2009
--------------------------------------------------------------------------------------------------------------------------------------------------------
19 to <75 kW..........................  <0.9 \a\                        0.22 (0.30)                    5.6 (7.5)                                    2009

[[Page 37125]]

 
                                        ..............................  0.22 (0.30) \b\                3.5 (4.7) \b\                                2014
--------------------------------------------------------------------------------------------------------------------------------------------------------
75 to <3700 kW........................  <0.9                            0.11 (0.15)                    4.3 (5.8)                                    2012
                                        0.9-<1.2                        0.10 (0.14)                    4.3 (5.8)                                    2013
                                        1.2-<2.5                        0.09 (0.12)                    4.3 (5.8)                                    2014
                                        2.5-<3.5                        0.09 (0.12)                    4.3 (5.8)                                    2013
                                        3.5-<7.0                        0.08 (0.11)                    4.3 (5.8)                                   2012
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
(a) <75 kW engines at or above 0.9 L/cylinder are subject to the corresponding 75-3700 kW standards.
(b) Option: 0.15 g/bhp-hr (0.20 g/kW-hr) PM/4.3 g/bhp-hr (5.8 g/kW-hr) NOX+HC in 2014.


                             Table III-6.--Tier 3 Standards for Marine Diesel C2 \a\
----------------------------------------------------------------------------------------------------------------
                                                       PM g/bhp-hr  (g/kW-   NOX+HC \b\ g/bhp-hr
     Maximum engine power            L/cylinder                hr)                (g/kW-hr)         Model year
----------------------------------------------------------------------------------------------------------------
<3700 kW.....................  7-<15                  0.10 (0.14)           4.6 (6.2)                       2013
                               15-<20                 0.20 (0.27) \c\       5.2 (7.0)                       2014
                               20-<25                 0.20 (0.27)           7.3 (9.8)                       2014
                               25-<30                 0.20 (0.27)           8.2 (11.0)                     2014
----------------------------------------------------------------------------------------------------------------
Notes:
(a) See note (c) of Table III-7 for optional Tier 3/Tier 4 standards.
(b) Tier 3 NOX+HC standards do not apply to 2000-3700 kW engines.
(c) For engines below 3300 kW in this group, the PM Tier 3 standard is 0.25g/bhp-hr (0.34 g/kW-hr).


                           Table III-7.--Tier 4 Standards for Marine Diesel C1 and C2
----------------------------------------------------------------------------------------------------------------
                                PM g/bhp-hr  (g/kW-   NOX g/bhp-hr  (g/kW-   HC g/bhp-hr  (g/kW-
     Maximum engine power               hr)                    hr)                   hr)            Model year
----------------------------------------------------------------------------------------------------------------
At or above 3700 kW..........  0.09 (0.12) \a\        1.3 (1.8)             0.14 (0.19)                 \c\ 2014
                               0.04 (0.06)            1.3 (1.8)             0.14 (0.19)                b, c 2016
----------------------------------------------------------------------------------------------------------------
2000 to <3700 kW.............  0.03 (0.04)            1.3 (1.8)             0.14 (0.19)                c, d 2014
1400 to <2000 kW.............  0.03 (0.04)            1.3 (1.8)             0.14 (0.19)                   c 2016
600 to <1400 kW..............  0.03 (0.04)            1.3 (1.8)             0.14 (0.19)                  b 2017
----------------------------------------------------------------------------------------------------------------
Notes:
(a) This standard is 0.19 g/bhp-hr (0.25 g/kW-hr) for engines with 15-30 liter/cylinder displacement.
(b) Optional compliance start dates can be used within these model years; see discussion below.
(c) Option for C2: Tier 3 PM/NOX+HC at 0.10 / 5.8 g/bhp-hr (0.14/7.8 g/kW-hr) in 2012, and Tier 4 in 2015.
(d) The Tier 3 PM standards continue to apply for these engines in model years 2014 and 2015 only.

    Engine manufacturers argued that modifying standard power density 
engines between 2000 and 3700 kW for Tier 3 NOX, and again 
for Tier 4 NOX shortly after would be too difficult. They 
argued that these engines could meet Tier 4 NOX in 2014, two 
years earlier, if the Tier 3 NOX+HC standard, proposed to 
apply in 2012, 2013, or 2014, depending on displacement, did not have 
to be met. We have analyzed this group of engines and agree that the 
suggested approach would be feasible and would have very little 
detrimental effect on NOX reductions in 2012-2013, while 
providing significant additional NOX reductions thereafter. 
We are therefore leaving the Tier 3/Tier 4 PM standards as proposed but 
revising the NOX implementation schedule as suggested by the 
industry.
    The Tier 3 standards for engines with maximum engine power less 
than 75 kW (100 hp) are based on the nonroad diesel Tier 2 and Tier 3 
standards, because these smaller marine engines are largely derived 
from (and often nearly identical to) the nonroad engine designs. The 
relatively straightforward carry-over nature of this approach also 
allows for an early implementation schedule, in model year 2009, 
providing substantial early benefits to the program. However, some of 
the nonroad engines less than 75 kW are also subject to aftertreatment-
based Tier 4 nonroad standards, and our new program does not carry 
these over into the marine sector, due to vessel design and operational 
constraints discussed in section III.C. Because of the widespread use 
of both direct- and indirect-injection diesel engines in the 19 to 75 
kW (25-100 hp) engine market today, we are making two options available 
to manufacturers for meeting Tier 3 standards on any engine in this 
range, as indicated in Table III-4. One option focuses on lower PM and 
the other on lower NOX, though both require substantial 
reductions in both PM and NOX and will take effect in 2014.
    With important exceptions, we are subjecting marine diesel engines 
at or above 75 kW (100 hp) to new emissions standards in two steps, 
Tier 3 and Tier 4. The Tier 3 standards are based on the engine-out 
emission reduction potential (apart from the addition of exhaust 
aftertreatment) of the nonroad Tier 4 diesel engines that will be 
introduced beginning in 2011. The Tier 3 standards for C1 engines will 
phase in over 2012-2014. We believe it is appropriate to coordinate the 
marine Tier 3 standards

[[Page 37126]]

with the nonroad Tier 4 (rather than Tier 3) engine developments in 
this way because marine diesel engines are largely derived from land-
based nonroad counterparts, and because the advanced fuel and 
combustion systems that we expect the Tier 4 nonroad engines to employ 
will allow approximately a 50 percent reduction in PM when compared to 
the reduction potential of the nonroad Tier 3 engines. Inserting an 
additional marine engine tier based on nonroad Tier 3 engines would 
result in overly short lead time and stability periods and/or a delay 
in stringent standards.
    We are applying high-efficiency aftertreatment-based Tier 4 
standards to all commercial and auxiliary C1 and C2 engines over 600 kW 
(800 hp). These standards will phase in over 2014-2017. Marine diesels 
over 600 kW, though fewer in number, are the workhorses of the inland 
waterway and intercoastal marine industry, running at high load 
factors, for many hours a day, over decades of heavy use. As a result 
they also account for the bulk of marine diesel engine emissions.
    After considering the substantial number of comments received on 
the feasibility of extending Tier 4 standards to engines below 600 kW, 
we are not at this time setting Tier 4 standards for these engines. We 
may do so at some point in the future if further technology 
developments show a path to address the issues we identify in RIA 
chapter 4 with the application of aftertreatment technologies to 
smaller vessels.
    We are also not extending the Tier 4 program to recreational marine 
diesel engines. In our proposal we indicated that at least some 
recreational vessels, those with engines above 2000 kW (2760 hp), have 
the space and design layout conducive to aftertreatment-based controls 
and professional crews who oversee engine operation and maintenance. 
This suggested that aftertreatment-based standards would be feasible 
for these larger recreational engines. While commenters on the proposal 
did not disagree with these views, they pointed out these very large 
recreational vessels often travel outside the United States, and, for 
tax reasons, flag outside the U.S. as well. Commenters argued that 
applying Tier 4 standards to large recreational marine diesel engines 
would further discourage U.S.-flagging because vessels with those 
engines would be limited to using only those foreign ports that make 
ULSD and reductant for NOX aftertreatment available at 
recreational docking facilities, limiting their use and hurting the 
vessel's resale value. The aftertreatment devices used to meet Tier 4 
are expected to be sensitive to sulfur in the exhaust and so ULSD must 
be used in these engines.
    In general, we expect ULSD to become widely available worldwide, 
which would help reduce these concerns. However, there are areas such 
as Latin America and parts of the Caribbean that currently do not plan 
to require use of this fuel. Even in countries where ULSD is available 
for highway vehicles but not mandated for other mobile sources, 
recreational marinas may choose to not make ULSD and reductant 
available if demand is limited to a small number of vessels, especially 
if the storage and dispensing costs are high. To the extent the fuel 
requirements for Tier 4 engines encourage vessel owners to flag outside 
the United States, the results would be increased emissions since the 
international standards for these engines are equivalent to EPA's Tier 
1 standards.
    After considering the above, we conclude that it is preferable at 
this time to hold recreational engines marine diesel engines to the 
Tier 3 standards. We plan to revisit this decision when we consider the 
broader questions of the application of our national marine diesel 
engine standards to engines on foreign vessels that enter U.S. ports in 
the context of our Category 3 marine diesel engine rulemaking.
    There is a group of commercial vessels that share some of the 
characteristics of recreational vessels in that they also operate 
outside the United States. However, the concerns that lead us to 
exclude recreational vessels from the Tier 4 standards (flagging or 
registering in a foreign country and thus avoiding all U.S. emission 
standards; resale value) do not generally apply to commercial vessels. 
Unlike recreational vessels, the majority of commercial vessels with C1 
or C2 main propulsion engines that operate in the United States do not 
have the option of flagging offshore. This is because they are engaged 
full-time in harbor activities in U.S. ports or in transporting freight 
or otherwise operating only between two U.S. ports, and cabotage laws 
require such vessels be flagged in the United States. In addition, most 
of these vessels operate at or between U.S. ports, so ULSD availability 
is not expected to be a problem. Finally, the resale of U.S. commercial 
vessels on the world market is already affected by other U.S.-specific 
vessel design and operation requirements, and these standards are not 
expected to affect that situation.
    Nevertheless, some commercial vessels are used in ways that could 
make the use of ULSD and even urea an intractable problem. These are 
commercial vessels that are routinely operated outside of the United 
States for extended periods of time, including tug/barge cargo vessels 
operated on circle routes between the United States and Latin America 
that routinely refuel in places where ULSD is not available, and lift 
boats, utility boats, supply boats and crewboats that are used in the 
offshore drilling industry and are contracted to work in waters off 
Latin America or Western Africa for up to several years at a time 
without returning to the United States. Owners of these vessels 
informed us that requiring them to use Tier 4 engines will adversely 
impact their business in significant ways since they would have to 
arrange for ULSD and urea outside the United States, potentially at 
great additional cost, and that this is turn would affect their ability 
to compete with foreign transportation providers who do not face the 
same costs. These owners flag their vessels in the U.S. to maximize the 
flexibility of their business operations, but they informed us that 
they would consider segregating their fleets and flagging some 
elsewhere if they are required to use Tier 4 engines. Similar to the 
recreational marine case, the engines on reflagged vessels would not be 
subject to any U.S. emission controls or compliance requirements. In 
addition, there could be adverse impacts on associated industries that 
use these services, if there are fewer vessels available for use in the 
Untied States. For all of these reasons, these vessel owner/operators 
encouraged EPA to consider a provision that would not require these 
vessels to use Tier 4 engines.
    We do not expect ULSD availability at foreign commercial ports to 
be a widespread problem. Many industrial nations already have or are 
expected to shift to ULSD in the near future, including Japan (by 
2008), Singapore (in 2007), Mexico (in 2007 for ``Northern border 
areas''), the EU member states (by 2009), and Australia (by 2009). 
Other countries may also make ULSD available by 2016, as refineries in 
other countries modify their production to supply ULSD to the U.S. 
markets even if they do not require it domestically. However, ULSD may 
be difficult to obtain in some areas of the world, notably Latin 
America and Africa. Therefore, it is reasonable to include a limited 
compliance exemption from the Tier 4 standards for the narrow set of 
vessels that are described above.
    Because the decision of whether a Tier 4 engine is required must be 
made at the design phase of a vessel, and not after it goes into 
service, it is preferable to define such an exemption based on vessel 
design characteristics instead of

[[Page 37127]]

the owner's intentions for how the vessel may ultimately be used. After 
consulting with industry representatives, we concluded that the most 
obvious design feature that indicates the vessel is intended for 
extensive international use is compliance with international safety 
standards. We have concluded that the costs of obtaining and 
maintaining certification for the International Convention for the 
Safety of Life at Sea (SOLAS) are high enough to discourage owners of 
vessels that will not be used outside the United States to obtain 
certification to evade the Tier 4 standards. These costs can range from 
about $250,000 to $1 million in capital costs and from about $50,000 to 
$100,000 in annual operating costs. The Port State Information Exchange 
database maintained by the U.S. Coast Guard indicates that about 30 
percent of offshore supply vessels built annually are SOLAS certified 
and that 3 percent or fewer passenger vessels and tugs built annually 
are SOLAS certified (based on new vessel construction, 1995-2006).\127\ 
Therefore, to be eligible for the exemption, the owner will be required 
to obtain and maintain relevant international safety certification 
pursuant to the requirements of the United States Coast Guard and SOLAS 
for the vessel on which an exempted engine is installed.
---------------------------------------------------------------------------

    \127\ Memorandum to Docket EPA-HQ-OAR-2003-0190, Marine 
Vessels--SOLAS Certification, from Jean MarieRevelt, dated January 
11, 2007.
---------------------------------------------------------------------------

    Vessel owners will be required to petition EPA for an exemption for 
a particular vessel in order for an engine manufacturer to sell them an 
exempted engine; granting of the exemption will not be automatic. In 
evaluating a request for a Tier 4 exemption, we will consider the 
owner's projections of how and where the vessel will be used and the 
availability of ULSD in those areas, as well as the mix of SOLAS and 
non-SOLAS vessels in the owner's current fleet and the extent to which 
those vessels are being or have been operated outside the United 
States. In general, it is our expectation that fleets should first use 
existing pre-Tier 4 vessels for operations where ULSD may not be 
available. Therefore, we would not expect to grant an exemption for a 
vessel that will be part of a fleet that does not already have a 
significant percentage of Tier 4 vessels, since a fleet with a smaller 
percentage of Tier 4 vessels would likely have more pre-Tier 4 vessels 
that could be employed in the overseas application instead. For 
example, if 30 percent of an owner's current fleet has SOLAS 
certification, we would expect that up to 70 percent of the vessels in 
that fleet could be Tier 4 compliant without changes in the operation 
of the fleet. We may also ask the petitioner to demonstrate that other 
vessels in the petitioner's fleet remain in service outside the United 
States and have not been placed into service domestically. EPA does not 
expect to approve applications for the Tier 4 exemption described in 
this paragraph prior to 2021; we expect that the existing fleet of Tier 
3 vessels can be used for overseas operations during that time. If an 
owner petitions EPA for an exemption prior to that year, we may request 
additional information on the owner's expected operation plans for that 
vessel and a more complete explanation as to why another vessel in the 
existing fleet could not be redirected to the offshore application with 
the Tier 4 vessel under construction taking that vessel's place. 
Finally, a failure to maintain SOLAS certification for the vessel on 
which an exempted engine is installed would result in a finding of 
noncompliance and the owner would be liable for applicable fines and 
other penalties.
    To address the situation in which an owner of a vessel with Tier 4 
engines wants to use that vessel in a country that does not have ULSD 
available, we are also including a provision that will allow the owner 
to petition EPA to temporarily remove or disable the Tier 4 controls on 
vessels that are operated solely outside the United States for a given 
period of time. The petitioner will need to specify where the vessel 
will operate, how long the vessel will operate there, and why the owner 
will be unable to provide ULSD for the vessel. The petitioner will also 
be required to describe what actions will be taken to disable or 
disconnect the Tier 4 controls. Permission to disable or remove the 
Tier 4 controls will be allowed only for the period specified by the 
owner and agreed to by EPA; however, the owner may re-petition EPA at 
the end of that period for an extension. As part of the approval of 
such a petition, the petitioner will be required to agree to re-install 
or reconnect the Tier 4 emission control devices prior to re-entry into 
the United States, whether this occurs only at the end of the specified 
period or earlier.
    These provisions for migratory vessels are intended to facilitate 
the use of vessels certified to the U.S. federal marine diesel emission 
standards while they are operated for extended periods in areas that 
may not have ULSD available. It should be noted that vessels that 
receive either limited exemptions or that petition EPA to remove or 
disable Tier 4 controls will still be subject to the MARPOL emission 
limits when they are operated outside the United States. We may review 
these migratory vessel provisions in the context of our upcoming 
Category 3 marine diesel engine rulemaking. We may also revisit this 
program in the future if the number of exemption requests appears to be 
unreasonably high or if we find that significant numbers of vessels 
that have obtained exemptions from Tier 4 are, in fact, in use 
domestically.
    Note that the implementation schedule in the above marine standards 
tables is expressed in terms of model years, consistent with past 
practice and the format of our regulations. However, in two cases we 
believe it is appropriate to provide a manufacturer the option to delay 
compliance somewhat, as long as the standards are implemented within 
the indicated model year. Specifically, we are allowing a manufacturer 
to delay Tier 4 compliance within the 2017 model year for 600-1000 kW 
(800-1300 hp) engines by up to 9 months (but no later than October 1, 
2017) and, for Tier 4 PM, within the 2016 model year for engines at or 
above 3700 kW (4900 hp) by up to 12 months (but no later than December 
31, 2016). We consider this option to delay implementation appropriate 
in order to give some flexibility in spreading the implementation 
workload and ensure a smooth transition to the long-term Tier 4 
program.
    The Tier 4 standards for locomotives and for C2 diesel marine 
engines of comparable size are at the same numerical levels but differ 
somewhat in implementation schedule: Locomotive Tier 4 standards start 
in 2015, while diesel marine Tier 4 standards start in 2016 for engines 
in the 1400-2000 kW (1900-2700 hp) range, and in 2014 for engines over 
2000 kW (with final PM standards starting in 2016 for these engines). 
We consider these locomotive and marine diesel Tier 4 implementation 
schedules to be close enough to warrant our adopting a marine engine 
option based on the Tier 4 locomotive schedule, aimed at facilitating 
continuance of today's frequent practice of developing a common engine 
platform for both markets. Commenters on the proposal supported this 
marine engine option, but expressed concerns about competitiveness 
issues and argued that we should remove the proposed restriction to 
engines of 7-15 liter/cylinder displacement and under 3700 kW maximum 
engine power.
    We are adopting this locomotive-based marine engine option, but 
with

[[Page 37128]]

some changes from the proposed approach to address potential 
competitiveness issues, as well as our own concern that this option be 
used only for the intended purpose of avoiding unnecessary dual design 
efforts. First, we are retaining some limits on its scope, specifically 
to engines above both a 7 liters per cylinder limit (Category 2 in the 
marine sector) and a 1400 kW (1900 hp) maximum engine power. Second, if 
the option is used, its standards must be met for all of a 
manufacturer's marine engines at or above 1400 kW (1900 hp) in the same 
displacement category (that is, 7-15, 15-20, 20-25, or 25-30 liters per 
cylinder) in all of the model years 2012 through 2016. This will help 
ensure the option is not gamed by artificially subdividing engine 
platforms. Because the switch locomotive program we are establishing 
already includes a similar streamlined option allowing the use of land-
based nonroad engines, we are not extending this option to switchers.
    We are adopting another provision to help ensure that this 
locomotive-based marine engine option is environmentally beneficial and 
is not used to gain a competitive advantage. We are requiring that 
marine engines under this option meet Tier 3 standards in 2012, the 
year Tier 3 starts for locomotives, with standards numerically 
corresponding to locomotive Tier 3 standards levels: 0.14 g/kW-hr (0.10 
g/bhp-hr) PM and 7.8 g/kW-hr NOX+HC (5.8 g/bhp-hr: that is, 
5.5 + 0.30 g/bhp-hr combined NOX and HC). Otherwise a 
manufacturer could take advantage of the later-starting marine Tier 3 
schedule to generate credits or allow increased emissions from these 
engines until 2015 when the option requires Tier 4 compliance. This 
approach also deals fairly with the problem identified in the proposal 
regarding redesigning locomotive-based engine platforms to meet the 
numerically lower marine Tier 3 NOX level.
    Finally, we considered but are not adopting a provision that would 
set a total vessel power limit for the Tier 4 standards. The comments 
we received on this issue lead us to conclude that multiple-engine 
configurations are used in vessel designs for specific purposes and are 
not likely to be employed to evade the Tier 4 standards. We may 
consider this type of restriction in a future action, however, if 
multiple-engine vessels are built in applications that have typically 
used a different number of engines in the past.
(b) Remanufactured Marine Engines
    In addition to the standards for newly-built engines, we are 
adopting for the first time emission standards for marine diesel 
engines on existing vessels. Many of these existing engines will remain 
in the fleet for 40 years or more, making them what would otherwise be 
a substantial source of air pollution. The marine remanufacture program 
will provide early PM reductions by reducing emissions from this legacy 
fleet sooner than would be the case from the retirement of old vessels 
in favor of new vessels with cleaner engines. Additional early 
NOX reductions are expected to be achieved from the use of 
locomotive remanufacture systems recertified under this program for 
Category 2 engines.
    The program we are finalizing is modified from what we described in 
the NPRM. In the NPRM we described a two-part program that would have 
applied to all commercial marine diesel engines above 600 kW when they 
are remanufactured. In the first part, which we considered beginning as 
early as 2008, vessel owners/operators and engine rebuilders who 
remanufacture engines would be required to use a certified 
remanufacture system when an engine is remanufactured (defined as 
replacement of all cylinder liners, either in one event or over a five-
year period) if such a certified system is available. In the second 
part, which we considered beginning in 2013, a marine diesel engine 
identified by EPA as a high-sales volume engine model would have been 
required to meet specified emission requirements when it is 
remanufactured. Specifically, the remanufacturers or owners of such 
engines would have been required to use systems certified to meet the 
standard; if no certified system is available, they would have needed 
to either retrofit the engines with emission reduction technology that 
demonstrates at least a 25 percent reduction or replace the engines 
with new ones. For engines not identified as high-sales volume engines, 
Part 1 would have continued to apply.
    Several commenters requested that EPA not finalize this program at 
this time but instead consider it in a separate rulemaking. They noted 
that this would allow additional time to consider the program and its 
requirements. Postponing the program, however, would also result in the 
loss of important emission reductions early in the program. Delay is 
also not necessary because the program we are adopting consists only of 
the first part of the program described in our proposal, requiring the 
owner of a marine diesel engine to use a certified marine remanufacture 
system when the engine is remanufactured if such a system is available. 
We are not adopting a requirement for the mandatory availability of 
remanufacture systems. (Under the option discussed in the proposal, in 
certain circumstances, if a remanufacture system was not made available 
the owner would have been required to retrofit an emission control 
technology, repower the vessel (replace its engines) or scrap the 
vessel.)
    The marine remanufacture program we are adopting applies to all 
commercial marine diesel engines with maximum engine power greater than 
600 kW and manufactured in 1973 or later, through Tier 2. The beginning 
date of 1973 is based on our existing locomotive program; many of the 
techniques used to achieve those standards are expected to be 
applicable to marine diesel engines over 600 kW.
    As described in more detail below, the program draws on aspects of 
our locomotive remanufacture and diesel retrofit programs with regard 
to the basic requirements that apply and how remanufacture systems are 
certified. The remainder of this section describes the main features of 
the program. The technological feasibility of this program is described 
in section III.C, and the certification requirements are set out in 
section IV. Small manufacturer, engine dresser, vessel builder, and 
operator flexibilities are set out in section IV.A(13)(b).
    Similar to the locomotive program, the marine program we are 
finalizing applies when a marine diesel engine is remanufactured. 
Covered engines are those that are remanufactured to as-new condition. 
Based on discussions with engine manufacturers, we have determined that 
replacing all cylinder liners is a simple and clear indicator that the 
servicing being done is extensive enough for the engine to be 
considered functionally equivalent to a freshly manufactured engine, 
both mechanically and in terms of how it is used. Therefore, we are 
defining remanufacture as the removal and replacement of all cylinder 
liners, either during a single maintenance event or over a five-year 
period. It should be noted that marine diesel engines are not 
considered to be remanufactured if the rebuilding process falls short 
of this definition (i.e., the cylinder liners are removed and replaced 
over more than a five-year period). As with locomotives, remanufactured 
marine diesel engines are new until they are sold or placed into 
service.

[[Page 37129]]

    For the purpose of this program, ``replace'' includes removing, 
inspecting, and requalifying a liner. This addresses the situation in 
which an engine experiences a cylinder failure prior to a scheduled 
rebuild: The owner might replace the failed cylinder right away and 
replace the others at rebuild; then, at the time of rebuild, the 
installer would likely inspect the cylinder that was a few months old 
to make sure it qualified for continued use according to the 
certificate holder's instructions. We do not think that owners will 
fail to requalify cylinders to avoid the remanufacture requirements 
because requalification is done both to ensure the continued 
reliability and durability of the engine and as part of surveys 
necessary to retain vessel certification for safety and other purposes. 
The five-year provision was first adopted in the locomotive program to 
help ensure that the standards are not avoided through phased 
remanufacturing (i.e., not replacing the power assemblies all at once). 
It is reasonable to use this approach in the marine sector as most 
commercial engines are rebuilt all at once, although some owners may 
choose a rolling rebuild approach in which a certain number of 
cylinders are rebuilt every year. We may revisit the five-year limit 
after a few years of the program to evaluate whether this is the 
appropriate period and whether owners are adjusting their rebuild 
practices, particularly with respect to rolling rebuilds, to circumvent 
the regulations (see discussion of rolling rebuilds, below).
    When an engine is remanufactured, it must be certified as meeting 
the emission standards for remanufactured engines (by using a certified 
remanufacture system) unless there is no certified remanufacturing 
system available for that engine. In other words, the owner/operator or 
installer of a covered engine would be required to use a certified 
marine remanufacture system when remanufacturing that engine if one is 
available. If there is no certified system available at that time, 
there is no requirement. Availability means not only that EPA has 
certified a system, but also that it can be obtained and installed in a 
timely manner consistent with normal business practices. For example, a 
system would generally not be considered to be available if it required 
that the engine be removed from the vessel and shipped to a factory to 
be remanufactured unless that is the normal rebuild process for that 
engine. Similarly, a system would not be considered to be available if 
the component parts are not available for purchase in the period 
normally associated with a scheduled rebuild. If a certified system is 
not available there is no requirement to comply with this program until 
the next remanufacture, at which time the remanufacturer would need to 
check again to see if a system is available. Nonavailability due to 
inability to obtain parts may be demonstrated by a written record that 
shows a good faith effort to obtain parts.
    Several states and localities have voluntary retrofit programs to 
reduce emissions from marine diesel engines. These programs encourage 
vessel owners to apply emission reduction strategies in return for a 
financial or operational incentive. Retrofit systems range from engine 
adjustments to installing different cylinders, fuel injectors, 
turbochargers, or other engine components. To receive the incentive, 
the owner must demonstrate the reduction, often through emission 
measurements. We received state agency comments expressing concern 
about the potential inconsistency between state and local retrofit 
programs and a potential marine remanufacture program. Specifically, a 
situation could be created in which a vessel owner who has already 
applied a retrofit device pursuant to a state or local retrofit program 
would be required to remove the voluntary retrofit device and install a 
certified marine remanufacture system. We do not want to negatively 
impact the positive benefits that arise from state and local retrofit 
programs, especially in those cases in which the retrofit achieves a 
greater reduction (e.g., retrofit of a SCR system) than a certified 
marine remanufacture system. We also do not want to discourage these 
programs especially in early years where states and local programs may 
achieve reductions before certified remanufacture systems become 
available.
    Therefore, we are adopting a provision that will allow an owner/
operator of an engine that is fit with a retrofit device prior to 2017 
pursuant to a state or local retrofit program to request a qualified 
exemption from the marine remanufacture requirements for that engine. 
This qualified exemption will be available only to engines equipped 
with retrofit device under a state or local program before 2017. The 
owner/operator must request the exemption prior to a remanufacturing 
event that would otherwise trigger the requirement to use a certified 
remanufacture system. The request must include documentation that the 
vessel has been retrofit pursuant to a state or local retrofit program 
and a signed statement declaring that to be true. Except for the 
initial request for a specific vessel and a specific retrofit, a 
request would be considered to be approved unless we notify the 
requestor otherwise within 30 days of the date that we receive the 
request. Note that the exemption does not apply where the sponsoring 
government specifies that inclusion in the retrofit program is not 
intended to provide an exemption from the requirements of this subpart. 
EPA's granting of the exemption is conditioned upon the owner/
operator's continued use and maintenance of the retrofit kit that 
provides the basis for the exemption.
    Beginning in 2017, this exemption will no longer be available for 
new retrofits. Engines included in state or local retrofit programs 
will be required to use a certified remanufacture system if one is 
available when the engine is remanufactured. In this case either the 
certified remanufacture system would be part of the retrofit or the 
vessel owner would use a certified remanufacture system the next time 
at the next remanufacture event.
    At this time, we are adopting standards for remanufacture systems 
only for marine diesel engines over 600 kW. This 600 kW threshold is 
reasonable because of the long hours of use, often at high load, of 
engines above 600 kW, and their long services lives. These engines are 
also more likely to undergo regular full overhauls, returning them to 
as-new condition. Commercial marine diesel engines larger than 600 kW 
typically undergo periodic full, like-new rebuilds. These large engines 
are often installed on tugs, towboats, ferries, offshore supply 
vessels, lakers, and coasters, which require reliable power at all 
times. These vessels are often used for ten or more hours a day, every 
day of the year. As a result, these engines are typically subject to 
regular maintenance to ensure their dependability. In addition, many 
manufacturers provide guidance for a full rebuild to as-new condition. 
This might include replacing piston rings, heads, bearings, and gear 
train/camshaft as well as piston liners.\128\ Rebuilding to as-new 
condition helps ensure smooth operation over the full maintenance 
interval. Owners of these vessels are also motivated to maintain their 
engines because it is very complicated and expensive to repower their 
vessels; replacing an engine may require major hull modifications. 
Because these vessels operate for decades, often 40 or

[[Page 37130]]

more years, their engines may be remanufactured to as-new condition 
anywhere from three to six or even more times before the vessel is 
scrapped.
---------------------------------------------------------------------------

    \128\ See Note from Amy Kopin, Mechanical Engineer, to Jean 
Marie Revelt, EPS, Re: Marine Remanufacture Program. A copy of this 
Note is available in Docket OAR-2003-0190.
---------------------------------------------------------------------------

    We are not setting standards for marine remanufacture systems for 
engines below 600 kW because we currently do not have sufficient data 
to determine the extent that rebuilding of engines below 600kW 
qualifies as remanufacturing to an as new condition. Smaller commercial 
engines under 600 kW or recreational engines typically have shorter 
useful lives than the larger engines and do not see as much wear on an 
annual basis. This means it takes longer to acquire the hours between 
maintenance intervals. Engines on some smaller commercial or 
recreational marine vessels may not be rebuilt at all but, instead, are 
replaced or the vessel is scrapped. There may also be other 
technological and cost issues with applying remanufacture requirements 
to smaller commercial or recreational engines.
    For these reasons, we are finalizing only standards for 
remanufactured commercial marine diesel engines above 600 kW. We may 
revisit this approach after implementing the program to evaluate 
whether other remanufactured marine diesel engines should be included 
in the program as well.
    A certified marine remanufacture system must achieve a 25 percent 
reduction in PM emissions compared to the engine's measured baseline 
emissions level (the emission level of the engine as rebuilt according 
to the manufacturer's specification but before the installation of the 
remanufacture system) without increasing NOX emissions 
(within 5 percent). We are not finalizing a 0.22 g/kW-hr PM cap, as 
proposed. The percent reduction is being adopted because the large 
range of engine platforms on existing marine diesel engines makes the 
selection of an effective numeric emission limit impractical. A more 
stringent emission limit may prevent the development of remanufacture 
systems for many engines, while a less stringent limit could allow 
manufacturers to certify remanufacture systems for engines that already 
meet the limit without any additional emission benefits. A percentage 
reduction has the advantage of allowing more engines to participate in 
the program while ensuring valid emission reductions.
    We are not adopting the multi-step approach discussed in the 
proposal. This approach, based on the Urban Bus program, would have 
entailed setting standards based on reductions of 60 percent, 40 
percent, and 20 percent, and requiring that a rebuild use the certified 
kit meeting the most stringent of these three standards if available. 
Manufacturers expressed concern that such a requirement would 
discourage the development of remanufacture systems since they could 
rapidly become obsolete. Owners were concerned that they would be 
subject to a moving requirement that would complicate their engine 
maintenance and overhaul schedules and could result in identical engine 
models being required to use different remanufacture systems. They also 
were concerned that such an approach would mean they would have to use 
a different system every time they remanufacture, and the impacts on 
engines that are remanufactured over several maintenance events. For 
these reasons, instead of adopting the multi-step approach, we are 
adopting a single emission reduction requirement. If several certified 
systems are available, we will allow any of them to be used. However, 
states may develop incentive programs to encourage the use of the 
certified remanufacture system with the greatest reduction. Also, we 
may revisit the emission level in the future to determine if it should 
be modified to reflect advances in applying new PM reduction 
technologies to existing marine diesel engines.
    We expect that this PM reduction will be met by using 
incrementally-improved components that are replaced when an engine is 
remanufactured, based on reduction technologies manufacturers are 
already using or will be using to achieve the Tier 3 PM standards. For 
example, a remanufacture system could reduce PM emissions by using 
different fuel injectors or different piston rings to reduce oil 
consumption. Remanufacturing systems may not adversely affect engine 
reliability, durability, or power.
    Some engine manufacturers expressed concern about the potential for 
unintended adverse effects on engine performance, reliability, or 
durability that could occur if another entity develops a remanufacture 
system for their engines. They were particularly concerned about being 
held responsible for an emission failure if the remanufacture system 
does not perform as intended, or for an engine failure if the system 
causes other engine components to fail. To address this concern, the 
program we are finalizing requires any person who wishes to certify a 
remanufacture system for an engine not produced by that person to 
notify the original engine manufacturer and request their comments on 
the remanufacture system. Any comments received by the certifier are 
required to be included in the certification application, as well as a 
description of how those comments were addressed.
    As we described at proposal, this final rule includes a cost cap on 
marine diesel remanufacture systems of $45,000 per ton of PM reduced, 
based on the incremental cost of the remanufacture system (the cost in 
excess of what a rebuild would otherwise cost). This cost cap is 
analogous to the reasonable cost limit in the current locomotive 
remanufacturing program and is intended to ensure that marine 
remanufacture systems do not impose excessively burdensome cost 
requirements on vessel owners that are not justified by the benefits of 
the reductions. The $45,000 per ton of PM reduced is similar to the 
cost of a number of mobile source retrofit programs. This cap includes 
all costs to the vessel owner associated with the remanufacture system 
beyond those associated with an engine remanufactured without a 
certified system, such as labor for any special installation procedures 
and any modifications to the vessel or its operation (e.g., fuel 
consumption impacts).
    It may not be possible for the certifier to predict the 
characteristics of all vessels that can use the remanufacture system 
and therefore provide a comprehensive estimate of the total incremental 
costs of installing the remanufacture system. Therefore, in addition to 
an estimate of the vessel-related installation costs that would apply 
to most vessels, the certifier must also provide an estimate of the 
amount of residual incremental costs that would be available for 
installation of the remanufacture system on a particular vessel without 
triggering the $45,000 per ton PM threshold (i.e., the maximum amount 
installation may cost for a particular vessel after the cost of the 
remanufacture system is deducted from the $45,000 maximum cost). This 
will guide vessel owners in determining if the cost of a certified 
remanufacture system will exceed the $45,000 threshold for a particular 
vessel.
    We are including a provision that will allow a vessel owner to 
request an exemption from EPA if the vessel owner can demonstrate to 
EPA's satisfaction that actual installation cost for his or her vessel 
will exceed the $45,000 per ton PM threshold. This may be necessary, 
for example, if a vessel with external keel cooling cannot be modified 
to achieve required cooling levels required by the remanufacture system 
without extensive modifications to the vessel hull. We are also 
including a small business exemption as well as a

[[Page 37131]]

financial hardship provision (see Section IV.A.13(b)(vi and vii)) that 
would allow postponing the requirements for owners who can show 
financial hardship.
    Marine remanufacture systems can be certified as soon as this rule 
goes into effect. A remanufacture system will be considered to be 
available 120 days after we issue a certificate of conformity for it or 
90 days after we include it on our list of certified remanufacture 
systems, whichever is later. Prior to the end of that period, a kit 
will not be considered to be ``available.'' This period allows time for 
owners to arrange for remanufacturing with a certified system once one 
that applies to the relevant engine has been certified. Once a marine 
remanufacture system is certified, as evidenced by an EPA-issued 
certificate of conformity, it will be considered to be available until 
it is withdrawn or the certificate holder fails to obtain a certificate 
of conformity for a subsequent year. We will maintain a list of 
available remanufacture systems and provide access to this list by 
posting it on our website. Owners should consult the list prior to any 
particular remanufacturing event to determine whether a certified 
system is available and therefore whether they are affected by the 
program. Uncertified systems purchased before that date can be used as 
long as they are consistent with the normal parts inventory practices 
of the owner or rebuild facility. Stockpiling of uncertified 
remanufacture systems to evade the requirements of the program is not 
allowed.
    For engines on a rolling rebuild schedule (i.e., cylinder liners 
are not replaced all at once but are replaced in sets on a schedule of 
5 or fewer years, for example 5 sets of 4 liners for a 20-cylinder 
engine on a 5-year schedule), the requirement is triggered at the time 
the remanufacture system becomes available, with the engine required to 
be in a certified configuration when the last set of cylinder liners is 
replaced. The remanufacturing requirements do not apply for cylinder-
liner replacements that occurred before the remanufacture system 
becomes available. Any remanufacturing that occurs after the system is 
available needs to use the certified system, including remanufacturing 
that occurs on a rolling schedule over less than five years following 
the availability of the remanufacturing system. If the components of a 
certified remanufacture system are not compatible with the engine's 
current configuration, the program allows the owner to postpone the 
installation of the remanufacture system until the replacement of the 
last set of cylinder-liners, which would occur no later than five years 
after the availability of the system. At that time, all engine 
components must be replaced according to the certified remanufacture 
system requirements.
    Initially, we expect marine remanufacture systems to be certified 
for C2 engines that are derived from certified locomotive remanufacture 
systems. Some of these certified locomotive systems are already used on 
C2 marine diesel engines, or can be used with modification. The new 
Tier 0+, Tier 1+ and Tier 2+ certified locomotive remanufacture systems 
are likely to be capable of being used on marine diesel engines without 
much additional development when those certified locomotive systems 
become available, for additional reductions. To encourage this 
practice, we are providing a streamlined certification process for 
locomotive systems certified to the new Tier 0+, Tier 1+, or Tier 2+ 
standards for use on C2 engines. The streamlined certification will 
also be allowed for existing Tier 0 locomotive remanufacture systems 
(certified under part 92), but those systems can be used only on pre-
Tier 1 (uncertified) C2 marine engines, and the use of these existing 
Tier 0 systems will not be permitted after systems certified to the new 
Tier 0+ (or Tier 1+ if applicable) locomotive standards are made 
available. The streamlined certification process will require only an 
engineering analysis demonstrating that the system would achieve 
emission reductions from marine engines similar to those from 
locomotives. The streamlined certification process will allow 
modifications to the previously certified locomotive system as 
necessary to install the system on a C2 marine engine. If the 
manufacturer of a locomotive remanufacture system chooses to modify 
that system in a substantive way, for example to remove NOX 
emission controls (because the marine remanufacture program only 
requires PM reductions), then the system will have to be recertified as 
a marine remanufacture system based on measured values and subject to 
all of the other certification requirements of the marine remanufacture 
program (see section IV). We are not providing a similar streamlined 
certification process for C1 marine systems because there are currently 
no certified remanufacture systems for C1-equivalent engines through 
our other mobile source programs.
    The program described above is engine-based in that it assumes that 
remanufacture systems will consist of changes to engine components or 
operational settings. At least one user asked EPA to consider also 
allowing remanufacture systems consisting of the use of specified fuels 
or fuel additives. The program we are adopting will allow this type of 
remanufacture system, subject to the following constraints.
    First, the use of a remanufacture system based on a fuel or fuel 
additive will not be mandatory if such a system is certified. Instead, 
the use of a fuel or fuel additive system will be allowed as an 
alternative compliance mechanism in place of an engine-based 
remanufacture system. In other words, if an engine-based remanufacture 
system is certified, owners of the affected engine models can either 
use that engine-based system or use a fuel or fuel additive system if 
one has also been certified; if there is no certified engine-based 
system, then there is no requirement to use the fuel or fuel additive 
remanufacture system. This requirement is necessary because, in 
contrast to an engine-based system, a fuel or fuel additive-based 
system requires positive action on the part of the owner to achieve the 
emission reductions. In the case of an engine-based system, the owner 
installs the replacement parts at the time of rebuild; installation of 
the parts will achieve the required reductions and there is little 
impact on the owner or the vessel's operations. In the case of a fuel 
or fuel additive system, however, the owner will be required to use the 
specified fuel or fuel additive at all times; if the owner does not 
take the required action, the ``system'' will not be in use. Because a 
fuel or fuel additive-based system will require the owner to do 
something on a continuous basis and require additional recording and 
recordkeeping, the success of the system requires a positive commitment 
on behalf of the owner/operator.
    Second, the certifier of a remanufacture system based on a fuel or 
fuel additive will be required to show that use of the fuel or fuel 
additive meets the 25 percent PM reduction based on measured values, 
without increasing NOX emissions, for all engines to which 
the system will apply. This will require testing an engine with and 
without the use of the specified fuel or fuel additive. Different 
engines may be combined into one engine family for the purpose of 
certification, based on EPA approval.
    Third, any fuel or fuel additive for which certification is sought 
under the marine remanufacture program must first be registered under 
40 CFR Part 79, Registration of Fuels and Fuel Additives. This is to 
ensure that the fuel or fuel additive does not contain

[[Page 37132]]

substances that are otherwise controlled by EPA.
    Fourth, as part of the certification, the certifier will be 
required to provide a sampling procedure that can be used by EPA or 
other enforcement authorities to verify owner compliance onboard and 
for enforcement purposes. That procedure should explain how to detect 
if the appropriate level of fuel additive or if the appropriate fuel 
type is actually being used onboard on the basis of a fuel sample taken 
from a fuel tank on the vessel. In addition to being provided to EPA as 
part of the certification process, the certifier will be required to 
provide a copy of this procedure to the purchaser as part of the 
remanufacture system package and will be required to maintain a copy of 
the procedure on the internet to facilitate in-field compliance 
verification.
    Fifth, the remanufacture system will require a notification to be 
placed at the appropriate fill location (either on the fuel tank inlet 
in the case of fuels or pre-blended fuel additives, or as specified on 
the engine in the case of fuel additives not blended in the fuel) that 
indicates the engine is outfitted with a fuel or fuel additive 
remanufacture system and that compliant fuel or additives must be used 
at all times.
    Finally, when an owner agrees to use a fuel or fuel additive-based 
remanufacture system in lieu of an engine-based system, that owner must 
also agree to any recordkeeping requirements specified in the 
certification of that system. These may include keeping a record of the 
purchase of the specified fuel or fuel additive and, in the case of 
additives, the amounts and dates of the additive use. These 
requirements must be set out by the certifier as part of the kit, and 
the owner will be deemed to have agreed to them by affixing a label to 
the engine or appropriate fuel or fuel additive inlet indicating that 
it is certified with a fuel or fuel-additive remanufacture system.
    If an owner or operator chooses a certified remanufacture system 
based on a particular fuel or fuel additive to meet these remanufacture 
requirements, the failure to use the fuel or fuel additive would be a 
violation of 1068.101(b)(1).
    Allowing the use of fuel or fuel additive-based remanufacture 
systems is not intended to be a mechanism to require fuel switching for 
marine diesel engines, either to 15 ppm fuel earlier than required or 
to distillate from residual fuel for auxiliary engines on vessels with 
Category 3 marine diesel engines or for those smaller vessels than may 
currently use residual fuel in their C2 main propulsion engines. It is 
also not intended to prevent the use of off-spec fuel in marine diesel 
engines. If there is no certified engine-based remanufacture system 
available for an engine, a fuel or fuel additive-based kit will not be 
required to be used even if one is certified.
    EPA is committed to the development and successful operation of a 
marine remanufacture program. We intend to assess the effectiveness of 
this program as early as 2012 to ascertain the extent to which engine 
manufacturers are providing certified remanufacture systems. If 
remanufacture systems are not available or are not in the process of 
being developed and certified at that time for a significant number of 
engines, we may consider changes to the program. As part of that 
assessment, we may evaluate whether to include Part 2 of the program 
described in our proposal. Part 2 would require the owner/operator or 
installers of a marine diesel engine identified by EPA as a high-sales 
volume engine to either use a certified remanufacture system when the 
engine is remanufactured or, if no system is available, retrofit an 
emission reduction technology for the engine that meets the 25 percent 
PM reduction, or repower (replace the engine with a freshly 
manufactured engine). Part 2 was intended to create a market for marine 
remanufacture systems, to help ensure their development over the 
initial five years of the program. However, vessel owners were very 
concerned that a mandatory repower program would have the opposite 
impact, and would discourage certification of remanufacture systems in 
favor of mandatory repowers due to the higher value of a replacement 
engine compared to a remanufacture system. In evaluating the 
effectiveness of the remanufacture program in the future, EPA may 
revisit the need for Part 2, or something similar, to ensure emission 
reductions from the large marine legacy fleet are occurring in a timely 
and effective manner. We may also evaluate other aspects of the 
program, including the criteria that trigger a remanufacturing event 
(including the 5-year period for incremental remanufactures), and 
whether we should set remanufacture standards for engines less than 600 
kW.
(3) Carbon Monoxide, Hydrocarbon, and Smoke Standards
    We did not propose and are not setting new standards for CO. 
Emissions of CO are typically relatively low in diesel engines today 
compared to non-diesel pollution sources. Furthermore, among diesel 
application sectors, locomotives and marine diesel engines are already 
subject to relatively stringent CO standards in Tier 2--essentially 1.5 
and 3.7 g/bhp-hr, respectively, compared to the current heavy-duty 
highway diesel engine CO standard of 15.5 g/bhp-hr. Therefore, the Tier 
3 and Tier 4 CO standards for all locomotives and marine diesel engines 
will remain at current Tier 2 levels and remanufactured Tier 0, 1 and 2 
locomotives will likewise continue to be subject to the existing CO 
standards for each of these tiers. Although we are not setting more 
stringent standards for CO in Tier 4, we note that aftertreatment 
devices using precious metal catalysts that we project will be employed 
to meet Tier 4 PM, NOX and HC standards will provide 
meaningful reductions in CO emissions as well.
    As discussed in section II, HC emissions, often characterized as 
VOCs, are precursors to ozone formation, and include compounds that EPA 
considers to be air toxics. As with CO, emissions of HC are typically 
relatively low in diesel engines compared to non-diesel sources. 
However, in contrast to CO standards, the HC standard for Tier 2 line-
haul locomotives (0.30 g/bhp-hr), though comparable to HC standards 
from other diesel applications in Tier 2 and Tier 3, is more than twice 
that of the long-term 0.14 g/bhp-hr standard set for both the heavy-
duty highway 2007 and nonroad Tier 4 programs. For marine diesel 
engines, the Tier 2 HC standard is expressed as part of a combined 
NOX+HC standard varying (by engine size) between 5.4 and 8.2 
g/bhp-hr, which clearly allows for high HC levels. Our more stringent 
Tier 3 NOX+HC standards for marine diesel engines will 
likely provide some reduction in HC emissions, but we expect that the 
catalyzed exhaust aftertreatment devices used to meet the Tier 4 
locomotive and marine NOX and PM standards will concurrently 
provide very sizeable reductions in HC emissions. Therefore, in 
accordance with the Clean Air Act section 213 provisions outlined in 
section I.B(3) of this preamble, we are applying a 0.14 g/hp-hr HC 
standard to locomotives and marine diesel engines in Tier 4. This level 
is the same as that adopted for highway and nonroad diesel engines 
equipped with high-efficiency aftertreatment.
    We are retaining the existing form of the HC standards through Tier 
3. That is, locomotive and marine HC standards will remain in the form 
of total hydrocarbons (THC), except for gaseous- and alcohol-fueled 
engines (See 40CFR Sec.  92.8 and Sec.  94.8). Likewise, the Tier 3 
marine NOX+HC standards are based on THC, except that Tier 3 
standards for less than 75 kW (100 hp) engines are

[[Page 37133]]

based on NMHC, consistent with their basis in the nonroad engine 
program. Tier 4 HC standards are expressed as NMHC standards, 
consistent with aftertreatment-based standards adopted for highway and 
nonroad diesel engines.
    As for other diesel mobile sources, we believe that locomotive 
smoke standards currently in place are of diminishing usefulness as PM 
emissions are reduced to very low levels, as these low-PM engines emit 
very little or no visible smoke. We are therefore not setting smoke 
standards for locomotives covered under the new 40 CFR Part 1033 
created by this final rule, if the locomotives are certified to a PM 
family emission limit (FEL) or standard of 0.05 g/bhp-hr (0.07 g/kW-hr) 
or lower. Locomotives certified with PM at higher levels are subject to 
smoke standards equal to those established previously in Part 92. This 
allows manufacturers of locomotives certified to Tier 4 PM (or to an 
FEL slightly above Tier 4) to avoid the unnecessary expense of testing 
for smoke. Marine diesel engines currently have no smoke standards and 
we are not setting any in this rule.
    Commenters suggested that smoke testing is superfluous for pre-Tier 
4 engines as well, because a properly maintained engine meeting any 
tier of EPA emissions standards will also meet the smoke standards. 
Based on the available information, we remain unconvinced that this 
argument is valid in all cases and we are therefore retaining the smoke 
standards for locomotives with PM FELs above 0.05 g/bhp-hr. However, we 
do agree that this relationship generally holds true for engines 
designed to emission standards being set in this rule, and are 
therefore waiving the smoke test requirement from certification, 
production line, and in-use testing, unless there is visible evidence 
of excessive smoke emissions. This provides the test cost savings 
sought by the manufacturers but retains the EPA enforcement opportunity 
if smoke should become a problem in engines subject to this program.

C. Are the Standards Feasible?

    In this section, we describe the feasibility of the various 
emission control technologies we project will be used to meet the 
standards we are finalizing today. Because of the range of engines and 
applications we cover in this rulemaking and because of the diversity 
in technologies that will be available for them, our standards span a 
range of emission levels. We have identified a number of different 
emission control technologies we expect will be used to meet these 
standards. The technologies range from incremental improvement of 
existing engine components to highly advanced catalytic exhaust 
aftertreatment systems similar to those expected to be used to control 
emissions from heavy-duty diesel trucks and nonroad equipment.
    We first describe the feasibility of emission control technologies 
we project will be used to meet the standards we are finalizing for 
existing locomotive and marine engines that are remanufactured as new 
(i.e., Tier 0, 1, 2 locomotives and marine diesel engines >600 kW). We 
next describe how these same technologies will be applied to meet the 
interim standards for freshly manufactured engines (i.e., Tier 3). We 
conclude this section with a discussion of catalytic exhaust 
aftertreatment technologies projected to be used to meet our Tier 4 
standards. Throughout this section, we also address many of the 
comments submitted by stakeholders concerning the feasibility, 
applicability, performance, and durability of the emission control 
technologies we presented in the Notice of Proposed Rulemaking (NPRM). 
For a more detailed analysis of these technologies, issues related to 
their application to locomotive and marine diesel engines, and our 
response to public comments, we refer you to the Regulatory Impact 
Analysis (RIA) and Summary & Analysis of Comments documents associated 
with this rulemaking.
(1) Emission Control Technologies for Remanufacture of Existing 
Locomotives and Marine Diesel Engines >600 kW
    In the locomotive sector, emissions standards already exist for 
engines that are remanufactured as new. Some of these engines were 
originally unregulated (i.e. Tier 0), and others were originally built 
to earlier emissions standards (Tier 1 and Tier 2). This rulemaking now 
requires more stringent standards for these engines whenever the 
locomotives are remanufactured as new. Our remanufactured engine 
standards apply to locomotive engines and marine engines >600 kW that 
were originally built as early as 1973.
    We project that incremental improvements to existing engine 
components will make it feasible to meet both our locomotive and marine 
remanufactured engine standards for PM. In many cases, these 
improvements have already been implemented on newly built locomotives 
to meet our current locomotive standards. To meet the more stringent 
NOX standard for the locomotive Tier 0+ and Tier 1+ 
remanufacturing program, we expect that improvements in fuel system 
design, engine calibration and optimization of existing after-cooling 
systems will be used to reduce NOX from the current 9.5 g/
bhp-hr Tier 0 standard to the tightened Tier 1+ standard for 
NOX of 7.4 g/bhp-hr. These are the same technologies used to 
meet the current Tier 1 emission standard of 7.4 g/bhp-hr. In essence, 
locomotive manufacturers will duplicate current Tier 1 locomotive 
NOX and HC emission solutions and incorporate them into the 
portion of the existing Tier 0 fleet able to accommodate them (i.e. 
locomotives manufactured with separate-circuit cooling systems for 
intake air and engine coolant). For older Tier 0 locomotives without 
separate-circuit cooling systems, reaching the Tier 1 NOX 
level will not be possible, and 8.0 g/hp-hr represents the lowest 
achievable NOX emission level through the application of 
improved fuel system design.
    To meet the more stringent PM standards for the Tier 0+, 1+, and 2+ 
locomotive and marine remanufacturing programs (as well as the new 
locomotive Tier 3 interim standards), we expect that lubricating oil 
consumption control technologies will be implemented. A significant 
fraction of the PM in today's medium-speed locomotive and locomotive-
based marine engines is comprised of lubricating oil.\129\ Engine 
design changes which reduce oil consumption also reduce the volatile 
organic fraction of the engine-out PM. Whether oil consumption is 
reduced through improvements in piston ring-pack design, improved 
closed crankcase ventilation systems, or a combination of both, lower 
PM emissions will result. We believe that use of existing low-oil-
consumption piston ring-pack designs--in conjunction with improvements 
to closed crankcase ventilation systems--can provide the significant, 
near-term PM reductions required for these remanufacturing programs. 
These PM-reducing technologies can be applied to all medium-speed 
locomotive and locomotive-based marine engines--including those built 
as far back as 1973.
---------------------------------------------------------------------------

    \129\ Smith, B., Osborne, D., Fritz, S., ``AAR Locomotive 
Emissions Testing 2006 Final Report,'' Association of American 
Railroads, Document LA-023.
---------------------------------------------------------------------------

    For the remanufacture of locomotive- and nonroad-based marine 
engines >600 kW, we believe that similar improvements to piston ring-
pack designs, as well as turbocharger, fuel system, and closed 
crankcase ventilation system improvements can achieve the 25 percent PM 
reduction required in this program without the use of exhaust 
aftertreatment devices.

[[Page 37134]]

Turbocharger designs which increase engine airflow or charge air 
cooling system enhancements which reduce intake air temperatures can 
reduce PM levels. Fuel system changes such as increased injection 
pressure or improved injector tip design can enhance fuel atomization, 
improving combustion efficiency and reducing soot PM. Any combination 
of these improvements--or other technologies which achieve the 25 
percent PM reduction--can become part of a certified marine 
remanufacture kit.
    We believe that some fraction of the remanufacturing systems for 
locomotives can be developed and certified as early as this year, so we 
are requiring the usage of the new Tier 0+, Tier 1+ and Tier 2+ 
emission control systems as soon as they are available. However, we 
estimate that it will take approximately 2 years to complete the 
development and certification process for all of the Tier 0+ and Tier 
1+ emission control systems, so full implementation of the Tier 0+ and 
Tier 1+ remanufactured engine standards is not anticipated until it is 
required in 2010. We base this lead time on the types of technology 
that we expect to be implemented and on the amount of lead time 
locomotive manufacturers needed to certify similar systems for our 
current remanufacturing program. The lead time required to implement 
the design changes necessary to meet the Tier 3 and remanufactured Tier 
2 locomotive PM emission standards led to an implementation date of 
2012 for new Tier 3 engines and 2013 for remanufactured Tier 2 engines. 
These engine changes include further improvements to ring pack designs 
(especially for two-stroke engines) and the implementation of high 
efficiency crankcase ventilation systems, which are described and 
illustrated in detail in Chapter 4 of the RIA.
(2) Emission Control Technologies for New Tier 3 Locomotive and Marine 
Diesel Engines
    The new Tier 3 locomotive and marine diesel engine standards 
require PM reductions relative to current Tier 2 levels. Based upon our 
on-highway and nonroad clean diesel experience, we expect that the 
introduction of ULSD fuel into the locomotive and marine sectors will 
reduce sulfate PM formation and assist in meeting the PM standards for 
locomotives (both remanufactured Tier 2 and new Tier 3) and new marine 
diesel engines. We believe that the combination of reduced sulfate PM 
and incremental design changes that bring oil and crankcase emission 
control to near Tier 3 nonroad or 2007 heavy-duty on-highway levels can 
provide at least a 50 percent reduction in PM emissions.
    For Tier 3 marine diesel engines (which are, in almost all 
instances, a derivative of land-based nonroad and locomotive engines), 
the technologies and design changes needed to meet the more stringent 
NOX and PM standards are already being developed for nonroad 
Tier 4 applications. In order to meet our nonroad Tier 4 emission 
levels, these engines, in the years before 2012, will see significant 
base engine improvements designed to reduce engine-out emissions. For 
details on the design, calibration, and hardware changes we expect will 
be used to meet the Tier 3 standards for lower horsepower marine 
engines, we refer you to our nonroad Tier 4 rulemaking.\130\ For 
example, we expect that marine engines will utilize high-pressure, 
common-rail fuel injection systems or improvements in unit injector 
design. When such fuel system improvements are used in conjunction with 
engine mapping and calibration optimization, the marine Tier 3 diesel 
engine standards can be met. In the case of locomotive-based marine 
engines, we expect that manufacturers will transfer the technologies 
used to meet locomotive standards to the marine engine designs.
---------------------------------------------------------------------------

    \130\ ``Final Regulatory Impact Analysis: Control of Emissions 
from Nonroad Diesel Engines,'' EPA420-R-04-007, May 2004, Docket 
EPA-HQ-OAR-2003-0012. The RIA is also available online at http://epa.gov/nonroad-diesel/2004fr/420r04007.pdf.
---------------------------------------------------------------------------

    The 2009 Tier 3 start date for marine engines <75 kW constitutes a 
special case. We proposed this very early start date, matched with 
standard levels equal to the nonroad engine Tier 4 standard levels that 
take effect in 2008, based on our assessment that these engines are 
close derivatives of the nonroad engines on which they are based--in 
some cases, with no substantive modifications. The 2009 start date 
accounts for time needed to make the necessary modifications, prepare 
for and conduct the certification process, and deal with the large 
overall workload burden for diesel engine manufacturers. Although the 
manufacturers commented that this is a very aggressive schedule, at the 
limits of feasibility, they did not refute our assessment. Their 
objections to implementation of the not-to-exceed (NTE) standard on the 
same schedule, and our response, are discussed in section IV.A(3).
    Because all of the aforementioned technologies to reduce 
NOX and PM emissions can be developed for production, 
certified, and introduced into the marine engine sector without 
extended lead-time, we believe these technologies can be implemented 
for some engines as early as 2009, and for all engines by 2014, on a 
schedule that very closely follows the nonroad Tier 4 engine changes.
(3) Catalytic Exhaust Aftertreatment Technologies for Tier 4 Locomotive 
and Marine Engines
    For marine diesel engines in commercial service that are greater 
than 600 kW and for all locomotives, we are setting stringent Tier 4 
standards based on the use of advanced catalytic exhaust aftertreatment 
systems to control both PM and NOX emissions. There are four 
main issues to address when analyzing the application of this 
technology to these new sources: The efficacy of the fundamental 
catalyst technology in terms of the percent reduction in emissions 
given certain engine conditions such as exhaust temperature; its 
appropriateness in terms of packaging; its long-term durability; and 
whether the technology significantly impacts an industry's supply chain 
infrastructure--especially with respect to supplying urea reductant for 
NOX aftertreatment on locomotives and marine vessels. We 
have carefully examined these points, and based upon our analysis 
(detailed in Chapter 4 of the RIA), we have identified robust PM and 
NOX catalytic exhaust aftertreatment systems that are 
suitable for locomotives and marine engines that also pose a manageable 
impact on the rail and marine industries' infrastructure.
(a) Catalytic PM Emission Control Technology
    The most effective exhaust aftertreatment used for diesel PM 
emission control is the diesel particulate filter (DPF). In Europe, 
more than one million light-duty diesel passenger cars are OEM-equipped 
with DPF systems, and worldwide, over 200,000 DPF retrofits to diesel 
engines have been completed.\131\ Broad application of catalyzed diesel 
particulate filter (CDPF) systems with greater than 90 percent PM 
control began with the successful introduction of 2007 model year 
heavy-duty diesel trucks in the United States. These systems use a 
combination of passive and active soot regeneration strategies. CDPF 
systems utilizing metal substrates are a further development that 
balances a degree of elemental carbon soot control with reduced

[[Page 37135]]

backpressure, improved ability of the trap to clear oil ash, greater 
design freedom regarding filter size/shape, and greater system 
robustness. Metal-CDPFs were initially introduced as passive-
regeneration retrofit technologies for diesel engines designed to 
achieve approximately 60 percent control of PM emissions. Recent data 
from development of these systems for Euro-4 truck applications has 
shown that metal-CDPF trapping efficiency for elemental carbon PM can 
exceed 70 percent for engines with inherently low elemental carbon 
emissions.\132\
---------------------------------------------------------------------------

    \131\ ``Diesel Particulate Filter Maintenance: Current Practices 
and Experience'', Manufacturers of Emission Controls Association, 
June 2005, online at http://meca.org/galleries/default-file/Filter_Maintenance_White_Paper_605_final.pdf.
    \132\ Jacob, E., La[euml]mmerman, R., Pappenheimer, A., Rothe, 
D. ``Exhaust Gas Aftertreatment System for Euro 4 Heavy-duty 
Engines'', MTZ, June, 2006.
---------------------------------------------------------------------------

    Data from locomotive testing confirms a relatively low elemental 
carbon fraction and relatively high organic fraction for PM emissions 
from medium-speed Tier 2 locomotive engines.\133\ The use of an 
oxidizing catalyst with platinum group metals (PGM) coated directly to 
the CPDF combined with a diesel oxidation catalyst (DOC) mounted 
upstream of the CDPF will provide 95 percent or greater removal of HC, 
including the semi-volatile organic compounds that contribute to PM. 
Such systems will reduce overall PM emissions from a locomotive or 
marine diesel engine by approximately 90 percent from today's levels.
---------------------------------------------------------------------------

    \133\ Smith, B., Osborne, D., Fritz, S. ``AAR Locomotive 
Emissions Testing 2006 Final Report'' Association of American 
Railroads, Document LA-023.
---------------------------------------------------------------------------

    We believe that locomotive and marine diesel engine manufacturers 
will benefit from the extensive development taking place to implement 
DPF technologies in advance of the heavy-duty truck and nonroad PM 
standards in Europe and the United States. Given the steady-state 
operating characteristics of locomotive and marine engines, DPF 
regeneration strategies will certainly be capable of precisely 
controlling PM under all conditions and passively regenerating whenever 
the exhaust gas temperature is >250 [deg]C. Therefore, we believe that 
the Tier 4 PM standards we are adopting for locomotive and marine 
diesel engines are technologically feasible. And given the level of 
activity in the on-highway and nonroad sectors to implement DPF 
technology, we have concluded that our implementation dates for 
locomotive and marine diesel engines are appropriate and achievable.
(b) Catalytic NOX Emission Control Technology
    We have analyzed a variety of technologies available for 
NOX reduction to determine their applicability to diesel 
engines in the locomotive and marine sectors. As described in more 
detail in Chapter 4 of the RIA, we expect locomotive and marine diesel 
engine manufacturers will choose to use Selective Catalytic Reduction 
(SCR) to comply with our new standards. SCR is a commonly-used 
aftertreatment device for meeting stricter NOX emissions 
standards in diesel applications worldwide. Stationary power plants 
fueled with coal, diesel, and natural gas have used SCR for three 
decades as a means of controlling NOX emissions, and 
currently European heavy-duty truck manufacturers are using this 
technology to meet Euro 5 emissions limits. To a lesser extent, SCR has 
been introduced on diesel engines in the U.S. market, but the 
applications have been largely limited to ferry boats and stationary 
electrical power generation demonstration projects in California and 
several of the Northeast states. However, several heavy-duty truck 
engine manufacturers have indicated that they will use SCR technology 
by 2010, when 100 percent of the heavy-duty diesel trucks are required 
to meet the NOX limits of the 2007 heavy-duty highway 
rule.134, 135 Providing comment on our NPRM, locomotive and 
marine diesel engine manufacturers confirm that they expect to use 
urea-SCR catalyst systems to comply with our Tier 4 standards. While 
other promising NOX-reducing technologies such as lean 
NOX catalysts, NOX adsorbers, and advanced 
combustion control continue to be developed (and may be viable 
approaches to the standards we are setting today), our analysis assumes 
that SCR will be the Tier 4 NOX technology of choice in the 
locomotive and marine diesel engine sectors.
---------------------------------------------------------------------------

    \134\ ``Review of SCR Technologies for Diesel Emission Control: 
European Experience and Worldwide Perspectives,'' presented by Dr. 
Emmanuel Joubert, 10th DEER Conference, July 2004.
    \135\ Lambert, C., ``Technical Advantages of Urea SCR for Light-
Duty and Heavy-Duty Diesel Vehicle Applications,'' SEA Technical 
Paper 2004-01-1292, 2004.
---------------------------------------------------------------------------

    An SCR catalyst supports the chemical reactions which reduce 
nitrogen oxides in the exhaust stream to elemental nitrogen 
(N2) and water by using ammonia (NH3) as the 
reducing agent. The most-common method for supplying ammonia to the SCR 
catalyst is to inject an aqueous urea-water solution into the exhaust 
stream. In the presence of high-temperature exhaust gasses (>250 
[deg]C), the urea hydrolyzes to form NH3 and CO2. 
The NH3 is stored on the surface of the SCR catalyst where 
it is used to complete the NOX-reduction reaction. In 
theory, it is possible to achieve 100 percent NOX conversion 
if the NH3-to-NOX ratio ([alpha]) is 1:1 and the 
space velocity within the catalyst is not excessive. However, given the 
space limitations in packaging exhaust aftertreatment devices in mobile 
applications, an [alpha] of 0.85-1.0 is often used to balance the need 
for high NOX conversion rates against the potential for 
NH3 slip (where NH3 passes through the catalyst 
unreacted). The urea dosing strategy and the desired [alpha] are 
dependent on the conditions present in the exhaust gas; namely 
temperature and the quantity of NOX present (which can be 
determined by engine mapping, temperature sensors, and NOX 
sensors). Overall NOX conversion efficiency, especially 
under low-temperature exhaust gas conditions, can be improved by 
controlling the ratio of two NOX species within the exhaust 
gas; NO2 and NO. This can be accomplished through use of an 
oxidation catalyst upstream of the SCR catalyst to promote the 
conversion of NO to NO2. The physical size and catalyst 
formulation of the oxidation catalyst are the principal factors that 
control the NO2-to-NO ratio, and by extension, improve the 
low-temperature performance of the SCR catalyst.
    Recent studies have shown that SCR systems are capable of providing 
well in excess of 80 percent NOX reduction efficiency in 
high-power, diesel applications.136, 137, 138 SCR catalysts 
can achieve significant NOX reduction throughout much of the 
exhaust gas temperature operating range observed in locomotive and 
marine applications. Collaborative research and development activities 
between diesel engine manufacturers, truck manufacturers, and SCR 
catalyst suppliers have also shown that SCR is a mature, cost-effective 
solution for NOX reduction on diesel engines in other mobile 
sources. While many of the published studies have focused on highway 
truck applications, similar trends, operational characteristics, and 
NOX reduction efficiencies have been reported for marine and 
stationary applications as well.\139\ Given the preponderance of 
studies and data--and our analysis summarized here and detailed in 
Chapter 4 of the RIA--we have

[[Page 37136]]

concluded that this technology is appropriate for locomotive and marine 
diesel applications. Furthermore, locomotive and marine diesel engine 
manufacturers will benefit from the extensive development taking place 
to implement SCR technologies in advance of the heavy-duty truck 
NOX standards in Europe and the U.S. The urea dosing systems 
for SCR, already in widespread use across many different diesel 
applications, are expected to become more refined, robust, and reliable 
in advance of our Tier 4 locomotive and marine standards. Given the 
predominately steady-state operating characteristics of locomotive and 
marine engines, SCR NOX control strategies will certainly be 
capable of precisely controlling NOX under all conditions 
whenever the exhaust gas temperature is greater than 250 [deg]C.
---------------------------------------------------------------------------

    \136\ Walker, A.P. et al., ``The Development and In-Field 
Demonstration of Highly Durable SCR Catalyst Systems,'' SAE 2004-01-
1289.
    \137\ Conway, R. et al., ``Combined SCR and DPF Technology for 
Heavy Duty Diesel Retrofit,'' SAE Technical Paper 2005-01-1862, 
2005.
    \138\ ``The Development and On-Road Performance and Durability 
of the Four-Way Emission Control SCRTTM System,'' presented by Andy 
Walker, 9th DEER Conference, August 28, 2003.
    \139\ Telephone conversation with Gary Keefe, Argillon, June 6, 
2006.
---------------------------------------------------------------------------

    To ensure that we have the most up-to-date information on urea-SCR 
NOX technologies and their application to locomotive and 
marine engines, we have met with a number of locomotive and marine 
engine manufacturers, as well as manufacturers of catalytic 
NOX emission control systems. Through our discussions we 
have learned that some engine manufacturers perceive some risk 
regarding urea injection accuracy and long-term catalyst durability, 
both of which could result in either less efficient NOX 
reduction or ammonia emissions. Comments on our NPRM, submitted by the 
Manufacturers of Emission Controls Association (MECA), provided 
additional information on the issues of urea dosing accuracy, catalyst 
durability, and system performance and their comments are consistent 
with our own analysis that urea-SCR technology can provide durable 
control of NOX emissions. We have carefully investigated 
these issues for other diesel applications and conclude that precise 
urea injection systems and durable catalysts already exist and have 
been applied to urea-SCR NOX emission control systems which 
are similar to those that we expect to be implemented in locomotive and 
marine applications.
    Urea injection systems applied to on-highway diesel trucks and 
diesel electric power generators already ensure the precise injection 
of urea, and these applications have similar--if not more dynamic--
engine operation as compared to locomotive and marine engine operation. 
To ensure precise urea injection across all engine operating 
conditions, these systems utilize NOX sensors to maintain 
closed-loop feedback control of urea injection. These NOX-
sensor-based feedback control systems are similar to oxygen sensor-
based systems that are used with catalytic converters on virtually 
every gasoline vehicle on the road today. These systems, already 
developed for many diesel engines, are directly applicable to 
locomotive and marine engines as well.
(c) Durability of Catalytic PM and NOX Emission Control 
Technology
    Published studies indicate that SCR systems will experience very 
little deterioration in NOX conversion throughout the life-
cycle of a diesel engine.140, 141 The principal mechanism of 
deterioration in an SCR catalyst is thermal sintering--the loss of 
catalyst surface area due to the melting and growth of active catalyst 
sites under high-temperature conditions (as the active sites melt and 
combine, the total number of active sites at which catalysis can occur 
is reduced). This effect can be minimized by design of the SCR catalyst 
washcoat and substrate for the exhaust gas temperature window in which 
it will operate. Several commenters noted that locomotives are subject 
to consist operation in tunnels, which results in elevated exhaust gas 
temperatures. Further, they speculated that these elevated exhaust 
temperatures could reach 700 [deg]C--a temperature that could lead to 
deterioration of catalyst performance over the useful life of a 
locomotive. To investigate this scenario, EPA conducted a study (in 
cooperation with locomotive manufacturers and the railroads) in August, 
2007 on Union Pacific's Norden tunnel system (between Sparks, NV and 
Roseville, CA).\142\ We determined that the peak, post-turbine exhaust 
gas temperature observed in the 2 trailing units of a 4-unit lead 
consist was only 560 [deg]C. In light of this new information, we are 
more confident that catalytic aftertreatment devices will be both 
effective and durable when used in locomotive service.
---------------------------------------------------------------------------

    \140\ Conway, R. et al., ``NOX and PM Reduction Using 
Combined SCR and DPF Technology in Heavy Duty Diesel Applications,'' 
SAE Technical Paper 2005-01-3548, 2005.
    \141\ Searles, R.A., et al., ``Investigation of the Feasibility 
of Achieving EURO V Heavy-Duty Emission Limits with Advanced 
Emission Control Systems,'' 2007 AECC Conference--Belgium, Paper 
Code: F02E310.
    \142\ ``Locomotive Exhaust Temperatures During High Altitude 
Tunnel Operation In Donner Pass,'' U.S. EPA, August 29, 2007. This 
document is available in Docket EPA-HQ-OAR-2003-0190-0736.
---------------------------------------------------------------------------

    Another mechanism for catalyst deterioration is chemical 
poisoning--the plugging and/or chemical de-activation of active 
catalytic sites. Phosphorus from the engine oil and sulfur from diesel 
fuel are the primary components in the exhaust stream which can de-
activate a catalytic site. The risk of catalyst deterioration due to 
sulfur poisoning will be all but eliminated with the 2012 
implementation of ULSD fuel (<15 ppm S) for locomotive and marine 
applications. Locomotive and marine operators will already have several 
years of experience running ULSD fuel by the time NOX 
aftertreatment technology is required. Catalyst deterioration due to 
chemical poisoning can also be reduced through the use of an engine oil 
with lower levels of sulfated ash, phosphorous, and sulfur (commonly 
referred to as ``low-SAPS'' oil). Such an oil formulation, designed for 
use in 2007 DPF- and DOC-equipped on-highway, heavy-duty engines was 
introduced in October 2006 and is specified by the American Petroleum 
Institute (API) as ``CJ-4.'' \143\ This specification has new and/or 
lower limits on the amount of sulfated ash, phosphorous, and sulfur an 
oil may contain and was developed specifically for 2007 on-highway 
engines equipped with exhaust aftertreatment technologies running on 
ULSD fuel. Previous oil formulations for heavy-duty, on-highway 
engines, such as API CI-4, did not specify a limit for sulfur content, 
and allowed higher levels of phosphorous (0.14% vs. 0.12%) and ash 
(1.2~1.5% vs. 1.0%) content.\144\
---------------------------------------------------------------------------

    \143\ ``API CJ-4 Performance Specifications,'' American 
Petroleum Institute, online at http://apicj-4.org/performance_spec.html. This document is available in Docket EPA-HQ-OAR-2003-
0190-0738.
    \144\ ``CJ-4 Performance Specification: Frequently Asked 
Questions,'' Lubrizol, online at http://www.lubrizol.com/cj-4/faq.asp. This document is available in Docket EPA-HQ-OAR-2003-0190-
0741.
---------------------------------------------------------------------------

    The migration of low-SAPS engine oil properties to future 
locomotive and marine oil formulations--while beneficial and 
directionally helpful in regards to the durability, performance, and 
maintenance of the exhaust aftertreatment components we reference--does 
not affect our feasibility analysis. European truck and marine 
applications have shown that SCR is a durable technology even without 
using a low-SAPs oil formulation. One commenter suggested that these 
newer, low-SAPS oil formulations, developed for use in on-highway and 
nonroad diesel engines, may not be appropriate for locomotive or marine 
applications. While we acknowledge that the exact oil formulation for 
locomotive and marine applications using ULSD fuel is not known today, 
we do believe that there is adequate time to develop an appropriate oil 
formulation. For example, in the State of California, all

[[Page 37137]]

intra-state locomotives, marine vessels (in the SCAQMD), and nonroad 
engines have been operating with ULSD fuel since June, 2006--so there 
should already be field data/experience available today to begin 
developing an oil formulation for ULSD in advance of the implementation 
date for aftertreatment-forcing standards. In addition, the nonroad 
sector will have transitioned to ULSD fuel nationwide by June, 2010, 
followed by the locomotive sector in June, 2012--again, leaving ample 
time to develop an oil formulation which does not contain any more 
sulphated-ash than necessary to neutralize crankcase acids.
    Thermal cycling, mechanical vibration, and shock loads are all 
factors which can affect the mechanical durability of exhaust system 
components. The stresses applied to the aftertreatment devices by these 
factors can be managed through the selection of proper materials and 
the design of support and mounting structures which are capable of 
withstanding the shock and vibration levels present in locomotive and 
marine applications. One commenter to our NPRM stated that shock 
loading for a locomotive catalyst is estimated to be 10-12 g. This 
level of shock loading is consistent with the levels that catalyst 
substrate manufacturers, catalyst canners, and exhaust system 
manufacturers are currently designing to (for OEM aftertreatment 
systems and components subject to the durability requirements of on-
highway, marine, and nonroad applications). Nonroad applications such 
as logging equipment are subject to shock loads in excess of 10 g and 
on-highway applications can exceed 30 g (with some OEM applications 
specifying a 75 g shock load requirement).\145\ In addition, the 
American Bureau of Shipping (ABS) specification for exhaust manifolds 
on diesel engines states that these parts may need to withstand 
vibration levels as high as 10 g at 600 [deg]C for 90 
minutes.\146\ Given these examples of shock and vibration requirements 
for today's nonroad, on-highway, and marine environments, we believe 
that appropriate support structures can be designed and developed for 
the aftertreatment devices we expect to be used on Tier 4 locomotives.
---------------------------------------------------------------------------

    \145\ Correspondence from Adam Kotrba of Tenneco. This document 
is available in Docket EPA-HQ-OAR-2003-0190-0742.
    \146\ ``ABS Rules for Building and Classing--Steel Vessels Under 
90 Meters (295 Feet) In Length,'' Part 4--Vessel Systems and 
Machinery, American Bureau of Shipping, 2006.
---------------------------------------------------------------------------

(d) Packaging of Catalytic PM and NOX Emission Control 
Technologies
    Locomotive manufacturers will need to design the exhaust system 
components to accommodate the aftertreatment system. Our analysis, 
detailed in the RIA, shows that the packaging requirements for the 
aftertreatment system are such that they can be accommodated within the 
envelope defined by the Association of American Railroads (AAR) Plate 
``L'' clearance diagram for freight locomotives.\147\ The typical 
volume required for the SCR catalyst and post-SCR ammonia slip catalyst 
for Euro V and U.S. 2010 heavy-duty truck applications is approximately 
2 times the engine displacement, and the upstream DOC/CDPF volume is 
approximately 1-1.5 times the engine displacement. Due to the longer 
useful life and maintenance intervals required for locomotive 
applications, we estimate that the SCR catalyst volume will be sized at 
approximately 2.5 times the engine displacement, and the combined DOC/
CDPF volume will be approximately 1.7 times the engine displacement. 
For a typical locomotive engine with 6 ft3 of total cylinder 
displacement, the volume requirement for the aftertreatment components 
alone would be approximately 25 ft3 (of the 80 
ft3 estimated to be available for packaging these components 
and their associated ducts/hardware above the engine).
---------------------------------------------------------------------------

    \147\ ``AAR Manual of Standards and Recommended Practices,'' 
Standard S-5510, Association of American Railroads.
---------------------------------------------------------------------------

    EPA engineers have examined Tier 2 EMD and GE line-haul locomotives 
and acknowledge that packaging the necessary aftertreatment components 
will be a difficult task. However, this task should not be more 
difficult (and will quite likely less so) than the packaging challenges 
faced by nonroad and on-highway applications. Given the space available 
on today's locomotives, we feel that packaging catalytic PM and 
NOX emission control technologies onboard locomotives may be 
less challenging than packaging similar technologies onboard other 
mobile sources (such as light-duty vehicles, heavy-duty trucks, and 
nonroad equipment). Given that similar exhaust systems are either 
already implemented onboard these vehicles or will be implemented on 
these vehicles years before similar systems would be required onboard 
locomotives and marine vessels, we have concluded that any packaging 
issues will be successfully addressed early in the locomotive and 
marine vessel design process. Our analysis concludes that there is 
adequate space to package these components, as well as their associated 
ducts, transitions, and urea/exhaust mixing devices. This conclusion 
also applies to new switcher locomotives as well, which while being 
shorter in length than line-haul locomotives, are also equipped with 
smaller, less-powerful engines--resulting in smaller volume 
requirements for the aftertreatment components.
    For commercial vessels which use marine diesel engines greater than 
600 kW, we expect these vessels will be designed to accommodate the 
exhaust system components engine manufacturers specify as necessary to 
meet the new standards. Our discussions with marine architects and 
engineers, along with our review of vessel characteristics, leads us to 
conclude that for commercial marine vessels, adequate engine room space 
can be made available to package aftertreatment components. Packaging 
of these components, and analyzing their mass/placement effect on 
vessel characteristics, will become part of design process undertaken 
by marine architecture firms.\148\
---------------------------------------------------------------------------

    \148\ Telephone conversation between Brian King, Elliot Bay 
Design Group, and Brian Nelson, EPA, July 24, 2006.
---------------------------------------------------------------------------

    We did determine, however, that for recreational vessels and for 
vessels equipped with engines less than 600 kW, catalytic PM and 
NOX exhaust aftertreatment systems were less practical from 
a packaging standpoint than for the larger, commercially operated 
vessels. We have identified catalytic emission control systems that 
would significantly reduce emissions from these smaller vessels. 
However, after taking into consideration costs, energy, safety, and 
other relevant factors, we found a number of reasons, detailed in the 
RIA, to not adopt any new exhaust aftertreatment-forcing standards at 
this time on these smaller vessels. One reason is that most of these 
vessels use seawater-cooled exhaust systems--and even seawater 
injection into their exhaust systems--to cool engine exhaust gases and 
prevent the overheating materials such as a fiberglass hull. This 
current practice of cooling and seawater injection could reduce the 
effectiveness of catalytic exhaust aftertreatment systems. This is 
significantly more challenging than for gasoline catalyst systems due 
to much larger relative catalyst sizes and cooler exhaust temperatures 
typical of diesel engines. In addition, because of these vessels' small 
size and their typical operation by planing high on the surface

[[Page 37138]]

of the water, catalytic exhaust aftertreatment systems pose several 
significant packaging and weight challenges. These challenges could be 
addressed by the use of lightweight hull and superstructure materials. 
But any solution which employs new, lightweight hull and superstructure 
materials would have to be developed, tested and approved by 
classifying organizations prior to their application on vessels using 
catalytic exhaust aftertreatment systems. Taken together, these factors 
led us to conclude that it is not prudent to set aftertreatment-forcing 
emission standards for marine diesel engines below 600 kW at this time.
(e) Infrastructure Impacts of Catalytic PM and NOX Emission 
Control Technologies
    For PM trap technology the rail and marine industries will 
experience minimal impacts on their infrastructures. Since PM trap 
technology relies on no separate reductant, any infrastructure impacts 
will be limited to some minor changes in maintenance practices and 
equipment at maintenance facilities. Such maintenance will be limited 
to the infrequent removal of ash buildup from within a PM trap. This 
type of maintenance may require that maintenance facilities 
periodically remove PM traps for ash cleaning and may involve the use 
of a crane or other lifting device. We understand that much of this 
kind of infrastructure already exists for other locomotive and marine 
engine maintenance practices. We have toured shipyards and locomotive 
maintenance facilities at rail switchyards, and we observed that such 
facilities are generally already adequate for any required PM trap 
removal and maintenance.
    We do expect some impact on the railroad and marine sectors to 
accommodate the use of a separate reductant for use in a NOX 
SCR system. For light-duty, heavy-duty, and nonroad applications, the 
commonly preferred reductant in an SCR system has been a 32.5 percent 
urea-water solution. The 32.5 percent solution, also known as the 
``eutectic'' concentration, provides the lowest freezing point (-11 
[deg]C or 12 [deg]F) and ensures that the ratio of urea-to-water will 
not change when the solution begins to freeze.\149\ Heated urea storage 
tanks and insulation of the urea dosing hardware onboard the locomotive 
(urea storage tank, pump, and lines) may be necessary to prevent 
freeze-up in northern climates. Locomotives and marine vessels are 
commonly refueled from large, centralized fuel storage tanks, tanker 
trucks, or tenders with long-term purchase agreements. Urea suppliers 
will be able to distribute urea to the locomotive and marine markets in 
a similar manner, or they may choose to employ multi-compartment diesel 
fuel/urea tanker trucks for delivery of both products simultaneously. 
The frequency that urea will need to be replenished is dependent on 
many factors; urea storage capacity, engine duty-cycle, and expected 
urea dosing rate for each application. We expect that locomotive 
manufacturers and marine vessel designers will size the urea storage 
tanks appropriate to the usage factors for each application plus some 
margin-of-safety (to reduce the probability that an engine will be 
operated without urea). Discussions concerning the urea infrastructure 
in North America and specifications for an emissions-grade urea 
solution are now under way amongst light- and heavy-duty on-highway 
diesel stakeholders.
---------------------------------------------------------------------------

    \149\ Miller, W. et al., ``The Development of Urea-SCR 
Technology for US Heavy Duty Trucks,'' SAE Technical Paper 2000-01-
0190, 2000.
---------------------------------------------------------------------------

    Although an infrastructure for widespread transportation, storage, 
and dispensing of SCR-grade urea does not currently exist in the U.S., 
the affected stakeholders in the light- and heavy-duty on-highway and 
nonroad diesel sectors are expected to follow the European model, where 
diesel engine/truck manufacturers and fuel refiners/distributors have 
formed a collaborative working group known as ``AdBlue.'' The goal of 
the AdBlue organization is to resolve potential problems with the 
supply, handling, and distribution of urea and to establish standards 
for product purity.\150\ With regard to urea production capacity, the 
U.S. has more-than-sufficient capacity to meet the additional needs of 
the rail and marine industries. For example, in 2003, the total diesel 
fuel consumption for Class I railroads was approximately 3.8 billion 
gallons.\151\ If 100 percent of the Class I locomotive fleet were 
equipped with SCR catalysts, approximately 190 million gallons-per-year 
of 32.5 percent urea-water solution would be required.\152\ It is 
estimated that 190 million gallons of urea solution would require 0.28 
million tons of dry urea (1 ton dry urea is needed to produce 667 
gallons of 32.5 percent urea-water solution). Currently, the U.S. 
consumes 14.7 million tons of ammonia resources per year, and relies on 
imports for 41 percent of that total (of which, urea is the principal 
derivative). In 2005 domestic ammonia producers operated their plants 
at 66 percent of rated capacity, resulting in 4.5 million tons of 
reserve production capacity.\153\ In the very long-term situation 
above, where 100 percent of the locomotive fleet required urea, only 
6.2 percent of the reserve domestic capacity would be needed to satisfy 
the additional demand. A similar analysis for the marine industry, with 
a yearly diesel fuel consumption of 2.2 billion gallons per year, would 
not significantly impact the urea demand-to-reserve capacity equation. 
Since the rate at which urea-SCR technology is introduced to the 
railroad and marine markets will be gradual--and the reserve urea 
production capacity is more-than-adequate to meet the expected demand 
from all diesel markets in the 2017 timeframe--EPA does not project any 
urea cost or supply issues, beyond the costs estimated in the RIA, will 
result from implementing the Tier 4 standards.
---------------------------------------------------------------------------

    \150\ ``Ensuring the Availability and Reliability of Urea Dosing 
for On-Road and Non-Road,'' presented by Glenn Barton, Terra Corp., 
9th DEER Conference, August 28, 2003.
    \151\ ``National Transportation Statistics--2004,'' Table 4-5, 
U.S. Bureau of Transportation Statistics.
    \152\ Assuming the dosing rate of 32.5 percent urea-water 
solution is 5 percent of the total fuel consumed; 3.8 billion 
gallons of diesel fuel * 0.05 = 190 million gallons of urea-water 
solution.
    \153\ ``Mineral Commodity Summaries 2006,'' page 118, U.S. 
Geological Survey, online at www.minerals.usgs.gov/minerals/pubs/mcs/mcs2006.pdf.
---------------------------------------------------------------------------

(f) Unregulated Pollutants
    There is potential for the formation of unregulated pollutants of 
significant concern to EPA any time engine technologies change, 
including when new emission control technologies are added. Some 
examples of these unregulated pollutants include N2O and 
ammonia (NH3). In addition, failure to dose urea in an SCR 
system while operating under load may cause elevated NO2 
emissions. Similarly, use of a CDPF that produces NO2 in 
excess of what is needed for passive regeneration--and operated without 
a downstream SCR system--may lead to elevated NO2 emissions. 
Such increased NO2 emissions could be a concern for 
operation in enclosed environments such as locomotive operation in 
minimally ventilated or unventilated tunnels. Similarly, use of 
NOX reduction catalysts with poor selectivity could result 
in elevated N2O emissions. An aggressive urea dosing 
strategy within an SCR system (for high levels of NOX 
control) without a properly designed/calibrated feedback control 
system, ammonia slip catalyst, or adequate exhaust/urea mixing could 
also result in elevated ammonia (NH3) emissions.

[[Page 37139]]

These NH3 emissions, which can be minimized through the use 
of closed-loop feedback and control of urea injection, can be all-but-
eliminated through use of an oxidation catalyst downstream of the SCR 
catalyst. Such catalysts, commonly referred to as ``slip catalysts,'' 
are in use today and have been shown to be highly effective at 
eliminating ammonia emissions.\154\
---------------------------------------------------------------------------

    \154\ Smedler, Gudmund, ``NOX Emission Control 
Options'', 2007 HDD Emission Control Symposium--Gothenberg, Sweden, 
September 11, 2007.
---------------------------------------------------------------------------

    The issue of NH3 emissions (or ammonia slip) was raised 
by several commenters, with claims that excessive NH3 
emissions are ``inevitable'', and may reach 25 ppm during steady-state 
operation and 100 ppm during transient operation. We have assessed this 
issue and concluded that a properly-designed slip catalyst, with good 
selectivity to nitrogen (N2), can convert most of the excess 
NH3 released from the SCR catalyst into N2 and 
water. Recent studies by Johnson Matthey and the Association for 
Emissions Control by Catalyst (AECC) have shown that an aged SCR system 
equipped with a slip catalyst can achieve tailpipe NH3 
levels of less of than 10 ppm when tested on the European Stationary 
Cycle (ESC) and European Transient Cycle (ETC).154, 155 The 
SCR system in the Johnson Matthey study was aged on a cycle which 
included 400 hours of high-temperature operation at 650 [deg]C (to 
simulate active DPF regeneration events). Our analysis of the 
locomotive engine operating conditions presumes a maximum, post-turbine 
exhaust temperature of 560 [deg]C. This presumption is based on 
implementation of a ``passive'' DPF regeneration approach (in which 
NO2 created by the oxidation catalyst is sufficient to 
oxidize trapped soot) and our own testing of locomotives during 
operation in non-ventilated tunnels.\142\ Under these conditions, we 
expect slip catalysts to be durable and effective in reducing 
NH3 slip.
---------------------------------------------------------------------------

    \155\ Searles, R.A., et al., ``Investigation of Feasibility of 
Achieving EURO V Heavy-Duty Emission Limits with Advanced Emission 
Control Systems,'' 2007 AECC Conference--Belgium, Paper Code: 
F02E310.
---------------------------------------------------------------------------

    We expect manufacturers to be conscious of these possibilities and 
to take appropriate action to minimize or prevent the formation of 
unregulated pollutants when designing emission control systems. 
Manufacturers must comply with the ``Prohibited Controls'' section of 
40 CFR 1033.115(c), which states:
    ``You may not design or produce your locomotives with emission 
control devices, systems, or elements of design that cause or 
contribute to an unreasonable risk to public health, welfare, or safety 
while operating. For example, this would apply if the locomotive emits 
a noxious or toxic substance it would otherwise not emit that 
contributes to such an unreasonable risk.''
    Emission control systems designed to meet the 2007 and 2010 heavy-
duty truck and Tier 2 light-duty vehicle emission standards already 
take these unregulated pollutants into account through compliance with 
section 202(A)(4) of the Clean Air Act. CDPF systems that minimize 
formation of excess NO2 while still relying primarily on 
passive regeneration have entered production for OEM and retrofit 
applications. Compact urea-SCR systems that have been developed to meet 
the U.S. 2010 heavy-duty truck standards use closed-loop controls that 
continuously monitor NOX reduction performance. Such systems 
have the capability to control stack emissions of NH3 to 
below 5 ppm during transient operation even without the use of an 
ammonia slip catalyst. We understand that such systems may still emit 
some very small level of uncontrolled pollutants and we would not 
generally consider a system that releases de minimis amounts of 
NH3 or N2O while employing technology consistent 
with limiting these emissions to be in violation of Sec.  1033.115(c)--
which is the same way we currently treat passenger cars and heavy-duty 
trucks with regard to N2O and H2S emissions.
(4) The New Standards Are Technologically Feasible
    Our rulemaking involves a range of engines, and we have identified 
a range of technologically feasible emission control technologies that 
we project will be used to meet our new standards. Some of these 
technologies are incremental improvements to existing engine 
components, and many of these improved components have already been 
applied to similar engines. The other technologies we identified 
involve catalytic exhaust aftertreatment systems. For these 
technologies we carefully examined the catalyst technology, its 
applicability to locomotive and marine engine packaging constraints, 
its durability with respect to the lifetime of today's locomotive and 
marine engines, and its impact on the infrastructure of the rail and 
marine industries. From our analysis, which is presented in detail in 
our RIA, we conclude that incremental improvements to engine components 
and the implementation of catalytic PM and NOX exhaust 
aftertreatment technology will be feasible to meet our new emissions 
standards.

IV. Certification and Compliance Program

    This section describes the regulatory changes being finalized for 
the locomotive and marine compliance programs, beyond the standards 
discussed in section III. The most obvious change is that the 
regulations have been written in plain language. They are structured to 
contain the provisions that are specific to locomotives in a new part 
1033 and the provisions that are specific to marine engines and vessels 
in a new part 1042. We also proposed to apply the general provisions of 
existing parts 1065 and 1068.\156\ The plain language regulations, 
however, are not intended to significantly change the compliance 
program, except as specifically noted in today's notice. These plain 
language regulations will supersede the regulations in part 92 and 94 
(for Categories 1 and 2) as early as the 2008 model year. See section 
III for the starting dates for different engines. The changes from the 
existing programs are described below briefly along with other notable 
aspects of the compliance program. See the regulatory text for the 
detailed requirements and see the Summary and Analysis of Comments 
document for a more complete rationale for the changes being adopted. 
Note: The term manufacturer is used in this section to include 
locomotive and marine manufacturers and remanufacturers.
---------------------------------------------------------------------------

    \156\ We proposed modifications to the existing provisions of 40 
CFR part 1068 on May 18, 2007 (72 FR 28097). Readers interested in 
the compliance provisions that will apply to locomotives and marine 
diesel engines should also read the actual regulatory changes in 
that will be finalized in that rulemaking.
---------------------------------------------------------------------------

A. Issues Common to Locomotives and Marine

    For many aspects of compliance, we are adopting similar provisions 
for marine engines and locomotives, which are discussed in this 
section. Several other issues are also included in this section, where 
we are specifying different provisions, but where the issues are 
similar in nature. The remaining compliance issues are discussed in 
sections IV.B. (for locomotives) and IV.C. (for marine).
(1) Test Procedures
    (a) Incorporation of Part 1065 Test Procedures for Locomotive and 
Marine Diesel Engines
    As part of our initiative to update the content, organization and 
writing style

[[Page 37140]]

of our regulations, we are revising our test procedures. We have 
grouped all of our engine dynamometer and field testing test procedures 
into one part entitled, ``Part 1065: Test Procedures.'' For each engine 
or vehicle sector for which we have recently promulgated standards 
(such as land-based nonroad diesel engines or recreational vehicles), 
we identified an individual part as the standard-setting part for that 
sector. These standard-setting parts then refer to one common set of 
test procedures in part 1065. These programs regulate land-based on-
highway heavy-duty engines, land-based nonroad diesel engines, 
recreational vehicles, and nonroad spark-ignition engines over 19 kW. 
In this rule, we are applying part 1065 to all locomotive and marine 
diesel engines, as part of a plan to eventually have all our engine 
programs refer to a common set of procedures.
    In the past, each engine or vehicle sector had its own set of 
testing procedures. There are many similarities in test procedures 
across the various sectors. However, as we introduced new regulations 
for individual sectors, the more recent regulations featured test 
procedure updates and improvements that the other sectors did not have. 
As this process continued, we recognized that a single set of test 
procedures allows for improvements to occur simultaneously across 
engine and vehicle sectors. A single set of test procedures is easier 
to understand than trying to understand many different sets of 
procedures, and it is easier to move toward international test 
procedure harmonization if we only have one set of test procedures. We 
note that procedures that are particular for different types of engines 
or vehicles, for example, test schedules designed to reflect the 
conditions expected in use for particular types of vehicles or engines, 
remain separate and are reflected in the standard-setting parts of the 
regulations.
    The part 1065 test procedures are organized and written to be 
clearer than locomotive- and marine-specific test procedures found in 
parts 92 and 94. In addition, part 1065 improves the content of the 
respective testing specifications, including the following:
     Specifications and calculations written in the 
international system of units (SI)
     Procedures by which manufacturers can demonstrate that 
alternate test procedures are equivalent to specified procedures
     Specifications for new measurement technology that has 
been shown to be equivalent or more accurate than existing technology
     Procedures that improve test repeatability
     Calculations that simplify emissions determination
     New procedures for field testing engines
     More comprehensive sets of definitions, references, and 
symbols
     Calibration and accuracy specifications that are scaled to 
the applicable standard, which allows us to adopt a single 
specification that applies to a wide range of engine sizes and 
applications.
    We are adopting the lab-testing and field-testing specifications in 
part 1065 for all locomotive and marine diesel engines. These 
procedures replace those currently published in parts 92 and 94. We are 
making a gradual transition from the part 92 and 94 procedures. In 
general, we specify that manufacturers use the test procedures in 1065 
when certifying under part 1033 or 1042. However, we will allow 
manufacturers to use a combination of the old and new test procedures 
through 2014, provided such use is done using good engineering 
judgment. Moreover, manufacturers may continue to rely on carryover 
test data based on part 92 or 94 procedures to recertify engine 
families that are not changing.
    In the future, we may apply the test procedures specified in part 
1065 to other types of engines, so we encourage companies involved in 
producing or testing other engines to stay informed of developments 
related to these test procedures.
(b) Revisions to Part 1065
    Part 1065 was originally adopted on November 8, 2002 (67 FR 68242) 
and was initially applicable to standards regulating large nonroad 
spark-ignition engines and recreational vehicles under 40 CFR parts 
1048 and 1051. The test procedures initially adopted in part 1065 were 
sufficient to conduct testing, but on July 13, 2005 (70 FR 11534) we 
promulgated a final rule that reorganized these procedures and added 
content to make various improvements. Today, we are finalizing 
additional modifications, largely as proposed. The reader is referred 
to the NPRM, the regulatory text, and the docket for more information 
about the changes being made to Part 1065 in this final rule. Note that 
since part 1065 applies for diesel engines subject to parts 86 and 
1039, we are also making some minor revisions to those parts to reflect 
the changes being made to part 1065. (We are also making a technical 
correction to an equation in Sec.  86.117-96.)
    These changes will become effective July 7, 2008. Section 
1065.10(c)(6) of the existing regulations includes a provision that 
automatically allows manufacturers an additional 12 months beyond the 
effective date to revise their test procedures to comply with the new 
regulations. Since these changes will not affect the stringency of the 
standards, we also plan to use our authority under Sec.  1065.10(c)(4) 
to allow the use of carryover data collected using the earlier 
procedures.
(2) Certification Fuel
    It is well-established that measured emissions may be affected by 
the properties of the fuel used during the test. For this reason, we 
have historically specified allowable ranges for test fuel properties 
such as cetane and sulfur content. These specifications are intended to 
represent most typical fuels that are commercially available in use. 
This helps to ensure that the emissions reductions expected from the 
standards occur in use as well as during emissions testing.
    In our previous regulation of in-use locomotive and marine diesel 
fuel, we established a 15 ppm sulfur standard at the refinery gate for 
locomotive and marine (LM) diesel fuel beginning June 1, 2012. However, 
since we intended to allow the sale, distribution, and use of higher 
sulfur LM diesel fuel (such as contaminated ULSD) to continue 
indefinitely, we did not set a ``hard and fast'' downstream requirement 
that only 15 ppm LM diesel may be sold and distributed in all areas of 
the country . Because refiners cannot intentionally produce off-
specification fuel for locomotives, most in-use locomotive and marine 
diesel fuel will be ULSD (with a sulfur content of 15 ppm or less). 
Nevertheless, we expect that some fuel will be available with sulfur 
levels between 15 and 500 ppm, and our existing regulations require 
that such fuel be designated as 500 ppm sulfur diesel fuel. Note that 
fuel designated as 500 ppm sulfur is also known as low sulfur diesel 
fuel (LSD).
    Because we have reduced the upper limit for locomotive and marine 
diesel fuel sulfur content for refiners to 15 ppm in 2012, we are 
establishing new ranges of allowable sulfur content for diesel test 
fuels. See section IV.C.(8) for information about testing marine 
engines designed to use residual fuel. For marine diesel engines, we 
are specifying the use of ULSD fuel as the test fuel for Tier 3 and 
later standards. We believe this will correspond to the fuels that 
these engines will see in use over the long term. We recognize that 
this approach will mean that some marine engines will use a test fuel 
that is lower in sulfur than in-use fuel

[[Page 37141]]

during the first few years and that other Tier 2 marine engines allowed 
to be produced after 2012 will use a test fuel that is higher in sulfur 
than fuel already available in use when they are produced. However, we 
believe that it is more important to align changes in marine test fuels 
with changes in the PM standards than strictly with changes in the in-
use fuel. Nevertheless, we are allowing Tier 2 certification with fuel 
meeting the 7 to 15 ppm sulfur specification to simplify testing but 
will require that PM emissions be corrected to be equivalent to testing 
conducted with the specified fuel. This will ensure that the effective 
stringency of the Tier 2 standards will not be affected.
    For locomotives, we will require that Tier 4 engines be certified 
based on ULSD test fuels. We are also requiring that these locomotives 
use ULSD in the field. We will continue to allow the use of 500 ppm LM 
diesel fuel, in older locomotives in the field.\157\ Thus, we are 
requiring that remanufacture systems for Tier 0 and Tier 1 locomotives 
be certified on LSD test fuel. We are allowing the use of test fuels 
other than those specified here. Specifically, we will allow the use of 
ULSD during emission testing for locomotives otherwise required to use 
LSD, provided they do not use sulfur-sensitive technology (such as 
oxidation catalysts). However, as a condition of this allowance, the 
manufacturer will be required to add an additional amount to the 
measured PM emissions to make them equivalent to what would have been 
measured using LSD. For example, we will allow a manufacturer to test 
with ULSD if they adjusted the measured PM emissions upward by 0.01 g/
bhp-hr (which would be a relatively conservative adjustment and would 
ensure that manufacturers would not gain an inappropriate advantage by 
testing on ULSD).
---------------------------------------------------------------------------

    \157\ Under our existing fuel regulations (40 CFR 80.510(g)), 
500 ppm LM diesel fuel may not be sold and/or distributed in the 
Northeast/Mid-Atlantic (NE/MA) area beginning October 1, 2012. Such 
fuel may no longer be used in the NE/MA area beginning December 1, 
2012.
---------------------------------------------------------------------------

    We are adopting special fuel provisions for Tier 3 locomotives and 
Tier 2 locomotive remanufacture systems. The final regulations specify 
that the test fuel for these be ULSD without sulfur correction since 
these locomotives will use ULSD in use for most of their service lives. 
However, unlike Tier 4 locomotives, we will not require them to be 
labeled to require the use of ULSD, unless they included sulfur 
sensitive technology.
    We are adopting a new flexibility for locomotives and Category 2 
marine engines to reduce fuel costs for testing. Because these engines 
can consume 200 gallons of diesel fuel per hour at full load, fuel can 
represent a significant fraction of the testing cost, especially if the 
manufacturer must use specially blended fuel rather than commercially 
available fuel. To reduce this cost, we will allow manufacturers to 
immediately begin testing of locomotives and Category 2 marine engines 
with commercially available diesel fuel. We do not believe that this 
will change the effective stringency of the standards.
    For both locomotive and marine engines, all of the specifications 
described above will apply to emission testing conducted for 
certification, production-line testing, and in-use, as well as any 
other testing for compliance purposes for engines in the designated 
model years. Any compliance testing of previous model year engines will 
be done with the fuels designated in our regulations for those model 
years.
(3) Supplemental Emission Standards
    We are continuing the supplemental emission standards for 
locomotives and marine engines. For locomotives, this means we will 
continue to apply notch emission caps, based on the emission rates in 
each notch, as measured during certification testing. We recognize that 
for our Tier 4 standards it will not be practical to measure very low 
levels of PM emissions separately for each notch during testing, and 
thus we are changing the calculation of the PM notch cap for Tier 4 
locomotives. All other notch caps will be determined and applied as 
they currently are under 40 CFR 92.8(c). See Sec.  1033.101(e) of the 
regulations for the detailed calculation.
    Marine engines will continue to be subject to not-to-exceed (NTE) 
standards; however, we are making certain changes to these standards 
based upon our understanding of in-use marine engine operation and 
based upon the underlying Tier 3 and Tier 4 duty cycle emissions 
standards. As background, we determine NTE compliance by first applying 
a multiplier to the duty-cycle emission standard, and then we compare 
to that value an emissions result that is recorded when an engine runs 
within a certain range of engine operation. This range of operation is 
called an NTE zone (see 40 CFR 94.106). The first regulation of ours 
that included NTE standards was the commercial marine diesel 
regulation, finalized in 1999. After we finalized that regulation, we 
promulgated other NTE regulations for both heavy-duty on-highway and 
nonroad diesel engines. We also finalized a regulation that requires 
heavy-duty on-highway engine manufacturers to conduct field testing to 
demonstrate in-use compliance with the on-highway NTE standards. 
Throughout our development of these other regulations, we have learned 
many details about how best to specify NTE zones and multipliers that 
will ensure the greatest degree of in-use emissions control, while at 
the same time will avoid disproportionately stringent requirements for 
engine operation that has only a minor contribution to an engine's 
overall impact on the environment. Based upon the Tier 3 and Tier 4 
standards--and our best information of in-use marine engine operation--
we are making certain improvements to our marine NTE standards.
    For marine engines we are broadening the NTE zones in order to 
better control emissions in regions of engine operation where an 
engine's emissions rates (i.e. grams/hour, tons/day) are greatest; 
namely at high engine speed and high engine load. This is especially 
important for commercial marine engines because they typically operate 
at steady-state at high-speed and high-load operation. This change also 
will make our marine NTE zones much more similar to our on-highway and 
nonroad NTE zones. Additionally, we analyzed different ways to define 
the marine NTE zones, and we determined a number of ways to improve and 
simplify the way we define and calculate the borders of these zones. We 
feel that these improvements will help clarify when an engine is 
operating within a marine NTE zone.
    Note that we specify different duty cycles to which a marine engine 
may be certified, based upon the engine's specific application (e.g., 
fixed-pitch propeller, controllable-pitch propeller, constant speed, 
auxiliary, etc.). These duty cycles are described below in section 
IV.C.(9). Correspondingly, we also have a unique NTE zone for each of 
these duty cycles. These different NTE zones are intended to best 
reflect an engine's real-world range of operation for that particular 
application. One primary change in the NTE zones, compared to the NPRM, 
is for controllable-pitch propeller applications. Rather than using the 
nonroad NTE zone, as proposed, the final NTE zone for these engines has 
been revised to better reflect marine engine operation. Please refer to 
section 1042.101(c) of the new regulations for a description of our new 
NTE standards. In the cases where marine auxiliary engines use the same 
duty cycle as their land-based nonroad counterparts, we

[[Page 37142]]

are adopting the same NTE standards as we have already finalized for 
nonroad engines in 40 CFR Sec.  1039.101. As the standards for marine 
diesel engines under 75 kW are based on the corresponding nonroad 
engine standards, we are aligning the NTE standard start dates for 
these engines with the nonroad engine NTE start dates in 2012 and 2013.
    We are also implementing new NTE multipliers. We have analyzed how 
the Tier 3 and Tier 4 emissions standards affect the stringency of the 
marine NTE standards, especially in comparison to the stringency of the 
underlying duty cycle standards. We recognized that in certain sub-
regions of our new NTE zones, slightly higher multipliers are necessary 
because of the way that our more stringent Tier 3 and Tier 4 emissions 
standards will affect the stringency of the NTE standards. For 
comparison, Tier 2 marine NTE standards contain multipliers that range 
in magnitude from 1.2 to 1.5 times the corresponding duty cycle 
standard. The new multipliers range from 1.2 to 1.9 times the standard. 
Even with these slightly higher NTE multipliers, we are confident that 
our changes to the marine NTE standards will ensure the greatest degree 
of in-use emissions control. We are also confident that our changes to 
the marine NTE standards will continue to ensure proportional emissions 
reductions, across the full range of marine engine operation.
    We are also adopting other NTE provisions for marine engines that 
are similar to our existing heavy-duty on-highway and nonroad diesel 
NTE standards. We are making these particular changes to account for 
the implementation of catalytic exhaust treatment devices on marine 
engines. One such provision is to account for when a marine engine 
rarely operates within a limited region of the NTE zone (i.e. less than 
5 percent of in-use operation). Another provision allows small 
deficiencies in NTE compliance for a limited period of time. We feel 
that these provisions have been effective in our on-highway and nonroad 
NTE programs; therefore, we are adopting them for our marine NTE 
standards as well.
(4) Emission Control Diagnostics
    We requested comment on a requirement that all Tier 4 engines 
include a simple engine diagnostic system to alert operators to general 
emission-related malfunctions. As is described in the S&A document, we 
are not adopting such general requirements today. (See section IV.A.(7) 
of this Final Rule for related requirements involving SCR systems.) We 
are, however, adopting special provisions for locomotives that include 
emission related diagnostics. First, we will require locomotive 
operators to respond to malfunction indicators by performing the 
required maintenance or inspection. Second, locomotive manufacturers 
will be allowed to repair such malfunctioning locomotives during in-use 
compliance testing (they would still be required to include a 
description of the malfunction in the in-use testing report.). This 
approach takes advantage of the unique market structure with two major 
manufacturers and only a few railroads buying nearly all of the freshly 
manufactured locomotives. These provisions create incentives for both 
the manufacturers and railroads to work together to develop a 
diagnostic system that would effectively reveal real emission 
malfunctions. Our current regulations already require that locomotive 
operators complete all manufacturer-specified emission-related 
maintenance, and this new requirement treats repairs indicated by 
diagnostic systems as such emission-related maintenance. Thus, the 
railroads will have a strong incentive to make sure that they only have 
to perform this additional maintenance when real malfunctions are 
occurring. On the other hand, manufacturers will want to have all 
emission malfunctions revealed so that when they test an in-use 
locomotive they can repair identified malfunctions before testing if 
the railroad has not yet done it.
(5) Monitoring and Reporting of Emissions Related Defects
    We are applying the defect reporting requirements of Sec.  1068.501 
to replace the provisions of subparts E in parts 92 and 94. This will 
result in two significant changes for manufacturers. First, Sec.  
1068.501 obligates manufacturers to tell us when they learn that 
emission control systems are defective and to conduct investigations 
under certain circumstances to determine if an emission-related defect 
is present. Second, it changes the thresholds after which they must 
submit defect reports. See the text 40 CFR 1068.501 for details about 
this requirement.
(6) Rated Power
    We are specifying in parts 1033 and 1042 how to determine maximum 
engine power in the regulations for both locomotives and marine 
engines. The term ``maximum engine power'' will be used for marine 
engines instead of previously undefined terms such as ``rated power'' 
or ``power rating'' to specify the applicability of the standards. The 
addition of this definition is intended to allow for more objective 
applicability of the standards. More specifically, for marine engines, 
we define maximum engine power to mean the maximum brake power output 
on the nominal power curve for an engine.
    For locomotives, the term ``rated power'' will continue to be used, 
but is explicitly defined to be the brakepower of the engine at notch 
8. We will continue to use the term ``rated power'' because this 
definition is consistent with the commercial meaning of the term.
(7) In-Use Compliance for SCR Operation
    As discussed in section III.C, we are projecting that manufacturers 
will use urea-based SCR systems to comply with the Tier 4 emission 
standards.\158\ These systems are very effective at controlling 
NOX emissions as long as the operator continues to supply 
urea of acceptable quality. Thus we considered concepts put forward by 
manufacturers in other mobile source sectors in dealing with this 
issue. These include design features to prevent an engine from being 
operated without urea if an operator ignores repeated warnings and 
allows the urea level to run too low. EPA has issued a guidance 
document for urea SCR systems discussing the use of such features on 
highway diesel vehicles.
---------------------------------------------------------------------------

    \158\ The provisions described in this section will apply 
equally to SCR systems using reductants other than urea, except for 
systems using normal diesel fuel as the reductant.
---------------------------------------------------------------------------

    We believe that the nature of the locomotive and large commercial 
marine sectors supports a different in-use compliance approach. This 
approach focuses on requirements for operators of locomotives and 
marine diesel engines that depend on urea SCR to meet EPA standards, 
aided by onboard alarm and logging mechanisms that engine manufacturers 
will be required to include in their engine designs. Except in the rare 
instance that operation without urea may be necessary, the regulatory 
provisions put no burden on the end-user beyond simply filling the urea 
tank with appropriate quality urea. Specifically, we are specifying:
     That it is illegal to operate without acceptable quality 
urea when the urea is needed to keep the SCR system functioning 
properly;
     That manufacturers must include clear and prominent 
instructions to the operator on the need for, and proper steps for, 
maintaining urea, including a

[[Page 37143]]

statement that it is illegal to operate the engine without urea;
     That manufacturers must include visible and audible alarms 
at the operator's console to warn of low urea levels or inadequate urea 
quality;
     That engines and locomotives must be designed to track and 
log, in nonvolatile computer memory, all incidents of engine operation 
with inadequate urea injection or urea quality; and
     That operators must report to EPA in writing any incidence 
of operation with inadequate urea injection or urea quality within 30 
days of each incident, and
     That, when requested, locomotive and vessel operators must 
provide EPA with access to, and assistance in obtaining information 
from, the electronic onboard incident logs.
    We understand that in extremely rare circumstances, such as during 
a temporary emergency involving risk of personal injury, it may be 
necessary to operate a vessel or locomotive without adequate urea. We 
would intend such extenuating circumstances to be taken into account 
when considering what penalties or other actions are appropriate as a 
result of such operation. The information from SCR compliance 
monitoring systems described above may also be useful for state and 
local air quality agencies and ports to assist them in any marine 
engine compliance programs they implement.
    Our new regulations specify that what constitutes acceptable urea 
solution quality be specified by the manufacturers in their maintenance 
instructions and require that the certified emission control system 
must meet the emissions standards with any urea solution within stated 
specifications. This could be facilitated by an industry standard for 
urea quality, which we expect will be generated in the future as these 
systems move closer to market. We recognize that this will likely 
require automated sensing of some characteristic indicator such as urea 
concentration or exhaust NOX concentration.
    We believe these provisions can be an effective tool in ensuring 
urea use for locomotives and large commercial marine vessels because of 
the relatively small number of railroads and operators of large 
commercial vessels in the U.S., especially considering that the number 
of SCR-equipped locomotives and vessels will ramp up quite gradually 
over time. In-use compliance provisions of the sort we are adopting for 
locomotives and large commercial marine engines would be much less 
effective in other mobile source sectors such as highway vehicles 
because successful enforcement involving millions of vehicle owners 
would be extremely difficult. In addition, the highway and nonroad 
diesel sectors are characterized by a wide variety of applications and 
duty cycles, which further differentiate in-use compliance approaches 
that may make sense in the relatively uniform rail and marine sectors 
from those that would be effective in the highway and nonroad sectors.
(8) Temporary In-Use Compliance Margins
    Consistent with the approach we took in the highway heavy-duty rule 
(66 FR 5113) and nonroad diesel rule (69 FR 38957), we are adopting a 
provision for in-use compliance flexibility in the initial years of the 
Tier 4 program. We proposed to allow adjusted in-use compliance 
standards for the first three model years of the Tier 4 locomotive 
standards to help assure the manufacturers that they will not face 
recall if they exceed standards by a small amount during this 
transition to advanced clean diesel technologies.
    Commenters suggested that the reasons we gave for applying this 
provision to locomotives were valid for marine engines too. We agree 
and are extending this provision to Tier 4 marine diesel engines. 
Commenters also argued that we over-emphasized the flexibility needed 
for NOX technology compared to PM technology. In response, 
we have concluded that it is appropriate to provide an alternative set 
of margins available to manufacturers willing to accept more stringent 
in-use compliance levels for NOX in exchange for somewhat 
less stringent levels for PM.
    Table IV-1 shows the in-use adjustments that we will apply. These 
adjustments would be added to the appropriate standards or FELs in 
determining the in-use compliance level for a given in-use hours 
accumulation. Our intent is that these add-on levels be available only 
for highly-effective advanced technologies such as particulate traps 
and SCR, and so we will apply them only to engines certified at or 
below the Tier 4 standards without the use of credits, through the 
first three model years of the new standards. As part of the 
certification process, manufacturers will still be required to 
demonstrate compliance with the unadjusted Tier 4 certification 
standards using deteriorated emission rates. Therefore manufacturers 
will not be able to use these in-use adjustments in setting design 
targets for the engine. They need to project that engines will meet the 
standards in use without adjustment. The in-use adjustments merely 
provide some assurance that they will not be forced to recall engines 
because of some small miscalculation of the expected deterioration 
rates.
    Also, to avoid what would essentially be a doubling up of the 
benefits of the two alternatives, contrary to their purpose, we are 
requiring that a manufacturer may only use the alternative set of add-
ons for an engine family if this choice is indicated in the 
certification application and may not reverse this choice in carry-over 
certifications or certifications by design.

                 Table IV-1.--In-Use Add-Ons (g/bhp-hr)
------------------------------------------------------------------------
                                         Primary set     Alternative set
      For useful life fractions      -----------------------------------
                                        NOX       PM      NOX       PM
------------------------------------------------------------------------
<50% UL.............................      0.7  .......      0.2
50%-75% UL..........................      1.0     0.01      0.3     0.03
>75% UL.............................      1.3  .......      0.4
------------------------------------------------------------------------

    As discussed in section III.B(1)(a)(ii), in response to industry 
comments, we are providing another Tier 4 NOX compliance 
option for line-haul locomotives with a reduced in-use NOX 
add-on of 0.6 g/bhp-hr. Under this option, for the first 8 model years 
of Tier 4 (2015-2022), a line-haul locomotive manufacturer may certify 
a locomotive to the 1.3 g/bhp-hr NOX standard without 
needing to calculate or apply a deterioration factor. These 
locomotives, when tested in-use, must comply with an in-use standard of 
1.9 g/bhp-hr but

[[Page 37144]]

do not get the additional NOX compliance margins discussed 
above.
    Because this option is meant to address manufacturer concerns about 
manufacturing variability as well as catalyst durability, we are 
allowing manufacturers using this option to substitute an in-use 
locomotive test for each required production line test. These tests 
must be conducted on locomotives with more than 50 hours of accumulated 
operation, but at less than one-half of their useful life, and are in 
addition to normally-required manufacturer in-use testing. Furthermore, 
locomotives certified under this option may not generate credits under 
the ABT program because of their potentially higher in-use emissions. 
Also, of course, they may not be purposely designed to emit regulated 
pollutants at higher levels in use than at certification. This option 
will be available through the 2022 model year. It will not be available 
for the 2015-2022 model year locomotives when they are remanufactured 
in 2023 or later.
(9) Fuel Labels and Misfueling
    The advanced emission controls that will be used to comply with 
many of the new standards will require the use of ULSD. Therefore, we 
are requiring that manufacturers notify each purchaser of a Tier 4 
locomotive or marine engine that it must be fueled only with the ultra 
low-sulfur diesel fuel meeting our regulations. We are also applying 
this requirement for locomotives and engines having sulfur-sensitive 
technology and certified using ULSD. All of these locomotives and 
vessels must be labeled near the refueling inlet to say: ``Ultra-Low 
Sulfur Diesel Fuel Only''. These labels are required to be affixed or 
updated any time any engine on a vessel is replaced after the new 
program goes into effect.
    We are requiring the use of ULSD in locomotives and vessels labeled 
as requiring such use, including all Tier 4 locomotives and marine 
engines. More specifically, use of the wrong fuel for locomotives or 
marine engines would be a violation of 40 CFR 1068.101(b)(1) because 
use of the wrong fuel would have the effect of disabling the emission 
controls.
    We addressed the supply of ultra-low sulfur fuel in our previous 
regulation of in-use locomotive and marine diesel fuel. Specifically, 
we established a 15 ppm sulfur standard at the refinery gate for 
locomotive and marine (LM) diesel fuel beginning June 1, 2012. However, 
since we allow the sale, distribution, and use of 500 ppm LM diesel 
fuel to continue indefinitely, we did not set a ``hard and fast'' 
downstream requirement that only 15 ppm LM diesel may be sold and 
distributed in all areas of the country.\159\ This was to allow the LM 
diesel fuel pool to remain an outlet for off-specification distillate 
product and interface/transmix material. Because refiners cannot 
intentionally produce off-specification fuel for locomotives--refiners 
will no longer be able to produce nonroad, locomotive, or marine diesel 
fuel above 15 ppm beginning June 1, 2012--most in-use locomotive and 
marine diesel fuel will be ULSD (with a sulfur content of 15 ppm or 
less). Nevertheless, we expect that some fuel will be available with 
sulfur levels between 15 and 500 ppm, and our regulations require such 
fuel to be designated as 500 ppm sulfur diesel fuel.
---------------------------------------------------------------------------

    \159\ However, in the Northeast/Mid-Atlantic (NE/MA) area, as 
defined at 40 CFR 80.510(g), 500 ppm LM diesel fuel may no longer be 
sold and/or distributed beginning October 1, 2012. Such fuel may no 
longer be used in the NE/MA area beginning December 1, 2012.
---------------------------------------------------------------------------

    We received comments regarding the fact that we did not set a 
strict downstream requirement on the use of 15 ppm LM for the entire 
country. The commenters feared that while a port might receive 
deliveries of 15 ppm LM fuel, the port might keep its pump labeled as 
``500 ppm LM'' to allow it to receive and dispense either 15 ppm or 500 
ppm LM. (As part of the diesel fuel regulations, all pumps dispensing 
diesel fuel must be labeled with the type and maximum sulfur level of 
the diesel fuel being dispensed.) The commenters were concerned that if 
such practice were widespread, marine vessels that require ULSD could 
potentially have problems finding it.
    We understand the commenters' concerns and have discussed a few 
potential solutions to this problem. One possible option is to require 
large ports (i.e., ports over some certain size) to make 15 ppm LM 
diesel fuel available. This size requirement could be by volume of 
single sale or above some other specified volume. Under this 
requirement, those ports with multiple tanks could continue to offer 
500 ppm LM diesel fuel in addition to the 15 ppm LM diesel fuel. Or, if 
a port (regardless of size) continues to sell 500 ppm LM diesel fuel, 
it must also sell 15 ppm LM diesel fuel. Another potential option would 
be to limit the sale of 500 ppm LM diesel fuel to small ports and 
locomotives only. However, these potential solutions would need to be 
discussed thoroughly with all stakeholders (including those in the fuel 
distribution and marketing industry) and put out for notice and 
comment. Therefore, we are merely noting potential solutions in this 
final rule but we are committing to investigate this issue further and, 
if the facts warrant doing so, addressing it in a separate action.
(10) Deterioration Factor Plan Requirements
    In this rulemaking, we are amending our deterioration factor (DF) 
provisions to include an explicit requirement that DF plans be 
submitted by manufacturers for our approval in advance of conducting 
engine durability testing, or in the case where no new durability 
testing is being conducted, in advance of submitting the engine 
certification application. We are not fundamentally changing either the 
locomotive or marine engine DF requirements with this provision, other 
than to require advance approval.
    An advance submittal and approval format will allow us sufficient 
time to ensure consistency in DF procedures, without the need for 
manufacturers to repeat any durability testing or for us to deny an 
application for certification should we find the procedures to be 
inconsistent with the regulatory provisions. We expect that the DF plan 
would outline the amount of service accumulation to be conducted for 
each engine family, the design of the representative in-use duty cycle 
on which service will be accumulated, and the quantity of emission 
tests to be conducted over the service accumulation period.
(11) Production Line Testing
    We proposed to continue the existing production line testing 
provisions that apply to manufacturers. Some manufacturers suggested 
that we should eliminate this requirement on the basis that very low 
noncompliance rates are being detected at a high expense. While we 
agree that compliance rates have been very good, we do not agree that 
they mean that the program has little or no value. As we move toward 
more stringent emission standards with this rulemaking, we anticipate 
that the margin of compliance with the standards for these engines is 
likely to decrease. Consequently, this places an even greater 
significance on the need to ensure little variation in production 
engines from the certification engine, which is often a prototype 
engine. For this reason, it is important to maintain our production 
line testing program.
    However, the existing regulations allow manufacturers to develop 
alternate programs that provide equivalent assurance of compliance on 
the production line and to use such programs instead of the specified

[[Page 37145]]

production line testing program. For example, given the small sales 
volumes associated with marine engines it may be appropriate to include 
a production verification program for marine engines as part of a 
manufacturer's broader production verification programs for its non-
marine engines. We believe these existing provisions already address 
the concerns raised to us by the manufacturers.
    We are adding provisions to allow manufacturers to use special 
procedures for production line testing of catalyst-equipped engines. 
Under the existing Part 92 and Part 94 programs, a manufacturer of a 
catalyst-equipped locomotive or Category 2 marine engine would be 
required to assemble and test the engine with a complete catalyst 
system. At the manufacturer's choice, the engine could be broken in by 
operating it for up to 300 hours or it could be tested in a ``green'' 
state and its measured emissions adjusted by applying ``green engine 
factors''. The new regulations in Parts 1033 and 1042 will continue to 
allow these options, but will also include additional options.
    For locomotives, the new regulations will allow a locomotive to be 
used in service for up to 1,000 hours before it is tested. This will be 
sufficient time to degreen a catalyst. We believe that this approach 
should work well for locomotives given the very close working 
relationships between the manufacturers and the major railroads. (See 
section IV.A.(8) for additional interim provisions related to 
production-line testing of locomotives.)
    We do not believe this locomotive approach would work for marine 
engines because the marine market is much more diverse and the very 
close working relationships cannot be assumed. Therefore, we will rely 
on our general authority to approve alternate PLT programs. Should a 
consensus develop in the future about how to appropriately verify that 
engines and catalysts are produced to conform to the regulations, we 
may adopt specific regulatory provisions to address these marine 
engines.
(12) Evaporative Emission Requirements
    While nearly all locomotives currently subject to part 92 are 
fueled with diesel fuel, Sec.  92.7 includes evaporative emission 
provisions that would apply for locomotives fueled by a volatile liquid 
fuel such as gasoline or ethanol. These regulations do not specify test 
procedures or specific numerical limits, but rather set ``good 
engineering'' requirements. We are adopting these same requirements in 
part 1033.
    We are also adopting similar requirements for marine engines and 
vessels that run on volatile fuels. We are not aware of any 
compression-ignition marine engines currently being produced that would 
be subject to these requirements but believe that it is appropriate to 
adopt these requirements now rather than waiting until such engines are 
produced. In this final rule, we are adopting requirements for 
controlling evaporative emissions that are identical to those for 
locomotives. As described in the proposal, we intend to apply to 
compression-ignition marine engines and vessels the same requirements 
we will be adopting for spark-ignition engines and vessels before the 
end of 2008 (as proposed at 72 FR 28098). We therefore intend to modify 
part 1042 in the final rule corresponding to that proposal related to 
spark-ignition marine engines and vessels. Specifically, if someone 
were to build a marine vessel with a compression-ignition engine that 
runs on a volatile liquid fuel, the engine would be subject to the 
exhaust emission standards of part 1042, but the fuel system would be 
subject to the evaporative emission requirements of the recently 
proposed part 1045.\160\
---------------------------------------------------------------------------

    \160\ Part 1045 was proposed on May 18, 2007 (72 FR 28097).
---------------------------------------------------------------------------

(13) Small Business Provisions
    There are a number of small businesses that will be subject to this 
rule because they are locomotive manufacturers/remanufacturers, 
railroads, marine engine manufacturers, post-manufacture marinizers, 
vessel builders, or vessel operators. We largely continue the existing 
provisions that were adopted previously for these small businesses in 
the 1998 Locomotive and Locomotive Engines Rule (April 16, 1998; 63 FR 
18977); our 1999 Commercial Marine Diesel Engines Rule (December 29, 
1999; 64 FR 73299) and our 2002 Recreational Diesel Marine program 
(November 8, 2002; 67 FR 68304). These provisions, which are discussed 
below, are designed to minimize regulatory burdens on small businesses 
needing added flexibility to comply with emission standards while still 
ensuring the greatest emissions reductions achievable. (See section 
IX.C of this rule for discussion of our outreach efforts with small 
entities.)
(a) Locomotive Sector
(i) Production-Line and In-Use Testing Does not Apply
    Production-line and in-use testing requirements do not apply to 
small locomotive manufacturers until January 1, 2013, which is up to 
five calendar years after this program becomes effective.
    In the 1998 Locomotive Rule (April 16, 1998; 63 FR 18977), the in-
use testing exemption was provided to small remanufacturers with 
locomotives or locomotive engines that became new during the 5-year 
delay, and this exemption was applicable to these locomotives or 
locomotive engines for their entire useful life (the exemption was 
based on model years within the delay period, but not calendar years as 
we are promulgating today). As an amendment to the existing in-use 
testing exemption, small remanufacturers with these new locomotives or 
locomotive engines must now begin complying with the in-use testing 
requirements after the five-year delay on January 1, 2013 (exemption 
based on calendar years). Thus, they are no longer exempt from in-use 
testing for the entire useful life of a locomotive or a locomotive 
engine. We are finalizing this provision to ensure that small 
remanufacturers comply with our standards in-use, and subsequently, the 
public is assured they are receiving the air quality benefits of 
today's standards. In addition, this amendment provides a date certain 
for small remanufacturers when in-use testing requirements begin to 
apply.
    We received a number of comments asking us to clarify whether or 
not we were still planning to require production-line audits or 
verification for small locomotive remanufacturers during this 5-year 
delay (until January 1, 2013). In response, we are clarifying that we 
did not intend to exempt small locomotive remanufacturers from 
production-line audits during the 5-year delay (our intent was to 
exempt these entities from production-line and in-use testing 
requirements). We believe this requirement is of minimal regulatory 
burden to small locomotive remanufacturers. Moreover, we have clarified 
the general auditing regulations to explicitly allow audits to be 
conducted by the owner/operator, which further minimizes the burden.
(ii) Class III Railroads Exempt From New Standards for Existing Fleets
    EPA is limiting the category of small railroads which are exempt 
from the Tier 0, 1 and 2 remanufacturing requirements for existing 
fleets to those railroads that qualify as Class III railroads and that 
are not owned by a large parent company. Under the current Surface 
Transportation Board classification system, this exemption is limited 
to railroads having total revenue less than $25.5 million per year. 
This change requires that all Class II

[[Page 37146]]

railroads, when remanufacturing their locomotives, meet the new 
standards finalized for existing fleets.
    EPA had requested comment on whether the small railroads exemption 
from emissions standards for existing fleets had been effective and 
appropriate and whether they should continue under the new program 
finalized today. Under part 92, only railroads qualifying as ``large'' 
businesses, as defined by the Small Business Administration (SBA) were 
subject to the standards for their pre-existing fleet. The SBA 
definition of a large railroad is based on employment. For line-haul 
railroads the threshold is 1,500 or more employees, and for short-haul 
railroads it is 500 or more employees. Additionally, any railroad owned 
by a parent company that is large by SBA definition is also subject to 
the current existing fleet requirements. Although this excludes a 
majority of the more than 500 U.S. freight railroads, it addresses the 
vast majority of the emissions because it includes all Class I 
railroads.
    The majority of comments supported revising the criterion for 
exempting railroads from emissions standards for existing fleets. While 
some of these commenter's felt that a revenue based approach exempting 
Class III railroads was appropriate, others disagreed, and argued that 
all railroads, regardless of classification or revenues should be 
subject to the new emission standards for existing fleets. These 
commenters felt no exemption would be legitimate because of both the 
extremely long operational life of these locomotive engines and the 
predominance of Class II and III railroads in various nonattainment 
areas of the country which contribute to air quality problems. Those 
commenters opposing any change to the existing exemption scheme argued 
that the current approach of exempting all small railroads should be 
retained because the costs involved in meeting new standards for 
existing fleets would impose a heavy financial burden on small 
railroads currently exempt from the program. Additionally, these 
commenters argued that small railroads' emissions are trivial and do 
not impact air quality.
    In finalizing this new approach, EPA believes that continuing to 
exempt Class III railroads with annual revenues under $25.5 million 
while including all Class II railroads in the existing fleet program is 
a reasonable approach that addresses both industry concerns regarding 
costs while also recognizing that small railroads do contribute to air 
pollution in areas they service including nonattainment areas 
throughout the U.S.
    We are clarifying our definition that intercity passenger or 
commuter railroads are not included as railroads that are small 
businesses because they are typically governmental or are large 
businesses. Due to the nature of their business, these entities are 
largely funded through tax transfers and other subsidies. Thus, the 
only passenger railroads that could qualify for the small railroad 
provisions will be small passenger railroads related to tourism.
(iii) Small Railroads Excluded From In-Use Testing Program
    The railroad in-use testing program continues to apply to Class I 
freight railroads only, and thus no small railroads are subject to this 
testing requirement. It is important to note many Class II and III 
freight railroads qualify as small businesses. This provision provides 
flexibility to all Class II and III railroads, which includes small 
railroads. All Class I freight railroads are large businesses.\161\
---------------------------------------------------------------------------

    \161\ U.S. EPA, Assessment and Standards Division, Memorandum 
from Chester J. France to Alexander Cristofaro of U.S. EPA's Office 
of Policy, Economics, and Innovation, Locomotive and Marine Diesel 
RFA/SBREFA Screening Analysis, September 25, 2006.
---------------------------------------------------------------------------

(iv) Hardship Provisions
    Section 1068.245 of the existing regulations in title 40 contains 
hardship provisions for engine and equipment manufacturers, including 
those that are small businesses. We will apply this section for 
locomotives as described below.
    Under the unusual circumstances hardship provision, locomotive 
manufacturers may apply for hardship relief if circumstances outside 
their control cause their failure to comply and if the failure to sell 
the subject locomotives will have a major impact on the company's 
solvency. An example of an unusual circumstance outside a 
manufacturer's control may be an ``Act of God,'' a fire at the 
manufacturing plant, or the unforeseen shut down of a supplier with no 
alternative available. The terms and time frame of the relief depend on 
the specific circumstances of the company and the situation involved. 
As part of its application for hardship, a company is required to 
provide a compliance plan detailing when and how it will achieve 
compliance with the standards.
(b) Marine Sector
(i) Revised Definitions of Small-Volume Manufacturer and Small-Volume 
Boat Builder
    As proposed, we are revising the definitions of small-volume 
manufacturer (SVM) and small-volume boat builder to include worldwide 
production. Currently, an SVM is defined as a manufacturer with annual 
U.S.-directed production of fewer than 1,000 engines (marine and 
nonmarine engines), and a small-volume boat builder is defined as a 
boat manufacturer with fewer than 500 employees and with annual U.S.-
directed production of fewer than 100 boats. By including worldwide 
production in these definitions, we prevent a manufacturer or boat 
builder with a large worldwide production of engines or boats, or a 
large worldwide presence, from receiving relief from the requirements 
of this program. The provisions that apply to small-volume 
manufacturers and small-volume boat builders as described below are 
intended to minimize the impact of this rule for those entities that do 
not have the financial resources to quickly respond to requirements in 
the rule.
(ii) Broader Engine Families and Testing Relief
    Broader engine families: We are finalizing as proposed the 
provision that post-manufacture marinizers (PMMs) and SVMs be allowed 
to continue to group all commercial Category 1 engines into one engine 
family for certification purposes, all recreational engines into one 
engine family, and all Category 2 engines into one family. As with 
existing regulations, these entities are responsible for certifying 
based on the ``worst-case'' emitting engine. This approach minimizes 
certification testing because the marinizer and SVMs can use a single 
engine in the first year to certify their whole product line. In 
addition, marinizers and SVMs may then carry over data from year to 
year until changing engine designs in a way that might significantly 
affect emissions.
    As described in the proposal, this broad engine family provision 
still requires a certification test and the associated burden for 
small-volume manufactures. We realize that the test costs are spread 
over low sales volumes, and we recognize that it may be difficult to 
determine the worst-case emitter without additional testing but we need 
a reliable, test-based, technical basis to issue a certificate for 
these engines. However, manufacturers will be able to use carryover 
test data to spread costs over multiple years of production.
    Production-line and deterioration testing: In addition, as 
proposed, SVMs producing engines less than or equal to 600 kW (800 hp) 
are exempted from production-line and deterioration testing for the 
Tier 3 standards. We will assign a deterioration factor for use in

[[Page 37147]]

calculating end-of-useful life emission factors for certification. This 
approach minimizes compliance testing since production-line and 
deterioration testing is more extensive than a single certification 
test. As described in the proposal, Tier 3 standards for these engines 
are not expected to require the use of aftertreatment--similar to the 
existing Tier 1 and Tier 2 standards. The Tier 4 standards for engines 
greater than 600 kW are expected to require aftertreatment emission-
control devices. Currently, we are not aware of any SVMs that produce 
engines greater than 600 kW, except for one marinizer that plans to 
discontinue their production in the near future.\162\
---------------------------------------------------------------------------

    \162\ U.S. EPA, Assessment and Standards Division, Memorandum 
from Chester J France to Alexander Cristofaro of U.S. EPA's Office 
of Policy, Economics, and Innovation, Locomotive and Marine Diesel 
RFA/SBREFA Screening Analysis, September 25, 2006.
---------------------------------------------------------------------------

    We are finalizing provisions that require SVMs to undertake 
production-line and deterioration testing in the future if they begin 
producing these larger engines due to the sophistication of 
manufacturers that produce engines with aftertreatment technology. We 
believe these manufacturers will have the resources to conduct both the 
design and development work for the aftertreatment emission-control 
technology, along with production-line and deterioration testing.
    (iii) Delayed Standards
    One-year delay: As described in the proposal, post-manufacture 
marinizers (PMMs) generally depend on engine manufacturers producing 
base engines for marinizing. This can delay the certification of the 
marinized engines. There may be situations in which, despite its best 
efforts, a marinizer cannot meet the implementation dates, even with 
the provisions described in this section. Such a situation may occur if 
an engine supplier without a major business interest in a marinizer 
were to change or drop an engine model very late in the implementation 
process or was not able to supply the marinizer with an engine in 
sufficient time for the marinizer to recertify the engine. Based on 
this concern, we are finalizing as proposed to allow a one-year delay 
in the implementation dates of the Tier 3 standards for post-
manufacture marinizers qualifying as small businesses (the definition 
of small business, not SVM, used by EPA for these provisions for 
manufacturers of new marine diesel engines--or other engine equipment 
manufacturing--is 1,000 or fewer employees; as defined by the Small 
Business Administration's (SBA) regulations at 13 CFR 121.201) and 
producing engines less than or equal to 600 kW (800 hp).
    As described above and in the proposal, the Tier 4 standards for 
engines greater than 600 kW (800hp) are expected to require 
aftertreatment emission-control devices. We will not apply this one-
year delay to small PMMs that begin marinizing these larger engines in 
the future due to the sophistication of entities that produce engines 
with aftertreatment technology. We expect that the large base engine 
manufacturer (with the needed resources), not the small PMM, will 
conduct both the design and development work for the aftertreatment 
emission-control technology and that they will also take on the 
certification responsibility in the future. Thus, the small PMM 
marinizing large engines will not need a one-year delay.
    Three-year delay for not-to-exceed (NTE) requirements: As described 
in the proposal, additional lead time is also appropriate for PMMs to 
demonstrate compliance with NTE requirements. Their reliance on another 
company's base engines affects the time needed for the development and 
testing work needed to comply. Thus, as proposed, PMMs qualifying as 
small businesses and producing engines less than or equal to 600 kW 
(800hp) may also delay compliance with the NTE requirements by up to 
three years, for the Tier 3 standards. Three years of extra lead time 
(compared to one year for the primary certification standards) is 
appropriate considering their more limited resources. As described 
above and in the proposal, the Tier 4 standards for engines greater 
than 600 kW are expected to require aftertreatment emission-control 
devices. We do not apply this three-year delay to small PMMs that begin 
marinizing these larger engines in the future due to the sophistication 
of entities that produce engines with aftertreatment technology. We 
expect that the large base engine manufacturer (with the needed 
resources), not the small PMM, will conduct both the design and 
development work for the aftertreatment emission-control technology and 
that they will also take on the certification responsibility in the 
future. Thus, the small PMM marinizing large engines does not need a 
three-year delay for compliance with the NTE requirements.
    Five-year delay for recreational engines: For recreational marine 
diesel engines, the existing regulations (2002 Recreational Diesel 
Marine program; November 8, 2002, 67 FR 68304) allow small-volume 
manufacturers up to a five-year delay for complying with the standards. 
However, as proposed, we will not continue this provision. As discussed 
above and in the proposal, the Tier 3 standards for these engines are 
expected to be engine-out standards which do not require the use of 
aftertreatment--similar to the existing Tier 1 and Tier 2 standards. 
The Tier 4 standards will not apply to recreational engines. Also, Tier 
3 engines are expected to require far less in terms of new hardware, 
and in fact, are expected to only require upgrades to existing hardware 
(i.e., new fuel systems). In addition, manufacturers have experience 
with engine-out standards from the existing Tier 1 and Tier 2 
standards, and thus, they have learned how to comply with such 
standards. Thus, small-volume manufacturers of recreational marine 
diesel engines do not need more time to meet the new standards. For 
small PMMs of recreational marine diesel engines, the one-year delay 
described earlier will provide enough time for these entities to meet 
today's standards.
(iv) Engine Dressing Exemption
    We are finalizing as proposed that marine engine dresser will 
continue to be exempt from certification and compliance requirements. 
As described in the proposal, many marine diesel engine manufacturers 
take a new, land-based engine and modify it for installation on a 
marine vessel. Some of these companies modifying an engine make no 
changes that might affect emissions. Instead, the modifications may 
consist of adding mounting hardware and a generator or reduction gears 
for propulsion. It can also involve installing a new marine cooling 
system that meets original manufacturer specifications and duplicates 
the cooling characteristics of the land-based engine but with a 
different cooling medium (such as sea water). In many ways, these 
manufacturers are similar to nonroad equipment manufacturers that 
purchase certified land-based nonroad engines to make auxiliary 
engines. This simplified approach of producing an engine can more 
accurately be described as dressing an engine for a particular 
application. As indicated above, engine dressers make changes to an 
engine without affecting the emission characteristics of the engine, 
which would include modifications that do not affect aftertreatment 
emission-control devices or systems (as stated earlier, Tier 4 
standards for engines greater than 600 kW (800 hp) are expected to 
require aftertreatment).
    Because the modified land-based engines are subsequently used on a 
marine vessel, however, these modified engines are considered marine 
diesel

[[Page 37148]]

engines, which then fall under these requirements. As described in the 
proposal, while we continue to consider them to be manufacturers of a 
marine diesel engine, they are not be required to obtain a certificate 
of conformity (as long as they ensure that the original label remains 
on the engine and report annually to EPA that the engine models that 
are exempt pursuant to this provision). This extends section 94.907 of 
the existing regulations. For further details of engine dressers 
responsibilities see section 1042.605 of the regulations.
(v) Vessel Builder Provisions
    Current recreational marine engines regulations (2002 Recreational 
Diesel Marine program; November 8, 2002, 67 FR 68304) allow 
manufacturers with a written request from a small-volume boat builder 
to produce a limited number of uncertified engines (over a five year 
period)--an amount equal to 80 percent of the boat builders sales for 
one year. For builders with very small production volumes, this 80 
percent allowance could be exceeded, as long as sales did not exceed 10 
engines in any one year nor 20 total engines over five years and 
applied only to engines less than or equal to 2.5 liters per cylinder. 
We are not continuing this provision because recreational marine 
engines are subject only to the Tier 3 standards that are not expected 
to change the physical characteristics of engines (Tier 3 standards 
will not result in a larger engine or otherwise require any more space 
within a vessel). Because of the similarity to Tier 2 engine standards 
there will be no need for boat builders to redesign engine compartments 
thus eliminating the need for this 5 year delay provision.
(vi) Small Vessel Operators Exempt From New Standards for Existing 
Fleet
    In the proposed rule, we requested comment on an alternative 
program option (Alternative 5: Existing Engines) that would for the 
first time set emission standards for marine diesel engines on existing 
vessels--the marine existing fleet or remanufacture program. As 
described earlier in section III.B.2.b, Remanufactured Marine 
Standards, we plan to finalize only the first part of this option 
requiring the owner of a marine diesel engine (vessel operator) to use 
a certified marine remanufacture system when the engine is 
remanufactured if such a system is available.
    The marine existing fleet program will apply only to those 
commercial marine diesel engines (C1 and C2 engines) which meet the 
following criteria:
     Greater than 600 kW (800 hp);
     Tier 0 or Tier 1 engines for C1 engines;
     Tier 0, Tier 1 or Tier 2 engines for C2 engines;
     Built in model year 1973 or later; and
     Have a certified kit available at time of remanufacture.
    We estimate that about 4 percent (or about 3,885 of 105,406 
engines) of all C1 and C2 engines are subject to the existing fleet 
program and are likely to have certified kits available at the time of 
remanufacture. Thus, the percentage of vessels impacted by the 
remanufacture program is estimated to be similar.
    Industry commented that a small portion of the vessel operators 
with engines greater than 600 kW (800 hp) are small businesses that 
would be significantly burdened by the existing fleet program. To 
address these comments, the requirements of the marine existing fleet 
program do not apply to owners of marine diesel engines or vessel 
operators with less than $5 million in gross annual sales revenue. This 
threshold includes annual sales revenue from parent companies or 
affiliates of the owners/operators. (Small Business Administration's 
(SBA's) regulations at 13 CFR 121.103 describe how SBA determines 
affiliation.) If at some future date gross annual sales revenues are $5 
million or more, they become subject to the existing fleet program at 
that point. The $5 million limit was chosen because a substantial 
sample of data for vessel operators--with vessels that have C1 and C2 
engines greater than 600 kW--indicates that a significant portion of 
the total revenue for this sample set, about 80 percent, is generated 
by operators with $5 million or more in annual sales revenue.\163\
---------------------------------------------------------------------------

    \163\ The Waterways Journal, Inc., 2006 Inland River Record.
---------------------------------------------------------------------------

    We expect that the amount of emissions from this sector correlates 
reasonably well with the amount of revenue generated (anticipate that 
revenue corresponds to activity which correlates well to emissions), 
and thus, most of the emissions from vessel operators (with engines 
greater than 600 kW (800 hp)) is obtained from those operators with $5 
million or greater in revenue. The $5 million threshold for annual 
sales revenue is estimated to include about 8 percent less of the total 
vessel operator revenue compared to a $10 million limit, while 
reflecting 15 percent more revenue than a $1 million threshold. About 
90 percent of all vessel operators with C1 and C2 engines have less 
than $5 million in revenue. The cost to remanufacture engines is a 
greater burden to the vessel operators with less than $5 million in 
revenue (larger fraction of revenue, etc.) than those above this limit. 
Therefore, the $5 million revenue threshold eliminates the regulatory 
burden for a substantial number of small vessel operators, while 
capturing a significant portion of the emissions from operators in the 
marine remanufacture program.
(vii) Hardship Provisions
    Sections 1068.245, 1068.250 and 1068.255 of the existing title 40 
regulations contain hardship provisions for engine and equipment 
manufacturers, including those that are small businesses. As proposed, 
we will apply these sections for marine applications such as PMMs, 
SVMs, and small-volume boat builders, which will effectively continue 
existing hardship provisions for these entities as described below.
    In addition, for the marine existing fleet or remanufacture 
program, we are now providing these same hardship provisions to vessel 
operators or marine remanufacturers that qualify as small businesses. 
These provisions are described below.
    Post-Manufacture Marinizers (PMMs), Small-Volume Manufacturers 
(SVMs), and Vessel Operators (or Marine Remanufacturers): As proposed, 
we are continuing two existing hardship provisions for PMMs and SVMs. 
In addition, we now extend these two provisions to small vessel 
operators or small marine remanufacturers for the marine existing fleet 
program. All of these entities may apply for this relief on an annual 
basis. First, under an economic hardship provision, PMMs, SVMs, and 
vessel operators (or marine remanufacturers) may petition us for 
additional lead time to comply with the standards. They must show that 
they have taken all possible business, technical, and economic steps to 
comply, but the burden of compliance costs will have a major impact on 
their company's solvency. As part of its application of hardship, a 
company is required to provide a compliance plan detailing when and how 
it plans to achieve compliance with the standards. Hardship relief 
could include requirements for interim emission reductions and/or 
purchase and use of emission credits. The length of the hardship relief 
decided during initial review is up to one year, with the potential to 
extend the relief as needed. We anticipate that one to two years is 
normally sufficient. Also, for PMMs and SVMs, if a certified base 
engine is available, they must generally use this

[[Page 37149]]

engine. We believe this provision will protect PMMs and SVMs from undue 
hardship due to certification burden. Also, some emission reduction can 
be gained if a certified base engine becomes available. See the 
regulatory text in 40 CFR 1068.250 for additional information.
    Second, under the unusual circumstances hardship provision, PMMs, 
SVMs, and vessel operators (or marine remanufacturers) may also apply 
for hardship relief if circumstances outside their control cause the 
failure to comply and if the failure to sell the subject engines will 
have a major impact on their company's solvency. An example of an 
unusual circumstance outside a manufacturer's control may be an ``Act 
of God,'' a fire at the manufacturing plant, or the unforeseen shut 
down of a supplier with no alternative available (the second example is 
mainly for PMMs and SVMs). The terms and time frame of the relief 
depend on the specific circumstances of the company and the situation 
involved. As part of its application for hardship, a company is 
required to provide a compliance plan detailing when and how it will 
achieve compliance with the standards. We consider this relief 
mechanism to be an option of last resort. We believe this provision 
will protect PMMs, SVMs, and vessel operators (or marine 
remanufacturers) from circumstances outside their control. We, however, 
do not envision granting hardship relief if contract problems with a 
specific company prevent compliance for a second time. See the 
regulatory text in 40 CFR 1068.245 for additional information.
    Small-volume boat builders: As proposed, we are continuing the 
unusual circumstances hardship provision for small-volume boat builders 
(those with less than 500 employees and worldwide production of fewer 
than 100 boats). Small-volume boat builders may apply for hardship 
relief if circumstances outside their control cause the failure to 
comply and if the failure to sell the subject vessels will have a major 
impact on the company's solvency. An example of an unusual circumstance 
outside a boat builder's control may be an ``Act of God,'' a fire at 
the boat building facility, or the unforeseen breakdown of a supply 
contract with an engine supplier. This relief allows the boat builder 
to use an uncertified engine and is considered a mechanism of last 
resort. The terms and time frame of the relief depend on the specific 
circumstances of the company and the situation involved. As part of its 
application for hardship, a company is required to provide a compliance 
plan detailing when and how it plans to achieve compliance with the 
standards. See the regulatory text in 40 CFR 1068.250 for additional 
information.
    In addition, as described in the proposal, small-volume boat 
builders generally depend on engine manufacturers to supply certified 
engines in time to produce complying vessels by the date emission 
standards begin to apply. We are aware of other applications where 
certified engines have been available too late for equipment 
manufacturers to adequately accommodate changing engine size (for 
engines meeting Tier 4 standards, which are described in section 
III.B.2 of today's rule) \164\ or performance characteristics. To 
address this concern, we are allowing small-volume boat builders to 
request up to one extra year before using certified engines if they are 
not at fault and will face serious economic hardship without an 
extension. See the regulatory text in 40 CFR 1068.255 for additional 
information.
---------------------------------------------------------------------------

    \164\ Tier 3 engine-out standards are not expected to change the 
physical characteristics of marine engines. Tier 3 standards will 
not result in a larger engine or otherwise require any more space 
within a vessel. For Tier 4 standards, we expect that vessels will 
be designed to accommodate emission components that engine 
manufacturers specify as necessary to meet these new standards 
(e.g., ensure adequate space is available to package aftertreatment 
components).
---------------------------------------------------------------------------

(14) Alternate Tier 4 NOX+HC Standards
    We proposed to continue our existing emission averaging programs 
for the new Tier 4 NOX and HC standards for locomotives and 
marine engines. However, the existing averaging programs do not allow 
manufacturers to show compliance with HC standards using averaging. 
Because we are concerned that this could potentially limit the benefits 
of our averaging program as a phase-in tool for manufacturers, we are 
establishing an alternate NOX+HC standard of 1.4 g/bhp-hr 
that could be used as part of the averaging program. Manufacturers that 
were unable to comply with the Tier 4 HC standard would be allowed to 
certify to a NOX+HC FEL, and use emission credits to show 
compliance with the alternate standard instead of the otherwise 
applicable NOX and HC standards. For example, a manufacturer 
may choose to use banked emission credits to gradually phase in its 
Tier 4 1200 kW marine engines by producing a mix of Tier 3 and Tier 4 
engines during the early part of 2014. NOX+HC credits and 
NOX credits could be averaged together without discount.
    The value of this alternate standard (1.4 g/bhp-hr) is the rounded 
sum of the Tier 4 NOX and HC standards. We proposed to set 
this value at the level of the NOX standard (1.3 g/bhp-hr). 
However, based on the comments received, we no longer believe this to 
be appropriate. See the Summary and Analysis of Comments for more 
discussion of this issue.
(15) Other Issues
    We are finalizing other minor changes to the compliance program. 
For example, engine manufacturers will be required to provide 
installation instructions to vessel manufacturers and kit installers to 
ensure that engine cooling systems, aftertreatment exhaust emission 
controls, and other emission controls are properly installed. Proper 
installation of these systems is critical to the emission performance 
of the equipment. Vessel manufacturers and kit installers will be 
required to follow the instructions to avoid improper installation that 
could render emission controls inoperative. Improper installation would 
subject them to penalties equivalent to those for tampering with the 
emission controls.
    We are also clarifying the general requirement that no emission 
controls for engines subject to this final rule may cause or contribute 
to an unreasonable risk to public health, welfare, or safety, 
especially with respect to noxious or toxic emissions that may increase 
as a result of emission-control technologies. The regulatory language, 
which addresses the same general concept as the existing Sec. Sec.  
92.205 and 94.205, implements sections 202(a)(4) and 206(a)(3) of the 
Act and clarifies that the purpose of this requirement is to prevent 
control technologies that would cause unreasonable risks, rather than 
to prevent trace emissions of any noxious compounds. This requirement 
prevents the use of emission-control technologies that produce 
pollutants for which we have not set emission standards but 
nevertheless pose a risk to the public. As is described in Section III 
and the Summary and Analysis of Comments document, this provision does 
not preclude the use of urea-based SCR emission controls.
    Some marine engine manufacturers have expressed concern over the 
current provisions in our regulation for selection of an emission data 
engine. Part 94 specifies that a marine manufacturer must select for 
testing from each engine family the engine configuration which is 
expected to be worst-case for exhaust emission compliance on in-use 
engines. Some manufacturers have interpreted this to

[[Page 37150]]

mean that they must test all the ratings within an engine family to 
determine which is the worst-case. Understandably, this interpretation 
could cause production problems for many manufacturers due to the lead 
time needed to test a large volume of engines. Our view is that the 
current provisions do not necessitate testing of all ratings within an 
engine family. Rather, manufacturers are allowed to base their 
selection on good engineering judgment, taking into consideration 
engine features and characteristics which, from experience, are known 
to produce the highest emissions. This methodology is consistent with 
the provisions for our on-highway and nonroad engine programs. 
Therefore, we are keeping essentially the same language in part 1042 as 
is in part 94. We are adopting similar language for locomotives and 
will apply it in the same manner as we do for marine engines.

B. Compliance Issues Specific to Locomotives

(1) Refurbished Locomotives
    Section 213(a)(5) of the Clean Air Act directs EPA to establish 
emission standards for ``new locomotives and new engines used in 
locomotives.'' In the previous rulemaking, we defined ``new 
locomotive'' to mean a freshly manufactured or remanufactured 
locomotive.\165\ We defined ``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 reconditioned power assemblies. In cases where all of the 
power assemblies are not replaced at a single time, a locomotive is 
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.
---------------------------------------------------------------------------

    \165\ As is described in this section, freshly manufactured 
locomotives, repowered locomotives, refurbished locomotives, and all 
other remanufactured locomotives are all ``new locomotives'' in both 
the previous and new regulations.
---------------------------------------------------------------------------

    Our new regulations clarify the definition of ``freshly 
manufactured locomotive'' when an existing locomotive is substantially 
refurbished including the replacement of the old engine with a freshly 
manufactured engine. The existing definition in Sec.  92.12 states that 
freshly manufactured locomotives are locomotives that do not contain 
more than 25 percent (by value) previously used parts. We allowed 
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. We chose 25 percent as the cutoff because 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. On the other 
hand, setting a very high cutoff point could have required 
remanufacturers to meet standards applicable to freshly manufactured 
locomotives, but such standards may not have been feasible given the 
technical limitations of the existing chassis.
    We are adding to Sec.  1033.901 a definition of ``refurbish'' which 
will mean the act of modifying an existing locomotive such that the 
resulting locomotive contains less than 50 percent (by value) 
previously used parts (but more than 25 percent). We believe that where 
an existing locomotive is improved to this degree, it is appropriate to 
consider it separately from locomotives that are simply remanufactured 
in a conventional sense. As described below, we are specifying 
provisions for refurbished locomotives that vary by application (switch 
or line-haul) and model year (before or after 2015). See also section 
IV.B(2), which describes minimum credit proration factors for 
refurbished locomotives.
    We are also clarifying that any locomotives built before 1973 
become ``new'' and thus subject to our emission standards when 
refurbished. In the 1998 rulemaking, we determined that pre-1973 
locomotives should not be considered ``new'' when remanufactured.\166\ 
An important policy consideration in making that determination was our 
analysis of the feasibility of such locomotives to meet the Tier 0 
emission standards. However, that analysis is not valid for refurbished 
locomotives. Given the degree to which such locomotives are redesigned 
and reconfigured, there is no reason that they should be considered 
differently from 1973 locomotives simply because their frames (or some 
other parts) were originally manufactured earlier.
---------------------------------------------------------------------------

    \166\ ``Locomotive Emission Standards: Regulatory Support 
Document'', APPENDIX L, ``Exclusion of Pre-1973 Locomotives'', April 
1998.
---------------------------------------------------------------------------

    We requested comment on setting more stringent standards for 
refurbished locomotives, considering that these locomotives are 
restored to a condition likely to allow for many years of continued 
service. Industry commenters expressed concern that our subjecting 
refurbished locomotives to more stringent standards could prove 
counterproductive, because state and local programs that currently help 
fund voluntary refurbishments to very clean emission levels could lose 
their incentive to continue doing so, given that these refurbishments 
would now just be meeting EPA standards. It was further argued that 
these refurbishments would also lose any opportunity to generate 
valuable ABT credits, given the challenge just in meeting the 
standards.
    We believe that the need for financial incentives will be just as 
clear and just as strong under the new program as before. Refurbishing 
a locomotive effectively removes an old, high-emitting locomotive from 
the fleet and replaces it with a clean one. The substantial cost of 
doing so and the potential that, absent incentives, old locomotives 
(especially switchers) would continue in operation almost indefinitely 
are the true drivers for creating incentives, regardless of the 
standards involved. We expect that state and local government officials 
involved in this process are well aware of this and will act 
accordingly. The ABT credits that can be gained from these 
refurbishments have not been a major factor to date and, considering 
that the credits can subsequently be used to produce other, less clean 
locomotives, we do not believe that state and local governments would 
or should be satisfied to help finance clean locomotives that result in 
dirtier locomotives elsewhere. As detailed below, we are therefore 
adopting more stringent standards for refurbished locomotives and 
phasing in these standards in a way that we believe best facilitates 
continued refurbishment of existing locomotives, while recognizing 
differences between the switch and line-haul locomotive fleets and the 
emission reduction trends resulting from our tiered approach to 
standards-setting.
    Currently, small numbers of old low-horsepower locomotives are 
being refurbished as significantly lower-emitting switch locomotives. 
The regulations in part 92 subject these locomotives to the Tier 0 
standards (unless they contain less than 25 percent previously used 
parts) and allow them to generate emission credits if they are cleaner 
than required. The regulations in part 1033 will continue this approach 
through model year 2014. It is important to note that since most of 
these locomotives were originally manufactured before 1973, simply by

[[Page 37151]]

meeting the Tier 0 standards they will achieve significant emission 
reductions.
    For similar reasons, we are adopting an interim program for 
slightly larger locomotives with power between 2300 and 3000 horsepower 
refurbished through model year 2014. These locomotives, which are 
frequently used as road switchers, would also be subject to the Tier 0 
standards for this period.
    We do not believe, however, that it would be appropriate to allow 
switch locomotives to be refurbished to the Tier 0+ standards in the 
long term. Once the Tier 4 standards begin to apply, we will allow 
these locomotives to be certified to the Tier 3 switch locomotive 
standards, which will still provide the opportunity to generate some 
emission credits as an incentive.
    The story is slightly different for higher power line-haul 
locomotives, which are currently not being refurbished. Nearly all of 
these remaining in the Class I railroad fleets were originally 
manufactured in or after 1973 and are already subject to the Tier 0 or 
later standards. Therefore there will be less of an air quality 
incentive to fund their refurbishment, and so we are specifying that 
refurbished line-haul locomotives be subject to the same standards as 
freshly manufactured locomotives. The regulations would treat them the 
same except for emission credit proration factors, which are described 
in section IV.B.(2)
    Another important consideration is the potential for refurbishment 
to be used as a loophole to circumvent the freshly manufactured 
standards for line-haul locomotives. Railroads currently turn over 
their line-haul fleets much faster than their switch fleets. However, 
it is not hard to envision a scenario in which railroads began 
refurbishing their locomotives rather than buying freshly manufactured 
locomotives, especially as the Tier 4 standards went into effect. A 
long-term program requiring that refurbished line-haul locomotives meet 
the same standards as freshly manufactured locomotives prevents 
refurbishment from being used as such a loophole.

       Table IV-2.--Provisions for Refurbished Switch Locomotives
------------------------------------------------------------------------
                                                              Minimum
                                    Applicable tier of       proration
                                        standards             factor
------------------------------------------------------------------------
Locomotives refurbished before    Tier 0+...............            0.60
 2015.
Locomotives refurbished in 2015   Tier 3................            0.60
 or later.
------------------------------------------------------------------------


      Table IV-3.--Provisions for Refurbished Line-Haul Locomotives
------------------------------------------------------------------------
                                                              Minimum
                                    Applicable tier of       proration
                                        standards             factor
------------------------------------------------------------------------
Locomotives refurbished before    Tier 2+/3.............            0.60
 2015.
Locomotives refurbished in 2015   Tier 4................            0.60
 or later.
------------------------------------------------------------------------

(2) Averaging, Banking and Trading
    For the most part, our new regulations will continue the existing 
averaging banking and trading provisions for locomotives. This section 
only highlights the provisions that are most significant in the context 
of this Final Rule. The reader is encouraged to read subpart H of part 
1033 for details of this program.
    In order to ensure that the ABT program is not used to delay the 
implementation of the Tier 4 technology, we are applying a restriction 
similar to the averaging restriction that was adopted for Tier 2 
locomotives in the previous locomotive rulemaking. We are restricting 
the number of Tier 4 locomotives that could be certified using credits 
to no more than 50 percent of a manufacturer's annual production. As 
was true for the earlier restriction, this is intended to ensure that 
progress is made toward compliance with the advanced technology 
expected to be needed to meet the Tier 4 standards. This will encourage 
manufacturers to make every effort toward meeting the Tier 4 standards, 
while allowing some use of banked credits to provide needed lead time 
in implementing the Tier 4 standards by 2015, allowing them to 
appropriately focus research and development funds.
    We proposed to allow the carryover of all Part 92 credits except 
for PM credits generated from Tier 0 or Tier 1 locomotives. The Tier 0 
and Tier 1 PM standards under part 92 were set above the average 
baseline level to act as caps on PM emissions rather than technology-
forcing standards. While Part 92 allows credits generated only relative 
the estimated average baseline rather than the standards, we were still 
concerned that such credits might have been windfall credits. However, 
as is described in the Summary and Analysis of Comments document, after 
further analysis we now believe that allowing the carryover of all part 
92 PM credits is appropriate and will allow such credits to be used 
under part 1033.
    We are also updating the proration factors for credits generated or 
used by remanufactured locomotives. The updated proration factors 
better reflect the difference in service time for line-haul and switch 
locomotives. The ABT program is based on credit calculations that 
assume as a default that a locomotive would remain at a single FEL for 
its full service life (from the point it is originally manufactured 
until it is scrapped). However, when we established the existing 
standards, we recognized that technology would continue to evolve and 
that locomotive owners may wish to upgrade their locomotives to cleaner 
technology and certify the locomotive to a lower FEL at a subsequent 
remanufacture. We established proration factors based on the age of the 
locomotive to make calculated credits for remanufactured locomotives 
consistent with credits for freshly manufactured locomotives in terms 
of lifetime emissions. These proration factors are shown in Sec.  
1033.705 of the new regulations. These replace the existing proration 
factors of Sec.  92.305. For example, using the new proration factors, 
a 15-year-old line-haul locomotive certified to a new FEL that was 1.00 
g/bhp-hr below the applicable standard would generate the same amount 
of credit as a freshly manufactured locomotive that was certified to an 
FEL that was 0.43 g/bhp-hr below the applicable standard because the 
proration factor would be 0.43. For comparison, under the old 
regulations, the proration factor would have been 0.50.

[[Page 37152]]

    We are correcting how the proration factors apply for refurbished 
locomotives to more appropriately give credits to railroads for 
upgrading old locomotives to use clean engines, rather than to continue 
using the old high emission engines indefinitely. As with the rest of 
the program, credits will be calculated from the difference between the 
applicable standard and the emissions of the new refurbished 
locomotive, adjusted to account for the projected time the locomotive 
would remain in service. The correction creates a floor for the credit 
proration factor for refurbished locomotives of 0.60. This is equal to 
the proration factor for 20-year-old switchers and would also be 
equivalent to a proration factor for a locomotive that was just over 10 
years old. For example, refurbishing a 35-year-old switch locomotive to 
an FEL 1.0 g/bhp-hr below the Tier 0 standard would generate the same 
amount of credit as a conventional remanufacture of a 20-year-old 
switch locomotive to an FEL 1.0 g/bhp-hr below the Tier 0 standard. 
This is because we believe that such refurbished switch locomotives 
will almost certainly operate as long as a 20-year-old locomotive that 
was remanufactured at the same time. Similarly, we believe that 
refurbished line-haul locomotives would likely operate as long as a 10-
year-old locomotive that was remanufactured at the same time.
    Finally, we are finalizing special provisions for credits generated 
and used by Tier 3 and later locomotives. Under the current part 92 ABT 
program, credits are segregated based on the cycle over which they are 
generated but not by how the locomotive is intended to be used (switch, 
line-haul, passenger, etc.). Line-haul locomotives can generate credits 
for use by switch locomotives, and vice versa, because both types of 
locomotives are subject to the same standards. However, for the Tier 3 
and Tier 4 programs, switch and line-haul locomotives are subject to 
different standards with emissions generally measured only for one test 
cycle. We will allow credits generated by Tier 3 or later switch 
locomotives over the switch cycle to be used by line-haul locomotives 
to show compliance with line-haul cycle standards. As proposed, we are 
not allowing such cross-cycle use of line-haul credits (or switch 
credits generated by line-haul locomotives) by Tier 3 or later switch 
locomotives.
    To make this approach work without double-counting of credits, we 
are also adopting a special calculation method where the credit using 
locomotive is subject to standards over only one duty cycle while the 
credit generating locomotive is subject to standards over both duty 
cycles (and can thus generate credits over both cycles). In such cases, 
we would require the use of credits under both cycles. For example, for 
a Tier 4 line-haul engine family needing 1.0 megagram of NOX 
credits to comply with the line-haul emission standard, the 
manufacturer would have to use 1.0 megagram of line-haul NOX 
credits and 1.0 megagram of switch NOX credits if the line-
haul credits were generated by a locomotive subject to standards over 
both cycles.
(3) Phase-In and Reasonable Cost Limit
    The new Tier 0 and 1 emission standards become applicable on 
January 1, 2010. We also proposed a requirement for 2008 and 2009 when 
a remanufacturing system is certified to these new standards. If such a 
system is available before 2010 for a given locomotive model at a 
reasonable cost, remanufacturers of those locomotives may no longer 
remanufacture them to the previously applicable standards. They must 
instead comply with the new Tier 0 or 1 emission standards when they 
are remanufactured. Similarly, we are requiring them to use certified 
Tier 2 systems for 2008 through 2012 when a remanufacturing system is 
certified to the new Tier 2 standards. For the purposes of this 
provision, ``reasonable cost'' means that the total incremental cost to 
the operators of the locomotive (including initial hardware, increased 
fuel consumption, and increased maintenance costs) during the useful 
life of the locomotive must be less than $250,000. This cost limit is 
based on the upper cost we think likely to be required to meet these 
standards and reflects comments on our NPRM from remanufacturers.
    As part of this phase-in requirement, we are requiring certifiers 
to notify customers that they are applying for certificate such that 
their locomotives will become subject to the new standards. We would 
then allow owners/operators a minimum 90-day grace period (after we 
issue the certificate) in which they could remanufacture their 
locomotives to the previously applicable standards once they are 
notified by the certificate holder that such systems are available. 
This allows them to use up inventory of older parts. However, where the 
certifiers do not immediately notify them, railroads would be allowed a 
grace period of at least 120 days after they are notified. This 
combined approach allows sufficient time to find out about the 
availability of kits and to make appropriate plans for compliance. We 
are also adding a new provision for owners/operators that limits the 
total number of locomotives that would need to meet the new standards 
during 2008 and 2009 to a fraction of the total number of 
remanufactures they do between October 3, 2008 and December 31, 2009 
that are subject to either the old or new standards.
    We are adding provisions that would allow Tier 0/1 remanufacturers 
to use during the phase-in period an assigned deterioration factor of 
0.03 g/bhp-hr for PM and assume that all other deterioration factors 
are zero. We will also apply an in-use PM add-on of 0.03 g/bhp-hr. 
These two provisions are intended to address lead time concerns raised 
by commenters. The commenters correctly point out that the available 
lead time is not sufficient to allow remanufacturers to verify 
durability of the emission controls in a more conventional way. By 
addressing this lead time issue, we will make it more likely that the 
low emission kits will be brought to market early.
(4) Recertification Without Testing
    Once manufacturers have certified an engine family, we have 
historically allowed them to obtain certificates for subsequent model 
years using the same test data if the engines remain unchanged from the 
previous model year. We refer to this type of certification as 
``carryover.'' We are also extending this allowance to owner/operators. 
Specifically, we are adding the following paragraph to the end of Sec.  
1033.240:

    (c) An owner/operator remanufacturing its locomotive to be 
identical to the previously certified configuration may certify by 
design without new emission test data. To do this, submit the 
application for certification described in Sec.  1033.205, but 
instead of including test data, include a description of how you 
will ensure that your locomotives will be identical in all material 
respects to their previously certified condition. You have all of 
the liabilities and responsibilities of the certificate holder for 
locomotives you certify under this paragraph.
(5) Railroad Testing
    Section 92.1003 requires Class I freight railroads to annually test 
a small sample of their locomotives. We proposed to adopt the same 
requirements in Sec.  1033.810, but asked for comments on whether this 
program should be changed. In particular, we requested suggestions to 
better specify how a railroad selects which locomotives to test, which 
has been a source of some confusion in recent years. In this final 
rule, we are adopting a revised approach that should reduce this 
confusion. The regulations provide four options for railroads to select

[[Page 37153]]

locomotives for testing and require EPA to notify the railroad by 
January 1st for any year in which we choose to specify which 
locomotives should be tested.
    In addition, the maximum annual testing rate is being lowered to 
0.075 percent, from the previously applicable rates of 0.15 to 0.10 
percent. This new rate will require Class I railroads to test 
approximately 20 locomotives per year. We believe that this number of 
tests (in addition to the testing required for certificate holders) 
will be enough to allow us to appropriately monitor the emission 
performance of in-use locomotives.
(6) Test Conditions and Corrections
    In our previous rule, we established test conditions that are 
representative of in-use conditions. Specifically, we required 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. One of the reasons 
we established such a broad range was to allow outdoor testing of 
locomotives. While we only required that locomotives comply with 
emission standards when tested at altitudes up to 4,000 feet for 
purposes of certification and in-use liability, we also required 
manufacturers to submit evidence with their certification applications, 
in the form of an engineering analysis, that shows that their 
locomotives were designed to comply with emission standards at 
altitudes up to 7,000 feet. We included correction factors that are 
used to account for the effects of ambient temperature and humidity on 
NOX emission rates.
    We are now changing how the regulations deal with the test 
temperatures. We are specifying that testing without correction may be 
performed down to a lower limit of 60[deg]F. In implementing the prior 
regulations, we found that the broad temperature range with correction, 
which was established to make testing more practical, was problematic. 
Given the uncertainty with the existing correction, manufacturers have 
generally tried to test in the narrower range being adopted today. 
However, we will still allow manufacturers to test at lower 
temperatures but will require them to develop correction factors 
specific to their locomotive designs.
    We are also changing the altitude requirements for switch 
locomotives in response to a comment noting that switch locomotives 
will rarely operate above 5,500 feet. For switch locomotives, we will 
only require manufacturers to show that their locomotives comply with 
emission standards at altitudes up to 5,500 feet.
(7) Duty Cycles and Calculations
(a) Idle Weighting Adjustments
    While we did not propose any changes to the weighting factors for 
the locomotive duty cycles, we did request comment on whether such 
changes would be appropriate in light of the proposed idle reduction 
requirements. The regulations specify an alternate calculation for 
locomotive equipped with idle shutdown features. This provision allows 
a manufacturer to appropriately account for the inclusion of idle 
reduction features as part of its emission control system. There are 
three primary reasons why we are not changing the calculation 
procedures with respect to the idle requirements. First, different 
shutdown systems will achieve different levels of idle reduction in 
use. Thus, no single adjustment to the cycle would appropriately 
reflect the range of reductions that will be achieved. Second, the 
existing calculation provides an incentive for manufacturers to design 
shutdown systems that achieve in the greatest degree of idle reduction 
that is practical. Finally, our feasibility analysis is based in part 
on the emission reductions achievable relative to the existing 
standards. Since some manufacturers already rely on the calculated 
emission reductions from shutdown features incorporated into many of 
their locomotive designs, our feasibility is based in part on allowing 
such calculations.
    We are adopting a slight change to the way this adjustment works as 
compared to the previous regulations. We are specifying that idle 
emission rates for locomotives meeting our minimum shutdown 
requirements in Sec.  1033.115 be reduced by 25 percent, unless the 
manufacturer demonstrates that greater idle reduction will be achieved.
(b) Representative Cycles
    We also recognize that the potential exists for locomotives to 
include additional power notches, or even continuously variable 
throttles, and that the standard FTP sequence for such locomotives 
would result in an emissions measurement that does not accurately 
reflect their in-use emissions performance. Moreover, some locomotives 
may not have all of the specified notches, making it impossible to test 
them over the full test. Under the previous regulations, we handled 
such locomotives under our discretion to allow alternate calculations 
(40 CFR 92.132(e)). We are now adopting more specific provisions in 
Sec.  1033.520. In general, for locomotives missing notches, we believe 
the existing duty cycle weighting factors should be reweighted without 
the missing notches. For locomotives without notches or more than 8 
power notches, the regulations reference following information provided 
to us by manufacturers for the previous rulemaking that shows typical 
notch power levels expressed as a percentage of the rated power of the 
engine.
    In response to comments we are also adding provisions to address 
locomotives that include new design features that will result in 
changes to the in-use duty cycle. Specifically, the regulations state 
that manufacturers must notify us if they are adding design features 
that will make the expected average in-use duty cycle of their engine 
family significantly different from the otherwise applicable test 
cycle. They must also recommend an alternate test cycle that represents 
the expected average in-use duty cycle. We will specify whether to use 
the default duty cycle, the recommended cycle, or a different cycle, 
depending on which cycle we believe best represents expected in-use 
operation. For locomotives subject to both line-haul and switch cycle 
standards, the regulations specify that a single set of standards would 
apply for the representative cycle.
(c) Energy Saving Design Features
    We are adopting special provisions for locomotives equipped with 
energy-saving design features, such as sophisticated electronic 
optimization of throttle and brake settings based on route data or 
locomotive operation in a consist, electronically controlled pneumatic 
(ECP) brakes, and hybrid technology. The provisions we are adopting 
recognize that to whatever degree the total work done by a locomotive 
is reduced, the mass emissions would likely also be reduced. For 
example, if certain design features reduced by three percent the amount 
of work needed to pull a typical train, then the mass emission rate (g/
hr) would generally also be reduced by three percent. Under the new 
provisions, manufacturers will be allowed to adjust their locomotives' 
emissions to reflect this, based on data gathered prior to 
certification.
    Manufacturers choosing to adjust emissions under these provisions 
must present a test plan to EPA for approval prior generating the in-
use data necessary to estimate their emissions reductions. The degree 
to which manufacturers would be allowed to take

[[Page 37154]]

a credit at certification would be determined from a statistical 
analysis of their supporting data to address the uncertainty in their 
estimate. This would minimize the possibility that manufacturers would 
be given credit for emission reductions that did not actually occur. 
Later, additional data on the in-use fleet using the feature could be 
gathered to improve the statistical certainty and this could then be 
factored into subsequent certifications. In concept, however, if we had 
perfect data, we would grant the manufacturers full credit for the 
savings.
    Since our standards are specified as brake-specific emission 
limits, no credit or adjustment will be allowed for features that only 
improve the engine's brake-specific fuel consumption. The nature of the 
test procedure itself already properly credits such features. Thus, 
allowing additional credits to be calculated would be double-counting 
of credits.
(8) Non-OEM Remanufacturing Parts
    We are adopting measures in Sec.  1033.645 to help provide for the 
continued participation in remanufacturing by parts manufacturers 
willing to take responsibility for the long-term emissions performance 
of their parts but who lack the wherewithal to design and certify 
entire locomotive remanufacture systems that may include complex 
emissions control systems far beyond their expertise. Under this 
program, we would determine, based on an upfront engineering analysis, 
that the part supplier has a reasonable basis for concluding that use 
of their part would be equivalent to the OEM part in use. We would 
later verify its emission performance through in-use emission testing.
    The exact nature of the engineering analysis necessary to 
demonstrate that the part supplier has a reasonable basis for 
concluding that use of their part (or parts) will not cause emissions 
to increase beyond the level expected from the OEM part in use, is 
expected to vary. We see four possible paths to accomplish this.
     The part is shown to be identical to the original part in 
all material respects.
     The part differs physically from the original in a small 
number of ways and each of these is evaluated to show that the 
aftermarket part will be as good as or better than the original with 
respect to emissions performance.
     Measurable emission-critical parameters such as fuel 
injection profile or engine oil consumption rate are established and an 
engine (or relevant engine subsystem) using the aftermarket part is 
shown through testing to perform as good or better than one with the 
original part with respect to these parameters.
     Emissions testing and durability demonstration is 
performed in essentially the same manner as for remanufactured system 
certification.
    For example, cylinder liners differing only in color and part 
number from the OEM liners would be identical in all material respects. 
Those having different bore groove patterns would not be considered 
identical, but an analysis of the difference this makes in the oil's 
interaction with the cylinder wall and rings (which could have an 
impact on PM emissions) could suffice to make the demonstration. 
Chrome-plated cylinder liners in combination with a specified piston 
ring set used in place of original rings and non-plated liners could be 
expected to affect the emission-critical parameter of oil consumption, 
especially later in the locomotive useful life due to differences in 
wear rates. Bench or field testing over time demonstrating lower oil 
consumption trends than original equipment could provide a sufficient 
demonstration, provided no other emission-critical parameters are 
involved. We do not believe it is necessary or even possible to specify 
in the regulations the appropriate emission-critical parameters for all 
of the locomotive aftermarket components identified in this provision 
or to specify the test procedures and criteria by which these 
parameters are evaluated. Instead, we are establishing broad criteria 
and requiring the part suppliers to propose the appropriate emission-
critical parameters and corresponding test or analytical methods 
appropriate to the part they produce.
    We would allow railroads to use the non-OEM part during 
remanufacturing once we have approved the supplier's engineering 
analysis. Once the part has been installed in at least 250 locomotives, 
we would require one of them to be tested. One additional locomotive 
would need to be tested from the next additional 500 locomotives that 
use the part. If any locomotives fail to meet all standards, we 
generally require one additional locomotive to be tested for each 
locomotive that fails. We would generally allow the supplier to include 
testing performed by others. For example, if a railroad tests a 
locomotive with the part under Sec.  1033.810, the supplier could 
submit those test data as fulfillment of its test obligations.
    We are adopting these provisions to address the specific issue of 
parts that are typically replaced during remanufacturing and for which 
there is an active aftermarket. Therefore, we are only specifying 
cylinder liners, cylinder heads, pistons, rings, and fuel injectors as 
being covered by this program. We reserve the authority to expand the 
program to cover other parts.
(9) Use of Nonroad Engines Certified Under 40 CFR Parts 89 and 1039
    Section 92.907 currently allows the use of a limited number of 
nonroad engines in locomotive applications without certification under 
the locomotive program. We believe a similar allowance should also be 
included in the new regulations. However, we are making some changes to 
these procedures. In general, manufacturers have not taken advantage of 
these previously existing provisions. In some cases, this was because 
the manufacturer wanted to produce more locomotives than allowed under 
the exemption. However, in most cases, it was because the customer 
wanted a full locomotive certification with the longer useful life and 
additional compliance assurances. We are adopting new separate 
approaches for the long term (Sec.  1033.625) and the short term (Sec.  
1033.150), each of which addresses at least one of these issues.
    For the long term, we are replacing the existing allowance that 
relies on part 89 certificates with a design-certification program that 
makes the locomotives subject to the locomotive standards in use but 
does not require new testing to demonstrate compliance at 
certification. Specifically, this program allows switch locomotive 
manufacturers using nonroad engines to introduce up to 30 locomotives 
of a new model prior to completing the traditional certification 
requirements. While the manufacturer would be able to certify without 
new testing, the locomotives would have locomotive certificates. Thus, 
purchasers would have the compliance assurances they desire.
    As is described in section III B (1)(b), the short-term program is 
more flexible and does not require that the locomotives comply with the 
switch cycle standards; instead the engines would be subject to the 
part 1039 standards. The manufacturers would be required to use good 
engineering judgment to ensure that the engines' emission controls 
would function properly when installed in the locomotives. For example, 
the locomotive manufacturer would need to ensure that sufficient 
cooling capacity was available to cool the engine intake air. Given the 
relative levels of the part 1039 standards and those being

[[Page 37155]]

proposed in 1033, we do believe there is little environmental risk with 
this short-term allowance and thus are not including any limits of the 
sales of such locomotives. Nevertheless, we are limiting this allowance 
to model years through 2017. This provides sufficient time to develop 
these new switchers. These locomotives would not be exempt from the 
part 1033 locomotive standards when remanufactured, unless the 
remanufacturing of the locomotive took place prior to 2018 and involved 
replacement of the engines with certified new nonroad engines. 
Otherwise, the remanufactured locomotive will be required to be covered 
by a part 1033 remanufacturing certificate.
(10) Mexican and Canadian Locomotives
    Under the prior regulations, Mexican and Canadian locomotives are 
subject to the same requirements as U.S. locomotives if they operate 
extensively within the U.S. The regulation 40 CFR 92.804(e) states:
    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.
    We are changing this exemption to make it subject to our prior 
approval, since we have found that the current language has caused some 
confusion. When we created this exemption, it was our understanding 
that Mexican and Canadian locomotives rarely operated in the U.S. and 
the operation that did occur was limited to within a short distance of 
the border. We are now aware that there are many Canadian locomotives 
that do operate extensively within the U.S. and relatively few that 
meet the conditions of the exemption. We have also learned that some 
Mexican locomotives may be operating more extensively in the United 
States. Thus, it is appropriate to make this exemption subject to our 
prior approval. To obtain this exemption, a railroad will be required 
to submit a detailed plan for our review prior to using uncertified 
locomotives in the U.S. We will grant an exemption for locomotives that 
we determine will not be used extensively in the U.S. and that such 
operation will be incidental to their primary operation. Mexican and 
Canadian locomotives that do not have such an exemption and do not 
otherwise meet EPA regulations may not enter the United States.
(11) Other Locomotive Issues
    The regulations in part 92 allow locomotive owners to voluntarily 
subject their pre-1973 locomotives to the Tier 0 standards or to 
include in the locomotive program low-horsepower locomotives that would 
otherwise be excluded based on their rated power. We are also including 
these options in the new part 1033. We will also provide two additional 
options. First, we will allow Tier 0 switch locomotives, which are 
normally not subject to line-haul cycle standards, to be voluntarily 
certified to the line-haul cycle standards. Second, we will allow any 
locomotives to be voluntarily certified to a more stringent tier of 
standards. An example of where these options may be desirable would be 
a case in which a customer wants to purchase a refurbished switch 
locomotive that meets the Tier 2 standards. While it may seem obvious 
that it would be allowed, the old regulations are unclear. The part 
1033 regulations eliminate this confusion.
    The existing and proposed regulations both specified that railroads 
are required to perform emission-related maintenance. In response to 
comments, we have added to the regulations a clarification that 
unscheduled maintenance has to be performed in a timely manner, no 
later than at the next ``92-day'' inspection required by the Federal 
Railroad Administration. Railroads expressed concern that the 
regulations, as previously written, would have required them to 
immediately remove a locomotive from service to make emission-related 
repairs. This was not our intent. Rather, the maintenance provision was 
intended to merely require that the maintenance be performed in a 
timely manner. For many repairs, it may be appropriate to wait until 
the next 92-day inspection. However, for many others it would be 
appropriate to make the repair sooner to the extent practical.
    In response to comments, we are adding an interim allowance to 
simplify certification testing of locomotive engines. Specifically, for 
model years before 2014, we will allow manufacturers to test locomotive 
engines for certification without replicating the transient behavior in 
the locomotive. This will make it easier for manufacturers to certify 
new cleaner remanufacturing systems for the full range of locomotive 
models.

C. Compliance Issues Specific to Marine Engines

(1) Remanufacturing
    As discussed in Section III, above, we are adopting a marine 
remanufacture program for marine diesel engines over 600 kW built from 
1973 through Tier 2 that requires the use of a certified remanufacture 
system when such an engine is remanufactured, if one is available. 
Certified remanufacture systems must achieve at least a 25 percent 
reduction in PM emissions. This section briefly describes several 
certification and compliance provisions for the marine remanufacture 
program; the full program is contained in the regulations for this 
rule.
    In general, the normal certification requirements for new marine 
diesel engines would apply, with minor variations as needed to 
accommodate the characteristics of remanufactured engines. For example, 
engine families are based on the same criteria as for freshly 
manufactured engines, and testing, reporting, the application for 
certification, and warranty requirements closely follow the provisions 
that apply for freshly manufactured engines.
    In general, remanufactured engines are considered to be ``new'' 
engines, and they remain new until sold or placed back into service 
after the replacement of the last cylinder liner. The standards do not 
apply for engines that are rebuilt without removing cylinder liners. 
For a new engine to be placed into service, it must be covered by a 
certificate of conformity.
    As is the case with our other emission control programs, 
certification testing for conformity demonstration will be performed on 
the most common configuration within an engine family. An engine family 
is a group of engines that have the same characteristics with respect 
to combustion cycle and fuel, cooling system, method of air aspiration, 
method of exhaust aftertreatment, combustion chamber design, bore and 
stroke, and mechanical or electronic controls. Other configurations may 
be included if it can be shown based on good engineering judgment that 
they are likely to provide a PM reduction similar to the configuration 
tested. Compliance for these other configurations is based on an 
engineering demonstration that the remanufacturing system reduces PM 
emissions by 25 percent without increasing NOX emissions. 
Engine families may also include remanufacturing systems corresponding 
to engines that were originally produced over multiple model years, as 
long as the configuration does not change in a

[[Page 37156]]

way that affects the validity of certification for the remanufacturing 
system.
    To certify a remanufacture system, a manufacturer must measure 
baseline emissions and emissions from an engine remanufactured using 
its system. A baseline emission rate would be established by 
remanufacturing an engine following normal procedures. That engine or a 
second engine of the same configuration is then tested for emissions 
after remanufacturing with the expected emission controls. The 
remanufacturing system meets the emission standards of the program by 
demonstrating a minimum 25 percent reduction in PM emissions and no 
increase in NOX emissions (within 5 percent). The 
remanufacturer must also demonstrate that the remanufacturing system 
does not adversely affect engine reliability or power.
    The remanufacturer must also demonstrate that the total marginal 
cost of the remanufacturing system is less than $45,000 per ton of PM 
reduction. For the purpose of this demonstration, marginal cost means 
the difference in costs between remanufacturing the engine using the 
remanufacture system and remanufacturing the engine conventionally. 
Total marginal costs over the period of one useful life are divided by 
the projected PM emissions over one useful life to obtain the cost of 
the remanufacture system per ton of PM reduced. Costs to be considered 
include hardware costs, labor costs, operating costs over one useful 
life period, and other costs (such as shipping).
    The useful life provisions established for freshly manufactured 
engines would apply equally to remanufactured engines. In general, 
remanufacturers would be responsible for meeting emission standards for 
10 years or 10,000 hours of operation for Category 1 engines, and 10 
years or 20,000 hours of operation for Category 2 engines.
    Certification will rely on a deterioration factor, similar to 
freshly manufactured engines. The certifying company may either use an 
assigned value of 0.015 g/kW-hr for PM or develop a new deterioration 
factor based on engine testing. For Tier 2 engines, the certifying 
company needs to add the deterioration factor to measured emission 
levels for certification. The deteriorated number must be less than the 
applicable PM standard. For Tier 1 and earlier engines, the 
deterioration factor is added to the emission level established for the 
certified configuration and that higher emission level serves as the 
emission standard for any in-use testing after certification.
    The regulations allow for simplified certification requirements for 
remanufacture systems that are already certified under the locomotive 
program. This would require only an engineering analysis demonstrating 
that the system would achieve emission reductions from marine engines 
similar to those from locomotives. Because the marine remanufacture 
program requires only a PM reduction, locomotive remanufacture system 
manufacturers may modify those locomotive systems with respect to 
NOX emissions. In that case, the system will have to be 
recertified as a marine remanufacture system based on measured values 
and subject to all of the other certification requirements of the 
marine remanufacture program.
     Remanufactured engines are not eligible for generating or using 
emission credits for averaging, banking, or trading. This is 
appropriate because the program we are finalizing is only mandatory if 
a system has been certified for the relevant engine. We will reconsider 
allowing systems to be based on emission credits when we consider 
whether to adopt a mandatory marine remanufacture program (Part 2 of 
the proposed program) at a later date.
    Not-to-exceed standards do not apply to remanufacturing. This is 
appropriate because the base engine in most cases is not subject to NTE 
requirements. In addition, NTE is most appropriately considered in the 
initial engine design phase; requiring remanufactured engines to meet 
the NTE requirements would likely require more intensive engine 
redesign than is anticipated by the simpler program we are finalizing.
    Finally, other provisions such as those governing maintenance 
intervals, warranties, duty cycles, test fuel, labeling, recordkeeping, 
etc. are the same as or similar to those for freshly manufactured 
engines.
(2) Replacement Engines
    We are revising certain aspects of our existing provisions with 
regard to replacement engines, as described below. These requirements 
apply to all marine diesel engines, propulsion or auxiliary, regardless 
of marine application. Section 1042.601(c) provisions apply instead of 
the provision of section 1068.240(b)(3) that applies for other nonroad 
engines.
    (a) Replacement With a Freshly Manufactured Engine
    Under the current marine diesel engine program, an engine 
manufacturer is generally prohibited from selling a marine engine that 
does not meet the standards that are in effect when that engine is 
produced. However, we recognize that there may be situations in which a 
vessel owner may require an engine certified to an earlier tier of 
standards. The two most likely situations are (1) when a vessel has 
been designed to use a particular engine such that it cannot physically 
accommodate a different engine due to size or weight constraints (e.g., 
a new engine model will not fit into the existing engine compartment); 
or (2) when the engine is matched to key vessel components such as the 
propeller, or when a vessel has a pair of engines that must be matched 
for the vessel to function properly.
    To address these extreme situations, we amended existing regulation 
40 CFR 94.1103(b)(3) to allow a manufacturer to produce a new engine 
which meets an earlier tier of standards if the Administrator 
determined that no new engine certified to the emission limits in 
effect at that time is produced by any manufacturer with the 
appropriate physical or performance characteristics needed to repower 
the vessel. An engine manufactured pursuant to this provision is 
subject to certain conditions: The replacement engine must meet 
standards at least as stringent as those of the original engine; the 
engine manufacturer must take possession of the original engine or 
confirm it is destroyed; and the replacement engine must be clearly 
labeled to show that it does not comply with the standards and that 
sale or installation of the engine for any purpose other than as a 
replacement engine is a violation of federal law and subject to civil 
penalty.
    We subsequently revised this provision to allow the engine 
manufacturer to make the determination of whether an engine compliant 
with the current standards would fit a vessel, but solely in cases of 
catastrophic failure (see 70 CFR 40419, July 13, 2005). This change was 
made to reflect industry concerns that obtaining prior EPA approval 
would take too long. The engine manufacturer may make the determination 
in catastrophic failure situations provided that the following 
conditions are met: The manufacturer must determine that no certified 
engine is available, either from its own product lineup or that of the 
manufacturer of the original engine (if different); and the engine 
manufacturer must document the reasons why an engine of a newer tier is 
not usable, and this report must be made available to us upon request. 
We also specified in Sec.  94.1103(a)(8) that no other significant 
modifications to the vessel can be made as part of the process of 
replacing the engine, or for a period of 6 months thereafter.
    In response to comments on the proposal for this rulemaking, we are

[[Page 37157]]

finalizing three additional revisions to the replacement engine 
provisions. First, engine manufacturers may now make the determination 
with respect to the feasibility of using a current tier engine in both 
noncatastrophic and catastrophic situations. This is a significant 
change to the program. Engine manufacturers and user groups were 
concerned about the amount of time that would be needed to obtain prior 
EPA approval, even in these noncatastrophic cases. Even though the 
noncatastrophic engine replacement is more typically planned in 
advance, it is still the case that the determination must be made in a 
timely manner to ensure the engine manufacturer has time to produce the 
engine before the vessel is taken out of service for the replacement. 
Therefore, we are revising the program to allow the engine manufacturer 
to make such determinations, provided certain additional conditions are 
met: The engine manufacturer must examine the suitability of 
replacement with any current tier engine, either produced by that 
manufacturer or any other manufacturer; the engine manufacturer must 
make a record of each determination, which must be kept for eight years 
and contain specific information; the record must be submitted to EPA 
within 30 days after shipping each engine along with a statement 
certifying that the information contained in that record is true. We 
may reduce the reporting and recordkeeping requirements in this section 
after a manufacturer has established a consistent level of compliance 
with the requirements of this section.
    These records will be used by EPA to evaluate whether engine 
manufacturers are properly making the feasibility determination and 
applying the replacement engine provisions. We may void any exemptions 
we determine do not conform to the applicable requirements. When 
assessing penalties under this provision we would consider whether the 
manufacturer acted in good faith. Thus manufacturers are encouraged to 
keep additional records to support their good faith attempt to comply 
with the regulations. For example, manufacturers could keep records of 
requests for replacement engines that are denied.
    In making the determination that a current tier engine is not a 
feasible replacement engine for a vessel, we expect the engine 
manufacturer will evaluate not just engine dimensions and weight but 
may also include other pertinent vessel characteristics. These 
pertinent characteristics would include downstream vessel components 
such as drive shafts, reduction gears, cooling systems, exhaust and 
ventilation systems, and propeller shafts; electrical systems for 
diesel generators (indirect drive engines); and such other ancillary 
systems and vessel equipment that would affect the choice of an engine. 
At the same time, there are differences between the new tier and 
original tier engines that should not affect this determination, such 
as the warranty period or life expectancy of a newer tier engine, or 
its cost or production lead time. These characteristics should not be 
part of the determination of whether or not a new tier engine can be 
used as a replacement engine. With regard to the warranty period or 
life expectancy for the new tier engine, an exception may be if these 
are significantly shorter for the new tier engine than for an older 
tier engine or the original engine and the shorter warranty period or 
life expectancy for the newer model is consistent with industry 
practices.
    In addition, in the case of a vessel with two or more paired 
engines, if the engine not in need of replacement has accumulated 
service in excess of 75 percent of its useful life we specify that the 
determination must consider replacement of both engines in the pair. 
This requirement is necessary to prevent circumvention of the freshly 
manufactured engine requirements by replacing one engine at a time and 
relying on the need to pair the engines as the sole justification for 
producing an engine to an earlier tier. We are also specifying that no 
additional modifications may be made to a vessel for six months after 
installing a new replacement engine made to a previous tier. This is to 
avoid circumvention of the requirement to use a freshly manufactured 
engine when a vessel is refurbished such that it becomes a new vessel.
    The second change to the replacement engine provision is necessary 
to accommodate the new tiers of standards we are adopting in this 
rulemaking. Specifically, in making the feasibility determination the 
engine manufacturer is now required to consider all previous tiers and 
use any of their own engine models from the most recent tier that meets 
the vessel's physical and performance requirements. If an engine 
manufacturer can produce an engine that meets a previous tier of 
standards representing better control of emissions than that of the 
engine being replaced, the manufacturer would need to supply the engine 
meeting the tier of standards with the lowest emission levels. For 
example, if a Tier 1 engine is being replaced after the Tier 3 
standards go into effect, the engine manufacturer would have to 
demonstrate why a Tier 2 as well as a Tier 3 engine cannot be used 
before a Tier 0 engine can be produced and installed. Similarly, for an 
engine built prior to 2004, the engine manufacturer would have to 
demonstrate why a Tier 1, Tier 2, or a Tier 3 engine cannot be used. It 
should be noted, in the case of Tier 0 engines, that MARPOL Annex VI 
prohibits replacing an existing engine at or above 130 kW with a 
freshly manufactured engine unless it meets the Tier 1 standards.
    The third change to the replacement engine provisions pertains to 
Tier 4 engines. We are making the advance determination that Tier 4 
engines equipped with aftertreatment technology to control either 
NOX or PM are not required for use as replacement engines 
for engines from previous tiers in accordance with this regulatory 
replacement engine provision. Note, however, that Tier 4 engines will 
be required to be used as replacement engines if the original engine 
being replaced is a Tier 4 engine. We are making this determination in 
advance because we expect that installing such a Tier 4 engine in a 
vessel that was originally designed and built with a previous tier 
engine could require extensive vessel modifications (e.g., addition of 
a urea tank and associated plumbing; extra room for a SCR or PM filter; 
additional control equipment) that may affect important vessel 
characteristics (e.g., vessel stability). It should be noted that by 
making this advance determination, EPA is not implying that Tier 4 
engines are never appropriate for use as replacement engines for 
engines from previous tiers; this determination is intended to simplify 
the search across engines and is based on the presumption that Tier 4 
engines may not fit in most cases. We are also not intending to prevent 
states or local entities from including Tier 4 engines in incentive 
programs that encourage vessel owners to replace previous tier existing 
engines with new Tier 4 engines or to retrofit control technologies on 
existing engines, since those incentive programs often are designed to 
offset some of the costs of installing and/or using advanced emission 
control technology solutions. This advance determination is being made 
solely for Tier 4 marine diesel replacement engines that comply with 
the Tier 4 standards through the use of catalytic aftertreatment 
systems. Should an engine manufacturer develop a Tier 4 compliant 
engine solution that does not require the use of such technology, then 
this automatic determination will

[[Page 37158]]

not apply. Instead our existing provision will apply and it will be 
necessary to show that a non-catalytic Tier 4 engine would not meet the 
required physical or performance needs of the vessel.
(b) Replacement With an Existing Engine
    Our current marine diesel engine program does not contain 
provisions that address the case in which an engine is replaced with an 
existing used engine. This means that if a vessel owner replaces an 
existing engine with a used engine, then that replacement engine is not 
required to be certified to our marine standards. It should be noted, 
however, that engines greater than 600 kW that are built after 1973 
would still be subject to the remanufacture program described in 
Section III(C)(2)(b). This means if the existing engine that is the 
replacement engine has all of its cylinder liners replaced, it will be 
required to be remanufactured using a certified remanufacture system if 
one is available for that engine. It is our expectation that a vessel 
owner would not replace an existing engine above 600 kW with a 
partially-rebuilt engine, and therefore we do not expect to see 
replacement engines that are not remanufactured if there is a certified 
remanufacture system available.
    These remanufacture requirements would apply whether the owner is 
obtaining an identical existing (used) replacement engine due to an 
engine failure or through an engine exchange for a periodic engine 
rebuild. These requirements would also apply if a vessel owner is 
obtaining a different model existing (used) replacement engine, for 
whatever reason.
    It should be noted that pursuant to the definition of ``new marine 
engine,'' used engines brought into the marine market from other 
segments (e.g., locomotive, land-based nonroad, or highway sectors) are 
considered to be new marine diesel engines when they are marinized or 
modified for use on a vessel, and must meet the standards for newly 
manufactured engines in effect when such an engine is marinized or 
modified for installation on a vessel.
(c) Swing Engines
    A swing engine is an additional engine that is purchased at the 
time the vessel is constructed as part of a rebuild strategy. When an 
engine is due for rebuild, that engine is removed from the vessel and 
replaced with the swing engine. The removed engine is rebuilt and then 
becomes the swing engine. Note that a swing engine is not meant to be a 
replacement engine in case of engine failure. Rather, it is a 
maintenance practice.
    It is our expectation that the swing engine would undergo a 
complete rebuild, including cylinder liner replacement, before it is 
made available as the swing engine. That would constitute 
remanufacturing, and the engine would be required to comply with the 
engine remanufacture requirements. In general, this means that all 
engines that are part of a swing engine rebuild practice are expected 
to comply with the remanufacture requirements over time, providing a 
certified remanufacture system is available.
(d) Vessel Refurbishing
    Our current program specifies that in addition to newly 
manufactured vessels, a vessel is considered to be ``new'' if it is 
modified such that the value of the modifications exceeds 50 percent of 
the value of the modified vessel. Such a refurbished vessel would be 
required to have an engine that is compliant with the standards in 
place when the vessel is modified. We expect that most vessel 
modifications will not trigger this threshold, but the requirement is 
necessary to accommodate those cases where a major structural change is 
done to a vessel that make it like-new.
    We are revising this provision to specify how temporary 
modifications will be treated under this provision. In general, 
temporary modifications to a vessel would not be considered to be 
vessel refurbishing for the purpose of the ``new vessel'' definition. 
We are defining temporary modifications as modifications to a vessel 
that are made pursuant to a written contract between the vessel owners 
and the purchaser of the vessel's services and that are made for the 
purpose of fulfilling the purchaser's marine service requirements. To 
be considered to be temporary, the modifications must be removed from 
the vessel upon expiration of the contract or after a period of one 
year, whichever is shorter. While we will allow a vessel owner to 
petition EPA for a longer period of time, we will generally assume that 
changes that are necessary for longer than one year are quasi-
permanent. We do not expect there to be many petitions for longer 
periods of time because temporary modifications that exceed 50 percent 
of the vessel's value would be considerable and would likely involve 
the vessel's power plant.
(3) Personal Use Exemption
    The current marine diesel engine emission control program contains 
certain exemptions from the standards, including the following: test 
engines; manufacturer-owned engines; display engines; competition 
engines; export engines; and certain military engines. We also provide 
an engine dresser exemption that applies to marine diesel engines that 
are produced by marinizing a certified highway, nonroad, or locomotive 
engine without changing it in any way that may affect the emissions 
characteristics of the engine.
    In addition to these existing exemptions we are also adding a new 
provision that exempts an engine installed on a vessel manufactured by 
a person for his or her own use (see 40 CFR 1042.630). This is intended 
to address the hobbyists and fishermen who make their own vessel (from 
a personal design, for example, or to replicate a vintage vessel) and 
who would otherwise be considered to be a manufacturer subject to the 
full set of emission standards by introducing a vessel into commerce. 
The exemption is intended to allow such a person to install a rebuilt 
engine, an engine that was used in another vessel owned by the person 
building the new vessel, or a reconditioned vintage engine (to add 
greater authenticity to a vintage vessel). The exemption is not 
intended to allow such a person to order a new uncontrolled engine from 
an engine manufacturer. We expect this exemption to involve a very 
small number of vessels, so the environmental impact of this exemption 
will be negligible, while the cost would otherwise be high to install a 
certified compliant engine.
    Because the exemption is intended for hobbyists and fishermen, we 
are setting additional constraints. First, the vessel may not be used 
for general commercial purposes. The one exception to this is that the 
exemption allows a fisherman to use the vessel for his or her own 
commercial fishing. Second, the exemption is limited to one such vessel 
over a ten-year period and does not allow exempt engines to be sold for 
at least five years. We believe these restrictions are not unreasonable 
for a true hobby builder or comparable fisherman. Moreover, we require 
that the vessel generally be built from unassembled components, rather 
than simply completing assembly of a vessel that is otherwise similar 
to one that must use a freshly manufactured engine certified to meet 
the applicable emission standards. The person also must be building the 
vessel him- or herself, and not simply ordering parts for someone else 
to assemble. Finally, the vessel must be a vessel that is not classed 
or subject to Coast Guard inspections or surveys.

[[Page 37159]]

(4) Lifeboat/Rescue Boat Exemption
    Our current marine diesel engine program does not exempt lifeboats 
or rescue boats, and we did not propose to revise that approach. This 
approach was developed for the Tier 2 marine diesel engine standards. 
As we explained in our 1999 FRM, the technologies that would meet Tier 
2 standards would not have inherent negative effect on the performance 
or power density of an engine, and we expected that manufacturers would 
be able to use the range of technologies available to maintain or even 
improve the performance capabilities and reliability of their engines. 
We also note that land-based emergency engines such as standby 
generators are not exempt from our emission control requirements in 
either highway or nonroad applications.
    We received several comments from manufacturers of lifeboats and 
rescue boats requesting that we reconsider this approach and exempt 
engines on lifeboats and rescue boats from the Tier 3 and Tier 4 
standards. They noted that engines on lifeboats and rescue boats are 
not regularly used as they are intended for use only during 
emergencies, and they are generally only operated for 3 minutes once a 
week and are water tested for a short period only a few times a year. 
Boat manufacturers were also concerned about the reliability of 
electronic controls and advanced technology aftertreatment systems in 
these situations, especially when the boats are stored on deck and 
exposed to the elements.
    We've also learned that at least some engine manufacturers that 
have certified engines in the past for use on Coast Guard approved 
lifeboats and rescue boats pursuant to Coast Guard and international 
(International Convention for the Safety of Life at Sea--SOLAS) 
requirements have not yet done so for Tier 2 engines and may elect not 
to do so at all.\167\ The Coast Guard and SOLAS certification 
requirements are meant to ensure that an engine will perform after it 
is inverted, will operate when submerged up to the crankshaft, and will 
readily start at temperatures as low as -15 degrees C. This 
certification is expensive and time-consuming, and those costs may be 
difficult to recover over the limited U.S. market for lifeboats and 
rescue boats (100 to 150 boats per year). Manufacturers of those 
lifeboats that use those engines must either find an alternative engine 
for their product, and recertify the boats to the Coast Guard and SOLAS 
requirements, or exit the market.
---------------------------------------------------------------------------

    \167\ See http://www.uscg.mil/hq/g-m/mse4/boatlb.htm#LIFEBOAT_FOR_MERCHANT_VESSELS for Coast Guard requirements for lifeboats 
and rescue boats.
---------------------------------------------------------------------------

    After considering these comments, we conclude that it is reasonable 
to modify our program for engines used on Coast Guard approved 
lifeboats and rescue boats. First, our final program exempts engines 
intended to be used on lifeboats and rescue boats from the Tier 4 
standards. This exemption is appropriate for technological reasons. We 
expect the Tier 4 standards to be met through the application of 
aftertreatment technology. While we believe these technologies will be 
durable and reliable, it is also the case the additional complexity 
could possibly affect engine performance in an emergency, which is the 
sole situation in which these engines would be used. For example, it 
would be necessary to ensure the engines on the lifeboat or rescue boat 
have onboard at all times an adequate supply of urea that meets the 
quality requirements of an SCR system. In addition, if the engine on 
the lifeboat or rescue boat is only run for very short periods of time 
for periodic onboard tests, the PM filter may not have time to 
regenerate. This could result in a small risk of plugging. Therefore, 
it is reasonable to exempt these engines from the Tier 4 requirements. 
It is worth noting that most lifeboat engines are less than 600 kW and 
thus would not be subject to Tier 4 standards.
    Second, to avoid a situation in which an engine certified to the 
Coast Guard and SOLAS requirements is not available for use in a 
lifeboat or rescue boat application, we are providing an exemption that 
would have the effect of delaying the date of the emission standards 
for engines used on those boats until SOLAS certified engines of the 
respective emissions tier become available. Specifically, we will grant 
exemptions for engines not complying with the Tier 3 requirements for 
use in a Coast Guard approved lifeboat or rescue boat until such time 
as a comparable Tier 3 engine that meets the weight, size, and 
performance requirements of the boat is certified under the Coast Guard 
and SOLAS requirements. Once such an engine becomes available, the non 
Tier 3 compliant engines may not be sold for use in these applications. 
This provision is necessary because the Coast Guard has observed a 
precipitous drop in available SOLAS certified engines with the 
emissions tier change from the Tier 1 emissions standards to the Tier 2 
emissions standards. Given the high cost of SOLAS certification and the 
low sales of SOLAS certified engines, engine manufacturers have delayed 
SOLAS certification of new emission tier engines. After considering the 
high cost of SOLAS certification, the need for additional lead time to 
complete the SOLAS certification process and the importance of 
lifeboats and rescue boats to safety, we have concluded it is 
appropriate to provide this exemption. We are not requiring engine 
manufacturers to certify these engines by a specified date. However, we 
anticipate that engine manufacturers will over time certify their Tier 
3 engines to the Coast Guard and SOLAS requirements, or modify their 
existing Coast Guard certified engines as necessary to comply with the 
Tier 3 requirements. Most of the marine diesel engines used on 
lifeboats and rescue boats are derived from land-based highway or 
nonroad engines. Once the Tier 3 requirements for those engines go into 
effect and the Tier 2 or Tier 1 counterparts are retired from the 
fleet, it will become more expensive to continue to provide parts and 
service for these older engines, and engine manufacturers will prefer 
to provide newer tier engines for lifeboats and rescue boats globally. 
Because it is not possible to determine when that change will take 
place, the final program specifies that when they do become available, 
they must be used.
    Finally, we are extending this exemption to Tier 2 engines as well. 
We have learned that some lifeboat and rescue boat manufacturers are 
having trouble obtaining engines that meet the Tier 2 standards. Note 
that because Tier 2 engines are not regulated under part 1042, this 
exemption is included in a new section in part 94 (94.914). As with the 
Tier 3 exemption, once a Tier 2 engine becomes available that meets the 
weight, size, and performance requirements of the boat and is certified 
under the Coast Guard and SOLAS requirements the exemption will no 
longer be available for freshly manufactured engines.
    Engines that are produced to an earlier tier pursuant to these 
provisions must be labeled to make clear that their use is limited to 
lifeboats or rescue boats approved by the U.S. Coast Guard under 
approval series 160.135 or 160.156. Using such a vessel as for a 
purpose other than a lifeboat or rescue boat is a violation of the 
regulations.
    The above provisions are applicable only to engines in lifeboats 
and rescue boats used solely for emergency purposes. This is an 
important distinction because there are cases in which a lifeboat may 
serve dual use on a vessel, both for general transportation (e.g., 
tenders) and for emergencies. Engines in lifeboats and rescue boats 
that are not used solely for emergency purposes are not exempt. These 
engines

[[Page 37160]]

are not expected to remain idle long enough for urea storage or PM trap 
regeneration to be a problem. For all these reasons, the Tier 2 and 3 
flexibility and Tier 4 exemption will apply only to engines intended 
for installation on lifeboats approved by the U.S. Coast Guard under 
approval series 160.135 (except those which are also approved for use 
as launches or tenders) and rescue boats approved by the U.S Coast 
Guard under series 160.156.
(5) Stand-By Emergency Auxiliary Engines
    We are exempting certain stand-by emergency auxiliary engines from 
the Tier 4 standards. This exemption is necessary due to the fact that 
these engines are rarely used, their operation being limited to 
periodic testing of several minutes duration. While the technologies 
that will be used to achieve the Tier 4 standards are expected to be 
durable, it is also the case that operation for such short periods of 
time may not be enough to engage the aftertreatment regeneration 
strategy. In addition, these auxiliary engines would need separate urea 
tanks, rendering them more complicated to maintain and use in an 
emergency situation.
    This exemption is limited to dedicated stand-by emergency auxiliary 
engines subject to United States Coast Guard requirements set out in 46 
CFR part 112. In general, these stand-by emergency auxiliary engines 
are supplemental to the ships' main auxiliary engines. They are located 
away from the main engine compartment, have separate fuel tanks, and 
are connected to the ships' power system in such a way as to provide 
for emergency power only to emergency equipment and not the ship's 
power grid generally. These engines must be labeled for use as marine 
stand-by emergency auxiliary engines only.
    Marine stand-by emergency engine means any marine auxiliary engine 
whose operation is limited to unexpected emergency situations on a 
vessel; these engines are subject to testing and maintenance required 
by the United States Coast Guard. They are generally used to produce 
power for critical networks or equipment (including power supplied to 
portions of a vessel) when electric power from the main auxiliary 
engine(s) is interrupted. Marine auxiliary engines used to supply power 
to the vessel's general electric grid or that are operated on a 
constant basis are not considered to be emergency marine auxiliary 
engines.
    Exempted engines are required to meet the applicable Tier 3 
standards (in part 89 or part 94, as applicable). See 40 CFR 1068.265 
for the provisions that apply for such exempt engines. The engines must 
also be labeled to make clear that they are exempt and their use is 
limited to emergency stand-by auxiliary power as specified in United 
States Coast Guard requirements set out in 46 CFR part 112.
(6) Gas Turbine Engines
    While gas turbine engines\168\ are used extensively in naval ships, 
they are not used very often in commercial ships. Because of this and 
because we do not currently have sufficient information, we are not 
including marine gas turbines in this rulemaking. Nevertheless, we 
believe that gas turbines could likely meet the new standards (or 
similar standards) since they generally have lower emissions than 
diesel engines and may reconsider gas turbines in a future rulemaking.
---------------------------------------------------------------------------

    \168\ Gas turbine engines are internal combustion engines that 
can operate using diesel fuel, but do not operate on a compression-
ignition or other reciprocating engine cycle. Power is extracted 
from the combustion gas using a rotating turbine rather than 
reciprocating pistons.
---------------------------------------------------------------------------

(7) Natural Gas Engines
    The increasing deployment of tankers carrying liquefied natural gas 
has led to greater numbers of large marine engines running on natural 
gas instead of diesel fuel. Depending on the technological approach 
engine manufacturers take, these engines could fall under our 
definition for spark-ignition engines even though their design and 
development is more like compression-ignition engines. Without some 
clarifying provision, these engines would therefore be subject to the 
standards that we are developing for inboard spark-ignition engines, 
which are based on automotive technologies. Since this is clearly not 
appropriate, we are adopting a provision to specify that natural gas 
engines above 250 kW are subject to standards for marine compression-
ignition engines regardless of our regulatory definitions for spark-
ignition and compression-ignition engines. Since the analysis of 
control technology and the estimated costs and emission reductions are 
very similar to that for diesel-fueled engines, we have made no effort 
to separately analyze these engines relative to the new emission 
standards.
(8) Residual Fuel Engines
    The vast majority of Category 1 and 2 marine diesel engines subject 
to EPA's emission standards operate on distillate diesel fuel. There 
are cases, however, in which the owner of a vessel may prefer to 
operate a Category 2 engine on another type of diesel fuel. This is 
mainly the case for auxiliary engines on ocean-going vessels, to allow 
them to use the same fuel that is used in the propulsion engine 
(typically residual fuel). There are also a few vessels operated on the 
Great Lakes that use residual fuel or residual fuel blends.
    Our marine diesel engine program requires engine manufacturers to 
perform certification testing using the same type of fuel that will be 
used in actual engine operation. This requirement, which was also 
included in our 1999 Tier 2 rule, is intended to ensure that engines 
meet the emission limits in operation. In our proposal, we noted that 
engine manufacturers have not certified Category 1 or 2 engines that 
can be operated on residual fuel to the Tier 2 standards. Manufacturers 
explained that it is not profitable to do so due to the small size of 
the U.S. market for these engines. They also informed us that it would 
be difficult to meet EPA's PM standards on residual fuel.
    Some owners expressed concern to EPA about the unavailability of 
large auxiliary engines certified to the Tier 2 standards on residual 
fuel. These owners expressed a preference for auxiliary engines run on 
the same fuel as propulsion engines to simplify ship operations. To 
respond to this concern, we asked for comment on a compliance 
consisting of an alternative PM standard and a tighter NOX 
standard. The alternative standards would be available for auxiliary 
engines to be installed on vessels with Category 3 propulsion engines. 
Certification testing would still be required on residual fuel but we 
would allow alternative PM measurement procedures. To ensure that 
questions of test fuel and PM measurement are resolved before 
certification testing, manufacturers would have to apply to EPA to 
exercise this flexibility.
    The alternative of exempting residual fuel engines from the test 
fuel requirement and allowing them to be tested on distillate fuel is 
not appropriate. All of our mobile source emission control programs are 
predicated on an engine meeting the emission standards in use. The test 
fuel requirement is one of several provisions that help ensure in-use 
compliance, including useful life periods, emission deterioration 
factors, durability testing, and not-to-exceed zone. Amending the test 
fuel provisions to allow manufacturers to certify residual fuel engines 
using distillate fuel would introduce considerable uncertainty into the 
in-use performance of these engines,

[[Page 37161]]

would weaken the emission standards, and would be contrary to the goals 
of our program.
    We received no comments supporting the compliance flexibility 
described above, and therefore we are not revising our program with 
respect to test fuels or the standards that apply to engines with per 
cylinder displacement below 30 liters that use residual fuel. We expect 
to revisit this issue in the context of our upcoming rulemaking for 
Category 3 marine diesel engines.
(9) Duty Cycles for Marine Engines
    Manufacturers pointed out two inconsistencies between the proposal 
and existing requirements for marine engines related to the proposed 
duty cycles for marine propulsion engines less than 37 kW and the 
proposed duty cycle for propeller-law auxiliary engines. We agree that 
the existing 4-mode duty cycle (E3) should be used for these 
applications and have corrected this in the final rule.
    We received comment that the 8-mode (C1) duty cycle was not 
designed to represent variable-speed propulsion engines intended for 
use with variable-pitch or electrically-coupled propellers. Caterpillar 
provided an example of a power curve for a variable-speed engine 
designed to operate with a controllable pitch propeller where the 
operation is limited at low and mid-range speeds. In this case, we 
agree that the constant speed (E2) test duty cycle, combined with the 
NTE requirements, is more representative of the operation of this 
engine than the proposed C1 cycle. For this engine, the power and 
torque at the C1 intermediate speed is relatively low, leading to a 
heavy weighting of low power operation. In addition, the power limit 
curve, for overload protection, is at lower power than even the E3 duty 
cycle.
    Controllable pitch propellers are also used with variable speed 
engines that have power curves that are more similar to those seen for 
nonroad engines or marine engines used with fixed pitch propellers. We 
are concerned that the E2 duty cycle would not be representative of the 
operation of these engines. Therefore, we are finalizing the E3 duty 
cycle for variable-speed propulsion engines intended for use with 
variable-pitch or electrically-coupled propellers. In the case where 
the engine is not capable of operating over the E3 duty cycle in-use, 
the E2 duty cycle would be used. For the purposes of this requirement, 
we consider an engine capable of operating over the E3 duty cycle if 
the engine can safely achieve more than 1.15 times the power specified 
in the E3 duty cycle at 63, 80, and 91 percent of maximum test speed.
(10) Definition of Recreational Marine Diesel Vessel
    We are adopting a revised the definition of recreational marine 
diesel vessel in part 1042 that will essentially return to the 
definition we originally adopted in 1999. This revision will 
effectively rescind that change we made in our 2003 recreational engine 
rule (68 FR 9745, February 28, 2003). As is described later, in that 
rulemaking we revised the definition of recreational vessel by adding a 
reference to the Coast Guard definition in 46 U.S.C. 2101. However, 
since then, it has become clear that the revision resulted in 
significant confusion for industry.
    As described above, the Tier 3 standards that apply to recreational 
marine diesel engines are different than those that apply to standard 
power density commercial engines and recreational engines are not 
subject to the Tier 4 standards. Recreational engines are also subject 
to different compliance requirements, notably the duty cycle for 
certification testing and their useful life. These programmatic 
differences reflect the different way in which these engines are used, 
with recreational engines generally having a higher power/density 
ratio, operating at a higher load, and being used for fewer hours over 
their life than commercial engines.
    Recreational engines are defined based on whether or not they are 
intended by the engine manufacturer to be installed on a recreational 
vessel. In our 1999 Tier 2 marine diesel engine rule, we defined 
recreational vessel as a vessel intended by the vessel operator to be 
operated primarily for pleasure or leased to another for the latter's 
pleasure, with the exception of (i) vessels less than 100 gross tons 
that carry more than six passengers; and (ii) vessels more than 100 
gross tons that carry one or more passengers, where passenger means 
someone who pays to be on the vessel.
    The goal of this definition was to exclude so-called recreational 
vessels that are in fact operated like commercial vessels: Those that 
are operated many hours a year (for example, charter fishing vessels 
and smaller tour vessels that are rented on an individual basis, with 
or without a crew). A personal vessel owned by an individual for his 
personal use and not for hire was intended to be considered to be a 
recreational vessel. For smaller vessels, this is achieved by requiring 
that there be fewer than six paying passengers; this allows an 
individual to invite friends onboard his or her vessel in return for 
some pecuniary arrangement (e.g., paying for the gas). For larger 
vessels, above 100 gross tons, the presence of any paying passenger 
prevents the vessel from being characterized as recreational; this is 
intended to cover luxury yachts that recover costs by taking paying 
passengers onboard. The specified paying passenger thresholds are high 
enough to make them likely to be known at the time the vessel is 
purchased.
    In the 2003 rule, we revised the definition of recreational vessel, 
by adding a reference to the Coast Guard definition. However, the Coast 
Guard definition and EPA's definition have different intents. Coast 
Guard's requirements are safety related to ensure adequate lifesaving 
equipment is onboard a recreational vessel. For example, the Coast 
Guard definitions differentiate between charter and noncharter vessels 
based on whether vessels are operated with or without a crew. The 
intent of EPA's approach is to identify those vessels that are intended 
for pleasure as opposed to commercial applications. Thus our definition 
needs to rely on features that can be known at the time of manufacture. 
For example, by setting a six passenger threshold for small vessels our 
intent was to identify those vessels clearly identified by the 
manufacturer as being intended for charter use and not used as a 
charter either incidentally or unintentionally.
    Since the Coast Guard definitions do not reflect the intent of 
EPA's program and are inconsistent with EPA's definitions, we are 
revising the definitions to remove the references to the Coast Guard 
definitions and reverting back to the original definitions adopted in 
1999. While the new definition is being adopted in part 1042, Sec.  
94.12(i) of part 94 will allow manufacturers to use this new definition 
for certification under part 94. Commercial vessels that were 
categorized as recreational prior to that time due to confusion about 
the meaning of the definitions will not be affected by the revised 
definitions.
(11) Engine Stockpiling by Vessel Builders
    Our existing marine diesel engine program specifies in Sec.  
94.1103(a)(5) that it is a prohibited act to introduce into commerce a 
new vessel containing an engine not covered by a certificate of 
conformity applicable for an engine model year the same as or later 
than the calendar year in which the manufacture

[[Page 37162]]

of the new vessel is initiated.\169\ However, as an exception, we allow 
vessel manufacturers to use up their normal inventory of engines not 
certified to new, more stringent emission standards if they were built 
before the date on which the new standards apply (subject to 
stockpiling prohibitions). With the adoption of the Tier 3 and 4 
emission standards, the location of this provision transfers to Sec.  
1068.101(a)(1), including the exception noted above, now being located 
in Sec.  1068.105(a).
---------------------------------------------------------------------------

    \169\ The manufacture of a vessel is initiated when the keel is 
laid, or the vessel is at a similar stage of construction. ``A 
similar stage of construction'' means: (1) the stage at which 
construction identifiable with a specific vessel begins, and (2) 
assembly of that vessel has commenced comprising at least 50 tons or 
one percent of the estimated mass of all structural material, 
whichever is less.
---------------------------------------------------------------------------

    The normal inventory approach above was developed in response to 
traditional business practice in automotive and other industries where 
vehicles and equipment are serially manufactured. Although this scheme 
works well for most manufacturers of small, serially-produced marine 
vessels, its application to manufacturers of large, commercial marine 
vessels may not be so straightforward. In this latter case there are 
typically long lead-time build schedules and low production volumes, 
which translate to vessel manufacturers maintaining lean inventory 
onsite at the shipyard. Vessel manufacturers usually order engines from 
dealers upon entering into a vessel construction agreement with an end 
customer. Due to lengthy build schedules, which for many projects can 
be counted in years, and the location of some shipyards in low-lying 
coastal areas subject to seasonal flooding, engines are often delivered 
and warehoused at the dealers' offsite location until such time as the 
vessels are ready to receive them for installation. Especially in 
projects where construction agreements involve multiple vessels, 
engines for all vessels may be ordered and delivered to the dealer 
during the same year in which construction of the first vessel is 
initiated. Due to this type of business practice, we will allow vessel 
manufacturers to consider as part of their normal inventory those 
engines that are warehoused at offsite dealerships and for which the 
vessel manufacturer entered into a purchase agreement prior to a change 
in applicable emission standards, provided this practice is consistent 
with the vessel manufacturers past engine ordering practices. We will 
allow this normal inventory of engines to be used up after new emission 
standards apply. It should be noted, however, that this clarification 
does not extend to engines that are not the subject of a prior purchase 
agreement, and would not allow a vessel manufacturer to search for a 
previous tier engine among engine dealers to evade the standards. Also, 
if a dealer has previous tier engines that are not the subject of a 
prior purchase agreement after a new tier of standards goes into 
effect, those engines may be used only as replacement engines, subject 
to Sec.  1042.615; those engines may not be sold for use in new 
vessels.
(12) Other Issues
    Several commenters, including the United States Coast Guard, raised 
questions regarding the possibility that advanced aftertreatment based 
emission control systems for marine diesel engines may need to be by-
passed or otherwise modified or disabled in order to guarantee safe 
operation under emergency conditions. In general terms, the commenters 
speculated that the catalyst systems could fail in such a manner as to 
restrict exhaust flow reducing engine power and potentially endangering 
vessel safety.
    Marine vessels that lose power to a main propulsion engine or 
generating engine providing essential power to main propulsion engine 
auxiliaries could go adrift with almost no control. Unlike trucks and 
locomotives, marine vessels have no brakes and can literally ``coast'' 
for miles and due to their enormous tonnage have an incredible amount 
of momentum and can cause catastrophic damage via collisions, 
allisions, and groundings. In the past, main propulsion failures on 
marine vessels have resulted in severe loss of life, property, and 
damage to the marine environment. Due to this precedent, a loss of main 
propulsion is defined as a ``marine casualty or accident'' in 46 CFR 
4.03-1(b)(2)(ix) and 46 CFR 4.05-1 requires the occurrence to be 
immediately reported to the Coast Guard. To avoid potential loss of 
propulsion 46 CFR 58.01-35 effectively requires that main propulsion 
auxiliary machinery be provided in duplicate to prevent single point of 
failure.
    Our discussions with the engine manufacturers regarding the 
technologies they expect to use to comply with the rules we are 
finalizing today, lead us to conclude that such failure mechanisms are 
extremely unlikely given the robust nature of the technologies.\170\ 
However, reflecting the high priority everyone places on safety and the 
reality that no one can say today with absolute certainty how emission 
control systems will be designed in the future, we are continuing 
several regulatory provisions that further ensure safe vessel operation 
under all circumstances. Consistent with Coast Guard's requirements for 
main propulsion auxiliary machinery, we feel these provisions address 
the single point of failure concern in the design of emission control 
systems.
---------------------------------------------------------------------------

    \170\ We should note here that the standards in our rules are 
performance-based rather than a prescription for the application of 
a specific technology. Our rules do not prevent a manufacturer from 
developing and applying new or different technology at some future 
time as long as it meets the performance basis in the rules (e.g., a 
0.04 g/kW-hr standard PM).
---------------------------------------------------------------------------

    First, we are continuing our general regulatory requirement found 
in Sec.  1042.115(e) stating that a manufacturer may not design engines 
with emission-control devices, systems, or elements of design that 
cause or contribute to an unreasonable risk to public health, welfare, 
or safety while operating. Likewise, our regulations continue to make 
clear that actions taken by the operators of marine vessels in order to 
respond to a temporary emergency will not be considered tampering under 
Sec.  1068.101(b)(1) provided the system is returned to its proper 
function as soon as possible. Lastly, in evaluating auxiliary emission 
control devices (AECDs) for marine diesel engines we will continue to 
recognize that AECDs, such as those that eliminate a single point of 
failure, are not defeat devices as defined under Sec.  1042.115(f) if 
the AECDs are necessary to prevent engine (or vessel) damage or 
accidents. In the case of AECD approval, we will continue our current 
practice of reviewing manufacturer certification applications to ensure 
that these provisions are only used when necessary. Further, it is our 
general expectation that engine manufacturers will provide diagnostic 
systems to alert vessel operators when such AECDs are active and if the 
AECD requires the operator to take an action, the diagnostic system 
should give the vessel operator as much advance warning as reasonably 
possible.

V. Costs and Economic Impacts

    In this section, we present the projected cost impacts and cost 
effectiveness of the standards, and our analysis of the expected 
economic impacts on affected markets. The projected benefits and 
benefit-cost analysis are presented in Section VI. The benefit-cost 
analysis explores the net yearly economic benefits to society of the 
reduction in mobile source emissions expected to be achieved by

[[Page 37163]]

this rulemaking. The economic impact analysis explores how the costs of 
the rule will likely be shared across the manufacturers and users of 
the engines and equipment that will be affected by the standards. 
Unless noted otherwise, all costs are in 2005 dollars.
    The annual monetized health benefits of this rule in 2030 will 
range from $9.2 and $11 billion, assuming a 3 percent discount rate, or 
between $8.4 billion to $10 billion, assuming a 7 percent discount 
rate. The social costs of the new standards are estimated to be 
approximately $738 million in 2030.\171\ The impact of these costs on 
society are estimated to be small, with the prices of rail and marine 
transportation services estimated to increase by about 1 percent.
---------------------------------------------------------------------------

    \171\ The estimated 2030 social welfare cost of $738 million is 
based on draft compliance costs for this final rule of $740 million 
for that year. The final compliance cost estimate for 2030 is 
somewhat higher, at $759 million; see section VI.C for an 
explanation. This difference is not expected to have an impact on 
the results of the market analysis or on the expected distribution 
of social costs among stakeholders.
---------------------------------------------------------------------------

    Further information on these and other aspects of the economic 
impacts of our final rule are summarized in the following sections and 
are presented in more detail in the Final RIA for this rulemaking.

A. Engineering Costs

    The following sections briefly discuss the various engine and 
equipment cost elements considered for this cost analysis and present 
the total engineering costs we have estimated for this rulemaking; the 
reader is referred to Chapter 5 of the final RIA for a complete 
discussion of our engineering cost estimates. When referring to 
``equipment'' costs throughout this discussion, we mean the locomotive 
and/or marine vessel related costs as opposed to costs associated with 
the diesel engine being placed into the locomotive or vessel. Estimated 
freshly manufactured engine and equipment engineering costs depend 
largely on both the size of the piece of equipment and its engine, and 
on the technology package being added to the engine to ensure 
compliance with the standards. The wide size variation of engines 
covered by this program (e.g., small marine engines with less than 37 
kW (50 horsepower, or hp) through locomotive and marine C2 engines with 
over 3000 kW (4000 hp) and the broad application variation (e.g., small 
pleasure crafts through large line haul locomotives and cargo vessels) 
that exists in these industries makes it difficult to present an 
estimated cost for every possible engine and/or piece of equipment. 
Nonetheless, for illustrative purposes, we present some example per 
engine/equipment engineering cost impacts throughout this discussion. 
This engineering cost analysis is presented in detail in Chapter 5 of 
the final RIA.
    Note that the engineering costs here do not reflect changes to the 
fuel used to power locomotive and marine engines. Our Nonroad Tier 4 
rule (69 FR 38958) controlled the sulfur level in all nonroad fuel, 
including that used in locomotives and marine engines. The sulfur level 
in the fuel is a critical element of the locomotive and marine program. 
However, since the costs of controlling locomotive and marine fuel 
sulfur have been considered in our Nonroad Tier 4 rule, they are not 
considered here. This analysis considers only those costs associated 
with the locomotive and marine program being finalized today. Also, the 
engineering costs presented here do not reflect any savings that are 
expected to occur because of the engine ABT program and the various 
flexibilities included in the program which are discussed in section IV 
of this preamble. As discussed there, these program features have the 
potential to provide savings for both engine and locomotive/vessel 
manufacturers.
(1) Freshly Manufactured Engine and Equipment Variable Engineering 
Costs
    Engineering costs for exhaust emission control devices (i.e., 
catalyzed DPFs, SCR systems, and DOCs) were estimated using a 
methodology consistent with the one used in our 2007 heavy-duty highway 
rulemaking. In that rule, surveys were provided to nine engine 
manufacturers seeking information relevant to estimating the 
engineering costs for and types of emission-control technologies that 
might be enabled with ultra low-sulfur diesel fuel (15 ppm S). The 
survey responses were used as the first step in estimating the 
engineering costs of advanced emission control technologies anticipated 
for meeting the 2007 heavy-duty highway standards. We then built upon 
these engineering costs using input from members of the Manufacturers 
of Emission Controls Association (MECA). We also used this information 
in our recent nonroad Tier 4 (NRT4) rule. Because the anticipated 
emission control technologies expected to be used on locomotive and 
marine engines are the same as or similar to those expected for highway 
and nonroad engines, and because the expected suppliers of the 
technologies are the same for these engines, we have used that analysis 
as the starting point for estimating the engineering costs of these 
technologies in this rule.\172\ Importantly, the analysis summarized 
here and detailed in the final RIA takes into account specific 
differences between the locomotive and marine products when compared to 
on-highway trucks (e.g., engine size).
---------------------------------------------------------------------------

    \172\ ``Economic Analysis of Diesel Aftertreatment System 
Changes Made Possible by Reduction of Diesel Fuel Sulfur Content,'' 
Engine, Fuel, and Emissions Engineering, Incorporated, December 15, 
1999, Public Docket No. A-2001-28, Docket Item II-A-76.
---------------------------------------------------------------------------

    Engineering costs of control include variable costs (for new 
hardware, its assembly, and associated markups) and fixed costs (for 
tooling, research, redesign efforts, and certification). We are 
projecting that the Tier 3 standards will be met by optimizing the 
engine and emission controls that will exist on locomotive and marine 
engines in the Tier 3 timeframe. Therefore, we have estimated no 
hardware costs associated with the Tier 3 standards. For the Tier 4 
standards, we are projecting that SCR systems and DPFs will be the most 
likely technologies used to comply. Upon installation in a new 
locomotive or a new marine vessel, these devices would require some new 
equipment related hardware in the form of brackets, new sheet metal, 
and a reductant storage and delivery system. The annual variable costs 
for example years, the PM/NOX split of those engineering 
costs, and the net present values that would result are presented in 
Table V-1.\173\ As shown, we estimate the net present value for the 
years 2006 through 2040 of all variable costs at $1.5 billion using a 
three percent discount rate, with $1.3 billion of that being engine-
related variable costs.\174\ Using a seven percent discount rate, these 
costs are $674 million and $575 million, respectively.
---------------------------------------------------------------------------

    \173\ The PM/NOX+NMHC cost allocations for variable 
costs used in this cost analysis are as follows: SCR systems 
including marinization costs on marine applications are 100% 
NOX+NMHC; DPF systems including marinization costs on 
marine applications are 100% PM; and, equipment hardware costs are 
split evenly.
    \174\ Throughout our cost and economic impact analyses, net 
present value (NPV) calculations are based on the period 2006-2040, 
reflecting the period when the NPRM analysis was completed. This has 
the consequence of discounting the current year costs, effectively 
2007, and all subsequent years are discounted by an additional year. 
The result is a slightly smaller NPV of engineering costs than by 
calculating the NPV over 2007-2040 (3% smaller for 3% NPV and 7% 
smaller for 7% NPV). The same convention applies for the emission 
inventories as shown in Table V-7. We have used 2006 because we 
intended to publish the proposal in 2006. For the final analysis, we 
have chosen to continue with 2006 to make comparisons between 
proposal and final analyses more clear.

[[Page 37164]]



                Table V-1.--Freshly Manufactured Engine and Equipment Variable Engineering Costs
                                           [Millions of 2005 dollars]
----------------------------------------------------------------------------------------------------------------
                                      Engine         Equipment
                                     variable        variable     Total variable                     Total for
              Year                  engineering     engineering     engineering    Total for PM      NOX+NMHC
                                       costs           costs           costs
----------------------------------------------------------------------------------------------------------------
2008............................              $0              $0              $0              $0              $0
2009............................              $0              $0              $0              $0              $0
2010............................              $0              $0              $0              $0              $0
2011............................              $0              $0              $0              $0              $0
2012............................              $0              $0              $0              $0              $0
2015............................             $60             $11             $71             $37             $34
2020............................             $82             $14             $96             $50             $46
2030............................             $99             $18            $117             $61             $56
2040............................             $98             $17            $115             $60             $55
NPV at 3%.......................          $1,255            $220          $1,475            $772            $703
NPV at 7%.......................            $575            $100            $674            $353            $321
----------------------------------------------------------------------------------------------------------------

    We can also look at these variable engineering costs on a ``per 
engine'' and a ``per piece of equipment'' basis rather than an annual 
total basis. Doing so results in the costs summarized in Table V-2. The 
costs shown represent the total engine-related and equipment-related 
engineering hardware costs associated with all of the new emissions 
standards to which the given power range and market segment would need 
to comply. For example, a commercial marine engine below 600 kW (805 
hp) would need to comply with the Tier 3 standards as its final tier 
and would, therefore, incur no new hardware costs. In contrast, a 
commercial marine engine over 600 kW is expected to comply with both 
Tier 3 and then Tier 4 and would, therefore, incur hardware costs 
associated with the Tier 4 standards. The costs also represent long 
term costs or those costs after expected learning effects have occurred 
and warranty costs have stabilized.
[GRAPHIC] [TIFF OMITTED] TR06MY08.005

(2) Freshly Manufactured Engine and Equipment Fixed Engineering Costs
    Because these technologies are being researched for implementation 
in the highway and nonroad markets well before the locomotive and 
marine emission standards take effect, and because engine manufacturers 
will have had several years complying with the highway and nonroad 
standards, we believe that the technologies used to comply with the 
locomotive and marine standards will have undergone significant 
development before reaching locomotive and marine production, and

[[Page 37165]]

we have considered this in estimating the costs for research and 
development. Chapter 5 of the final RIA details our approach which 
differs from our approach in the draft RIA. We anticipate that engine 
manufacturers would introduce a combination of primary technology 
upgrades to meet the new emission standards. Achieving very low 
NOX emissions requires basic research on NOX 
emission-control technologies and improvements in engine management. 
There would also have to be some level of tooling expenditures to make 
possible the fitting of new hardware on locomotive and marine engines. 
We also expect that locomotives and marine vessels being fitted with 
Tier 4 engines would have to undergo some level of redesign to 
accommodate the aftertreatment devices expected to meet the Tier 4 
standards. The total of fixed engineering costs and the net present 
values of those costs are shown in Table V-3.\175\ As shown, we have 
estimated the net present value for the years 2006 through 2040 of all 
fixed engineering costs at $549 million using a three percent discount 
rate, with $471 million of that being engine-related research costs. 
Using a seven percent discount rate, these costs are $422 million and 
$371 million, respectively.
---------------------------------------------------------------------------

    \175\ The PM/NOX+NMHC cost allocations for fixed 
costs used in this cost analysis are as follows: Engine research 
expenditures are 67% NOX+NMHC and 33% PM; engine tooling 
and certification costs are split evenly; and, equipment redesign 
costs are split evenly.

                                      Table V-3.--Freshly Manufactured Engine and Equipment Fixed Engineering Costs
                                                               [Millions of 2005 dollars]
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                            Total fixed
                  Year                        Engine      Engine tooling      Engine         Equipment      engineering    Total for PM    Total for NOX
                                             research                      certification     redesign          costs                           +NMHC
--------------------------------------------------------------------------------------------------------------------------------------------------------
2008....................................             $34              $0              $0              $0             $34             $11             $23
2009....................................              34               0               0               0              34              11              23
2010....................................              68               0               0               0              68              23              46
2011....................................             114              19               5               0             138              50              88
2012....................................              80               0               0               0              80              27              54
2015....................................              46              17               1              13              76              30              46
2020....................................               0               0               0               3               3               1               1
2030....................................               0               0               0               3               3               1               1
2040....................................               0               0               0               0               0               0               0
NPV at 3%...............................             471              33               6              39             549             194             354
NPV at 7%...............................             371              24               5              22             422             148             274
--------------------------------------------------------------------------------------------------------------------------------------------------------

    Some of the estimated fixed engineering costs would occur in years 
prior to the Tier 3 standards taking affect in 2012. Engine 
manufacturers would need to invest in engine tooling and certification 
prior to selling engines that meet the standards. Engine research is 
expected to begin five years in advance of the standards for which the 
research is done. We have estimated some engine research for both the 
Tier 3 and Tier 4 standards, although the research associated with the 
Tier 4 standards is expected to be higher since it involves work on 
aftertreatment devices which only the Tier 4 standards would require. 
By 2016, the Tier 4 standards would be fully implemented and engine 
research toward the Tier 4 standards would be completed. Similarly, 
engine tooling and certification efforts would be completed. We have 
estimated that equipment redesign, driven mostly by marine vessel 
redesigns, would continue for many years given the nature of the marine 
market. Therefore, by 2017 all engine-related fixed engineering costs 
would be zero, and by 2033 all equipment-related fixed engineering 
costs would be zero.
(3) Freshly Manufactured Engine Operating Costs
    We anticipate an increase in costs associated with operating 
locomotives and marine vessels. We anticipate three sources of 
increased operating costs: Reductant use; DPF maintenance; and a fuel 
consumption impact. Increased operating costs associated with reductant 
use would occur only in those locomotives/vessels equipped with a SCR 
engine using a reductant like urea. Maintenance costs associated with 
the DPF (for periodic cleaning of accumulated ash resulting from 
unburned material that accumulates in the DPF) would occur in those 
locomotives/vessels that are equipped with a DPF engine. The fuel 
consumption impact is anticipated to occur more broadly--we expect that 
a one percent fuel consumption increase would occur for all new Tier 4 
engines, locomotive and marine, due to higher exhaust backpressure 
resulting from aftertreatment devices. These costs and how the fleet 
cost estimates were generated are detailed in Chapter 5 of the final 
RIA and are summarized in Table V-4.\176\
---------------------------------------------------------------------------

    \176\ The PM/NOX+NMHC cost allocations for operating 
costs used in this cost analysis are as follows: Reductant costs are 
100% NOX+NMHC; DPF maintenance costs are 100% PM; and, 
fuel consumption impacts are split evenly.

                                       Table V-4.--Freshly Manufactured Engine Estimated Increased Operating Costs
                                                               [Millions of 2005 dollars]
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                               Fuel            Total
                          Year                             Reductant use        DPF         consumption      operating     Total for PM      Total for
                                                                            maintenance       impact           costs                         NOX+NMHC
--------------------------------------------------------------------------------------------------------------------------------------------------------
2008....................................................              $0              $0              $0              $0              $0              $0
2009....................................................               0               0               0               0               0               0
2010....................................................               0               0               0               0               0               0
2011....................................................               0               0               0               0               0               0
2012....................................................               0               0               0               0               0               0
2015....................................................              23               0               7              30               4              26

[[Page 37166]]

 
2020....................................................             143               3              42             187              24             164
2030....................................................             409               8             118             535              67             468
2040....................................................             619              12             175             806              99             707
NPV at 3%...............................................           4,031              75           1,157           5,264             654           4,610
NPV at 7%...............................................           1,575              29             453           2,057             256           1,801
--------------------------------------------------------------------------------------------------------------------------------------------------------

    As shown, we have estimated the net present value for the years 
2006 through 2040 of the annual operating costs at $5.2 billion using a 
three percent discount rate and $2.1 billion using a seven percent 
discount rate. The operating costs are zero until Tier 4 engines start 
being sold since only the Tier 4 engines are expected to incur 
increased operating costs (note that operating costs associated with 
the remanufacturing programs are discussed below). Reductant use 
represents the largest source of increased operating costs. Because 
reductant use is meant for controlling NOX emissions, most 
of the operating costs are associated with NOX+NMHC control.
(4) Engineering & Operating Costs Associated With the Remanufacturing 
Programs
    We have also estimated engineering costs associated with the 
locomotive and marine remanufacturing programs. The remanufacturing 
process is not a low cost endeavor. However, it is much less costly 
than purchasing a freshly manufactured engine. The engineering costs we 
have estimated associated with the remanufacturing program are not 
meant to capture the remanufacturing process but rather the incremental 
engineering costs to that process. Therefore, the remanufacturing costs 
estimated here are only those engineering and operating costs resulting 
from the requirement to meet a more stringent standard than the engine 
was designed to meet at its original sale. In addition to incremental 
hardware costs, we expect that some remanufactured engines will see a 
fuel consumption impact. We expect a one percent fuel consumption 
increase will occur for remanufactured Tier 0 locomotives because we 
believe that the tighter NOX standard will be met using 
retarded timing. For the same reason, we expect a two percent fuel 
consumption increase for remanufactured C2 marine engines. The marine 
engines will have timing retarded to the same degree as locomotives, 
but the relative degree of timing retard will be greater for marine 
engines given their initial state of control. These engineering and 
operating costs and how they were generated are detailed in Chapter 5 
of the final RIA and are summarized in Table V-5.\177\ As shown, we 
have estimated the net present value for the years 2006 through 2040 of 
the annual engineering and operating costs associated with the 
locomotive and marine remanufacturing programs at $2.1 billion using a 
3 percent discount rate and $1.2 billion using a 7 percent discount 
rate.
---------------------------------------------------------------------------

    \177\ Costs associated with the remanufaturing program are split 
evenly between NOX+NMHC and PM. Note that the costs 
associated with the marine remanufacturing program are consistent 
with the inventory reductions discussed in section II. Our estimate 
of the number of remanufactured engines is presented in a memorandum 
from Amy Kopin to the docket for this rule (see Docket Item No. EPA-
HQ-OAR-2003-0190-0847).

   Table V-5.--Estimated Hardware and Operating Costs Associated With the Locomotive & Marine Remanufacturing
                                                    Programs
                                           [Millions of 2005 dollars]
----------------------------------------------------------------------------------------------------------------
                                                                                                     Total for
              Year                  Locomotive        Marine           Total       Total for PM      NOX+NMHC
----------------------------------------------------------------------------------------------------------------
2008............................             $59             $16             $75             $38             $38
2009............................              32              21              54              27              27
2010............................              58              27              85              42              42
2011............................             111              32             143              71              71
2012............................              91              44             135              68              68
2015............................              52              37              89              44              44
2020............................              37              26              63              31              31
2030............................              94              12             106              53              53
2040............................             158               3             161              80              80
NPV at 3%.......................           1,669             450           2,120           1,060           1,060
NPV at 7%.......................             864             289           1,153             577             577
----------------------------------------------------------------------------------------------------------------

(5) Total Engineering & Operating Costs
    The total engineering and operating costs associated with today's 
final rule are the summation of the new engine and new equipment 
engineering costs, both fixed and variable, the new engine operating 
costs for freshly manufactured engines, and the hardware and operating 
costs associated with the locomotive and marine remanufacturing 
programs. These costs are summarized in Table V-6.

[[Page 37167]]



                                          Table V-6.--Total Engineering & Operating Costs of the Final Program
                                                               (Millions of 2005 dollars]
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                             Freshly         Freshly       Hardware and
                                             Freshly      manufactured    manufactured   operating costs
                                          manufactured      equipment       engine &     associated with       Total                      Total NOX+NMHC
                  Year                   engine related      related        equipment          the          engineering   Total PM costs       costs
                                           engineering     engineering      operating    remanufacturing       costs
                                              costs           costs           costs          programs
--------------------------------------------------------------------------------------------------------------------------------------------------------
2008...................................             $34              $0              $0              $75            $109             $49             $60
2009...................................              34               0               0               54              87              38              49
2010...................................              68               0               0               85             153              65              88
2011...................................             138               0               0              143             281             121             160
2012...................................              80               0               0              135             215              94             121
2015...................................             123              24              30               89             266             116             150
2020...................................              82              17             187               63             349             106             242
2030...................................              99              20             535              105             759             181             578
2040...................................              98              17             806              161           1,082             240             842
NPV at 3%..............................           1,764             260           5,264            2,120           9,407           2,680           6,727
NPV at 7%..............................             974             122           2,057            1,153           4,307           1,333           2,973
--------------------------------------------------------------------------------------------------------------------------------------------------------

    As shown, we have estimated the net present value of the annual 
engineering costs for the years 2006 through 2040 at $9.4 billion using 
a three percent discount rate and $4.3 billion using a seven percent 
discount rate. Roughly half of these costs are operating costs, with 
the bulk of those being reductant related costs. As explained above in 
the operating cost discussion, because reductant use is meant for 
controlling NOX emissions, most of the operating costs and, 
therefore, the majority of the total engineering costs are associated 
with NOX+NMHC control.
    Figure V-1 graphically depicts the annual engineering costs 
associated with the program being finalized today. The engine costs 
shown represent the engineering costs associated with engine research 
and tooling, etc., and the incremental costs for new hardware such as 
DPFs and reductant SCR systems. The equipment costs shown represent the 
engineering costs associated with equipment redesign efforts and the 
incremental costs for new equipment-related hardware such as reductant 
storage and delivery systems, sheet metal and brackets. The 
remanufacturing program costs include incremental hardware and 
operating costs for the locomotive and marine remanufacturing programs. 
The operating costs include incremental increases in operating costs 
associated with reductant use, DPF maintenance, and a one percent fuel 
consumption increase for new Tier 4 engines. The total program 
engineering costs are shown in Table V-6 as $9.4 billion at a three 
percent discount rate and $4.3 billion at a seven percent discount 
rate.
BILLING CODE 1505-01-D

[[Page 37168]]

[GRAPHIC] [TIFF OMITTED] TR06MY08.006

BILLING CODE 1505-01-C

B. Cost Effectiveness

    As discussed in section VI, this rule is very cost beneficial, with 
social benefits far outweighing social costs. However, this does not 
shed light on how cost effective this control program is compared to 
other control programs at providing the expected emission reductions. 
One tool that can be used to assess the value of the final program is 
the ratio of engineering costs incurred per ton of emissions reduced 
and comparing that ratio to other control programs. As we show in this 
section, the PM and NOX emissions reductions from the new 
locomotive and marine diesel program compare favorably--in terms of 
cost effectiveness--to other mobile source control programs that have 
been or will soon be implemented. We note that today's action builds 
upon the efforts undertaken by the engine manufacturing industry to 
comply with our recent 2007/2010 heavy-duty highway and nonroad Tier 4 
(NRT4) rulemakings. As such, and as discussed at length in Chapter 5 of 
the final RIA, much of the research and development associated with 
diesel emission controls builds upon the work done to comply with those 
earlier rules. This does not change the conclusion that the cost 
effectiveness of today's action compares favorably with other actions 
deemed appropriate for society.
    We have calculated the cost per ton of our program based on the net 
present value of all engineering costs incurred and all emission 
reductions generated from the current year 2006 through the year 2040. 
This approach captures all of the costs and emissions reductions from 
our program including those costs incurred and emissions reductions 
generated by the locomotive and marine remanufacturing programs. The 
baseline case for this evaluation is the existing set of engine 
standards for locomotive and marine diesel engines and the existing 
remanufacturing requirements. The analysis timeframe is meant to 
capture both the early period of the program when very few new engines 
that meet the standards would be in the fleet, and the later period 
when essentially all engines would meet the new standards.
    Table V-7 shows the emissions reductions associated with today's 
rule. These reductions are discussed in more detail in section II of 
this preamble and Chapter 3 of the final RIA.

[[Page 37169]]



        Table V-7.--Estimated Emissions Reductions Associated With the New Locomotive and Marine Program
                                                  (Short tons)
----------------------------------------------------------------------------------------------------------------
                      Year                             PM2.5         PM10 \a\           NOX            NMHC
----------------------------------------------------------------------------------------------------------------
2015............................................           7,000           8,000         161,000          14,000
2020............................................          14,000          15,000         371,000          26,000
2030............................................          27,000          27,000         795,000          40,000
2040............................................          37,000          38,000       1,144,000          52,000
NPV at 3%.......................................         308,000         318,000       8,757,000         492,000
NPV at 7%.......................................         134,000         139,000       3,708,000        221,000
----------------------------------------------------------------------------------------------------------------
Note: (a) Note that, PM2.5 is estimated to be 97 percent of the more inclusive PM10 emission inventory.

    In Section II we generate and present PM2.5 inventories 
since recent research has determined that these are of greater health 
concern. Similarly, NMHC is estimated to be 93 percent of the more 
inclusive VOC emission inventory. Traditionally, we have used 
PM10 and NMHC in our cost effectiveness calculations. Since 
cost effectiveness is a means of comparing control measures to one 
another, we use PM10 and NMHC in our cost effectiveness 
calculations for comparisons to past control measures.
    Using the engineering costs shown in Table V-6 and the emission 
reductions shown in Table V-7, we can calculate the $/ton associated 
with today's rule. These are shown in Table V-8. The resultant cost per 
ton numbers depend on how the engineering costs presented above are 
allocated to each pollutant. Therefore, as described in section V.A, we 
have allocated costs as closely as possible to the pollutants for which 
they are incurred. These allocations are also discussed in detail in 
Chapter 5 of the final RIA.

               Table V-8.--Final Program Aggregate Cost per Ton and Long-Term Annual Cost per Ton
----------------------------------------------------------------------------------------------------------------
                                                  2006 thru 2040  2006 thru 2040
                                                    discounted      discounted     Cost per ton    Cost per ton
                    Pollutant                      lifetime cost   lifetime cost      in 2030         in 2040
                                                   per ton at 3%   per ton at 7%
----------------------------------------------------------------------------------------------------------------
NOX+NMHC........................................            $730            $760            $690            $700
PM..............................................           8,440           9,620           6,620           6,360
----------------------------------------------------------------------------------------------------------------

    The costs per ton shown in Table V-8 for 2006 through 2040 use the 
net present value of the annualized engineering costs and emissions 
reductions associated with the program for the years 2006 through 2040. 
We have also calculated the costs per ton of emissions reduced in the 
years 2030 and 2040 using the annual engineering costs and emissions 
reductions in those specific years. These numbers are also shown in 
Table V-8. All of the costs per ton include costs and emission 
reductions that will occur from the locomotive and marine 
remanufacturing programs.
    In comparison with other emissions control programs, we believe 
that the new locomotive and marine program represents a cost effective 
strategy for generating substantial NOX+NMHC and PM 
reductions. This can be seen by comparing the cost effectiveness with 
the cost effectiveness of a number of standards that EPA has adopted in 
the past. Table V-9 and Table V-10 summarize the cost per ton of 
several past EPA actions to reduce emissions of NOX+NMHC and 
PM from mobile sources.

   Table V-9.--New Locomotive and Marine Program Compared to Previous
                   Mobile Source Programs for NOX+NMHC
------------------------------------------------------------------------
               Program                          $/ton NOX+NMHC
------------------------------------------------------------------------
Today's locomotive & marine                                         $730
 standards..........................
Tier 4 Nonroad Diesel (69 FR 39131).                               1,140
Tier 2 Nonroad Diesel (EPA420-R-98-                                  710
 016, Chapter 6)....................
Tier 3 Nonroad Diesel (EPA420-R-98-                                  480
 016, Chapter 6)....................
Tier 2 vehicle/gasoline sulfur (65                          1,580--2,650
 FR 6774)...........................
2007 Highway HD (66 FR 5101)........                               2,530
2004 Highway HD (65 FR 59936).......                           250--480
------------------------------------------------------------------------
Note: Costs adjusted to 2005 dollars using the Producer Price Index for
  Total Manufacturing Industries.


  Table V-10.--New Locomotive and Marine Standards Compared to Previous
                      Mobile Source Programs for PM
------------------------------------------------------------------------
               Program                             $/ton PM
------------------------------------------------------------------------
Today's locomotive & marine                                       $8,440
 standards..........................
Tier 4 Nonroad Diesel (69 FR 39131).                              12,630
Tier 1/Tier 2 Nonroad Diesel (EPA420-                              2,700
 R-98-016, Chapter 6)...............

[[Page 37170]]

 
2007 Highway HD (66 FR 5101)........                             15,990
------------------------------------------------------------------------
Note: Costs adjusted to 2005 dollars using the Producer Price Index for
  Total Manufacturing Industries.

C. EIA

    We prepared an Economic Impact Analysis (EIA) to estimate the 
social costs associated with the final control program to estimate the 
market-level changes in prices and outputs for affected markets, the 
social costs of the program, and the expected distribution of those 
costs across stakeholders. As defined in EPA's Guidelines for Preparing 
Economic Analyses, social costs are the value of the goods and services 
lost by society resulting from (a) the use of resources to comply with 
and implement a regulation and (b) reductions in output.\178\
---------------------------------------------------------------------------

    \178\ EPA Guidelines for Preparing Economic Analyses, EPA 240-R-
00-003, September 2000, p 113. A copy of this document can be found 
at http://yosemite.epa.gov/ee/epa/eed.nsf/webpages/Guidelines.html.
---------------------------------------------------------------------------

    A quantitative Economic Impact Model (EIM) was developed to 
estimate price and quantity changes and total social costs associated 
with the emission control program.
    The EIM is a computer model comprised of a series of spreadsheet 
modules that simulate the supply and demand characteristics of each of 
the markets under consideration. The model methodology is firmly rooted 
in applied microeconomic theory and was developed following the 
methodology set out in OAQPS's Economic Analysis Resource 
Document.\179\ Chapter 7 of the RIA contains a detailed description of 
the EIM, including the economic theory behind the model and the data 
used to construct it, the baseline equilibrium market conditions, and 
the model's behavior parameters. The EIM and the estimated compliance 
costs presented above are used to estimate the economic impacts of the 
program. The results of this analysis are summarized below.
---------------------------------------------------------------------------

    \179\ U.S. Environmental Protection Agency, Office of Air 
Quality Planning and Standards, Innovative Strategies and Economics 
Group, OAQPS Economic Analysis Resource Document, April 1999. A copy 
of this document can be found at http://www.epa.gov/ttn/ecas/econdata/Rmanual2/.
---------------------------------------------------------------------------

    The engineering costs we used in the EIA are an earlier version of 
the estimated compliance costs developed for this final rule. The net 
present value of the engineering costs used in the EIA is estimated to 
be approximately $9.17 billion (NPV over the period of analysis at 3 
percent discount rate), which is about $240 million less than the net 
present value of the final estimated engineering costs of about $9.41 
billion. This difference is the sum of various cost adjustments, the 
largest of which are an increase of about $222 million in operating 
costs for the marine markets and $42 million in the operating costs for 
the rail markets (NPV over the period of analysis at 3 percent discount 
rate). These changes are not expected to have a substantial impact on 
the market level results because the differences are relatively small 
on an annual basis. For example, operating costs for C2 marine markets 
increase by about 15 percent in 2030 (from $107 million to $123 
million). The previous estimate of $107 million was associated with an 
increase of approximately 1.1 in the price of marine transportation 
services and a decrease of approximately 0.5 percent in the quantity of 
marine transportation services provided. A small increase in operating 
costs is not likely to change those results by very much. The market-
level impacts on the other downstream markets are also likely to be 
very small and not economically significant. Finally, the difference in 
compliance costs will not affect the distribution of social costs, 
which is a function of the price elasticity of supply and demand.
(1) Market Analysis Results
    In the market analysis, we estimate how prices and quantities of 
goods and services affected by the emission control program can be 
expected to change once the program goes into effect.
    The compliance costs associated with the new locomotive and marine 
diesel engine standards are expected to lead to price and quantity 
changes in these markets. A summary of the market analysis results is 
presented in Table V-11 for 2012, which is representative of the first 
year of the Tier 3 standards; 2016, which is representative of the 
first year of the Tier 4 standards; and 2030, which represents market 
impacts of the program in the long-term. Results for all years can be 
found in Chapter 7 of the RIA.
    For all markets, the market impacts for the early years of the 
program are driven by the transportation markets. In these years, the 
only direct compliance costs are associated with the remanufacture 
programs; there are no variable costs associated with the Tier 3 
standards and therefore no direct compliance costs. The transportation 
markets will experience operating costs increases; these will result in 
small increases in transportation market prices, which will translate 
to small contractions in demand for locomotives and marine diesel 
engines and vessels. This is expected exert marginal downward pressure 
on prices in those markets, of less than 0.1 percent. The production 
decreases are also expected to be very small, at 0.1 percent or less.
    The Tier 4 programs are expected to result in larger market changes 
due to the direct compliance costs associated with Tier 4 standards and 
the continuing costs of the remanufacture programs. For the locomotive 
markets, the price increases in 2016 are expected to be about 4 percent 
for line haul locomotives and about one percent for switchers in 2016. 
In the long term (by 2030), prices are expected to increase to about 
3.2 percent for line haul locomotives and about 1.5 percent for 
switchers. These small price increases reflect the relative amount of 
the compliance costs compared to the total cost of a locomotive or 
switcher (the engine is only a small part of the total cost of the 
locomotive). In all cases, the decrease in the quantity of line haul 
locomotives or switchers produced is expected to be less than 0.5 
percent.
    In the marine markets, price increases for engines are expected to 
be larger in 2016, varying from about 9 percent for C1 engines above 
600 kW (800 hp) to 17 percent for auxiliary engines and C2 engines 
above 600 kW.\180\ The price increases for vessels that use these 
engines, however, are smaller (about 2 percent and 7 percent, 
respectively), reflecting the relative amount of the compliance costs 
compared to the price of a commercial marine vessel. Production 
quantities are expected to decrease by less than 4 percent for engines 
and vessels. The long-term price impacts are similar, with expected 
price increases of about 12 percent for engines C2 above 600 kW and 7 
percent for C1 engines above 600 kW, and vessel price

[[Page 37171]]

increases of less than 5 percent. Long-term production quantity 
decreases are expected to be less than 3 percent.
---------------------------------------------------------------------------

    \180\ Results presented in this section are by marine engine 
category in kW; the actual EIA analysis presented in Chapter 7 of 
the RIA was performed using marine engine categories by hp.
---------------------------------------------------------------------------



                           Table V-11.--Estimated Market Impacts for 2012, 2016, 2030
                                                     (2005$)
----------------------------------------------------------------------------------------------------------------
                                                   Average         Change in price         Change in quantity
                                                   variable  ---------------------------------------------------
                    Market c                     engineering
                                                   cost per     Absolute     Percent      Absolute     Percent
                                                     unit
----------------------------------------------------------------------------------------------------------------
                      2012
Rail Sector:
    Locomotives................................           $0         -535        -0.03           -1         -0.1
    Switcher/Passenger.........................            0         -348        -0.03            0         -0.1
    Transportation Services....................           NA         a NA          0.1         a NA         -0.1
Marine Sector
Engines:
    Auxiliary >600 kW..........................            0          -47         0.00            0         -0.1
        C1>600 kW..............................            0           -8         0.00            0          0.0
        C2>600 kW..............................            0         -139        -0.03            0         -0.1
        Other marine...........................            0            0         0.00            0          0.0
Vessels
    C1>600 kW..................................            0         -174        -0.01            0          0.0
    C2>600 kW..................................            0       -2,419        -0.07            0         -0.1
    Other marine...............................            0           -3         0.00            1          0.0
Transportation Services........................           NA         a NA          0.2         a NA         -0.1
                      2016
Rail Sector:
    Locomotives................................       84,274       83,227          4.2           -1         -0.1
    Switcher/Passenger.........................       14,175       13,494          1.0            0         -0.1
    Transportation Services....................           NA         a NA          0.3         a NA         -0.1
Marine Sector
Engines:
    Auxiliary >600 kW..........................       37,097       35,569         17.1          -11         -3.4
        C1>600 kW..............................       18,483       16,384          8.5          -15         -3.7
        C2>600 kW..............................       71,806       71,602         16.3            0         -0.2
        Other marine...........................            0            0         0.00            0          0.0
Vessels:
    C1>600 kW..................................        8,277     b 34,043          2.1          -14         -3.7
    C2>600 kW..................................       12,107    b 255,143          7.0            0         -0.2
    Other marine...............................            0           -4         0.00           -1          0.0
Transportation Services........................           NA         a NA          0.4         a NA         -0.2
                      2030
Rail Sector:
    Locomotives................................       65,343       63,019          3.2           -4         -0.3
    Switcher/Passenger.........................       21,139       19,628          1.5           -1         -0.3
    Transportation Services....................           NA         a NA          0.6         a NA         -0.3
Marine Sector
Engines:
    Auxiliary >600 kW..........................       28,359       27,021         13.0          -11         -2.8
        C1>600 kW..............................       14,131       12,479          6.5          -13         -2.9
        C2>600 kW..............................       54,893       54,264         12.3           -1         -0.5
        Other marine...........................            0           -1          0.0            0          0.0
Vessels:
    C1>600 kW..................................        6,933     b 25,768          1.6          -12         -2.9
    C2>600 kW..................................       10,169    b 164,774          5.1            0         -0.5
    Other marine...............................            0          -12          0.0           -4          0.0
Transportation Services........................           NA         a NA          1.1         a NA        -0.5
----------------------------------------------------------------------------------------------------------------
Notes:
\a\ The prices and quantities for transportation services are normalized ($1 for 1 unit of services provided)
  and therefore it is not possible to estimate the absolute change price or quantity; see 7.3.1.5.
\b\ The estimated vessel impacts include the impacts of direct vessel compliance costs and the indirect impacts
  of engine markets for both propulsion and auxiliary engines. See Chapter 7 of the RIA.
\c\ Results presented in this table are by marine engine category in kW; the actual EIA analysis presented in
  Chapter 7 of the RIA was performed using marine engine categories by hp.

(2) Economic Welfare Analysis
    In the economic welfare analysis, we look at the total social costs 
associated with the program and their distribution across key 
stakeholders.
    The total estimated social costs of the program are about $221 
million, $284 million, $332 million and $738 million for 2012, 2016, 
2020, and 2030. These estimated social costs are nearly identical to 
the total compliance costs for those years. The slight reduction in 
social costs when compared to compliance costs occurs because the total 
engineering costs do not reflect the decreased sales of locomotives, 
engines and vessels that are incorporated in the

[[Page 37172]]

total social costs. Results for all years are presented in Chapter 7 of 
the RIA.
    Table V-12 shows how total social costs are expected to be shared 
across stakeholders for selected years.
    We estimate the net social costs of the program to be approximately 
$738 million in 2030.\181\ The rail sector is expected to bear about 
62.5 percent of the social costs of the program in 2030, and the marine 
sector is expected to bear about 37.5 percent. In each of these two 
sectors, these social costs are expected to be born primarily by 
producers and users of locomotive and marine transportation services 
(about 98 percent). The remaining 2 percent is expected to be borne by 
locomotive, marine engine, and marine vessel manufacturers and fishing 
and recreational users.
---------------------------------------------------------------------------

    \181\ All estimates presented in this section are in 2005$.

           Table V-12.--Summary of Estimated Social Costs for 2012, 2016, 2020, 2030 (2005$, $million)
----------------------------------------------------------------------------------------------------------------
                                                                        2012                      2016
                                                             ---------------------------------------------------
                    Stakeholder group \a\                       Surplus                   Surplus
                                                               change ($)    Percent     change ($)    Percent
----------------------------------------------------------------------------------------------------------------
Locomotives:
    Locomotive producers....................................        -35.1         15.9         -8.3          2.9
    Line haul producers.....................................        -27.8         12.6         -0.9          0.3
    Switcher/Passenger producers............................         -7.2          3.3         -7.4          2.6
    Rail transportation service providers...................        -21.4          9.7        -43.4         15.3
    Rail transportation service consumers...................        -68.4         31.0       -138.9         48.8
    Total locomotive sector.................................       -124.9         56.6       -190.6         67.0
Marine:
    Marine engine producers.................................        -45.8         20.7         -2.1          0.7
    Auxiliary > 600 kW......................................        -16.0          7.3         -0.5          0.2
    C1 > 600 kW.............................................        -19.0          8.6         -1.6          0.5
    C2 > 600 kW.............................................        -10.7          4.9          0.0          0.0
    Other marine............................................          0.0          0.0          0.0          0.0
    Marine vessel producers.................................         -0.3          0.1        -15.8          5.6
    C1 > 600 kW.............................................         -0.1          0.0        -13.5          4.7
    C2 > 600 kW.............................................         -0.1          0.1         -2.2          0.8
    Other marine............................................         -0.1          0.0         -0.1          0.0
    Recreational and fishing vessel consumers...............          0.0          0.0          0.0          0.0
    Marine transportation service providers.................        -11.9          5.4        -18.1          6.4
    Marine transportation service consumers.................        -38.1         17.3        -57.9         20.3
    Auxiliary engines < 600 kW..............................          0.0          0.0          0.0          0.0
    Total marine sector.....................................        -96.1         43.5        -93.8         33.0
                                                             ---------------------------------------------------
        Total Program.......................................       -221.0  ...........       -284.4  ...........
----------------------------------------------------------------------------------------------------------------


 
                                                                        2020                      2030
                                                             ---------------------------------------------------
                      Stakeholder group                         Surplus                   Surplus
                                                               change ($)    Percent     change ($)    Percent
----------------------------------------------------------------------------------------------------------------
Locomotives:
    Locomotive producers....................................         -1.1          0.3         -3.1          0.4
        Line haul producers.................................         -1.0          0.3         -2.7          0.4
        Switcher/Passenger producers........................         -0.1          0.0         -0.4          0.1
Rail transportation service providers.......................        -46.4         14.0       -109.0         14.8
Rail transportation service consumers.......................       -148.6         44.8       -348.9         47.3
Total locomotive sector.....................................       -196.1         59.1       -461.1         62.5
Marine:
    Marine engine producers.................................         -1.8          0.5         -2.0          0.3
        Auxiliary > 600 kW..................................         -0.4          0.1         -0.5          0.1
        C1 > 600 kW.........................................         -1.3          0.4         -1.4          0.2
        C2 > 600 kW.........................................          0.0          0.0         -0.1          0.0
        Other marine........................................          0.0          0.0          0.0          0.0
    Marine vessel producers.................................        -10.3          3.1         -9.2          1.2
        C1 > 600 kW.........................................         -8.8          2.7         -8.2          1.1
        C2 > 600 kW.........................................         -1.3          0.4         -0.7          0.1
        Other marine........................................         -0.1          0.0         -0.3          0.0
        Recreational and fishing vessel consumers...........          0.0          0.0          0.0          0.0
    Marine transportation service providers.................        -29.5          8.9        -63.3          8.6
    Marine transportation service consumers.................        -94.4         28.4       -202.5         27.4
    Auxiliary engines < 600 kW..............................          0.0          0.0          0.0          0.0
    Total marine sector.....................................       -135.9         40.9       -277.0         37.5
                                                             ---------------------------------------------------
        Total Program.......................................       -332.0  ...........       -738.1  ...........
----------------------------------------------------------------------------------------------------------------
Note: \a\ Results presented in this table are by marine engine category in kW; the actual EIA analysis presented
  in Chapter 7 of the RIA was performed using marine engine categories by hp.


[[Page 37173]]

    Table V-13 shows the distribution of total surplus losses for the 
program from 2007 through 2040. This table shows that the rail sector 
is expected to bear about 62 percent of the total program social costs 
through 2040 (NPV 3%), and that most of the costs are expected to be 
borne by the rail transportation consumers. The marine sector is 
expected to bear about 38 percent of the total program social costs 
through 2040 (NPV 3%), most of which are also expected to be borne by 
the marine transportation consumers. This is consistent with the 
structure of the program, which leads to high compliance costs for the 
rail marine transportation sectors.

            Table V-13. Estimated Net Social Costs 2007 Through 2040 by Stakeholder ($million, 2005$)
----------------------------------------------------------------------------------------------------------------
                                                                            Percent of                Percent of
                   Stakeholder Groups \a\                       Surplus       total       Surplus       total
                                                                 change      surplus       change      surplus
----------------------------------------------------------------------------------------------------------------
Locomotives.................................................       NPV 3%  ...........       NPV 7%
Locomotive producers........................................      -$221.1          2.4      -$160.4          3.8
Line Haul...................................................       -172.2                    -124.5
Switcher/Passenger..........................................        -48.9                     -35.9
Rail transportation service providers.......................     -1,302.7         14.2       -568.6         13.6
Rail transportation service consumers.......................     -4,168.7         45.6     -1,819.5         43.5
Total locomotive sector.....................................     -5,692.6         62.6     -2,548.5         61.0
Marine......................................................
Marine engine producers.....................................       -307.5          3.4       -229.4          5.5
Auxiliary > 600 kW..........................................        -87.3                     -64.0
C1 > 600 kW.................................................       -106.8                     -74.6
C2 > 600 kW.................................................        -56.8                     -42.6
Other marine................................................        -56.7                     -48.1
Marine vessel producers.....................................       -150.0          1.6        -72.5          1.7
C1 > 600 kW.................................................       -126.8                     -60.8
C2 > 600 kW.................................................        -19.7                     -10.2
Other marine................................................         -3.5                      -1.5
Recreational and fishing vessel consumers...................          0.2                       0.1
Marine transportation service providers.....................       -704.6          7.7       -308.4          7.4
Marine transportation service consumers.....................     -2,254.7         24.6       -986.9         23.6
Auxiliary Engines <600 kW...................................        -40.2          0.4        -34.2         -0.8
Total marine sector.........................................      3,456.7         37.8     -1,631.3         39.0
                                                             ---------------------------------------------------
    Total Program...........................................     -9.149.2                  -4,179.8
----------------------------------------------------------------------------------------------------------------
Note: \a\ Results presented in this table are by marine engine category in kW; the actual EIA analysis presented
  in Chapter 7 of the RIA was performed using marine engine categories by hp.

(3) What Are the Significant Limitations of the Economic Impact 
Analysis?
    Every economic impact analysis examining the market and social 
welfare impacts of a regulatory program is limited to some extent by 
limitations in model capabilities, deficiencies in the economic 
literatures with respect to estimated values of key variables necessary 
to configure the model, and data gaps. In this EIA, there three 
potential sources of uncertainty: (1) Uncertainty resulting from the 
way the EIM is designed, particularly from the use of a partial 
equilibrium model; (2) uncertainty resulting from the values for key 
model parameters, particularly the price elasticity of supply and 
demand; and (3) uncertainty resulting from the values for key model 
inputs, particularly baseline equilibrium price and quantities.
    Uncertainty associated with the economic impact model structure 
arises from the use of a partial equilibrium approach, the use of the 
national level of analysis, and the assumption of perfect competition. 
These features of the model mean it does not take into account impacts 
on secondary markets or the general economy, and it does not consider 
regional impacts. The results may also be biased to the extent that 
firms have some control over market prices, which would result in the 
modeling over-estimating the impacts on producers of affected goods and 
services.
    The values used for the price elasticities of supply and demand are 
critical parameters in the EIM. The values of these parameters have an 
impact on both the estimated change in price and quantity produced 
expected as a result of compliance with the new standards and on how 
the burden of the social costs will be shared among producer and 
consumer groups. In selecting the values to use in the EIM it is 
important that they reflect the behavioral responses of the industries 
under analysis.
    Finally, uncertainty in measurement of data inputs can have an 
impact on the results of the analysis. This includes measurement of the 
baseline equilibrium prices and quantities and the estimation of future 
year sales. In addition, there may be uncertainty in how similar 
engines and equipment were combined into smaller groups to facilitate 
the analysis. There may also be uncertainty in the compliance cost 
estimations.
    While variations in the above model parameters may affect the 
distribution of social costs among stakeholders and the estimated 
market impacts, they will not affect the total social costs of the 
program. This is because the total social costs are directly related to 
the total compliance costs. To explore the effects of key sources of 
uncertainty on the distribution of social costs and on estimated price 
and quantity impacts, we performed a sensitivity analysis in which we 
examine the results of using alternative values for several model 
parameters. The results of these analyses are contained in Appendix 7H 
of the RIA prepared for this rule.
    Despite these uncertainties, we believe this economic impact 
analysis provides a reasonable estimate of the expected market impacts 
and social welfare costs of the new standards in future. Acknowledging 
benefits omissions and uncertainties, we present a best estimate of the 
social costs based on our interpretation of the best available 
scientific literature and methods supported by EPA's Guidelines for 
Preparing Economic Analyses and

[[Page 37174]]

the OAQPS Economic Analysis Resource Document.

VI. Benefits

    This section presents our analysis of the health and environmental 
benefits that are estimated to occur as a result of the final 
locomotive and marine engine standards throughout the period from 
initial implementation through 2030. Nationwide, the engines that are 
subject to the emission standards in this rule are a significant source 
of mobile source air pollution. The standards will reduce exposure to 
NOX and direct PM emissions and help avoid a range of 
adverse health effects associated with ambient PM2.5 and 
ozone levels. In addition, the standards will help reduce exposures to 
diesel PM exhaust, various gaseous hydrocarbons and air toxics. As 
described below, the reductions in PM and ozone from the standards are 
expected to result in significant reductions in premature deaths and 
other serious human health effects, as well as other important public 
health and welfare effects.
    EPA typically quantifies and monetizes PM- and ozone-related 
impacts in its regulatory impact analyses (RIAs) when possible. The RIA 
for the proposal for this rulemaking only quantified benefits from PM; 
in the current RIA we quantify and monetize the ozone-related health 
and environmental impacts associated with the final rule. The science 
underlying the analysis is based on the current ozone criteria 
document.\182\ To estimate the incidence and monetary value of the 
health outcomes associated with this final rule, we used health impact 
functions based on published epidemiological studies, and valuation 
functions derived from the economics literature.\183\ Key health 
endpoints analyzed include premature mortality, hospital and emergency 
room visits, school absences, and minor restricted activity days. The 
analytic approach to characterizing uncertainty is consistent with the 
analysis used in the RIA for the proposed O3 NAAQS.
---------------------------------------------------------------------------

    \182\ U.S. Environmental Protection Agency (2006) Air quality 
criteria for ozone and related photochemical oxidants (second 
external review draft) Research Triangle Park, NC: National Center 
for Environmental Assessment; report no. EPA/600R-05/004aB-cB, 3v. 
Available: http://cfpub.epa.gov/ncea/cfm/recordisplay.cfm?deid=137307 [March 2006]
    \183\ Health impact functions measure the change in a health 
endpoint of interest, such as hospital admissions, for a given 
change in ambient ozone or PM concentration.
---------------------------------------------------------------------------

    The benefits modeling is based on peer-reviewed studies of air 
quality and health and welfare effects associated with improvements in 
air quality and peer-reviewed studies of the dollar values of those 
public health and welfare effects. These methods are consistent with 
benefits analyses performed for the recent analysis of the proposed 
Ozone NAAQS and the final PM NAAQS analysis.184, 185 They 
are described in detail in the RIAs prepared for those rules.
---------------------------------------------------------------------------

    \184\ U.S. Environmental Protection Agency. August 2007. 
Proposed Regulatory Impact Analysis (RIA) for the Proposed National 
Ambient Air Quality Standards for Ozone. Prepared by: Office of Air 
and Radiation. Available at http://www.epa.gov/ttn/ecas/ria.html#ria2007.
    \185\ U.S. Environmental Protection Agency. October 2006. Final 
Regulatory Impact Analysis (RIA) for the Proposed National Ambient 
Air Quality Standards for Particulate Matter. Prepared by: Office of 
Air and Radiation. Available at http://www.epa.gov/ttn/ecas/ria.html.
---------------------------------------------------------------------------

    The range of PM benefits associated with the final standards is 
estimated based on risk reductions estimated using several sources of 
PM-related mortality effect estimates. In order to provide an 
indication of the sensitivity of the benefits estimates to alternative 
assumptions about PM mortality risk reductions, in Chapter 6 of the RIA 
we present a variety of benefits estimates based on two epidemiological 
studies (including the ACS study and the Six Cities Study) and the 
recent PM mortality expert elicitation.\186\ EPA intends to ask the 
Science Advisory Board to provide additional advice as to which 
scientific studies should be used in future RIAs to estimate the 
benefits of reductions in PM-related premature mortality.
---------------------------------------------------------------------------

    \186\ Industrial Economics, Incorporated (IEc). 2006. Expanded 
Expert Judgment Assessment of the Concentration-Response 
Relationship Between PM2.5 Exposure and Mortality. Peer 
Review Draft. Prepared for: Office of Air Quality Planning and 
Standards, U.S. Environmental Protection Agency, Research Triangle 
Park, NC. August.
---------------------------------------------------------------------------

    The range of ozone benefits associated with the final standards is 
also estimated based on risk reductions estimated using several sources 
of ozone-related mortality effect estimates. There is considerable 
uncertainty in the magnitude of the association between ozone and 
premature mortality. This analysis presents four alternative estimates 
for the association based upon different functions reported in the 
scientific literature. We use the National Morbidity, Mortality and Air 
Pollution Study (NMMAPS),\187\ which was used as the primary basis for 
the risk analysis in the ozone Staff Paper \188\ and reviewed by the 
Clean Air Science Advisory Committee (CASAC).\189\ We also use three 
studies that synthesize ozone mortality data across a large number of 
individual studies.190, 191, 192 Note that there are 
uncertainties within each study that are not fully captured by this 
range of estimates.
---------------------------------------------------------------------------

    \187\ Bell, M.L., et al. 2004. Ozone and short-term mortality in 
95 US urban communities, 1987-2000. Jama, 2004. 292(19): p. 2372-8.
    \188\ U.S. EPA (2007) Review of the National Ambient Air Quality 
Standards for Ozone, Policy Assessment of Scientific and Technical 
Information. OAQPS Staff Paper. EPA-452/R-07-003. This document is 
available in Docket EPA-HQ-OAR-2003-0190. This document is available 
electronically at: http:www.epa.gov/ttn/naaqs/standard/ozone/s_o3_cr_sp.html.
    \189\ CASAC (2007). Clean Air Scientific Advisory Committee's 
(CASAC) Review of the Agency's Final Ozone Staff Paper. EPA-CASAC-
07-002. March 26.
    \190\ Bell, M.L., F. Dominici, and J.M. Samet. A meta-analysis 
of time-series studies of ozone and mortality with comparison to the 
national morbidity, mortality, and air pollution study. 
Epidemiology, 2005. 16(4): p. 436-45.
    \191\ Ito, K., S.F. De Leon, and M. Lippmann. Associations 
between ozone and daily mortality: analysis and meta-analysis. 
Epidemiology, 2005. 16(4): p. 446-57.
    \192\ Levy, J.I., S.M. Chemerynski, and J.A. Sarnat. 2005. Ozone 
exposure and mortality: an empiric bayes metaregression analysis. 
Epidemiology, 2005. 16(4): p. 458-68.
---------------------------------------------------------------------------

    Recognizing that additional research is necessary to clarify the 
underlying mechanisms causing these effects, we also consider the 
possibility that the observed associations between ozone and mortality 
may not be causal in nature. EPA has requested advice from the National 
Academy of Sciences on how best to quantify uncertainty in the 
relationship between ozone exposure and premature mortality in the 
context of quantifying benefits associated with ozone control 
strategies.
    The range of total ozone- and PM-related benefits associated with 
the final standards is presented in Table VI-1. We present total 
benefits based on the PM-and ozone-related premature mortality function 
used. The benefits ranges therefore reflect the addition of each 
estimate of ozone-related premature mortality (each with its own row in 
Table VI-1) to estimates of PM-related premature mortality, derived 
from either the epidemiological literature or the expert elicitation. 
The estimates in Table VI-1, and all monetized benefits presented in 
this section, are in year 2006 dollars.

[[Page 37175]]



 Table VI-1.--Estimated 2030 Monetized PM- and Ozone-Related Health Benefits of the Final Locomotive and Marine
                                               Engine Standards a
----------------------------------------------------------------------------------------------------------------
                                                            Mean total benefits          Mean total benefits
    Premature ozone mortality          Reference           (billions, 2006$, 3%          (billions, 2006$, 7%
     function or assumption                                 discount rate) c, d          discount rate) c, d
----------------------------------------------------------------------------------------------------------------
         2030 Total Ozone and PM Benefits--PM Mortality Derived From American Cancer Society Analysis a
----------------------------------------------------------------------------------------------------------------
NMMAPS..........................  Bell et al., 2004..  $9.7........................  $8.9.
Meta-analysis...................  Bell et al., 2005..  $11.........................  $9.8.
                                  Ito et al., 2005...  $11.........................  $10.
                                  Levy et al., 2005..  $11.........................  $10.
Assumption that association is not causal............  $9.2........................  $8.4.
----------------------------------------------------------------------------------------------------------------
                2030 Total Ozone and PM Benefits--PM Mortality Derived From Expert Elicitation b
----------------------------------------------------------------------------------------------------------------
NMMAPS..........................  Bell et al., 2004..  $5.2 to $37.................  $4.8 to $34.
Meta-analysis...................  Bell et al., 2005..  $6.2 to $38.................  $5.8 to $35.
                                  Ito et al., 2005...  $6.7 to $39.................  $6.3 to $35.
                                  Levy et al., 2005..  $6.7 to $39.................  $6.4 to $35.
Assumption that association is not causal............  $4.7 to $37.................  $4.4 to $33.
----------------------------------------------------------------------------------------------------------------
Notes:
a Total includes ozone and PM2.5 benefits. Range was developed by adding the estimate from the ozone premature
  mortality function to the estimate of PM2.5-related premature mortality derived from the ACS study (Pope et
  al., 2002).
b Total includes ozone and PM2.5 benefits. Range was developed by adding the estimate from the ozone premature
  mortality function to both the lower and upper ends of the range of the PM2.5 premature mortality functions
  characterized in the expert elicitation. The effect estimates of five of the twelve experts included in the
  elicitation panel fall within the empirically-derived range provided by the ACS and Six-Cities studies. One of
  the experts fall below this range and six of the experts are above this range. Although the overall range
  across experts is summarized in this table, the full uncertainty in the estimates is reflected by the results
  for the full set of 12 experts. The twelve experts' judgments as to the likely mean effect estimate are not
  evenly distributed across the range illustrated by arraying the highest and lowest expert means.
c Note that total benefits presented here do not include a number of unquantified benefits categories. A
  detailed listing of unquantified health and welfare effects is provided in Table VI-6.
d Results reflect the use of both a 3 and 7 percent discount rate, as recommended by EPA's Guidelines for
  Preparing Economic Analyses and OMB Circular A-4. Results are rounded to two significant digits for ease of
  presentation and computation.

(1) Quantified Human Health and Environmental Effects of the Final 
Standards
    In this section we discuss the ozone and PM2.5 health 
and environmental impacts of the final standards. We discuss how these 
impacts are monetized in the next section. It should be noted that the 
emission control scenarios used in the air quality and benefits 
modeling are slightly different than the final emission control 
program. The differences reflect further refinements of the regulatory 
program since we performed the air quality modeling for this rule. 
Emissions and air quality modeling decisions are made early in the 
analytical process. Chapter 3 of the RIA describes the changes in the 
inputs and resulting emission inventories between the preliminary 
assumptions used for the air quality modeling and the final emission 
control scenario.

Estimated Ozone and PM Impacts

    To model the ozone and PM air quality benefits of this rule we used 
the Community Multiscale Air Quality (CMAQ) model. CMAQ simulates the 
numerous physical and chemical processes involved in the formation, 
transport, and deposition of particulate matter. This model is commonly 
used in regional applications to estimate the ozone and PM reductions 
expected to occur from a given set of emissions controls. The 
meteorological data input into CMAQ are developed by a separate model, 
the Penn State University / National Center for Atmospheric Research 
Mesoscale Model, known as MM5. The modeling domain covers the entire 
48-State U.S., as modeled in proposed ozone NAAQS analysis.\193\ The 
grid resolution for the modeling domain was 12 x 12 km.
---------------------------------------------------------------------------

    \193\ See the Regulatory Impact Analysis for the Proposed Ozone 
NAAQS (EPA-452/R-07-008, July 2007). This document is available at 
http://www.epa.gov/ttn/ecas/ria.html#ria2007.
---------------------------------------------------------------------------

    While this rule will reduce ozone levels generally and provide 
national ozone-related health benefits, this is not always the case at 
the local level. Due to the complex photochemistry of ozone production, 
reductions in NOX emissions lead to both the formation and 
destruction of ozone, depending on the relative quantities of 
NOX, VOC, and ozone catalysts such as the OH and 
HO2 radicals. In areas dominated by fresh emissions of 
NOX, ozone catalysts are removed via the production of 
nitric acid which slows the ozone formation rate. Because 
NOX is generally depleted more rapidly than VOC, this effect 
is usually short-lived and the emitted NOX can lead to ozone 
formation later and further downwind. The terms ``NOX 
disbenefits'' or ``ozone disbenefits'' refer to the ozone increases 
that can result from NOX emissions reductions in these 
localized areas. According to the North American Research Strategy for 
Tropospheric Ozone (NARSTO) Ozone Assessment, these disbenefits are 
generally limited to small regions within specific urban cores and are 
surrounded by larger regions in which NOX control is 
beneficial.\194\ For this analysis, we observed two urban areas that, 
to some degree, experience ozone disbenefits: Southern California and 
Chicago.
---------------------------------------------------------------------------

    \194\ The NARSTO Assessment Document synthesizes the scientific 
understanding of ozone pollution, giving special consideration to 
behavior on expanded scales over the North American continent, 
encompassing Canada, the United States, and Mexico. Successive 
drafts of this Assessment Document experienced progressive stages of 
review by its authors and by outside peers, and transcripts were 
recorded containing the review comments and the corresponding 
actions. This included an external review by the NRC, the comments 
of which were addressed and incorporated in the final draft. NARSTO, 
2000. An Assessment of Tropospheric Ozone Pollution--A North 
American Perspective. NARSTO Management Office (Envair), Pasco, 
Washington. http://narsto.org/
---------------------------------------------------------------------------

    Marginal changes in ozone in these areas are much more dependent 
upon baseline air quality conditions than PM due to nonlinearities 
present in the chemistry of ozone formation. A marginal decrease in 
NOX emissions modeled on its own in these areas, as

[[Page 37176]]

was done for this analysis, may yield a very different ambient ozone 
concentration than if it were modeled in combination with other planned 
or future controls. For example, recent California SIP modeling 
indicates that with a combined program of national and local controls, 
California can reach ozone attainment by 2024 through a mixture of 
substantial NOX (and VOC) reductions.\195\ In areas prone to 
ozone disbenefits, our ability to draw conclusions based on air quality 
modeling conducted for the final rule is limited because the yet-to-
occur emission reductions in these areas are not accounted for in our 
analytical approach. Within these regions, it is expected that the 
additional NOX reductions from SIP-based controls would lead 
to fewer ozone disbenefits from the marginal changes modeled here. More 
detailed information about the air quality modeling conducted for this 
analysis is included in the air quality modeling technical support 
document (TSD), which is located in the docket for this rule.
---------------------------------------------------------------------------

    \195\ SCAQMD (2007). Final 2007 Air Quality Management Plan. 
Available at: http://www.aqmd.gov/aqmp/07aqmp/index.html. Accessed 
November 8, 2007.
---------------------------------------------------------------------------

    The modeled ambient air quality data serves as an input to the 
Environmental Benefits Mapping and Analysis Program (BenMAP).\196\ 
BenMAP is a computer program developed by EPA that integrates a number 
of the modeling elements used in previous Regulatory Impact Analyses 
(e.g., interpolation functions, population projections, health impact 
functions, valuation functions, analysis and pooling methods) to 
translate modeled air concentration estimates into health effects 
incidence estimates and monetized benefits estimates.
---------------------------------------------------------------------------

    \196\ Information on BenMAP, including downloads of the 
software, can be found at http://www.epa.gov/air/benmap.
---------------------------------------------------------------------------

    The addition of ozone mortality to our health impacts analysis has 
led to an increased focus on the issue of ozone disbenefits for two 
related reasons: (1) The monetized value of ozone-related benefits, in 
terms of ozone's contribution to total rule-related benefits, has 
increased due to the inclusion of ozone mortality; and (2) The overall 
ozone impacts of NOX reductions in certain geographic 
regions of the U.S., when modeled on the margin, may be negative.
    Figure 1 shows the diurnal pattern of ozone concentrations in the 
2030 baseline and post-control scenarios for a grid cell in Orange 
County, CA during July. From this figure it is clear that the 
disbenefits (points when the control case ozone levels are higher than 
the baseline) are occurring primarily during nighttime hours when ozone 
is generally low.
    This diurnal pattern means that the extent of the disbenefits is 
not as large as one might have thought. Our conversion from using a 24-
hour metric to using the maximum 8-hour average metric in the ozone 
mortality studies (see page 6-4 and the health impacts section) 
excludes the nighttime hours when NOX-related disbenefits 
are most likely to occur.
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    Table VI-2 presents the estimates of ozone- and PM-related health 
impacts for the years 2020 and 2030, which are based on the modeled air 
quality changes between a baseline, pre-control scenario and a post-
control scenario reflecting the final emission control strategy.
    The use of two sources of PM mortality reflects two different 
sources of information about the impact of reductions in PM on 
reduction in the risk of premature death, including both the published 
epidemiology literature and an expert elicitation study conducted by 
EPA in 2006. In 2030, based on the estimate provided by the ACS study, 
we estimate that PM-related emission reductions related to the final 
rule will result in 1,100 fewer premature fatalities annually. The 
number of premature mortalities avoided increases to 2,600 when based 
on the Six Cities study. When the range of expert opinion is used, we 
estimate between 500 and 4,900 fewer premature mortalities in 2030. We 
also estimate 680 fewer cases of chronic bronchitis, 2,500 fewer non-
fatal heart attacks, 870 fewer hospitalizations (for respiratory and 
cardiovascular disease combined), 720,000 fewer days of restricted 
activity due to respiratory illness and approximately 120,000 fewer 
work-loss days. This analysis projects substantial health improvements 
for children from reduced upper and lower respiratory illness, acute 
bronchitis, and asthma attacks. These results are based on an assumed 
cutpoint in the long-term mortality concentration-response functions at 
10 [mu]g/m3, and an assumed cutpoint in the short-term 
morbidity concentration-response functions at 10 [mu]g/m3. 
The impact using four alternative cutpoints (3 [mu]g/m3, 7.5 
[mu]g/m3, 12 [mu]g/m3, and 14 [mu]g/
m3) has on PM 2.5-related mortality incidence 
estimation is presented in Chapter 6 of the RIA.
    For ozone, we estimate a range of between 54-250 fewer premature 
mortalities as a result of the final rule in 2030, assuming that there 
is a causal relationship between ozone exposure and mortality. We also 
estimate that by 2030, the final rule will result in over 500 avoided 
respiratory hospital admissions and emergency room visits, 290,000 
fewer days of restricted activity due to respiratory illness, and 
110,000 school loss days avoided.

 Table VI-2.--Estimated Reduction in Incidence of Adverse Health Effects
      Related to the Final Locomotive and Marine Engine Standards a
------------------------------------------------------------------------
                                            2020              2030
------------------------------------------------------------------------
Health Effect                        Mean Incidence Reduction
                                     (5th-95th percentile)
------------------------------------------------------------------------


 
 
----------------------------------------------------------------------------------------------------------------
PM-Related Endpoints............................................................................................
----------------------------------------------------------------------------------------------------------------
Premature Mortality--Derived from      Adult, age 30+--ACS      490 (190-790)..........  1,100 (440-1,800)
 Epidemiology Literature.               cohort study (Pope et
                                        al., 2002).
                                       Adult, age 25+--Six-     1,100 (610-1,600)......  2,600 (1,400-3,700)
                                        Cities study (Laden et
                                        al., 2006).
                                       Infant, age <1 year--    1 (1-2)................  2 (1-3)
                                        Woodruff et al. 1997.
Premature Mortality--Derived from      Adult, age 25+--Lower    220 (0-1,100)..........  500 (0-2,400)
 Expert Elicitation \b\.                Bound (Expert K).
 
                                       Adult, age 25+--Upper    2,200 (1,100-3,300)....  4,900 (2,500-7,500)
                                        Bound (Expert E).
----------------------------------------------------------------------------------------------------------------
Chronic bronchitis (adult, age 26 and over)...................  310 (56-560)...........  680 (130-1,200)
Acute myocardial infarction (adults, age 18 and older)........  1,000 (550-1,500)......  2,500 (1,300-3,600)
Hospital admissions--respiratory (all ages) \c\...............  120 (58-170)...........  270 (130-400)
Hospital admissions--cardiovascular (adults, age >18) \d\.....  240 (150-330)..........  600 (380-820)
Emergency room visits for asthma (age 18 years and younger)...  410 (240-580)..........  890 (520-1,300)
Acute bronchitis (children, age 8-12).........................  1,000 (-35-2,100)......  2,300 (-77-4,600)
Lower respiratory symptoms (children, age 7-14)...............  9,200 (4,400-14,000)...  20,000 (9,700-31,000)
Upper respiratory symptoms (asthmatic children, age 9-18).....  6,700 (2,100-11,000)...  15,000 (4,600-25,000)
Asthma exacerbation (asthmatic children, age 6-18)............  8,400 (920-24,000).....  19,000 (2,000-53,000)
Work loss days (adults, age 18-65)............................  59,000 (51,000-67,000).  120,000 (110,000-
                                                                                          140,000)
Minor restricted-activity days (adults, age 18-65)............  350,000 (290,000-        720,000 (610,000-
                                                                 400,000).                830,000)
----------------------------------------------------------------------------------------------------------------
Ozone-Related Endpoints.........................................................................................
----------------------------------------------------------------------------------------------------------------
Premature Mortality, All ages--        Bell et al., 2004......  13 (-22-49)............  54 (-43-150)
 Derived from NMMAPS.
Premature Mortality, All ages--        Bell et al., 2005......  44 (-47-140)...........  180 (-69-420)
 Derived from Meta-analyses.
                                       Ito et al., 2005.......  60 (-34-150)...........  240 (-14-500)
                                       Levy et al., 2005......  62 (-14-140)...........  250 (44-450)
----------------------------------------------------------------------------------------------------------------
Premature Mortality--Assumption that association between ozone  0......................  0
 and mortality is not causal.
Hospital admissions--respiratory causes (children, under 2;     14 (-150-170)..........  260 (-350-890)
 adult, 65 and older) \e\.
Emergency room visit for asthma (all ages)....................  69 (-89-270)...........  250 (-190-830)
Minor restricted activity days (adults, age 18-65)............  84,000 (43,000-120,000)  290,000 (150,000-
                                                                                          430,000)
School absence days...........................................  33,000 (-17,000-77,000)  110,000 (-15,000-
                                                                                          240,000)
----------------------------------------------------------------------------------------------------------------
 

[[Page 37179]]

 
Notes:
(a) Incidence is rounded to two significant digits. PM and ozone estimates represent impacts from the final
  standards nationwide.
(b) Based on effect estimates derived from the full-scale expert elicitation assessing the uncertainty in the
  concentration-response function for PM-related premature mortality (IEc, 2006).\197\
The effect estimates of five of the twelve experts included in the elicitation panel fall within the empirically-
  derived range provided by the ACS and Six-Cities studies. One of the experts fall below this range and six of
  the experts are above this range. Although the overall range across experts is summarized in this table, the
  full uncertainty in the estimates is reflected by the results for the full set of 12 experts. The twelve
  experts' judgments as to the likely mean effect estimate are not evenly distributed across the range
  illustrated by arraying the highest and lowest expert means.
(c) Respiratory hospital admissions for PM include admissions for chronic obstructive pulmonary disease (COPD),
  pneumonia, and asthma.
(d) Cardiovascular hospital admissions for PM include total cardiovascular and subcategories for ischemic heart
  disease, dysrhythmias, and heart failure.
(e) Respiratory hospital admissions for ozone include admissions for all respiratory causes and subcategories
  for COPD and pneumonia.

(2) Monetized Benefits
    Table VI-3 presents the estimated monetary value of reductions in 
the incidence of health and welfare effects. Tables VI-4 and VI-5 
present the total annual PM- and ozone-related health benefits, which 
are estimated to be between $9.2 and $11 billion in 2030, assuming a 3 
percent discount rate, or between $8.4 and $10 billion, assuming a 7 
percent discount rate, using the ACS-derived estimate of PM-related 
premature mortality (Pope et al., 2002) and the range of ozone-related 
premature mortality studies derived from the epidemiological 
literature. The range of benefits expands to between $4.7 and $39 
billion, assuming a 3 percent discount rate, when the estimate includes 
the opinions of outside experts on PM and the risk of premature death, 
or between $4.4 and $35 billion, assuming a 7 percent discount rate. 
All monetized estimates are stated in 2006$. These estimates account 
for growth in real gross domestic product (GDP) per capita between the 
present and the years 2020 and 2030. As the tables indicate, total 
benefits are driven primarily by the reduction in premature fatalities 
each year.
---------------------------------------------------------------------------

    \197\ Industrial Economics, Incorporated (IEc). 2006. Expanded 
Expert Judgment Assessment of the Concentration-Response 
Relationship Between PM 2.5 Exposure and Mortality. Peer 
Review Draft. Prepared for: Office of Air Quality Planning and 
Standards, U.S. Environmental Protection Agency, Research Triangle 
Park, NC. August.
---------------------------------------------------------------------------

    The above estimates of monetized benefits include only one example 
of non-health related benefits. Changes in the ambient level of PM 
2.5 are known to affect the level of visibility in much of 
the U.S. Individuals value visibility both in the places they live and 
work, in the places they travel to for recreational purposes, and at 
sites of unique public value, such as at National Parks. For the final 
standards, we present the recreational visibility benefits of 
improvements in visibility at 86 Class I areas located throughout 
California, the Southwest, and the Southeast. These estimated benefits 
are approximately $170 million in 2020 and $400 million in 2030, as 
shown in Table VI-3.
    Table VI-3, VI-4 and VI-5 do not include those additional health 
and environmental benefits of the rule that we were unable to quantify 
or monetize. These effects are additive to the estimate of total 
benefits, and are related to two primary sources. First, there are many 
human health and welfare effects associated with PM, ozone, and toxic 
air pollutant reductions that remain unquantified because of current 
limitations in the methods or available data. A full appreciation of 
the overall economic consequences of the final standards requires 
consideration of all benefits and costs projected to result from the 
new standards, not just those benefits and costs which could be 
expressed here in dollar terms. A list of the benefit categories that 
could not be quantified or monetized in our benefit estimates are 
provided in Table VI-6.

         Table VI-3.--Estimated Monetary Value in Reductions in Incidence of Health and Welfare Effects
                                         [In millions of 2006$] \a,\ \b\
----------------------------------------------------------------------------------------------------------------
                                                                          2020                     2030
----------------------------------------------------------------------------------------------------------------
PM2.5-Related Health Effect............Estimated Mean Value of Reductions
                                       (5th and 95th percentile)
----------------------------------------------------------------------------------------------------------------
Premature Mortality--Derived from      Adult, age 30+--ACS
 Epidemiology Studies c, d.             study (Pope et al.,
                                        2002)
                                       3% discount rate.......  $3,400 ($810-$7,000)...  $8,100 ($1,900-$16,000)
                                       7% discount rate.......  $3,100 ($730-$6,300)...  $7,300 ($1,700-$15,000)
                                       Adult, age 25+--Six-
                                        cities study (Laden et
                                        al., 2006)
                                       3% discount rate.......  $7,800 ($2,200-$15,000)  $18,000 ($5,100-
                                                                                          $35,000)
                                       7% discount rate.......  $7,000 ($1,900-$13,000)  $17,000 ($4,600-
                                                                                          $32,000)
                                       Infant Mortality, <1
                                        year--(Woodruff et al.
                                        1997)
                                       3% discount rate.......  $7 ($2-$14)............  $13 ($3.5-$26)
                                       7% discount rate.......  $7 ($2-$13)............  $12 ($3.1-$23)
----------------------------------------------------------------------------------------------------------------
Premature mortality--Derived from      Adult, age 25+--Lower
 Expert Elicitation c, d, e.            bound (Expert K)
                                       3% discount rate.......  $1,500 ($0-$7,700).....  $3,600 ($0-$18,000)
                                       7% discount rate.......  $1,400 ($0-$7,000).....  $3,200 ($0-$16,000)
                                       Adult, age 25+--Upper
                                        bound (Expert E)
                                       3% discount rate.......  $15,000 ($4,100-         $36,000 ($9,500-
                                                                 $30,000).                $70,000)
                                       7% discount rate.......  $14,000 ($3,700-         $32,000 ($8,600-
                                                                 $27,000).                $63,000)
----------------------------------------------------------------------------------------------------------------

[[Page 37180]]

 
Chronic bronchitis (adults, 26 and over)......................  $150 ($12-$500)........  $340 ($28-$1,100)
Non-fatal acute myocardial infarctions:
    3% discount rate..........................................  $110 ($34-$230)........  $260 ($74-$550)
    7% discount rate..........................................  $110 ($31-$230)........  $250 ($69-$540)
Hospital admissions for respiratory causes....................  $2.1 ($1.0-$3.2).......  $4.9 ($2.4-$7.3)
Hospital admissions for cardiovascular causes.................  $6.7 ($4.2-$9.2).......  $17 ($11-$23)
Emergency room visits for asthma..............................  $0.15 ($0.08-$0.23)....  $0.33 ($0.18-$0.49)
Acute bronchitis (children, age 8-12).........................  $0.08 ($0-$0.2)........  $0.17 ($0-$0.42)
Lower respiratory symptoms (children, 7-14)...................  $0.18 ($0.07-$0.33)....  $0.40 ($0.15-$0.73)
Upper respiratory symptoms (asthma, 9-11).....................  $0.21 ($0.06-$0.46)....  $0.46 ($0.13-$1.0)
Asthma exacerbations..........................................  $0.45 ($0.05-$1.3).....  $1.0 ($0.11-$2.9)
Work loss days................................................  $8.9 ($7.7-$10)........  $18 ($16-$21)
Minor restricted-activity days (MRADs)........................  $22 ($13-$32)..........  $46 ($27-$66)
Recreational Visibility, 86 Class I areas.....................  $170 (na)\f\...........  $400 (na)
----------------------------------------------------------------------------------------------------------------
Ozone-related Health Effect
----------------------------------------------------------------------------------------------------------------
Premature Mortality, All ages--        Bell et al., 2004......  $100 (-$170-$420)......  $440 (-$340-$1,400)
 Derived from NMMAPS.
Premature Mortality, All ages--        Bell et al., 2005......  $340 (-$360-$1,200)....  $1,400 (-$550-$3,900)
 Derived from Meta-analyses.
                                       Ito et al., 2005.......  $460 (-$260-$1,400)....  $1,900 (-$120-$4,700)
                                       Levy et al., 2005......  $480 (-$110-$1,300)....  $2,000 ($280-$4,400)
----------------------------------------------------------------------------------------------------------------
Premature Mortality--Assumption that association between ozone  $0.....................  $0
 and mortality is not causal.
Hospital admissions--Respiratory causes (children, under 2;     -$0.54 (-$4.6-$3.3)....  $2.7 (-$11-$17)
 adult, 65 and older).
Emergency room visit for asthma (all ages)....................  $0.03 (-$0.03-$0.1)....  $0.09 (-$0.07-$0.30)
Minor restricted activity days (adults, age 18-65)............  $2.5 (-$4.0-$9.9)......  $8.8 (-$7.8-$28)
School absence days...........................................  $2.9 (-$1.5-$6.8)......  $11 (-$1.3-$21)
Worker Productivity...........................................  $0.53 (na) \f\.........  $2.9 (na) \f\
----------------------------------------------------------------------------------------------------------------
Notes:
(a) Monetary benefits are rounded to two significant digits for ease of presentation and computation. PM and
  ozone benefits are nationwide.
(b) Monetary benefits adjusted to account for growth in real GDP per capita between 1990 and the analysis year
  (2020 or 2030)
(c) Valuation assumes discounting over the SAB recommended 20 year segmented lag structure. Results reflect the
  use of 3 percent and 7 percent discount rates consistent with EPA and OMB guidelines for preparing economic
  analyses (EPA, 2000; OMB, 2003).
(d) The valuation of adult premature mortality, derived either from the epidemiology literature or the expert
  elicitation, is not additive. Rather, the valuations represent a range of possible mortality benefits.
(e) Based on effect estimates derived from the full-scale expert elicitation assessing the uncertainty in the
  concentration-response function for PM-related premature mortality (IEc, 2006).\198\ The effect estimates of
  five of the twelve experts included in the elicitation panel fall within the empirically-derived range
  provided by the ACS and Six-Cities studies. One of the experts fall below this range and six of the experts
  are above this range. Although the overall range across experts is summarized in this table, the full
  uncertainty in the estimates is reflected by the results for the full set of 12 experts. The twelve experts'
  judgments as to the likely mean effect estimate are not evenly distributed across the range illustrated by
  arraying the highest and lowest expert means.
(f) We are unable at this time to characterize the uncertainty in the estimate of benefits of worker
  productivity and improvements in visibility at Class I areas. As such, we treat these benefits as fixed and
  add them to all percentiles of the health benefits distribution.

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

    \198\ Industrial Economics, Incorporated (IEc). 2006. Expanded 
Expert Judgment Assessment of the Concentration-Response 
Relationship between PM2.5 Exposure and Mortality. Peer 
Review Draft. Prepared for: Office of Air Quality Planning and 
Standards, U.S. Environmental Protection Agency, Research Triangle 
Park, NC. August.

                         Table VI-4.--Total Monetized Benefits of the Final Locomotive and Marine Engine Rule--3% Discount Rate
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                        2020                                                                         2030
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                        Ozone mortality
      Ozone mortality function              Reference          Mean total benefits          function              Reference         Mean total benefits
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                 Total Ozone and PM Benefits (Billions, 2006$)--PM Mortality Derived From the ACS Study
--------------------------------------------------------------------------------------------------------------------------------------------------------
NMMAPS.............................  Bell et al., 2004.....  $4.0..................  NMMAPS...............  Bell et al., 2004....  $9.7
Meta-analysis......................  Bell et al., 2005.....  $4.2..................  Meta-analysis........  Bell et al., 2005....  $11
                                     Ito et al., 2005......  $4.4..................  .....................  Ito et al., 2005.....  $11
                                     Levy et al., 2005.....  $4.4..................  .....................  Levy et al., 2005....  $11
--------------------------------------------------------------------------------------------------------------------------------------------------------

[[Page 37181]]

 
         Assumption that association is not causal           $3.9..................    Assumption that association is not causal   $9.2
--------------------------------------------------------------------------------------------------------------------------------------------------------
                Total Ozone and PM Benefits (Billions, 2006$)--PM Mortality Derived From Expert Elicitation (Lowest and Highest Estimate)
--------------------------------------------------------------------------------------------------------------------------------------------------------
NMMAPS.............................  Bell et al., 2004.....  $2.1 to $16...........  NMMAPS...............  Bell et al., 2004....  $5.2 to $37
Meta-analysis......................  Bell et al., 2005.....  $2.4 to $16...........  Meta-analysis........  Bell et al., 2005....  $6.2 to $38
                                     Ito et al., 2005......  $2.5 to $16...........  .....................  Ito et al., 2005.....  $6.7 to $39
                                     Levy et al., 2005.....  $2.5 to $16...........  .....................  Levy et al., 2005....  $6.7 to $39
--------------------------------------------------------------------------------------------------------------------------------------------------------
         Assumption that association is not causal           $2.0 to $16...........    Assumption that association is not causal   $4.7 to $37
--------------------------------------------------------------------------------------------------------------------------------------------------------


                         Table VI-5.--Total Monetized Benefits of the Final Locomotive and Marine Engine Rule--7% Discount Rate
--------------------------------------------------------------------------------------------------------------------------------------------------------
                   Total Ozone and PM Benefits (Billions, 2006$)--PM Mortality Derived From Epidemiology Studies (ACS and Six Cities)
---------------------------------------------------------------------------------------------------------------------------------------------------------
                                        2020                                                                         2030
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                        Ozone mortality
      Ozone mortality function              Reference          Mean total benefits          function              Reference         Mean total benefits
--------------------------------------------------------------------------------------------------------------------------------------------------------
NMMAPS.............................  Bell et al., 2004.....  $3.7..................  NMMAPS...............  Bell et al., 2004....  $8.9
Meta-analysis......................  Bell et al., 2005.....  $3.9..................  Meta-analysis........  Bell et al., 2005....  $9.8
                                     Ito et al., 2005......  $4.0..................  .....................  Ito et al., 2005.....  $10
                                     Levy et al., 2005.....  $4.0..................  .....................  Levy et al., 2005....  $10
--------------------------------------------------------------------------------------------------------------------------------------------------------
         Assumption that association is not causal           $3.6..................    Assumption that association is not causal   $8.4
--------------------------------------------------------------------------------------------------------------------------------------------------------


 
                Total Ozone and PM Benefits (Billions, 2006$)--PM Mortality Derived From Expert Elicitation (Lowest and Highest Estimate)
---------------------------------------------------------------------------------------------------------------------------------------------------------
                                        2020                                                                         2030
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                        Ozone mortality
      Ozone mortality function              Reference          Mean total benefits          function              Reference         Mean total benefits
--------------------------------------------------------------------------------------------------------------------------------------------------------
NMMAPS.............................  Bell et al., 2004.....  $2.0 to $14...........  NMMAPS...............  Bell et al., 2004....  $4.8 to $34
Meta-analysis......................  Bell et al., 2005.....  $2.2 to $15...........  Meta-analysis........  Bell et al., 2005....  $5.8 to $35
                                     Ito et al., 2005......  $2.3 to $15...........  .....................  Ito et al., 2005.....  $6.3 to $35
                                     Levy et al., 2005.....  $2.3 to $15...........  .....................  Levy et al., 2005....  $6.4 to $35
--------------------------------------------------------------------------------------------------------------------------------------------------------
         Assumption that association is not causal           $1.9 to $14...........    Assumption that association is not causal   $4.4 to $33
--------------------------------------------------------------------------------------------------------------------------------------------------------


  Table VI-6.--Unquantified and Non-Monetized Potential Effects of the
              Final Locomotive and Marine Engine Standards
------------------------------------------------------------------------
                                             Effects Not Included in
           Pollutant/Effects                  Analysis--Changes in:
------------------------------------------------------------------------
Ozone Health \a\.......................  Chronic respiratory damage \b\
                                         Premature aging of the lungs
                                          \b\
                                         Non-asthma respiratory
                                          emergency room visits
                                         Exposure to UVb (+/-) \e\
Ozone Welfare..........................  Yields for
                                         --commercial forests
                                         --some fruits and vegetables
                                         --non-commercial crops
                                         Damage to urban ornamental
                                          plants
                                         Impacts on recreational demand
                                          from damaged forest aesthetics
                                         Ecosystem functions
                                         Exposure to UVb (+/-) \e\
PM Health \c\..........................  Premature mortality--short term
                                          exposures \d\
                                         Low birth weight
                                         Pulmonary function
                                         Chronic respiratory diseases
                                          other than chronic bronchitis
                                         Non-asthma respiratory
                                          emergency room visits
                                         Exposure to UVb (+/-) \e\
PM Welfare.............................  Residential and recreational
                                          visibility in non-Class I
                                          areas
                                         Soiling and materials damage
                                         Damage to ecosystem functions

[[Page 37182]]

 
                                         Exposure to UVb (+/-) \e\
Nitrogen and Sulfate Deposition Welfare  Commercial forests due to
                                          acidic sulfate and nitrate
                                          deposition
                                         Commercial freshwater fishing
                                          due to acidic deposition
                                         Recreation in terrestrial
                                          ecosystems due to acidic
                                          deposition
                                         Existence values for currently
                                          healthy ecosystems
                                         Commercial fishing,
                                          agriculture, and forests due
                                          to nitrogen deposition
                                         Recreation in estuarine
                                          ecosystems due to nitrogen
                                          deposition
                                         Ecosystem functions
                                         Passive fertilization
CO Health..............................  Behavioral effects
HC/Toxics Health \f\...................  Cancer (benzene, 1,3-butadiene,
                                          formaldehyde, acetaldehyde)
                                         Anemia (benzene)
                                         Disruption of production of
                                          blood components (benzene)
                                         Reduction in the number of
                                          blood platelets (benzene)
                                         Excessive bone marrow formation
                                          (benzene)
                                         Depression of lymphocyte counts
                                          (benzene)
                                         Reproductive and developmental
                                          effects (1,3-butadiene)
                                         Irritation of eyes and mucus
                                          membranes (formaldehyde)
                                         Respiratory irritation
                                          (formaldehyde)
                                         Asthma attacks in asthmatics
                                          (formaldehyde)
                                         Asthma-like symptoms in non-
                                          asthmatics (formaldehyde)
                                         Irritation of the eyes, skin,
                                          and respiratory tract
                                          (acetaldehyde)
                                         Upper respiratory tract
                                          irritation and congestion
                                          (acrolein)
HC/Toxics Welfare......................  Direct toxic effects to animals
                                         Bioaccumulation in the food
                                          chain
                                         Damage to ecosystem function
                                         Odor
------------------------------------------------------------------------
Notes:
(a) The public health impact of biological responses such as increased
  airway responsiveness to stimuli, inflammation in the lung, acute
  inflammation and respiratory cell damage, and increased susceptibility
  to respiratory infection are likely partially represented by our
  quantified endpoints.
(b) The public health impact of effects such as chronic respiratory
  damage and premature aging of the lungs may be partially represented
  by quantified endpoints such as hospital admissions or premature
  mortality, but a number of other related health impacts, such as
  doctor visits and decreased athletic performance, remain unquantified.
 
(c) In addition to primary economic endpoints, there are a number of
  biological responses that have been associated with PM health effects
  including morphological changes and altered host defense mechanisms.
  The public health impact of these biological responses may be partly
  represented by our quantified endpoints.
(d) While some of the effects of short-term exposures are likely to be
  captured in the estimates, there may be premature mortality due to
  short-term exposure to PM not captured in the cohort studies used in
  this analysis. However, the PM mortality results derived from the
  expert elicitation do take into account premature mortality effects of
  short term exposures.
(e) May result in benefits or disbenefits.
(f) Many of the key hydrocarbons related to this rule are also hazardous
  air pollutants listed in the Clean Air Act.

(3) What Are the Significant Limitations of the Benefit-Cost Analysis?
    Every benefit-cost analysis examining the potential effects of a 
change in environmental protection requirements is limited to some 
extent by data gaps, limitations in model capabilities (such as 
geographic coverage), and uncertainties in the underlying scientific 
and economic studies used to configure the benefit and cost models. 
Limitations of the scientific literature often result in the inability 
to estimate quantitative changes in health and environmental effects, 
such as potential increases in premature mortality associated with 
increased exposure to carbon monoxide. Deficiencies in the economics 
literature often result in the inability to assign economic values even 
to those health and environmental outcomes which can be quantified. 
These general uncertainties in the underlying scientific and economics 
literature, which can lead to valuations that are higher or lower, are 
discussed in detail in the RIA and its supporting references. Key 
uncertainties that have a bearing on the results of the benefit-cost 
analysis of the final standards include the following:
     The exclusion of potentially significant and unquantified 
benefit categories (such as health, odor, and ecological benefits of 
reduction in air toxics, ozone, and PM);
     Errors in measurement and projection for variables such as 
population growth;
     Uncertainties in the estimation of future year emissions 
inventories and air quality;
     Uncertainty in the estimated relationships of health and 
welfare effects to changes in pollutant concentrations including the 
shape of the C-R function, the size of the effect estimates, and the 
relative toxicity of the many components of the PM mixture;
     Uncertainties in exposure estimation; and
     Uncertainties associated with the effect of potential 
future actions to limit emissions.
    As Table VI-3 indicates, total benefits are driven primarily by the 
reduction in premature mortalities each year. Some key assumptions 
underlying the premature mortality estimates include the following, 
which may also contribute to uncertainty:
     Inhalation of fine particles is causally associated with 
premature death at concentrations near those experienced by most 
Americans on a daily basis. Although biological mechanisms for this 
effect have not yet been completely established, the weight of the 
available epidemiological, toxicological, and experimental evidence 
supports an assumption of causality. The impacts of including a 
probabilistic representation of causality were explored in the expert 
elicitation-

[[Page 37183]]

based results of the recently published PM NAAQS RIA. Consistent with 
that analysis, we discuss the implications of these results in the RIA 
for the final standards.
     All fine particles, regardless of their chemical 
composition, are equally potent in causing premature mortality. This is 
an important assumption, because PM produced via transported precursors 
emitted from locomotive and marine engines may differ significantly 
from PM precursors released from electric generating units and other 
industrial sources. However, no clear scientific grounds exist for 
supporting differential effects estimates by particle type.
     The C-R function for fine particles is approximately 
linear within the range of ambient concentrations under consideration 
(above the assumed threshold of 10 [mu]g/m3). Thus, the 
estimates include health benefits from reducing fine particles in areas 
with varied concentrations of PM, including both regions that may be in 
attainment with PM2.5 standards and those that are at risk 
of not meeting the standards.
     There is considerable uncertainty in the magnitude of the 
association between ozone and premature mortality. The range of ozone 
benefits associated with the final standards is estimated based on the 
risk of several sources of ozone-related mortality effect estimates. 
Recognizing that additional research is necessary to clarify the 
underlying mechanisms causing these effects, we also consider the 
possibility that the observed associations between ozone and mortality 
may not be causal in nature. EPA has requested advice from the National 
Academy of Sciences on how best to quantify uncertainty in the 
relationship between ozone exposure and premature mortality in the 
context of quantifying benefits.
    Despite these uncertainties, we believe this benefit-cost analysis 
provides a conservative estimate of the estimated economic benefits of 
the final standards in future years because of the exclusion of 
potentially significant benefit categories. Acknowledging benefits 
omissions and uncertainties, we present a best estimate of the total 
benefits based on our interpretation of the best available scientific 
literature and methods supported by EPA's technical peer review panel, 
the Science Advisory Board's Health Effects Subcommittee (SAB-HES). The 
National Academies of Science (NRC, 2002) also reviewed EPA's 
methodology for analyzing the health benefits of measures taken to 
reduce air pollution. EPA addressed many of these comments in the 
analysis of the final PM NAAQS.199, 200 The analysis of the 
final standards incorporates this most recent work to the extent 
possible.
---------------------------------------------------------------------------

    \199\ National Research Council (NRC). 2002. Estimating the 
Public Health Benefits of Proposed Air Pollution Regulations. The 
National Academies Press: Washington, DC.
    \200\ U.S. Environmental Protection Agency. October 2006. Final 
Regulatory Impact Analysis (RIA) for the Proposed National Ambient 
Air Quality Standards for Particulate Matter. Prepared by: Office of 
Air and Radiation. Available at http://www.epa.gov/ttn/ecas/ria.html.
---------------------------------------------------------------------------

(4) Benefit-Cost Analysis
    In estimating the net benefits of the final standards, the 
appropriate cost measure is ``social costs.'' Social costs represent 
the welfare costs of a rule to society. These costs do not consider 
transfer payments (such as taxes) that are simply redistributions of 
wealth. Table VI-7 contains the estimates of monetized benefits and 
estimated social welfare costs for the final rule and each of the final 
control programs. The annual social welfare costs of all provisions of 
this final rule are described more fully in Section VII of this 
preamble.
    The results in Table VI-7 suggest that the 2020 monetized benefits 
of the final standards are greater than the expected social welfare 
costs. Specifically, the annual benefits of the total program will 
range between $3.9 to $8.8 billion annually in 2020 using a three 
percent discount rate, or between $3.6 to $8.0 billion assuming a 7 
percent discount rate, compared to estimated social costs of 
approximately $330 million in that same year. These benefits are 
expected to increase to between $9.2 and $22 billion annually in 2030 
using a three percent discount rate, or between $8.4 and $20 billion 
assuming a 7 percent discount rate, while the social costs are 
estimated to be approximately $740 million. Though there are a number 
of health and environmental effects associated with the final standards 
that we are unable to quantify or monetize (see Table VI-6), the 
benefits of the final standards far outweigh the projected costs. When 
we examine the benefit-to-cost comparison for the rule standards 
separately, we also find that the benefits of the specific engine 
standards far outweigh their projected costs.

   Table VI-7.--Summary of Annual Benefits, Costs, and Net Benefits of the Final Locomotive and Marine Engine
                                          Standards (Millions, 2006$) a
----------------------------------------------------------------------------------------------------------------
              Description                  2020 (Millions of 2006  dollars)    2030 (Millions of 2006  dollars)
----------------------------------------------------------------------------------------------------------------
Estimated Social Costs: b
    Locomotive:                           $200..............................   $460.
    Marine:                               $140..............................   $280.
Total Social Costs.....................   $330..............................   $740.
Estimated Health Benefits of the Final
 Standards: c, d, e, f
    Locomotive:
        3 percent discount rate........   $2,000 to $4,400..................   $4,300 to $11,000.
        7 percent discount rate........   $1,900 to $4,000..................   $4,000 to $10,000.
    Marine:
        3 percent discount rate........   $1,900 to $4,400..................   $4,900 to $11,000.
        7 percent discount rate........   $1,700 to $4,000..................   $4,400 to $10,000
Total Benefits:
    3 percent discount rate............  $3,900 to $8,800...................  $9,200 to $22,000.
    7 percent discount rate............  $3,600 to $8,000...................  $8,400 to $20,000.
Annual Net Benefits (Total Benefits-
 Total Costs):
    3 percent discount rate............   $3,600 to $8,500..................   $8,500 to $21,000
    7 percent discount rate............   $3,300 to $7,700..................   $7,700 to $19,000
----------------------------------------------------------------------------------------------------------------
Notes:
a All estimates represent annualized benefits and costs anticipated for the years 2020 and 2030. Totals may not
  sum due to rounding.

[[Page 37184]]

 
b The calculation of annual costs does not require amortization of costs over time. Therefore, the estimates of
  annual cost do not include a discount rate or rate of return assumption (see Chapter 7 of the RIA). In Section
  V, however, we do use both a 3 percent and 7 percent social discount rate to calculate the net present value
  of total social costs consistent with EPA and OMB guidelines for preparing economic analyses.
c Total includes ozone and PM2.5 benefits. Range was developed by adding the estimate from the ozone premature
  mortality function, including an assumption that the association is not causal, to both estimates of PM2.5-
  related premature mortality derived from the ACS (Pope et al., 2002) and Six-Cities (Laden et al., 2006)
  studies, respectively.
d Annual benefits analysis results reflect the use of a 3 percent and 7 percent discount rate in the valuation
  of premature mortality and nonfatal myocardial infarctions, consistent with EPA and OMB guidelines for
  preparing economic analyses (US EPA, 2000 and OMB, 2003).201, 202
e Valuation of premature mortality based on long-term PM exposure assumes discounting over the SAB recommended
  20-year segmented lag structure described in the Regulatory Impact Analysis for the Final Clean Air Interstate
  Rule (March, 2005).
f Not all possible benefits or disbenefits are quantified and monetized in this analysis. Potential benefit
  categories that have not been quantified and monetized are listed in Table VI-6.

VII. Alternative Program Options
---------------------------------------------------------------------------

    \201\ U.S. Environmental Protection Agency, 2000. Guidelines for 
Preparing Economic Analyses. www.yosemite1.epa.gov/ee/epa/eed/hsf/pages/Guideline.html.
    \202\ Office of Management and Budget, The Executive Office of 
the President, 2003. Circular A-4. http://www.whitehouse.gov/omb/circulars.
---------------------------------------------------------------------------

    The program we are finalizing today represents a broad and 
comprehensive approach to reducing emissions from locomotive and marine 
diesel engines. As we developed this final rule, we considered a number 
of alternatives with regard to the scope and timing of the standards. 
After carefully evaluating these alternatives, we believe that our new 
program provides the best opportunity for achieving timely and 
substantial emission reductions from locomotive and marine diesel 
engines. Our final program balances a number of key factors: (1) 
Achieving significant emissions reductions as early as possible, (2) 
providing appropriate lead time to develop and apply advanced control 
technologies, and (3) coordinating requirements in this final rule with 
existing highway and nonroad diesel engine programs. The alternative 
scenarios described here were constructed to further evaluate each 
individual aspect of our program, and have enabled us to achieve the 
appropriate balance between these key factors. This section presents a 
summary of our analysis of these alternative control scenarios. For a 
more detailed explanation of our analysis, including a year by year 
breakout of expected costs and emission reductions, please refer to 
Chapter 8 of the Regulatory Impact Analysis (RIA) prepared for this 
final rulemaking.

A. Summary of Alternatives

(1) Alternative 1: Proposed Program From the Notice of Proposed 
Rulemaking
    Alternative 1 examines the differences between the program we 
proposed and the program we are finalizing in this rulemaking. The 
proposal consisted of a three-part program. First, it proposed more 
stringent standards for existing locomotives that would apply when they 
were remanufactured. These standards would go into effect as soon as a 
certified remanufacture system became available. Second, we proposed a 
set of near-term emission standards, referred to as Tier 3, for freshly 
manufactured locomotives and marine engines that reflected the 
application of technologies to reduce engine-out PM and NOX. 
Third, we proposed longer-term standards, referred to as Tier 4, that 
utilized high-efficiency catalytic aftertreatment technology enabled by 
the availability of ULSD. These standards would phase in over time, 
beginning in 2014. In addition, we proposed eliminating emissions from 
unnecessary locomotive idling.
    The final rule makes a number of important changes to the program 
originally set out in the proposal which we believe will yield 
significantly greater overall NOX and PM reductions, 
especially in the critical early years of the program. In particular, 
the adoption of standards for remanufactured marine engines and a 2-
year pull-ahead of the Tier 4 NOX requirements for line-haul 
locomotives and for 2000-3700 kW marine engines provide greater near-
term reductions than the proposal. The final rule also expands the 
remanufactured locomotive program to include Class II railroads.
    As a stand-alone program, through the year 2040 Alternative 1 
provides PM2.5 reductions of 286,000 tons NPV 3%, or 121,000 
tons NPV 7%, and NOX reductions of 8,140,000 tons NPV 3%, or 
3,320,000 tons NPV 7%. The cost of this alternative through 2040 is 
estimated to be $8,760 million NPV 3%, or $3,900 million NPV 7%. In 
2020, this alternative provides monetized health and welfare benefits 
of $3.3 billion at a 3% discount rate, or $3.0 billion at a 7% discount 
rate, and $8.8 billion in 2030 at a 3% discount rate, or $8.0 billion 
at a 7% discount rate. Through 2040 our final program provides 
additional PM2.5 reductions of 22,000 tons NPV 3%, or 13,000 
tons NPV 7%, and additional NOX reductions of 620,000 tons 
NPV 3%, or 390,000 tons NPV 7%. Through 2040, the additional costs of 
our final program will be $650 million NPV 3%, or $410 million NPV 7%. 
The additional PM2.5 monetized health and welfare benefits 
in 2020 of our final program are $0.6 billion at a 3% discount rate, or 
$0.6 billion at a 7% discount rate, while in 2030 the additional 
monetized health and welfare benefits total $0.4 billion at a 3% 
discount rate, or $0.4 billion at a 7% discount rate.
(2) Alternative 2: Exclusion of Remanufacturing Standards
    Alternative 2 examines the potential impacts of the locomotive and 
marine remanufacturing programs by excluding them from the analysis 
(see sections III.B.(1)(a)(i), III.B.(1)(b), and III.B.(2)(b) of this 
Preamble for more details on the remanufacturing standards). As a 
stand-alone program, Alternative 2 provides PM2.5 reductions 
of 240,000 tons NPV 3%, or 96,000 tons NPV 7%, and NOX 
reductions of 7,640,000 tons NPV 3%, or 3,030,000 tons NPV 7%, through 
the year 2040. The cost of this alternative through 2040 is estimated 
to be $8,080 million NPV 3%, or $3,430 million NPV 7%. In 2020, this 
alternative provides monetized health and welfare benefits of $2.5 
billion at a 3% discount rate, or $2.3 billion at a 7% discount rate, 
and $8.2 billion in 2030 at a 3% discount rate, or $7.5 billion at a 7% 
discount rate. Compared to the final program, our analysis shows that 
by 2040 eliminating the locomotive and marine remanufacture programs 
lessen PM2.5 emission reductions by 68,000 tons NPV 3%, or 
38,000 tons NPV 7%, and NOX emission reductions by nearly 
1,120,000 tons NPV 3%, or 680,000 tons NPV 7%. The cost of this 
alternative, as compared to our final program through 2040, is 
estimated to be $1,330 million less NPV 3%, or $880 million less NPV 
7%. Compared to our final program, eliminating the locomotive and 
marine remanufacture programs reduce the monetized health and welfare 
benefits by $1.4 billion at a 3% discount rate, or $1.3 billion at a 7% 
discount rate in 2020, and $1.0 billion at a 3% discount rate, or $0.9 
billion at a 7% discount rate in 2030.
(3) Alternative 3: Elimination of Tier 3
    Alternative 3 eliminates the Tier 3 standards, while retaining the 
Tier 4 standards and the combined marine and

[[Page 37185]]

locomotive remanufacturing requirements. As a stand-alone program, 
Alternative 3 provides PM2.5 reductions of 237,000 tons NPV 
3%, or 100,000 tons NPV 7%, and NOX reductions of 8,360,000 
tons NPV 3%, or 3,530,000 tons NPV 7%, through the year 2040. The cost 
of this alternative through 2040 is estimated to be $9,240 million NPV 
3%, or $4,160 million NPV 7%. In 2020, this alternative provides 
monetized health and welfare benefits of $2.8 billion at a 3% discount 
rate, or $2.6 billion at a 7% discount rate, and $7.8 billion in 2030 
at a 3% discount rate, or $7.1 billion at a 7% discount rate. Comparing 
this alternative to our final program allows us to consider the value 
of the Tier 3 standards on their own merits. Specifically, this 
alternative would lessen PM2.5 emissions reductions by 
nearly 71,000 tons NPV 3%, or 34,000 tons NPV 7%, and NOX 
emissions by 400,000 tons NPV 3%, or 180,000 tons NPV 7%. The cost of 
this alternative, as compared to our final program through 2040, is 
estimated to be $170 million less at NPV 3%, or $150 million less at 
NPV 7%. The monetized health and welfare benefits that would be forgone 
by eliminating Tier 3 are $1.1 billion at a 3% discount rate, or $1.0 
billion at a 7% discount rate in 2020, and $1.4 billion at a 3% 
discount rate, or $1.3 billion at a 7% discount rate in 2030. Although 
the remanufacturing programs provide substantial benefits in the near-
term, as evidenced by the analysis of Alternative 2, it is clear that 
Tier 3 also plays an important role in providing both near- and long-
term emission reductions.
(4) Alternative 4: Tier 4 Exclusively in 2013
    Alternative 4 most closely reflects the program described in our 
Advanced Notice of Proposed Rulemaking, whereby we would set new 
aftertreatment based emission standards as soon as possible. In this 
case, we believe the earliest that such standards could logically be 
started is in 2013 (three months after the introduction of 15 ppm ULSD 
in this sector). Alternative 4 eliminates our Tier 3 standards along 
with the locomotive and marine remanufacturing standards, while pulling 
the Tier 4 standards ahead to 2013 for all portions of the Tier 4 
program. We are unable to make an accurate estimate of the cost for 
such an approach since we do not believe it to be technically feasible 
at this time. However, we have reported a cost in the summary table 
reflecting the same cost estimation method we used for our primary case 
and have denoted unestimated additional costs as `C'. These additional 
unestimated costs would include costs for additional engine test cells, 
engineering staff, and engineering facilities necessary to introduce 
Tier 4 early. As a stand-alone program, Alternative 4 provides 
PM2.5 reductions of 249,000 tons NPV 3%, or 101,000 tons NPV 
7%, and NOX reductions of 8,320,000 tons NPV 3%, or 
3,420,000 tons NPV 7% through the year 2040. In 2020, this alternative 
provides monetized health and welfare benefits of $3.0 billion at a 3% 
discount rate, or $2.8 billion at a 7% discount rate, and $8.4 billion 
in 2030 at a 3% discount rate, or $7.6 billion at a 7% discount rate. 
Through 2040, this alternative, as compared to our final program, would 
decrease PM2.5 reductions by more than 59,000 NPV 3% tons, 
or 33,000 tons NPV 7%, and NOX emissions by 440,000 tons NPV 
3%, or 290,000 tons NPV 7%. Compared to our final program, the 
reduction in monetized health and welfare benefits of this alternative 
would be $0.9 billion at a 3% discount rate, or $0.8 billion at a 7% 
discount rate in 2020, while in 2030 the reductions in monetized 
benefits would be $0.8 billion at a 3% discount rate, or $0.8 billion 
at a 7% discount rate.

B. Summary of Results

    A summary of the four alternatives is contained in Table VII-1 and 
Table VII-2 below. The PM and NOX emissions reductions from 
the alternatives described here compare favorably--in terms of cost 
effectiveness--to other mobile source control programs that have been 
or will soon be implemented. These alternatives show that each element 
of our comprehensive program: the locomotive and marine remanufacturing 
programs, the near-term Tier 3 emission standards, and the long-term 
Tier 4 emission standards, represent valuable emission control programs 
on their own. The collective program results in the greatest emission 
reductions we believe to be possible giving consideration to all of the 
elements described in this final rule. Overall, our final program will 
provide very large reductions in PM, NOX, and toxic 
compounds in both the near-term and the long-term. These reductions 
will be achieved in a manner that: (1) Leverages technology 
developments in other diesel sectors, (2) aligns well with the clean 
diesel fuel requirements already being implemented, and (3) provides 
the lead time needed to deal with the significant engineering design 
workload that is involved.

                                              Table VII-1.--Summary of Inventory and Costs at NPV 3% and 7%
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                 Estimated PM2.5      Estimated NOX reductions   Total costs a millions
                                                                              reductions 2006-2040            2006-2040                 2006-2040
              Alternatives                            Standards            -----------------------------------------------------------------------------
                                                                               NPV 3%       NPV 7%       NPV 3%       NPV 7%       NPV 3%       NPV 7%
--------------------------------------------------------------------------------------------------------------------------------------------------------
Final Rule..............................   Locomotive                   308,000      134,000    8,760,000    3,710,000       $9,410       $4,310
                                           Remanufacturing.
                                           Marine Remanufacturing,
                                           Tier 3 Near-term
                                           program,.
                                           Tier 4 Long-term
                                           standards.
Alternative 1: Proposed Case (NPRM).....   Proposed Locomotive          286,000      121,000    8,140,000    3,320,000        8,760        3,900
                                           Remanufacturing program,.
                                           Proposed Tier 3 Near-
                                           term program,.
                                           Proposed Tier 4 Long-
                                           term standards.
Alternative 2: Exclusion of                Tier 3 Near-term             240,000       96,000    7,640,000    3,030,000        8,080        3,430
 Remanufacturing Standards.                program,.
                                           Tier 4 Long-term
                                           standards.
Alternative 3: Elimination of Tier 3....   Locomotive                   237,000       10,000    8,360,000    3,530,000        9,240        4,160
                                           Remanufacturing,.
                                           Marine Remanufacturing,
                                           Tier 4 Long-term
                                           standards.

[[Page 37186]]

 
Alternative 4: Tier 4 Exclusively in       Tier 4 Long-term             249,000      101,000    8,320,000    3,420,000      9,070+C       3950+C
 2013.                                     standards only in 2013.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Note: a `C' represents the additional costs necessary to accelerate the introduction of Tier 4 technologies that we are unable to estimate at this time.


                                              Table VII-2.--Inventory, Cost, and Benefits for 2020 and 2030
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                        PM2.5 emissions      NOX emissions      Total costs\a\       Benefits\b,c\       Benefits\b,c\
                                                       reductions (tons)   reductions (tons)      (millions)       (billions) PM2.5    (billions) PM2.5
                                                     ------------------------------------------------------------  only  3% discount   only 7% discount
                                                                                                                         rate                rate
                                                        2020      2030      2020      2030      2020      2030   ---------------------------------------
                                                                                                                    2020      2030      2020      2030
--------------------------------------------------------------------------------------------------------------------------------------------------------
Final Rule..........................................    14,000    27,000   370,000   790,000      $350      $760      $3.9      $9.2      $3.6      $8.4
Alternative 1: Proposed Case (NPRM).................    13,000    26,000   310,000   780,000       300       750       3.3       8.8       3.0       8.0
Alternative 2: Exclusion of Remanufacturing              8,800    24,000   280,000   760,000       290       720       2.5       8.2       2.3       7.5
 Standards..........................................
Alternative 3: Elimination of Tier 3................     8,800    21,000   350,000   760,000       350       760       2.8       7.8       2.6       7.1
Alternative 4: Tier 4 Exclusively in 2013...........    10,000    24,000   350,000   790,000       360       780       3.0       8.4       2.8       7.6
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
\a\ `C' represents the additional costs necessary to accelerate the introduction of Tier 4 technologies that we are unable to estimate at this time.
\b\ Note that the range of PM-related benefits reflects the use of an empirically-derived estimate of PM mortality benefits, based on the ACS cohort
  study (Pope et al., 2002).
\c\ Annual benefits analysis results reflect the use of a 3 percent and 7 percent discount rate in the valuation of premature mortality and nonfatal
  myocardial infarctions, consistent with EPA and OMB guidelines for preparing economic analyses (US EPA, 2000 and OMB, 2003). U.S. Environmental
  Protection Agency, 2000. Guidelines for Preparing Economic Analyses. http://yosemite.epa.gov/ee/epa/eed.nsf/webpages/Guidelines.html.

VIII. Public Participation

    Many interested parties participated in the rulemaking process that 
culminates with this final rule. This process provided opportunity for 
submitting written public comments following the proposal that we 
published on April 3, 2007 (72 FR 15938). We considered these comments 
in developing the final rule. In addition, we held public hearings on 
the proposed rulemaking on May 8 and 10, 2007, and we have considered 
comments presented at the hearings.
    Throughout the rulemaking process, EPA met with stakeholders 
including representatives from industry, government, environmental 
organizations, and others. The program we are finalizing today was 
developed as a collaborative effort with these stakeholders.
    We have prepared a detailed Summary and Analysis of Comments 
document, which describes comments we received on the proposal and our 
response to each of these comments. The Summary and Analysis of 
Comments is available in the docket for this rule at the Internet 
address listed under ADDRESSES, as well as on the Office of 
Transportation and Air Quality Web site (www.epa.gov/otaq/locomotv.htm 
and www.epa.gov/otaq/marine.htm). In addition, comments and responses 
for key issues are included throughout this preamble.

IX. Statutory and Executive Order Reviews

A. Executive Order 12866: Regulatory Planning and Review

    Under section 3(f)(1) of Executive Order (EO) 12866 (58 FR 51735, 
October 4, 1993), this action is an ``economically significant 
regulatory action'' because it is likely to have an annual effect on 
the economy of $100 million or more. Accordingly, EPA submitted this 
action to the Office of Management and Budget (OMB) for review under EO 
12866, and any changes made by EPA after submission to OMB have been 
documented in the docket for this action.
    In addition, EPA prepared an analysis of the potential costs and 
benefits associated with this action. This analysis is contained in the 
final Regulatory Impact Analysis that was prepared for this rulemaking, 
and is available in the docket at the docket internet address listed 
under ADDRESSES above.

B. Paperwork Reduction Act

    The information collection requirements in this final rule have 
been submitted for approval to the Office of Management and Budget 
(OMB) under the Paperwork Reduction Act, 44 U.S.C. 3501 et seq. EPA may 
not conduct the information collection requirements in this rule and 
may not penalize anyone for failing to comply with the information 
collection requirements in the rule unless they are currently approved 
by OMB.
    EPA plans to collect information to ensure that locomotives and 
marine diesel engines conform to the regulations throughout their 
useful lives. Section 208(a) of the Clean Air Act requires that 
manufacturers provide information the Administrator may reasonably 
require to determine compliance with the regulations; submission of the 
information is therefore mandatory. We will consider confidential all 
information meeting the requirements of Section 208(c) of the Clean Air 
Act.
    The annual public reporting and recordkeeping burden for this 
collection of information is estimated to be 287 hours per respondent 
for locomotives, and 149 hours per respondent for marine. The projected 
number of

[[Page 37187]]

respondents and annual reporting, recordkeeping, and cost burdens to 
respondents are as follows:
     Estimated total number of potential respondents: for 
locomotives--7; for marine--13.
     Estimated total annual burden hours: for locomotives--
14,040 (2,010 per respondent); for marine--25,167 (1,940 per 
respondent).
     Estimated total annual costs: for locomotives--$1.65 
million ($315,000 per respondent); for marine--$1.45 million ($112,000 
per respondent).
    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; adjust 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 in 40 CFR are listed in 40 CFR part 9. When this ICR is 
approved by OMB, EPA will publish a technical amendment to 40 CFR part 
9 in the Federal Register to display the OMB control number for the 
approved information collection requirements contained in this final 
rule.

C. Regulatory Flexibility Act

(1) Overview
    The Regulatory Flexibility Act (RFA) generally requires an agency 
to prepare a regulatory flexibility analysis of any rule subject to 
notice and comment rulemaking requirements under the Administrative 
Procedure Act or any other statute unless the agency certifies that the 
rule will not have a significant economic impact on a substantial 
number of small entities. Small entities include small businesses, 
small organizations, and small governmental jurisdictions.
    For purposes of assessing the impacts of today's rule on small 
entities, small entity is defined as: (1) A small business as defined 
by the Small Business Administration's (SBA) regulations at 13 CFR 
121.201 (see Table IX-1, below); (2) a small governmental jurisdiction 
that is a government of a city, county, town, school district or 
special district with a population of less than 50,000; and (3) a small 
organization that is any not-for-profit enterprise which is 
independently owned and operated and is not dominant in its field.

           Table IX-1.--Primary SBA Small Business Categories Potentially Affected by This Regulation
----------------------------------------------------------------------------------------------------------------
                                                                         Defined by SBA as a small business if
              Industry                        NAICS \a\ Codes                  less than or equal to:\b\
----------------------------------------------------------------------------------------------------------------
Locomotive:
Manufacturers, remanufacturers and    333618, 336510.................  1,000 employees.
 importers of locomotives and
 locomotive engines.
Railroad owners and operators.......  482110, 482111.................  1,500 employees.
                                      482112.........................  500 employees.
Engine repair and maintenance.......  488210.........................  $6.5 million annual sales.
Marine:
Manufacturers of freshly              333618.........................  1,000 employees.
 manufactured marine diesel engines.
Ship and boat building; ship          336611, 346611.................  1,000 employees.
 building and repairing.
Engine repair and maintenance.......  811310.........................  $6.5 million annual sales.
Water transportation, freight and     483............................  500 employees.
 passenger.
Water transportation, freight and     483............................  $25.5 million annual sales.
 passenger--Offshore Marine Services.
Scenic and Sightseeing                487210.........................  $6.5 million annual sales.
 Transportation, Water.
Navigational Services to Shipping...  488330.........................  $6.5 million annual sales.
Commercial Fishing..................  114............................  $4.0 million annual sales.
Boat building (watercraft not built   336612.........................  500 employees.
 in shipyards and typically of the
 type suitable or intended for
 personal use).
----------------------------------------------------------------------------------------------------------------
Notes:
\a\ North American Industry Classification System
\b\ According to SBA's regulations (13 CFR 121), businesses with no more than the listed number of employees or
  dollars in annual receipts are considered ``small entities'' for RFA purposes.

    After considering the economic impacts of today's final rule on 
small entities, I certify that this action will not have a significant 
economic impact on a substantial number of small entities. The small 
entities directly regulated by this final rule are shown in Table IX-1 
(and are not small governmental jurisdictions or small non-profit 
organizations). We have determined that about five small entities 
representing less than one percent of the total number of companies 
affected will have an estimated impact exceeding three percent of their 
annual sales revenues. The vast majority of small entities (about 
several thousand small companies) will have an estimated impact of less 
than one percent on their annual sales revenues. (An analysis of the 
impacts of the rule on small entities was performed for the rule, and 
can be found in the docket for this rulemaking.203, 204)
---------------------------------------------------------------------------

    \203\ U.S. EPA, Assessment and Standards Division, Locomotive 
and Marine Diesel RFA/SBREFA Screening Analysis, Memorandum from 
Chester J. France to Alexander Cristofaro of U.S. EPA's Office of 
Policy, Economics, and Innovation, September 25, 2006.
    \204\ U.S. EPA, Assessment and Standards Division, Supplement to 
Locomotive and Marine Diesel RFA/SBREFA Screening Analysis--Marine 
Existing Fleet Program Impact Analysis, Memorandum from Lucie 
Audette and Bryan Manning to Docket EPA-HQ-OAR-2003-0190, December 
12, 2007.
---------------------------------------------------------------------------

    Although this final rule will not have a significant economic 
impact on a substantial number of small entities, EPA nonetheless has 
tried to reduce the impact of this rule on small entities, as described 
below.

[[Page 37188]]

(2) Outreach Efforts and Special Compliance Provisions for Small 
Entities
    In addition to the inputs we sought prior to issuing the proposed 
rule, we also received additional comments following its publication. 
First we summarize the pre-proposal outreach, followed by additional 
comments we received after the proposal was published.
    Early on, we sought the input of a number of small entities 
affected by the rule on potential regulatory flexibility provisions and 
the needs of these small businesses. For marine diesel engine 
manufacturers, we had separate meetings with the four small companies 
in this sector, which are post-manufacture marinizers (companies that 
purchase a complete or semi-complete engine from an engine manufacturer 
and modify it for use in the marine environment by changing the engine 
in ways that may affect emissions). We also met individually with one 
small commercial vessel builder and a few vessel trade associations 
whose members include small vessel builders. For locomotive 
manufacturers and remanufacturers, we met separately with the three 
small businesses in these sectors, which are all remanufacturers. In 
addition, we met with a railroad trade association whose members 
include small railroads. For nearly all meetings, EPA provided each 
small business with an outreach packet that included background 
information on this proposed rulemaking; and a document outlining some 
flexibility provisions for small businesses that we have implemented in 
past rulemakings. (This outreach packet and a complete summary of our 
discussions with small entities can be found in the docket for this 
rulemaking.) \205\
---------------------------------------------------------------------------

    \205\ U.S. EPA, Summary of Small Business Outreach for 
Locomotive and Marine Diesel NPRM, Memorandum to Docket EPA-HQ-OAR-
2003-0190 from Bryan Manning, January 18, 2007.
---------------------------------------------------------------------------

    The primary feedback we received from these small entities pre-
proposal was to continue the flexibility provisions that we have 
provided to small entities in earlier locomotive and marine diesel 
rulemakings. A number of these provisions are listed below. Therefore, 
we will largely continue the existing flexibility provisions finalized 
in the 1998 Locomotive and Locomotive Engines Rule (April 16, 1998; 63 
FR 18977); our 1999 Commercial Marine Diesel Engines Rule (December 29, 
1999; 64 FR 73299) and our 2002 Recreational Diesel Marine program 
(November 8, 2002; 67 FR 68304).
    In the proposed rule, we requested comment on an alternative 
program option--a marine existing fleet or remanufacture program 
(Alternative 5: Existing Engines)--and as described earlier in this 
preamble, we are finalizing a portion of this alternative. Based on 
oral testimony at the hearings and written comments (from trade 
associations, small entities, etc.), we are providing flexibilities to 
vessel operators and/or marine remanufacturers as described below. For 
a complete description of the flexibilities in this final rule, please 
refer to the Certification and Compliance Program, section IV.A.(13)--
Small Business Provisions.
(a) Transition Flexibilities
(i) Locomotive Sector
    Small locomotive remanufacturers are granted a waiver from 
production-line and in-use testing for up to five calendar years after 
this program becomes effective.
    Class III railroads qualifying as small businesses are exempt from 
new Tier 0, 1, and 2 remanufacturing requirements for locomotives in 
their existing fleets. The Certification and Compliance Program section 
IV.A.(13) provides a discussion on the revisions being made in this 
program.
    Railroads qualifying as small businesses continue being exempt from 
the in-use testing program.
(ii) Marine Sector
    Post-manufacture marinizers and small-volume manufacturers (annual 
worldwide production of fewer than 1,000 engines) are allowed to group 
all engines into one engine family, based on the worst-case emitter.
    Small-volume manufacturers producing engines less than or equal to 
600 kW (800 hp) are exempted from production-line and deterioration 
testing (assigned deterioration factors) for Tier 3 standards.
    Post-manufacture marinizers qualifying as small businesses and 
producing engines less than or equal to 600 kW (800 hp) may delay 
compliance with the Tier 3 standards by one model year.
    Post-manufacture marinizers qualifying as small businesses and 
producing engines less than or equal to 600 kW (800 hp) may delay 
compliance with the Not-to-Exceed requirements for Tier 3 standards by 
up to three model years.
    Marine engine dressers (modify base engine without affecting the 
emission characteristics of the engine) are exempted from certification 
and compliance requirements.
    Post-manufacture marinizers, small-volume manufacturers, and small-
volume boat builders (less than 500 employees and annual worldwide 
production of fewer than 100 boats) have hardship relief provisions--
i.e., apply for additional time.
    For the marine existing fleet or remanufacture program, vessel 
operators and marine remanufacturers qualifying as small businesses 
also have hardship relief provisions allowing them if necessary to 
apply for additional time to comply with program requirements.
    Vessel operators who earn less than $5 million in gross annual 
sales revenue are exempted from the marine existing fleet or 
remanufacture program. If at some future date annual gross revenues 
exceed $5 million, they become subject to the existing fleet program at 
that point.
(b) Small Entity Compliance Information
    In addition to the above flexibilities, EPA is also preparing 
documentation to help small entities comply with this rule. This 
documentation will be available on the Office of Transportation and Air 
Quality Web site. Small entities may also contact our office to obtain 
copies of this documentation.

D. Unfunded Mandates Reform Act

    Title II of the Unfunded Mandates Reform Act of 1995 (UMRA), P.L. 
104-4, establishes requirements for Federal agencies to assess the 
effects of their regulatory actions on State, local, and tribal 
governments and the private sector. Under section 202 of the UMRA, EPA 
generally must prepare a written statement, including a cost-benefit 
analysis, for proposed and final rules with ``Federal mandates'' that 
may result in expenditures to State, local, and tribal governments, in 
the aggregate, or to the private sector, of $100 million or more in any 
one year. Before promulgating an EPA rule for which a written statement 
is needed, section 205 of the UMRA generally requires EPA to identify 
and consider a reasonable number of regulatory alternatives and adopt 
the least costly, most cost-effective or least burdensome alternative 
that achieves the objectives of the rule. The provisions of section 205 
do not apply when they are inconsistent with applicable law. Moreover, 
section 205 allows EPA to adopt an alternative other than the least 
costly, most cost-effective or least burdensome alternative if the 
Administrator publishes with the final rule an explanation why that 
alternative was not adopted. Before EPA establishes any regulatory 
requirements that may significantly or uniquely affect small

[[Page 37189]]

governments, including tribal governments, it must have developed under 
section 203 of the UMRA a small government agency plan. The plan must 
provide for notifying potentially affected small governments, enabling 
officials of affected small governments to have meaningful and timely 
input in the development of EPA regulatory proposals with significant 
Federal intergovernmental mandates, and informing, educating, and 
advising small governments on compliance with the regulatory 
requirements.
    This rule contains no federal mandates for state, local, or tribal 
governments as defined by the provisions of Title II of the UMRA. The 
rule imposes no enforceable duties on any of these governmental 
entities. Nothing in the rule would significantly or uniquely affect 
small governments. EPA has determined that this rule contains federal 
mandates that may result in expenditures of more than $100 million to 
the private sector in any single year. Accordingly, EPA has evaluated 
under section 202 of the UMRA the potential impacts to the private 
sector. EPA believes that this rule represents the least costly, most 
cost-effective approach to achieve the statutory requirements of the 
rule. The costs and benefits associated with this rule are included in 
the final Regulatory Impact Analysis (RIA), as required by the UMRA. 
This analysis can be found in chapter 6 of the final RIA. A complete 
discussion of why the approach being finalized in this action was 
chosen is located in chapter 8 of the final RIA. EPA has determined 
that this rule contains no regulatory requirements that might 
significantly or uniquely affect small governments.
    Thus, this rule is not subject to the requirements of sections 202 
and 205 of the UMRA.

E. Executive Order 13132 (Federalism)

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

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

    Executive Order 13175, entitled ``Consultation and Coordination 
with Indian Tribal Governments'' (65 FR 67249, November 9, 2000), 
requires EPA to develop an accountable process to ensure ``meaningful 
and timely input by tribal officials in the development of regulatory 
policies that have tribal implications.'' This final rule does not have 
tribal implications, as specified in Executive Order 13175. The rule 
will be implemented at the Federal level and impose compliance costs 
only on locomotive manufacturers, locomotive engine manufacturers, 
locomotive operators, locomotive remanufacturers, marine engine 
manufacturers, and marine vessel manufacturers. Tribal governments will 
be affected only to the extent they purchase and use the regulated 
engines and vehicles. Thus, Executive Order 13175 does not apply to 
this rule.
    Although Executive Order 13175 does not apply to this rule, EPA did 
solicit additional comment on this rule from tribal officials. A 
comment was received from one tribal government; that comment is 
available in the rulemaking docket, and is summarized and addressed in 
the Summary and Analysis of Comments document (which is also available 
in the rulemaking docket).

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

    Executive Order 13045: ``Protection of Children from Environmental 
Health Risks and Safety Risks'' (62 FR 19885, April 23, 1997) applies 
to any rule that: (1) Is determined to be ``economically significant'' 
as defined under Executive Order 12866, and (2) concerns an 
environmental health or safety risk that EPA has reason to believe may 
have a disproportionate effect on children. If the regulatory action 
meets both criteria, the Agency must evaluate the environmental health 
or safety effects of the planned rule on children, and explain why the 
planned regulation is preferable to other potentially effective and 
reasonably feasible alternatives considered by the Agency.
    This final rule is subject to the Executive Order because it is an 
economically significant regulatory action as defined by Executive 
Order 12866, and we believe that the environmental health or safety 
risk addressed by this action may have a disproportionate effect on 
children. Accordingly, we have evaluated the environmental health or 
safety effects of these risks on children. The results of this 
evaluation are discussed above in section II of this preamble, and in 
chapter 2 of the Regulatory Impact Analysis (RIA).
    EPA recently conducted an initial screening-level analysis of 
selected marine port areas and rail yards206, 207 to begin 
to understand the populations, including children, that are exposed to 
DPM emissions from these facilities. This screening-level analysis 
\208\ indicates that at the 47 marine ports and 37 rail yards studied, 
at least 13 million people, including 3.5 million children live in 
neighborhoods that are exposed to higher levels of DPM from these

[[Page 37190]]

facilities than people living further away and will benefit from the 
controls being finalized in this action.
---------------------------------------------------------------------------

    \206\ ICF International. September 28, 2007. Estimation of 
diesel particulate matter concentration isopleths for marine harbor 
areas and rail yards. Memorandum to EPA under Work Assignment Number 
0-3, Contract Number EP-C-06-094. This memo is available in Docket 
EPA-HQ-OAR-2003-0190.
    \207\ ICF International. September 28, 2007. Estimation of 
diesel particulate matter population exposure near selected harbor 
areas and rail yards. Memorandum to EPA under Work Assignment Number 
0-3, Contract Number EP-C-06-094. This memo is available in Docket 
EPA-HQ-OAR-2003-0190.
    \208\ This type of screening-level analysis is an inexact tool 
and not appropriate for regulatory decision-making; it is useful in 
beginning to understand potential impacts and for illustrative 
purposes. Additionally, the emissions inventories used as inputs 
into our analysis are not official estimates and they likely 
underestimate overall emissions because they are not inclusive of 
all emissions sources at the individual ports in our sample.
---------------------------------------------------------------------------

    With regard to children, the screening-level analysis shows that 
the age composition of the total affected population near both the 
marine ports and rail yards matches closely the age composition of the 
overall U.S. population. However, for some individual facilities the 
young appear to be over-represented in the affected population compared 
to the overall U.S. population. See section VI of this preamble and 
chapters 2 and 6 of the RIA for a discussion on the air quality and 
monetized health benefits of this rule, including the benefits to 
children's health.
    This rulemaking will achieve significant reductions of various 
emissions from locomotive and marine diesel engines, including 
NOX, PM, and air toxics. These pollutants raise concerns 
regarding environmental health or safety risks that EPA has reason to 
believe may have a disproportionate effect on children, such as impacts 
from ozone, PM, and certain toxic air pollutants.
    EPA has evaluated several regulatory strategies for reductions in 
emissions from locomotive and marine diesel engines, and we believe 
that we have selected the most stringent and effective control 
reasonably feasible at this time (in light of the technology and cost 
requirements of the Clean Air Act), which will benefit the health of 
children.

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

    Executive Order 13211, ``Actions Concerning Regulations That 
Significantly Affect Energy Supply, Distribution, or Use'' (66 FR 28355 
(May 22, 2001)), requires EPA to prepare and submit a Statement of 
Energy Effects to the Administrator of the Office of Information and 
Regulatory Affairs, Office of Management and Budget, for certain 
actions identified as ``significant energy actions.'' Section 4(b) of 
Executive Order 13211 defines ``significant energy actions'' as ``any 
action by an agency (normally published in the Federal Register) that 
promulgates or is expected to lead to the promulgation of a final rule 
or regulation, including notices of inquiry, advance notices of 
proposed rulemaking, and notices of proposed rulemaking: (1)(i) that is 
a significant regulatory action under Executive Order 12866 or any 
successor order, and (ii) is likely to have a significant adverse 
effect on the supply, distribution, or use of energy; or (2) that is 
designated by the Administrator of the Office of Information and 
Regulatory Affairs as a significant energy action.'' We have prepared a 
Statement of Energy Effects for this action as follows.
    This rule's potential effects on energy supply, distribution, or 
use have been analyzed and are discussed in detail in section 5.8 of 
the RIA. In summary, while we project that this rule would result in an 
energy effect that exceeds the 4,000 barrel per day threshold noted in 
E.O. 13211 in or around the year 2022 and thereafter, the program 
consists of performance-based standards with averaging, banking, and 
trading provisions that make it likely that our estimated impact is 
overstated. Further, the fuel consumption estimates upon which we are 
basing this energy effect analysis, which are discussed in full in 
sections 5.4 and 5.5 of the RIA, do not reflect the potential fuel 
savings associated with automatic engine stop/start (AESS) systems or 
other idle reduction technologies. Such technologies can provide 
significant fuel savings which could offset our projected estimates of 
increased fuel consumption. Nonetheless, our projections show that this 
rule could result in energy usage exceeding the 4,000 barrel per day 
threshold noted in E.O. 13211.

I. National Technology Transfer Advancement Act

    As noted in the proposed rule, Section 12(d) of the National 
Technology Transfer and Advancement Act of 1995 (``NTTAA''), Public Law 
No. 104-113, 12(d) (15 U.S.C. 272 note) directs EPA to use voluntary 
consensus standards in its regulatory activities unless to do so would 
be inconsistent with applicable law or otherwise impractical. Voluntary 
consensus standards are technical standards (e.g., materials 
specifications, test methods, sampling procedures, and business 
practices) that are developed or adopted by voluntary consensus 
standards bodies. The NTTAA directs EPA to provide Congress, through 
OMB, explanations when the Agency decides not to use available and 
applicable voluntary consensus standards.
    This rule references technical standards adopted by EPA through 
previous rulemakings. No new technical standards are established in 
this rule. The standards referenced in today's rule involve test 
procedures for measuring engine emissions. These measurement standards 
include those that were developed by EPA as well as the International 
Organization for Standardization (ISO) engine testing voluntary 
consensus standards, adopted in previous rulemakings. These standards 
have served EPA's emissions control goals well since their 
implementation and have been well accepted by industry. Therefore, EPA 
will continue to use the ISO and existing EPA-developed standards 
referenced in 40 CFR Parts 94 and 1065.

J. Executive Order 12898: Federal Actions to Address Environmental 
Justice in Minority Populations and Low-Income Populations

    Executive Order (EO) 12898 (59 FR 7629 (Feb. 16, 1994)) establishes 
federal executive policy on environmental justice. Its main provision 
directs federal agencies, to the greatest extent practicable and 
permitted by law, to make environmental justice part of their mission 
by identifying and addressing, as appropriate, disproportionately high 
and adverse human health or environmental effects of their programs, 
policies, and activities on minority populations and low-income 
populations in the United States.
    EPA has determined that this final rule will not have 
disproportionately high and adverse human health or environmental 
effects on minority or low-income populations because it increases the 
level of environmental protection for all affected populations without 
having any disproportionately high and adverse human health or 
environmental effects on any population, including any minority or low-
income population.
    This rulemaking will achieve significant reductions of various 
emissions from locomotive and marine diesel engines, including 
NOX, PM, and air toxics. Exposure to these pollutants raises 
concerns regarding environmental health for the U.S. population in 
general including the minority populations and low-income populations 
that are the focus of the environmental justice executive order.
    EPA has evaluated several regulatory strategies for reductions in 
emissions from locomotive and marine diesel engines, and we believe 
that we have selected the most stringent and effective control 
reasonably feasible at this time (in light of the technology and cost 
requirements of the Clean Air Act).
    The emission reductions from the stringent new standards finalized 
in the locomotive and marine diesel rule will have large beneficial 
effects on communities in proximity to port, harbor, waterway, railway, 
and rail yard locations, including low-income and minority communities. 
In addition to stringent exhaust emission standards for freshly 
manufactured and

[[Page 37191]]

remanufactured engines, the final rule includes provisions targeted to 
further reduce emissions from regulated engines that directly impact 
low-income and minority communities. The idle reduction provision is 
one example: ``Even in very efficient railroad operations, locomotive 
engines spend a substantial amount of time idling, during which they 
emit harmful pollutants, consume fuel, create noise, and increase 
maintenance costs. A significant portion of this idling occurs in rail 
yards, as railcars and locomotives are transferred to build up trains. 
Many of these rail yards are in urban neighborhoods, close to where 
people live, work, and go to school'' (from section III.C(1)(c) of this 
preamble). The final rule includes a mandatory locomotive idle 
reduction requirement that will begin to take effect as early as 2008. 
Another example is the emission standards for freshly manufactured 
switch locomotives. Switch locomotives are major polluters in urban 
rail yards. These standards are earlier and more stringent than the 
line-haul locomotive standards, and include incentives for introducing 
cleaner switchers using Tier 4 nonroad engines. Further examples can be 
found in averaging, banking, and trading program provisions aimed at 
ensuring that emissions are not shifted from line-haul locomotives 
operating in rural areas to rail yards in urban communities.
    EPA recently conducted an initial screening-level analysis of 
selected marine port areas and rail yards 209, 210 to better 
understand the populations, including minority and low-income, that are 
exposed to DPM emissions from these facilities. This screening-level 
analysis \211\ indicates that at the 47 marine ports and 37 rail yards 
studied at least 13 million people, including a high percentage of low-
income households, African-Americans, and Hispanics, live in the 
vicinity of these facilities and are exposed to higher levels of DPM 
than urban background levels. Thus, these residents will benefit from 
the controls being finalized in this action. See section II.A and II.B 
of this preamble and chapter 2 of the RIA for a discussion on the 
benefits of this rule, including the benefits to minority and low-
income communities. Because those living in the vicinity of marine 
ports and rail yards are more likely to be low-income and minority 
residents, these populations will receive a significant benefit from 
this rule.
---------------------------------------------------------------------------

    \209\ ICF International. September 28, 2007. Estimation of 
diesel particulate matter concentration isopleths for marine harbor 
areas and rail yards. Memorandum to EPA under Work Assignment Number 
0-3, Contract Number EP-C-06-094. This memo is available in Docket 
EPA-HQ-OAR-2003-0190.
    \210\ ICF International. September 28, 2007. Estimation of 
diesel particulate matter population exposure near selected harbor 
areas and rail yards. Memorandum to EPA under Work Assignment Number 
0-3, Contract Number EP-C-06-094. This memo is available in Docket 
EPA-HQ-OAR-2003-0190.
    \211\ This type of screening analysis is an inexact tool and not 
appropriate for regulatory decision-making; it is useful in 
beginning to understand potential impacts and for illustrative 
purposes. Additionally, the emissions inventories used as inputs 
into our analysis are not official estimates and they likely 
underestimate overall emissions because they are not inclusive of 
all emission sources at the individual ports in our sample.
---------------------------------------------------------------------------

K. Congressional Review Act

    The Congressional Review Act, 5 U.S.C. 801 et seq., as added by the 
Small Business Regulatory Enforcement Fairness Act of 1996, generally 
provides that before a rule may take effect, the agency promulgating 
the rule must submit a rule report, which includes a copy of the rule, 
to each House of the Congress and to the Comptroller General of the 
United States. EPA will submit 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 United States prior 
to publication of the rule in the Federal Register. A Major rule cannot 
take effect until 60 days after it is published in the Federal 
Register. This action is a ``major rule'' as defined by 5 U.S.C. 
804(2). This rule will be effective July 7, 2008.

X. Statutory Provisions and Legal Authority

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

List of Subjects

40 CFR Part 9

    Reporting and recordkeeping requirements.

40 CFR Part 85

    Confidential business information, Imports, Labeling, Motor vehicle 
pollution, Reporting and recordkeeping requirements, Research, 
Warranties.

40 CFR Part 86

    Administrative practice and procedure, Confidential business 
information, Labeling, Motor vehicle pollution, Reporting and 
recordkeeping requirements.

40 CFR Part 89

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

40 CFR Part 94

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

40 CFR Part 1033

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

40 CFR Part 1039

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

40 CFR Part 1042

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

40 CFR Part 1065

    Environmental protection, Administrative practice and procedure, 
Incorporation by reference, Reporting and recordkeeping requirements, 
Research.

40 CFR Part 1068

    Environmental protection, Administrative practice and procedure, 
Confidential business information, Imports, Motor vehicle pollution,

[[Page 37192]]

Penalties, Reporting and recordkeeping requirements, Warranties.

    Dated: March 14, 2008.
Stephen L. Johnson,
Administrator.

0
For the reasons set forth in the preamble, chapter I of title 40 of the 
Code of Federal Regulations is amended as follows:

PART 9--OMB APPROVALS UNDER THE PAPERWORK REDUCTION ACT

0
1. The authority citation for part 9 continues to read as follows:

    Authority: 7 U.S.C. 135 et seq., 136-136y; 15 U.S.C. 2001, 2003, 
2005, 2006, 2601-2671; 21 U.S.C. 331j, 346a, 348; 31 U.S.C. 9701; 33 
U.S.C. 1251 et seq., 1311, 1313d, 1314, 1318 1321, 1326, 1330, 1342 
1344, 1345(d) and (e), 1361; E.O. 11735, 38 FR 21243, 3 CFR, 1971-
1975 Comp. p. 973; 42 U.S.C. 241, 242b, 243, 246, 300f, 300g, 300g-
1, 300g-2, 300g-3, 300g-4, 300g-5, 300g-6, 300j-1, 300j-2, 300j-3, 
300j-4, 300j-9, 1857 et seq., 6901-6992k, 7401-7671q, 7542, 9601-
9657, 11023, 11048.

0
2. Section 9.1 is amended in the table by adding the center headings 
and the entries under those center headings in numerical order to read 
as follows:


Sec.  9.1  OMB approvals under the Paperwork Reduction Act.

* * * * *

------------------------------------------------------------------------
                                                            OMB control
                     40 CFR citation                            No.
------------------------------------------------------------------------
 
                                * * * *
                 Control of Emissions from Locomotives
1033.825................................................       2060-0287
------------------------------------------------------------------------
 
                               * * * * *
  Control of Emissions From New and In-use Marine Compression-ignition
                           Engines and Vessels
------------------------------------------------------------------------
1042.825................................................       2060-0827
 
                                * * * * *
------------------------------------------------------------------------

* * * * *

PART 85--CONTROL OF AIR POLLUTION FROM MOBILE SOURCES

0
3. The authority citation for part 85 continues to read as follows:

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

Subpart Y--[Amended]

0
4. Section 85.2401 is amended by revising paragraphs (a)(7) and (a)(8) 
to read as follows:


Sec.  85.2401  To whom do these requirements apply?

    (a) * * *
    (7) Locomotives (See 40 CFR parts 92 and 1033);
    (8) Marine engines (See 40 CFR parts 91, 94, and 1042 and MARPOL 
Annex VI, as applicable);
* * * * *

PART 86--CONTROL OF EMISSIONS FROM NEW AND IN-USE HIGHWAY VEHICLES 
AND ENGINES

0
5. The authority citation for part 86 continues to read as follows:

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

Subpart A--[Amended]

0
6. Section 86.007-11 is amended by revising paragraph (a)(2) 
introductory text to read as follows:


Sec.  86.007-11  Emission standards and supplemental requirements for 
2007 and later model year diesel heavy-duty engines and vehicles.

* * * * *
    (a) * * *
    (2) The standards set forth in paragraph (a)(1) of this section 
refer to the exhaust emitted over the duty cycle specified in 
paragraphs (a)(2)(i) through (iii) of this section, where exhaust 
emissions are measured and calculated as specified in paragraphs 
(a)(2)(iv) and (v) of this section in accordance with the procedures 
set forth in subpart N of this part, except as noted in Sec.  86.007-
23(c)(2):
* * * * *

0
7. Section 86.117-96 is amended by revising the first equation in 
paragraph (d)(2) to read as follows:


Sec.  86.117-96  Evaporative emission enclosure calibrations.

* * * * *
    (d) * * *
    (2) * * *
    [GRAPHIC] [TIFF OMITTED] TR06MY08.008
    
* * * * *

Subpart N--[Amended]

0
8. Section 86.1305-2010 is amended by revising paragraph (b) to read as 
follows:


Sec.  86.1305-2010  Introduction; structure of subpart.

* * * * *
    (b) Use the applicable equipment and procedures for spark-ignition 
or compression-ignition engines in 40 CFR part 1065 to determine 
whether engines meet the duty-cycle emission standards in subpart A of 
this part. Measure the emissions of all regulated pollutants as 
specified in 40 CFR part 1065. Use the duty cycles and procedures 
specified in Sec. Sec.  86.1333-2010, 86.1360-2007, and 86.1362-2007. 
Adjust emission results from engines using aftertreatment technology 
with infrequent regeneration events as described in Sec.  86.004-28.
* * * * *
0
9. Section 86.1333-2010 is amended by adding paragraph (d) to read as 
follows:


Sec.  86.1333-2010  Transient test cycle generation.

* * * * *
    (d) Determine idle speeds as specified in Sec.  86.1337-2007(a)(9).

0
10. Section 86.1360-2007 is amended by adding paragraph (b)(3) to read 
as follows:


Sec.  86.1360-2007  Supplemental emission test; test cycle and 
procedures.

* * * * *
    (b) * * *
    (3) For engines certified using the ramped-modal cycle specified in 
Sec.  86.1362, perform the three discrete test points described in 
paragraph (b)(2) of this section as follows:
    (i) Allow the engine to idle as needed to complete equipment checks 
following the supplemental emission test described in this section, 
then operate the engine over the three additional discrete test points.
    (ii) Validate the additional discrete test points as a composite 
test separate from the supplemental emission test, but in the same 
manner.

[[Page 37193]]

    (iii) Use the emission data collected during the time interval from 
35 to 5 seconds before the end of each mode (excluding transitions) to 
perform the MAEL calculations in paragraph (f) of this section.
* * * * *


Sec.  86.1362-2007  [Amended]

0
11. Section 86.1362-2007 is amended by removing and reserving paragraph 
(d).

0
12. A new Sec.  86.1362-2010 is added to read as follows:


Sec.  86.1362-2010  Steady-state testing with a ramped-modal cycle.

    This section describes how to test engines under steady-state 
conditions. For model years through 2009, manufacturers may use the 
mode order described in this section or in Sec.  86.1362-2007. Starting 
in model year 2010 manufacturers must use the mode order described in 
this section with the following exception: for model year 2010, 
manufacturers may continue to use the cycle specified in Sec.  86.1362-
2007 as long as it does not adversely affect the ability to demonstrate 
compliance with the standards.
    (a) Start sampling at the beginning of the first mode and continue 
sampling until the end of the last mode. Calculate emissions as 
described in 40 CFR 1065.650 and cycle statistics as described in 40 
CFR 1065.514.
    (b) Measure emissions by testing the engine on a dynamometer with 
the following ramped-modal duty cycle to determine whether it meets the 
applicable steady-state emission standards:

----------------------------------------------------------------------------------------------------------------
                                           Time in mode
                RMC mode                     (seconds)       Engine  speed \1\ \2\      Torque  (percent) \2\ 3
----------------------------------------------------------------------------------------------------------------
1a Steady-state.........................             170  Warm Idle.................  0
1b Transition...........................              20  Linear Transition.........  Linear Transition.
2a Steady-state.........................             173  A.........................  100
2b Transition...........................              20  Linear Transition.........  Linear Transition.
3a Steady-state.........................             219  B.........................  50
3b Transition...........................              20  B.........................  Linear Transition.
4a Steady-state.........................             217  B.........................  75
4b Transition...........................              20  Linear Transition.........  Linear Transition.
5a Steady-state.........................             103  A.........................  50
5b Transition...........................              20  A.........................  Linear Transition.
6a Steady-state.........................             100  A.........................  75
6b Transition...........................              20  A.........................  Linear Transition.
7a Steady-state.........................             103  A.........................  25
7b Transition...........................              20  Linear Transition.........  Linear Transition.
8a Steady-state.........................             194  B.........................  100
8b Transition...........................              20  B.........................  Linear Transition.
9a Steady-state.........................             218  B.........................  25
9b Transition...........................              20  Linear Transition.........  Linear Transition.
10a Steady-state........................             171  C.........................  100
10b Transition..........................              20  C.........................  Linear Transition.
11a Steady-state........................             102  C.........................  25
11b Transition..........................              20  C.........................  Linear Transition.
12a Steady-state........................             100  C.........................  75
12b Transition..........................              20  C.........................  Linear Transition.
13a Steady-state........................             102  C.........................  50
13b Transition..........................              20  Linear Transition.........  Linear Transition.
14 Steady-state.........................             168  Warm Idle.................  0
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
  a linear progression from the speed or torque setting of the current mode to the speed or torque setting of
  the next mode.
3 The percent torque is relative to maximum torque at the commanded engine speed.

    (c) During idle mode, operate the engine at its warm idle as 
described in 40 CFR part 1065.
    (d) See 40 CFR part 1065 for detailed specifications of tolerances 
and calculations.
    (e) Perform the ramped-modal test with a warmed-up engine. If the 
ramped-modal test follows directly after testing over the Federal Test 
Procedure, consider the engine warm. Otherwise, operate the engine to 
warm it up as described in 40 CFR part 1065, subpart F.

0
13. Section 86.1363-2007 is amended by revising paragraph (a) and the 
equation in paragraph (g)(1) to read as follows:


Sec.  86.1363-2007  Steady-state testing with a discrete-mode cycle.

* * * * *
    (a) Use the following 13-mode cycle in dynamometer operation on the 
test engine:

----------------------------------------------------------------------------------------------------------------
                                                                   Percent load      Weighting      Mode length
               Mode No.                     Engine speed \1\            \2\           factors       (minutes) 3
----------------------------------------------------------------------------------------------------------------
1....................................  Warm Idle................  ..............            0.15               4
2....................................  A........................             100            0.08               2
3....................................  B........................              50            0.10               2
4....................................  B........................              75            0.10               2
5....................................  A........................              50            0.05               2
6....................................  A........................              75            0.05               2
7....................................  A........................              25            0.05               2
8....................................  B........................             100            0.09               2
9....................................  B........................              25            0.10               2

[[Page 37194]]

 
10...................................  C........................             100            0.08               2
11...................................  C........................              25            0.05               2
12...................................  C........................              75            0.05               2
13...................................  C........................              50            0.05               2
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum torque at the commanded test speed.
3 Upon Administrator approval, the manufacturer may use other mode lengths.

* * * * *
    (g) * * *
    (1) * * *
    [GRAPHIC] [TIFF OMITTED] TR06MY08.009
    
* * * * *

Subpart P--[Amended]

0
14. Subpart P is amended by removing Sec.  86.1504-94.


Sec. Sec.  86.1501-94 through 86.1544-84  [Redesignated]

0
15. Redesignate Sec. Sec.  86.1501-94 through 86.1544-84 as follows:

------------------------------------------------------------------------
            Old section                          New section
------------------------------------------------------------------------
             86.1501-94                              86.1501
             86.1502-84                              86.1502
             86.1503-84                              86.1503
             86.1505-94                              86.1505
             86.1506-94                              86.1506
             86.1509-84                              86.1509
             86.1511-84                              86.1511
             86.1513-94                              86.1513
             86.1514-84                              86.1514
             86.1516-84                              86.1516
             86.1519-84                              86.1519
             86.1522-84                              86.1522
             86.1524-84                              86.1524
             86.1526-84                              86.1526
             86.1527-84                              86.1527
             86.1530-84                              86.1530
             86.1537-84                              86.1537
             86.1540-84                              86.1540
             86.1542-84                              86.1542
             86.1544-84                              86.1544
------------------------------------------------------------------------

0
16. Newly desginated Sec.  86.1506 is amended by adding paragraph (b) 
to read as follows:


Sec.  86.1506  Equipment required and specifications; overview.

* * * * *
    (b) Through the 2009 model year, manufacturers may elect to use the 
appropriate test procedures in this part 86 instead of the procedures 
referenced in 40 CFR part 1065 without getting advance approval by the 
Administrator.

PART 89--CONTROL OF EMISSIONS FROM NEW AND IN-USE NONROAD 
COMPRESSION-IGNITION ENGINES

0
17. The authority citation for part 89 continues to read as follows:

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

Subpart J--[Amended]

0
18. A new Sec.  89.916 is added to read as follows:


Sec.  89.916  Emergency-vessel exemption for marine engines below 37 
kW.

    The prohibitions in Sec.  89.1003(a)(1) do not apply to new marine 
engines used in lifeboats and rescue boats as described in 40 CFR 
94.914.

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

0
19. The authority citation for part 92 continues to read as follows:

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

0
20. Section 92.1 is amended by revising paragraph (a) introductory text 
and adding paragraph (e) to read as follows:


Sec.  92.1  Applicability.

    (a) Except as noted in paragraphs (b), (d) and (e) of this section, 
the provisions of this part apply to manufacturers, remanufacturers, 
owners and operators of:
* * * * *
    (e) The provisions of this part do not apply for locomotives that 
are subject to the emissions standards of 40 CFR part 1033.

0
21. Section 92.2 is amended by revising the definition for ``Freshly 
manufactured locomotive'' to read as follows:


Sec.  92.2  Definitions.

* * * * *
    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). See 40 CFR 1033.640 for information about how to calculate 
this.
* * * * *


0
22. Section 92.12 is amended by revising paragraph (b) and adding 
paragraphs (i) and (j) to read as follows:


Sec.  92.12   Interim provisions.

* * * * *
    (b) Production line and in-use testing. (1) The requirements of 
Subpart F of this part (i.e., production line testing) do not apply 
prior to January 1, 2002.
    (2) The testing requirements of subpart F of this part (i.e., 
production line testing) do not apply to small manufacturers/
remanufacturers prior to January 1, 2013. Note that the production line 
audit requirements apply as specified.
    (3) The requirements of Subpart G of this part (i.e., in-use 
testing) only apply for locomotives and locomotive engines that become 
new on or after January 1, 2002.
    (4) For locomotives and locomotive engines that are covered by a 
small business certificate of conformity, the requirements of Subpart G 
of this part (i.e., in-use testing) only apply for locomotives and 
locomotive engines that become new on or after January 1, 2007. We will 
also not require small remanufacturers to perform any in-use testing 
prior to January 1, 2013.
* * * * *
    (i) Diesel test fuels. Manufacturers and remanufacturers may use 
LSD or ULSD test fuel to certify to the standards of this part, instead 
of the otherwise specified test fuel, provided PM emissions are 
corrected as described in this paragraph (i). Measure your PM emissions 
and determine your cycle-weighted emission rates as specified in 
subpart B of this part. If you test using LSD, add 0.04 g/bhp-hr to 
these weighted emission rates to determine your official emission 
result. If you test using ULSD, add 0.05 g/bhp-hr to these weighted 
emission rates to determine your official emission result.
    (j) Subchapter U provisions. For model years 2008 through 2012, 
certain locomotives will be subject to the requirements of this part 92 
while others will be subject to the

[[Page 37195]]

requirements of 40 CFR subchapter U. This paragraph (j) describes 
allowances for manufacturers or remanufacturers to ask for flexibility 
in transitioning to the new regulations.
    (1) You may ask to use a combination of the test procedures of this 
part and those of 40 CFR part 1033. We will approve your request if you 
show us that it does not affect your ability to show compliance with 
the applicable emission standards. Generally this requires that the 
combined procedures would result in emission measurements at least as 
high as those that would be measured using the procedures specified in 
this part. Alternatively, you may demonstrate that the combined effects 
of the procedures is small relative to your compliance margin (the 
degree to which your locomotives are below the applicable standards).
    (2) You may ask to comply with the administrative requirements of 
40 CFR part 1033 and 1068 instead of the equivalent requirements of 
this part.
0
23. Section 92.204 is amended by adding paragraph (f) to read as 
follows:


Sec.  92.204   Designation of engine families.

* * * * *
    (f) Remanufactured Tier 2 locomotives may be included in the same 
engine family as freshly manufactured Tier 2 locomotives, provided such 
engines are used for locomotive models included in the engine family.


0
24. Section 92.206 is amended by revising paragraph (c) to read as 
follows:


Sec.  92.206   Required information.

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


0
25. Section 92.208 is amended by revising paragraph (a) to read as 
follows:


Sec.  92.208  Certification.

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


0
26. Section 92.212 is amended by revising paragraph (b)(2)(iv) to read 
as follows:


Sec.  92.212   Labeling.

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


0
27. Section 92.501 is amended by adding paragraph (c) to read as 
follows:


Sec.  92.501   Applicability.

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


0
28. A new Sec.  92.1007 is added to read as follows:


Sec.  92.1007   Remanufacturing requirements.

    (a) See the definition of ``remanufacture'' in Sec.  92.2 to 
determine if you are remanufacturing your locomotive or engine. (Note: 
Replacing power assemblies one at a time may qualify as 
remanufacturing, depending on the interval between replacement.)
    (b) See the definition of ``new'' in Sec.  92.2 to determine if 
remanufacturing your locomotive makes it subject to the requirements of 
this part. If the locomotive is considered to be new, it is subject to 
the certification requirements of this part, unless it is exempt under 
subpart J of this part. The standards to which your locomotive is 
subject will depend on factors such as the following:
    (1) Its date of original manufacture.
    (2) The FEL to which it was previously certified, which is listed 
on the ``Locomotive Emission Control Information'' label.
    (3) Its power rating (whether it is above or below 2300 hp).
    (4) The calendar year in which it is being remanufactured.
    (c) You may comply with the certification requirements of this part 
for your remanufactured locomotive by either obtaining your own 
certificate of conformity as specified in subpart C of this part or by 
having a certifying remanufacturer include your locomotive under its 
certificate of conformity. In either case, your remanufactured 
locomotive must be covered by a certificate before it is reintroduced 
into service.
    (d) If you do not obtain your own certificate of conformity from 
EPA, contact a certifying remanufacturer to have your locomotive 
included under its certificate of conformity. Confirm with the 
certificate holder that your locomotive's model, date of original 
manufacture, previous FEL, and power rating allow it to be covered by 
the certificate. You must do all of the following:
    (1) Comply with the certificate holder's emission-related 
installation instructions.
    (2) Provide to the certificate holder the information it identifies 
as necessary to comply with the requirements of this part.
    (e) For parts unrelated to emissions and emission-related parts not 
addressed by the certificate holder in the emission-related 
installation instructions, you may use parts from any source. For 
emission-related parts listed by the certificate holder in the 
emission-related installation instructions, you must either use the 
specified parts or parts certified under 40 CFR 1033.645 for 
remanufacturing. If you believe that the certificate holder has 
included as emission-related parts, parts that are actually unrelated 
to emissions, you may ask us to exclude such parts from the emission-
related installation instructions. (Note: This

[[Page 37196]]

paragraph (e) does not apply with respect to parts for maintenance 
other than remanufacturing; see Sec.  92.1004 for provisions related to 
general maintenance.)
    (f) Failure to comply with this section is a violation of Sec.  
92.1102(a)(1).

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

0
29. The authority citation for part 94 continues to read as follows:

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

Subpart A-- [Amended]

0
30. Section 94.1 is amended by revising paragraph (b) to read as 
follows:


Sec.  94.1  Applicability.

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

0
31. Section 94.2 is amended by revising paragraph (1)(ii) of the 
definition for ``New vessel'' and adding definitions for ``Nonroad'' 
and ``Nonroad engine'' in alphabetical order to read as follows:


Sec.  94.2  Definitions.

* * * * *
    New vessel means:
    (1)(i) * * *
    (ii) For vessels with no Category 3 engines, a vessel that has been 
modified such that the value of the modifications exceeds 50 percent of 
the value of the modified vessel. The value of the modification is the 
difference in the assessed value of the vessel before the modification 
and the assessed value of the vessel after the modification. Use the 
following equation to determine if the fractional value of the 
modification exceeds 50 percent:
Percent of value = [(Value after modification) - (Value before 
modification)] x ( 100% / (Value after modification)
* * * * *
    Nonroad means relating to nonroad engines, or vessels or equipment 
that include nonroad engines.
    Nonroad engine has the meaning given in 40 CFR 1068.30. In general, 
this means all internal-combustion engines except motor vehicle 
engines, stationary engines, engines used solely for competition, or 
engines used in aircraft.
* * * * *

0
32. Section 94.12 is amended by adding paragraph (i) to read as 
follows:


Sec.  94.12   Interim provisions.

* * * * *
    (i) Early use of future provisions. For model years 2009 through 
2013, certain marine engines will be subject to the requirements of 
this part 94 while others will be subject to the requirements of 40 CFR 
part 1042. Manufacturers may ask for flexibility in making the 
transition to the new regulations as follows:
    (1) You may ask to use a combination of the test procedures of this 
part and those of 40 CFR part 1042. This might include the early use of 
the duty cycles and NTE specifications that apply for Tier 3 or Tier 4 
engines. We will approve your request only if you show us that it does 
not affect your ability to demonstrate compliance with the applicable 
emission standards. This generally requires that the combined 
procedures would result in emission measurements at least as high as 
those that would be measured using the procedures specified in this 
part. Alternatively, you may demonstrate that the combined effects of 
the procedures is small relative to your compliance margin (the degree 
to which your engines are below the applicable standards).
    (2) You may ask to comply with the administrative requirements of 
40 CFR parts 1042 and 1068 instead of the equivalent requirements of 
this part.

Subpart B--[Amended]

0
33. Section 94.108 is amended by adding paragraph (a)(4) and revising 
paragraph (d) to read as follows:


Sec.  94.108  Test fuels.

    (a) * * *
    (4) Manufacturers may perform testing using the low-sulfur diesel 
test fuel or the ultra low-sulfur diesel test fuel specified in 40 CFR 
part 1065.
* * * * *
    (d) Correction for sulfur--(1) High sulfur fuel. (i) Particulate 
emission measurements from Category 1 or Category 2 engines without 
exhaust aftertreatment obtained using a diesel fuel containing more 
than 0.40 weight percent sulfur may be adjusted to a sulfur content of 
0.40 weight percent.
    (ii) Adjustments to the particulate measurement for using high 
sulfur fuel shall be made using the following equation:
PMadj=PM-[BSFC x 0.0917 x (FSF-0.0040)]

Where:
PMadj=adjusted measured PM level [g/kW-hr]
PM=measured weighted PM level [g/kW-hr]
BSFC=measured brake specific fuel consumption [g/kW-hr]
FSF=fuel sulfur weight fraction

    (2) Low sulfur fuel. (i) Particulate emission measurements from 
Category 1 or Category 2 engines without exhaust aftertreatment 
obtained using diesel fuel containing less than 0.03 weight percent 
sulfur shall be adjusted to a sulfur content of 0.20 weight percent.
    (ii) Adjustments to the particulate measurement for using ultra 
low-sulfur fuel shall be made using the following equation:
PMadj=PM+[BSFC x 0.0917 x (0.0020-FSF)]

Where:
PMadj=adjusted measured PM level [g/kW-hr]
PM=measured weighted PM level [g/kW-hr]
BSFC=measured brake specific fuel consumption [g/kW-hr]
FSF=fuel sulfur weight fraction

* * * * *

Subpart C--[Amended]

0
34. Section 94.208 is amended by revising paragraph (a) to read as 
follows:


Sec.  94.208  Certification.

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

0
35. Section 94.209 is amended by revising paragraph (a) introductory 
text to read as follows:

[[Page 37197]]

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

* * * * *
    (a) Broader engine families. Instead of the requirements of Sec.  
94.204, an engine family may consist of any or all of a manufacturer's 
engines within a given category. This does not change any of the 
requirements of this part for showing that an engine family meets 
emission standards. To be eligible to use the provisions of this 
paragraph (a), the manufacturer must demonstrate one of the following:
* * * * *

Subpart F--[Amended]

0
36. Section 94.501 is amended by adding paragraph (c) to read as 
follows:


Sec.  94.501  Applicability.

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

Subpart J--[Amended]

0
37. A new Sec.  94.914 is added to read as follows:


Sec.  94.914  Emergency vessel exemption.

    (a) Except as specified in paragraph (c) of this section, the 
prohibitions in Sec.  94.1103(a)(1) do not apply to a new engine that 
is subject to Tier 2 standards according to the following provisions:
    (1) The engine must be intended for installation in a lifeboat or a 
rescue boat as specified in 40 CFR 1042.625(a)(1)(i) or (ii).
    (2) This exemption is available from the initial effective date for 
the Tier 2 standards until the engine model (or an engine of comparable 
size, weight, and performance) has been certified as complying with the 
Tier 2 standards and Coast Guard requirements. For example, this 
exemption would apply for new engine models that have not yet been 
certified to the Tier 2 standards.
    (3) The engine must meet the Tier 1 emission standards specified in 
Sec.  94.8.
    (b) If you introduce an engine into U.S. commerce under this 
section, you must meet the labeling requirements in Sec.  94.212, but 
add the following statement instead of the compliance statement in 
Sec.  94.212(b)(6):

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

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

0
38. A new part 1033 is added to subchapter U of chapter I to read as 
follows:

PART 1033--CONTROL OF EMISSIONS FROM LOCOMOTIVES

Subpart A--Overview and Applicability
Sec.
1033.1 Applicability.
1033.5 Exemptions and exclusions.
1033.10 Organization of this part.
1033.15 Other regulation parts that apply for locomotives.
Subpart B--Emission Standards and Related Requirements
1033.101 Exhaust emission standards.
1033.102 Transition to the standards of this part.
1033.110 Emission diagnostics--general requirements.
1033.112 Emission diagnostics for SCR systems.
1033.115 Other requirements.
1033.120 Emission-related warranty requirements.
1033.125 Maintenance instructions.
1033.130 Instructions for engine remanufacturing or engine 
installation.
1033.135 Labeling.
1033.140 Rated power.
1033.150 Interim provisions.
Subpart C--Certifying Engine Families
1033.201 General requirements for obtaining a certificate of 
conformity.
1033.205 Applying for a certificate of conformity.
1033.210 Preliminary approval.
1033.220 Amending maintenance instructions.
1033.225 Amending applications for certification.
1033.230 Grouping locomotives into engine families.
1033.235 Emission testing required for certification.
1033.240 Demonstrating compliance with exhaust emission standards.
1033.245 Deterioration factors.
1033.250 Reporting and recordkeeping.
1033.255 EPA decisions.
Subpart D--Manufacturer and Remanufacturer Production Line Testing and 
Audit Programs
1033.301 Applicability.
1033.305 General requirements.
1033.310 Sample selection for testing.
1033.315 Test procedures.
1033.320 Calculation and reporting of test results.
1033.325 Maintenance of records; submittal of information.
1033.330 Compliance criteria for production line testing.
1033.335 Remanufactured locomotives: installation audit 
requirements.
1033.340 Suspension and revocation of certificates of conformity.
Subpart E--In-use Testing
1033.401 Applicability.
1033.405 General provisions.
1033.410 In-use test procedure.
1033.415 General testing requirements.
1033.420 Maintenance, procurement and testing of in-use locomotives.
1033.425 In-use test program reporting requirements.
Subpart F--Test Procedures
1033.501 General provisions.
1033.505 Ambient conditions.
1033.510 Auxiliary power units.
1033.515 Discrete-mode steady-state emission tests of locomotives 
and locomotive engines.
1033.520 Alternative ramped modal cycles.
1033.525 Smoke testing.
1033.530 Duty cycles and calculations.
1033.535 Adjusting emission levels to account for infrequently 
regenerating aftertreatment devices.
Subpart G--Special Compliance Provisions
1033.601 General compliance provisions.
1033.610 Small railroad provisions.
1033.615 Voluntarily subjecting locomotives to the standards of this 
part.
1033.620 Hardship provisions for manufacturers and remanufacturers.
1033.625 Special certification provisions for non-locomotive-
specific engines.
1033.630 Staged-assembly and delegated assembly exemptions.
1033.640 Provisions for repowered and refurbished locomotives.
1033.645 Non-OEM component certification program.
1033.650 Incidental use exemption for Canadian and Mexican 
locomotives.
1033.655 Special provisions for certain Tier 0/Tier 1 locomotives.
Subpart H--Averaging, Banking, and Trading for Certification
1033.701 General provisions.
1033.705 Calculating emission credits.
1033.710 Averaging emission credits.
1033.715 Banking emission credits.
1033.720 Trading emission credits.
1033.722 Transferring emission credits.
1033.725 Requirements for your application for certification.
1033.730 ABT reports.
1033.735 Required records.
1033.740 Credit restrictions.
1033.745 Compliance with the provisions of this subpart.
1033.750 Changing a locomotive's FEL at remanufacture.

[[Page 37198]]

Subpart I--Requirements for Owners and Operators
1033.801 Applicability.
1033.805 Remanufacturing requirements.
1033.810 In-use testing program.
1033.815 Maintenance, operation, and repair.
1033.820 In-use locomotives.
1033.825 Refueling requirements.
Subpart J--Definitions and Other Reference Information
1033.901 Definitions.
1033.905 Symbols, acronyms, and abbreviations.
1033.915 Confidential information.
1033.920 How to request a hearing.

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

Subpart A--Overview and Applicability


Sec.  1033.1  Applicability.

    The regulations in this part 1033 apply for all new locomotives and 
all locomotives containing a new locomotive engine, except as provided 
in Sec.  1033.5.
    (a) Standards begin to apply each time a locomotive or locomotive 
engine is originally manufactured or otherwise becomes new (defined in 
Sec.  1033.901). The requirements of this part continue to apply as 
specified after locomotives cease to be new.
    (b) Standards apply to the locomotive. However, in certain cases, 
the manufacturer/remanufacturer is allowed to test a locomotive engine 
instead of a complete locomotive, such as for certification. Also, you 
are not required to complete assembly of a locomotive to obtain a 
certificate of conformity for it, provided you meet the definition of 
``manufacturer'' or ``remanufacturer'' (as applicable) in Sec.  
1033.901. For example, an engine manufacturer may obtain a certificate 
for locomotives which it does not manufacture, if the locomotives use 
its engines.
    (c) Standards apply based on the year in which the locomotive was 
originally manufactured. The date of original manufacture is generally 
the date on which assembly is completed for the first time. For 
example, all locomotives originally manufactured in calendar years 
2002, 2003, and 2004 are subject to the Tier 1 emission standards for 
their entire service lives.
    (d) The following provisions apply when there are multiple persons 
meeting the definition of manufacturer or remanufacturer in Sec.  
1033.901:
    (1) Each person meeting the definition of manufacturer must comply 
with the requirements of this part that apply to manufacturers; and 
each person meeting the definition of remanufacturer must comply with 
the requirements of this part that apply to remanufacturers. However, 
if one person complies with a specific requirement for a given 
locomotive, then all manufacturers/remanufacturers are deemed to have 
complied with that specific requirement.
    (2) We will apply the requirements of subparts C, D, and E of this 
part to the manufacturer/remanufacturer that obtains the certificate of 
conformity for the locomotive. Other manufacturers and remanufacturers 
are required to comply with the requirements of subparts C, D, and E of 
this part only when notified by us. In our notification, we will 
specify a reasonable time period in which you need to comply with the 
requirements identified in the notice. See Sec.  1033.601 for the 
applicability of 40 CFR part 1068 to these other manufacturers and 
remanufacturers.
    (3) For example, we may require a railroad that installs certified 
kits but does not hold the certificate to perform production line 
auditing of the locomotives that it remanufactures. However, if we did, 
we would allow the railroad a reasonable amount of time to develop the 
ability to perform such auditing.
    (e) The provisions of this part apply as specified for locomotives 
manufactured or remanufactured on or after July 7, 2008. See Sec.  
1033.102 to determine whether the standards of this part or the 
standards of 40 CFR part 92 apply for model years 2008 through 2012. 
For example, for a locomotive that was originally manufactured in 2007 
and remanufactured on April 10, 2014, the provisions of this part begin 
to apply on April 10, 2014.


Sec.  1033.5  Exemptions and exclusions.

    (a) Subpart G of this part exempts certain locomotives from the 
standards of this part.
    (b) The definition of ``locomotive'' in Sec.  1033.901 excludes 
certain vehicles. In general, the engines used in such excluded 
equipment are subject to standards under other regulatory parts. For 
example, see 40 CFR part 1039 for requirements that apply to diesel 
engines used in equipment excluded from the definition of 
``locomotive'' in Sec.  1033.901. The following locomotives are also 
excluded from the provisions of this part 1033:
    (1) Historic locomotives powered by steam engines. For a locomotive 
that was originally manufactured after January 1, 1973 to be excluded 
under this paragraph (b)(1), it may not use any internal combustion 
engines and must be used only for historical purposes such as at a 
museum or similar public attraction.
    (2) Locomotives powered only by an external source of electricity.
    (c) The requirements and prohibitions of this part apply only for 
locomotives that have become ``new'' (as defined in Sec.  1033.901) on 
or after July 7, 2008.
    (d) The provisions of this part do not apply for any auxiliary 
engine that only provides hotel power. In general, these engines are 
subject to the provisions of 40 CFR part 1039. However, depending on 
the engine cycle, model year and power rating, the engines may be 
subject to other regulatory parts instead.
    (e) Manufacturers and owners of locomotives that operate only on 
non-standard gauge rails may ask us to exclude such locomotives from 
this part by excluding them from the definition of ``locomotive''.


Sec.  1033.10  Organization of this part.

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

[[Page 37199]]

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


Sec.  1033.15  Other regulation parts that apply for locomotives.

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

Subpart B--Emission Standards and Related Requirements


Sec.  1033.101  Exhaust emission standards.

    See Sec. Sec.  1033.102 and 1033.150 to determine how the emission 
standards of this section apply before 2023.
    (a) Emission standards for line-haul locomotives. Exhaust emissions 
from your new locomotives may not exceed the applicable emission 
standards in Table 1 to this section during the useful life of the 
locomotive. (Note: Sec.  1033.901 defines locomotives to be ``new'' 
when originally manufactured and when remanufactured.) Measure 
emissions using the applicable test procedures described in subpart F 
of this part.

                      Table 1 to Sec.   1033.101.--Line-Haul Locomotive Emission Standards
----------------------------------------------------------------------------------------------------------------
                                                                             Standards (g/bhp-hr)
    Year of original manufacture         Tier of standards   ---------------------------------------------------
                                                                  NOX           PM           HC           CO
----------------------------------------------------------------------------------------------------------------
1973-1992 \a\.......................  Tier 0 \b\............          8.0         0.22         1.00          5.0
1993 \a\-2004.......................  Tier 1 \b\............          7.4         0.22         0.55          2.2
2005-2011...........................  Tier 2 \b\............          5.5     \e\ 0.10         0.30          1.5
2012-2014...........................  Tier 3 \c\............          5.5         0.10         0.30          1.5
2015 or later.......................  Tier 4 \d\............          1.3         0.03         0.14          1.5
----------------------------------------------------------------------------------------------------------------
\a\ Locomotive models that were originally manufactured in model years 1993 through 2001, but that were not
  originally equipped with a separate coolant system for intake air are subject to the Tier 0 rather than the
  Tier 1 standards.
\b\ Line-haul locomotives subject to the Tier 0 through Tier 2 emission standards must also meet switch
  standards of the same tier.
\c\ Tier 3 line-haul locomotives must also meet Tier 2 switch standards.
\d\ Manufacturers may elect to meet a combined NOX+HC standard of 1.4 g/bhp-hr instead of the otherwise
  applicable Tier 4 NOX and HC standards, as described in paragraph (j) of this section.
\e\ The PM standard for newly remanufactured Tier 2 line-haul locomotives is 0.20 g/bhp-hr until January 1,
  2013, except as specified in Sec.   1033.150(a).

    (b) Emission standards for switch locomotives. Exhaust emissions 
from your new locomotives may not exceed the applicable emission 
standards in Table 2 to this section during the useful life of the 
locomotive. (Note: Sec.  1033.901 defines locomotives to be ``new'' 
when originally manufactured and when remanufactured.) Measure 
emissions using the applicable test procedures described in subpart F 
of this part.

                        Table 2 to Sec.   1033.101.--Switch Locomotive Emission Standards
----------------------------------------------------------------------------------------------------------------
                                                                             Standards (g/bhp-hr)
    Year of original manufacture         Tier of standards   ---------------------------------------------------
                                                                  NOX           PM           HC           CO
----------------------------------------------------------------------------------------------------------------
1973-2001...........................  Tier 0................         11.8         0.26         2.10          8.0
2002-2004...........................  Tier 1 \a\............         11.0         0.26         1.20          2.5
2005-2010...........................  Tier 2 \a\............          8.1     \b\ 0.13         0.60          2.4
2011-2014...........................  Tier 3................          5.0         0.10         0.60          2.4
2015 or later.......................  Tier 4................      \c\ 1.3         0.03     \c\ 0.14         2.4
----------------------------------------------------------------------------------------------------------------
\a\ Switch locomotives subject to the Tier 1 through Tier 2 emission standards must also meet line-haul
  standards of the same tier.
\b\ The PM standard for new Tier 2 switch locomotives is 0.24 g/bhp-hr until January 1, 2013, except as
  specified in Sec.   1033.150(a).
\c\ Manufacturers may elect to meet a combined NOX+HC standard of 1.3 g/bhp-hr instead of the otherwise
  applicable Tier 4 NOX and HC standards, as described in paragraph (j) of this section.

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

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

[[Page 37200]]

 
Tier 2 and later................................................              20              40              50
----------------------------------------------------------------------------------------------------------------

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

Notch standard = (Ei) x (1.1 + (1--ELHi/std))

Where:

Ei = The deteriorated brake-specific emission rate (for 
pollutant i) for the notch (i.e., the brake-specific emission rate 
calculated under subpart F of this part, adjusted by the 
deterioration factor in the application for certification); where i 
is NOX, HC, CO or PM.
ELHi = The deteriorated line-haul duty-cycle weighted 
brake-specific emission rate for pollutant i, as reported in the 
application for certification, except as specified in paragraph 
(e)(6) of this section.
std = The applicable line-haul duty-cycle standard/FEL, except as 
specified in paragraph (e)(6) of this section.

    (3) Exhaust emissions that exceed the notch standards specified in 
paragraph (e)(2) of this section are allowed only if one of the 
following is true:
    (i) The same emission controls are applied during the test 
conditions causing the noncompliance as were applied during 
certification test conditions (and to the same degree).
    (ii) The exceedance result from a design feature that was described 
(including its effect on emissions) in the approved application for 
certification, and is:
    (A) Necessary for safety;
    (B) Addresses infrequent regeneration of an aftertreatment device; 
or
    (C) Otherwise allowed by this part.
    (4) Since you are only required to test your locomotive at the 
highest emitting dynamic brake point, the notch caps that you calculate 
for the dynamic brake point that you test also apply for other dynamic 
brake points.
    (5) No PM notch caps apply for locomotives certified to a PM 
standard or FEL of 0.05 g/bhp-hr or lower.
    (6) For switch locomotives that are not subject to line-haul 
standards, ELH\i\ equals the deteriorated switch duty-cycle weighted 
brake-specific emission rate for pollutant i and std is the applicable 
switch cycle standard/FEL.
    (f) Fuels. The exhaust emission standards in this section apply for 
locomotives using the fuel type on which the locomotives in the engine 
family are designed to operate.
    (1) You must meet the numerical emission standards for HC in this 
section based on the following types of hydrocarbon emissions for 
locomotives powered by the following fuels:
    (i) Alcohol-fueled locomotives: THCE emissions for Tier 3 and 
earlier locomotives and NMHCE for Tier 4.
    (ii) Gaseous-fueled locomotives: NMHC emissions.
    (iii) Diesel-fueled and other locomotives: THC emissions for Tier 3 
and earlier locomotives and NMHC for Tier 4. Note that manufacturers/
remanufacturers may choose to not measure NMHC and assume that NMHC is 
equal to THC multiplied by 0.98 for diesel-fueled locomotives.
    (2) You must certify your diesel-fueled locomotives to use the 
applicable grades of diesel fuel as follows:
    (i) Certify your Tier 4 and later diesel-fueled locomotives for 
operation with only Ultra Low Sulfur Diesel (ULSD) fuel. Use ULSD as 
the test fuel for these locomotives.
    (ii) Certify your Tier 3 and earlier diesel-fueled locomotives for 
operation with only ULSD fuel if they include sulfur-sensitive 
technology and you demonstrate compliance using a ULSD test fuel.
    (iii) Certify your Tier 3 and earlier diesel-fueled locomotives for 
operation with either ULSD fuel or Low Sulfur Diesel (LSD) fuel if they 
do not include sulfur-sensitive technology or if you demonstrate 
compliance using an LSD test fuel (including commercial LSD fuel).
    (iv) For Tier 1 and earlier diesel-fueled locomotives, if you 
demonstrate compliance using a ULSD test fuel, you must adjust the 
measured PM emissions upward by 0.01 g/bhp-hr to make them equivalent 
to tests with LSD. We will not apply this adjustment for our testing.
    (g) Useful life. The emission standards and requirements in this 
subpart apply to the emissions from new locomotives for their useful 
life. The useful life is generally specified as MW-hrs and years, and 
ends when either of the values (MW-hrs or years) is exceeded or the 
locomotive is remanufactured.
    (1) The minimum useful life in terms of MW-hrs is equal to the 
product of the rated horsepower multiplied by 7.50. The minimum useful 
life in terms of years is ten years. For locomotives originally 
manufactured before January 1, 2000 and not equipped with MW-hr meters, 
the minimum useful life is equal to 750,000 miles or ten years, 
whichever is reached first. See (1033.140 for provisions related to 
rated power.
    (2) You must specify a longer useful life if the locomotive or 
locomotive engine is designed to last longer than the applicable 
minimum useful life. Recommending a time to remanufacture that is 
longer than the minimum useful life is one indicator of a longer design 
life.
    (3) Manufacturers/remanufacturers of locomotives with non-
locomotive-specific engines (as defined in (1033.901) may ask us 
(before certification) to allow a shorter useful life for an engine 
family containing only non-locomotive-specific engines. We may approve 
a shorter useful life, in MW-hrs of locomotive operation but not in 
years, if we determine that these locomotives will rarely operate 
longer than the shorter useful life. If engines identical to those in 
the engine family have already been produced and are in use, your 
demonstration must include documentation from such in-use engines. In 
other cases, your demonstration must include an engineering analysis of 
information

[[Page 37201]]

equivalent to such in-use data, such as data from research engines or 
similar engine models that are already in production. Your 
demonstration must also include any overhaul interval that you 
recommend, any mechanical warranty that you offer for the engine or its 
components, and any relevant customer design specifications. Your 
demonstration may include any other relevant information.
    (4) Remanufacturers of locomotive or locomotive engine 
configurations that have been previously certified under paragraph 
(g)(3) of this section to a useful life that is shorter than the value 
specified in paragraph (g)(1) of this section may certify to that same 
shorter useful life value without request.
    (5) In unusual circumstances, you may ask us to allow you to 
certify some locomotives in your engine family to a partial useful 
life. This allowance is limited to cases in which some or all of the 
locomotive(s power assemblies have been operated previously such that 
the locomotive will need to be remanufactured prior to the end of the 
otherwise applicable useful life. Unless we specify otherwise, define 
the partial useful life based on the total MW-hrs since the last 
remanufacture to be consistent with other locomotives in the family. 
For example, this may apply for a previously uncertified locomotive 
that becomes ``new'' when it is imported, but that was remanufactured 
two years earlier (representing 25 percent of the normal useful life 
period). If such a locomotive could be brought into compliance with the 
applicable standards without being remanufactured, you may ask to 
include it in your engine family for the remaining 75 percent of its 
useful life period.
    (h) Applicability for testing. The emission standards in this 
subpart apply to all testing, including certification testing, 
production-line testing, and in-use testing.
    (i) Alternate CO standards. Manufacturers/remanufacturers may 
certify Tier 0, Tier 1, or Tier 2 locomotives to an alternate CO 
emission standard of 10.0 g/bhp-hr instead of the otherwise applicable 
CO standard if they also certify those locomotives to alternate PM 
standards less than or equal to one-half of the otherwise applicable PM 
standard. For example, a manufacturer certifying Tier 1 locomotives to 
a 0.11 g/bhp-hr PM standard may certify those locomotives to the 
alternate CO standard of 10.0 g/bhp-hr.
    (j) Alternate NOX+HC standards for Tier 4. 
Manufacturers/remanufacturers may use credits accumulated through the 
ABT program to certify Tier 4 locomotives to an alternate 
NOX+HC emission standard of 1.4 g/bhp-hr (instead of the 
otherwise applicable NOX and NMHC standards). You may use 
NOX credits to show compliance with this standard by 
certifying your family to a NOX+HC FEL. Calculate the 
NOX credits needed as specified in subpart H of this part 
using the NOX+HC emission standard and FEL in the 
calculation instead of the otherwise applicable NOX standard 
and FEL. You may not generate credits relative to the alternate 
standard or certify to the standard without using credits.
    (k) Upgrading. Upgraded locomotives that were originally 
manufactured prior to January 1, 1973 are subject to the Tier 0 
standards. (See the definition of upgrade in Sec.  1033.901.)
    (l) Other optional standard provisions. Locomotives may be 
certified to a higher tier of standards than would otherwise be 
required. Tier 0 switch locomotives may be certified to both the line-
haul and switch cycle standards. In both cases, once the locomotives 
become subject to the additional standards, they remain subject to 
those standards for the remainder of their service lives.


Sec.  1033.102  Transition to the standards of this part.

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


Sec.  1033.110  Emission diagnostics--general requirements.

    The provisions of this section apply if you equip your locomotives 
with a diagnostic system that will detect significant malfunctions in 
their emission-control systems and you choose to base your emission-
related maintenance instructions on such diagnostics. See Sec.  
1033.420 for information about how to select and maintain diagnostic-
equipped locomotives for in-use testing. Notify the owner/operator that 
the presence of this diagnostic system affects their maintenance 
obligations under Sec.  1033.815. Except as specified in Sec.  
1033.112, this section does not apply for diagnostics that you do not 
include in your emission-related maintenance instructions. The 
provisions of this section address diagnostic systems based on 
malfunction-indicator lights (MILs). You may ask to use other 
indicators instead of MILs.
    (a) The MIL must be readily visible to the operator. When the MIL 
goes on, it must display ``Check Emission Controls'' or a similar 
message that we approve. You may use sound in addition to the light 
signal.
    (b) To ensure that owner/operators consider MIL illumination 
seriously, you may not illuminate it for malfunctions that would not 
otherwise require maintenance. This section does not limit your ability 
to display other indicator lights or messages, as long as they are 
clearly distinguishable from MILs affecting the owner/operator's 
maintenance obligations under Sec.  1033.815.
    (c) Control when the MIL can go out. If the MIL goes on to show a 
malfunction, it must remain on during all later engine operation until 
servicing corrects the malfunction. If the engine is not serviced, but 
the malfunction does not recur during the next 24 hours, the MIL may 
stay off during later engine operation.
    (d) Record and store in computer memory any diagnostic trouble 
codes showing a malfunction that should illuminate the MIL. The stored 
codes must identify the malfunctioning system or component as uniquely 
as possible. Make these codes available through the data link connector 
as described in paragraph (e) of this section. You may store codes for 
conditions that do not turn on the MIL. The system must store a 
separate code to show when the diagnostic system is disabled (from 
malfunction or tampering). Provide instructions to the owner/operator 
regarding how to interpret malfunction codes.
    (e) Make data, access codes, and devices accessible. Make all 
required data accessible to us without any access codes or devices that 
only you can supply. Ensure that anyone servicing your locomotive can 
read and understand the diagnostic trouble codes stored in the onboard 
computer with generic tools and information.
    (f) Follow standard references for formats, codes, and connections.


Sec.  1033.112  Emission diagnostics for SCR systems.

    Engines equipped with SCR systems using separate reductant tanks 
must also meet the requirements of this section in addition to the 
requirements of

[[Page 37202]]

Sec.  1033.110. This section does not apply for SCR systems using the 
engine's fuel as the reductant.
    (a) The diagnostic system must monitor reductant quality and tank 
levels and alert operators to the need to refill the reductant tank 
before it is empty, or to replace the reductant if it does not meet 
your concentration specifications. Unless we approve other alerts, use 
a malfunction-indicator light (MIL) as specified in Sec.  1033.110 and 
an audible alarm. You do not need to separately monitor reductant 
quality if you include an exhaust NOX sensor (or other 
sensor) that allows you to determine inadequate reductant quality. 
However, tank level must be monitored in all cases.
    (b) Your onboard computer must record in nonvolatile computer 
memory all incidents of engine operation with inadequate reductant 
injection or reductant quality. It must record the total amount of 
operation without adequate reductant. It may total the operation by 
hours, work, or excess NOX emissions.


Sec.  1033.115  Other requirements.

    Locomotives that are required to meet the emission standards of 
this part must meet the requirements of this section. These 
requirements apply when the locomotive is new (for freshly manufactured 
or remanufactured locomotives) and continue to apply throughout the 
useful life.
    (a) Crankcase emissions. Crankcase emissions may not be discharged 
directly into the ambient atmosphere from any locomotive, except as 
follows:
    (1) Locomotives may discharge crankcase emissions to the ambient 
atmosphere if the emissions are added to the exhaust emissions (either 
physically or mathematically) during all emission testing. If you take 
advantage of this exception, you must do both of the following things:
    (i) Manufacture the locomotives so that all crankcase emissions can 
be routed into the applicable sampling systems specified in 40 CFR part 
1065, consistent with good engineering judgment.
    (ii) Account for deterioration in crankcase emissions when 
determining exhaust deterioration factors.
    (2) For purposes of this paragraph (a), crankcase emissions that 
are routed to the exhaust upstream of exhaust aftertreatment during all 
operation are not considered to be discharged directly into the ambient 
atmosphere.
    (b) Adjustable parameters. Locomotives that have adjustable 
parameters must meet all the requirements of this part for any 
adjustment in the approved adjustable range. You must specify in your 
application for certification the adjustable range of each adjustable 
parameter on a new locomotive or new locomotive engine to:
    (1) Ensure that safe locomotive operating characteristics are 
available within that range, as required by section 202(a)(4) of the 
Clean Air Act (42 U.S.C. 7521(a)(4)), taking into consideration the 
production tolerances.
    (2) Limit the physical range of adjustability to the maximum extent 
practicable to the range that is necessary for proper operation of the 
locomotive or locomotive engine.
    (c) Prohibited controls. You may not design or produce your 
locomotives with emission control devices, systems, or elements of 
design that cause or contribute to an unreasonable risk to public 
health, welfare, or safety while operating. For example, this would 
apply if the locomotive emits a noxious or toxic substance it would 
otherwise not emit that contributes to such an unreasonable risk.
    (d) Evaporative and refueling controls. For locomotives fueled with 
a volatile fuel you must design and produce them to minimize 
evaporative emissions during normal operation, including periods when 
the engine is shut down. You must also design and produce them to 
minimize the escape of fuel vapors during refueling. Hoses used to 
refuel gaseous-fueled locomotives may not be designed to be bled or 
vented to the atmosphere under normal operating conditions. No valves 
or pressure relief vents may be used on gaseous-fueled locomotives 
except as emergency safety devices that do not operate at normal system 
operating flows and pressures.
    (e) Altitude requirements. All locomotives must be designed to 
include features that compensate for changes in altitude so that the 
locomotives will comply with the applicable emission standards when 
operated at any altitude less than:
    (1) 7000 feet above sea level for line-haul locomotives.
    (2) 5500 feet above sea level for switch locomotives.
    (f) Defeat devices. You may not equip your locomotives with a 
defeat device. A defeat device is an auxiliary emission control device 
(AECD) that reduces the effectiveness of emission controls under 
conditions that the locomotive may reasonably be expected to encounter 
during normal operation and use.
    (1) This does not apply to AECDs you identify in your certification 
application if any of the following is true:
    (i) The conditions of concern were substantially included in the 
applicable duty cycle test procedures described in subpart F of this 
part.
    (ii) You show your design is necessary to prevent locomotive damage 
or accidents.
    (iii) The reduced effectiveness applies only to starting the 
locomotive.
    (iv) The locomotive emissions when the AECD is functioning are at 
or below the notch caps of Sec.  1033.101.
    (g) Idle controls. All new locomotives must be equipped with 
automatic engine stop/start as described in this paragraph (g). All new 
locomotives must be designed to allow the engine(s) to be restarted at 
least six times per day without causing engine damage that would affect 
the expected interval between remanufacturing. Note that it is a 
violation of 40 CFR 1068.101(b)(1) to circumvent the provisions of this 
paragraph (g).
    (1) Except as allowed by paragraph (g)(2) of this section, the 
stop/start systems must shut off the main locomotive engine(s) after 30 
minutes of idling (or less).
    (2) Stop/start systems may restart or continue idling for the 
following reasons:
    (i) To prevent engine damage such as to prevent the engine coolant 
from freezing.
    (ii) To maintain air pressure for brakes or starter system, or to 
recharge the locomotive battery.
    (iii) To perform necessary maintenance.
    (iv) To otherwise comply with federal regulations.
    (4) You may ask to use alternate stop/start systems that will 
achieve equivalent idle control.
    (5) See Sec.  1033.201 for provisions that allow you to obtain a 
separate certificate for idle controls.
    (6) It is not considered circumvention to allow a locomotive to 
idle to heat or cool the cab, provided such heating or cooling is 
necessary.
    (h) Power meters. Tier 1 and later locomotives must be equipped 
with MW-hr meters (or the equivalent) consistent with the 
specifications of Sec.  1033.140.


Sec.  1033.120  Emission-related warranty requirements.

    (a) General requirements. Manufacturers/remanufacturers must 
warrant to the ultimate purchaser and each subsequent purchaser that 
the new locomotive, including all parts of its emission control system, 
meets two conditions:
    (1) It is designed, built, and equipped so it conforms at the time 
of sale to the ultimate purchaser with the requirements of this part.

[[Page 37203]]

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


Sec.  1033.125   Maintenance instructions.

    Give the owner of each new locomotive written instructions for 
properly maintaining and using the locomotive, including the emission-
control system. Include in the instructions a notification that owners 
and operators must comply with the requirements of subpart I of this 
part 1033. The emission-related maintenance instructions also apply to 
any service accumulation on your emission-data locomotives, as 
described in Sec.  1033.245 and in 40 CFR part 1065. If you equip your 
locomotives with a diagnostic system that will detect significant 
malfunctions in their emission-control systems, specify the extent to 
which your emission-related maintenance instructions include such 
diagnostics.


Sec.  1033.130   Instructions for engine remanufacturing or engine 
installation.

    (a) If you do not complete assembly of the new locomotive (such as 
selling a kit that allows someone else to remanufacture a locomotive 
under your certificate), give the assembler instructions for completing 
assembly consistent with the requirements of this part. Include all 
information necessary to ensure that the locomotive will be assembled 
in its certified configuration.
    (b) Make sure these instructions have the following information:
    (1) Include the heading: ``Emission-related assembly 
instructions''.
    (2) Describe any instructions necessary to make sure the assembled 
locomotive will operate according to design specifications in your 
application for certification.
    (3) Describe how to properly label the locomotive. This will 
generally include instructions to remove and destroy the previous 
Engine Emission Control Information label.
    (4) State one of the following as applicable:
    (i) ``Failing to follow these instructions when remanufacturing a 
locomotive or locomotive engine violates federal law (40 CFR 
1068.105(b)), and may subject you to fines or other penalties as 
described in the Clean Air Act.''.
    (ii) ``Failing to follow these instructions when installing this 
locomotive engine violates federal law (40 CFR 1068.105(b)), and may 
subject you to fines or other penalties as described in the Clean Air 
Act.''.
    (c) You do not need installation instructions for locomotives you 
assemble.
    (d) Provide instructions in writing or in an equivalent format. For 
example, you may post instructions on a publicly available Web site for 
downloading or printing. If you do not provide the instructions in 
writing, explain in your application for certification how you will 
ensure that each assembler is informed of the assembly requirements.
    (e) Your emission-related assembly instructions may not include 
specifications for parts unrelated to emissions. For the basic 
mechanical parts listed in this paragraph (e), you may not specify a 
part manufacturer unless we determine that such a specification is 
necessary. You may include design specifications for such parts 
addressing the dimensions and material constraints as necessary. You 
may also specify a part number, as long you make it clear that 
alternate part suppliers may be used. This paragraph (e) covers the 
following parts or other parts we determine qualify as basic mechanical 
parts:
    (1) Intake and exhaust valves.
    (2) Intake and exhaust valve retainers.
    (3) Intake and exhaust valve springs.
    (4) Intake and exhaust valve rotators.
    (5) Oil coolers.


Sec.  1033.135   Labeling.

    As described in this section, each locomotive must have a label on 
the locomotive and a separate label on the engine. The label on the 
locomotive stays on the locomotive throughout its service life. It 
generally identifies the original certification of the locomotive, 
which is when it was originally manufactured for Tier 1 and later 
locomotives. The label on the engine is replaced each time the 
locomotive is remanufactured and identifies the most recent 
certification.
    (a) Serial numbers. At the point of original manufacture, assign 
each locomotive and each locomotive engine a serial number or other 
unique identification number and permanently affix, engrave, or stamp 
the number on the locomotive and engine in a legible way.
    (b) Locomotive labels. (1) Locomotive labels meeting the 
specifications of paragraph (b)(2) of this section must be applied as 
follows:
    (i) The manufacturer must apply a locomotive label at the point of 
original manufacture.
    (ii) The remanufacturer must apply a locomotive label at the point 
of original remanufacture, unless the locomotive was labeled by the 
original manufacturer.
    (iii) Any remanufacturer certifying a locomotive to an FEL or 
standard different from the previous FEL or standard to which the 
locomotive was previously certified must apply a locomotive label.
    (2) The locomotive label must meet all of the following criteria:
    (i) The label must be permanent and legible and affixed to the 
locomotive in a position in which it will remain readily visible. 
Attach it to a locomotive chassis part necessary for normal operation 
and not normally requiring

[[Page 37204]]

replacement during the service life of the locomotive. You may not 
attach this label to the engine or to any equipment that is easily 
detached from the locomotive. Attach the label so that it cannot be 
removed without destroying or defacing the label. For Tier 0 
locomotives, the label may be made up of more than one piece, as long 
as all pieces are permanently attached to the locomotive.
    (ii) The label must be lettered in the English language using a 
color that contrasts with the background of the label.
    (iii) The label must include all the following information:
    (A) The label heading: ``ORIGINAL LOCOMOTIVE EMISSION CONTROL 
INFORMATION.'' Manufacturers/remanufacturers may add a subheading to 
distinguish this label from the engine label described in paragraph (c) 
of this section.
    (B) Full corporate name and trademark of the manufacturer (or 
remanufacturer).
    (C) The applicable engine family and configuration identification. 
In the case of locomotive labels applied by the manufacturer at the 
point of original manufacture, this will be the engine family and 
configuration identification of the certificate applicable to the 
freshly manufactured locomotive. In the case of locomotive labels 
applied by a remanufacturer during remanufacture, this will be the 
engine family and configuration identification of the certificate under 
which the remanufacture is being performed.
    (D) Date of original manufacture of the locomotive, as defined in 
Sec.  1033.901.
    (E) The standards/FELs to which the locomotive was certified and 
the following statement: ``THIS LOCOMOTIVE MUST COMPLY WITH THESE 
EMISSION LEVELS EACH TIME THAT IT IS REMANUFACTURED, EXCEPT AS ALLOWED 
BY 40 CFR 1033.750.''.
    (3) Label diesel-fueled locomotives near the fuel inlet to identify 
the allowable fuels, consistent with Sec.  1033.101. For example, Tier 
4 locomotives should be labeled ``ULTRA LOW SULFUR DIESEL FUEL ONLY''. 
You do not need to label Tier 3 and earlier locomotives certified for 
use with both LSD and ULSD.
    (c) Engine labels. (1) For engines not requiring aftertreatment 
devices, apply engine labels meeting the specifications of paragraph 
(c)(2) of this section once an engine has been assembled in its 
certified configuration. For engines that require aftertreatment 
devices, apply the label after the engine has been fully assembled, 
which may occur before installing the aftertreatment devices. These 
labels must be applied by:
    (i) The manufacturer at the point of original manufacture; and
    (ii) The remanufacturer at the point of each remanufacture 
(including the original remanufacture and subsequent remanufactures).
    (2) The engine label must meet all of the following criteria:
    (i) The label must be durable throughout the useful life of the 
engine, be legible and affixed to the engine in a position in which it 
will be readily visible after installation of the engine in the 
locomotive. Attach it to an engine part necessary for normal operation 
and not normally requiring replacement during the useful life of the 
locomotive. You may not attach this label to any equipment that is 
easily detached from the engine. Attach the label so it cannot be 
removed without destroying or defacing the label. The label may be made 
up of more than one piece, as long as all pieces are permanently 
attached to the same engine part.
    (ii) The label must be lettered in the English language using a 
color that contrasts with the background of the label.
    (iii) The label must include all the following information:
    (A) The label heading: ``ENGINE EMISSION CONTROL INFORMATION.'' 
Manufacturers/remanufacturers may add a subheading to distinguish this 
label from the locomotive label described in paragraph (b) of this 
section.
    (B) Full corporate name and trademark of the manufacturer/
remanufacturer.
    (C) Engine family and configuration identification as specified in 
the certificate under which the locomotive is being manufactured or 
remanufactured.
    (D) A prominent unconditional statement of compliance with U.S. 
Environmental Protection Agency regulations which apply to locomotives, 
as applicable:
    (1) ``This locomotive conforms to U.S. EPA regulations applicable 
to Tier 0+ switch locomotives.''
    (2) ``This locomotive conforms to U.S. EPA regulations applicable 
to Tier 0+ line-haul locomotives.''
    (3) ``This locomotive conforms to U.S. EPA regulations applicable 
to Tier 1+ locomotives.''
    (4) ``This locomotive conforms to U.S. EPA regulations applicable 
to Tier 2+ locomotives.''
    (5) ``This locomotive conforms to U.S. EPA regulations applicable 
to Tier 3 switch locomotives.''
    (6) ``This locomotive conforms to U.S. EPA regulations applicable 
to Tier 3 line-haul locomotives.''
    (7) ``This locomotive conforms to U.S. EPA regulations applicable 
to Tier 4 switch locomotives.''
    (8) ``This locomotive conforms to U.S. EPA regulations applicable 
to Tier 4 line-haul locomotives.''
    (E) The useful life of the locomotive.
    (F) The standards/FELS to which the locomotive was certified.
    (iv) You may include other critical operating instructions such as 
specifications for adjustments or reductant use for SCR systems.
    (d) You may add information to the emission control information 
label as follows:
    (1) You may identify other emission standards that the engine/
locomotive meets or does not meet (such as international standards). 
You may include this information by adding it to the statement we 
specify or by including a separate statement.
    (2) You may add other information to ensure that the locomotive 
will be properly maintained and used.
    (3) You may add appropriate features to prevent counterfeit labels. 
For example, you may include the engine's unique identification number 
on the label.
    (e) You may ask us to approve modified labeling requirements in 
this part 1033 if you show that it is necessary or appropriate. We will 
approve your request if your alternate label is consistent with the 
requirements of this part.


Sec.  1033.140   Rated power.

    This section describes how to determine the rated power of a 
locomotive for the purposes of this part.
    (a) A locomotive configuration's rated power is the maximum brake 
power point on the nominal power curve for the locomotive 
configuration, as defined in this section. See Sec.  1033.901 for the 
definition of brake power. Round the power value to the nearest whole 
horsepower. Generally, this will be the brake power of the engine in 
notch 8.
    (b) The nominal power curve of a locomotive configuration is its 
maximum available brake power at each possible operator demand setpoint 
or ``notch''. See 40 CFR 1065.1001 for the definition of operator 
demand. The maximum available power at each operator demand setpoint is 
based on your design and production specifications for that locomotive. 
The nominal power curve does not include any operator demand setpoints 
that are not achievable during in-use operation. For example, for a 
locomotive with only

[[Page 37205]]

eight discrete operator demand setpoints, or notches, the nominal power 
curve would be a series of eight power points versus notch, rather than 
a continuous curve.
    (c) The nominal power curve must be within the range of the actual 
power curves of production locomotives considering normal production 
variability. If after production begins it is determined that your 
nominal power curve does not represent production locomotives, we may 
require you to amend your application for certification under Sec.  
1033.225.
    (d) For the purpose of determining useful life, you may need to use 
a rated power based on power other than brake power according to the 
provisions of this paragraph (d). The useful life must be based on the 
power measured by the locomotive's megawatt-hour meter. For example, if 
your megawatt-hour meter reads and records the electrical work output 
of the alternator/generator rather than the brake power of the engine, 
and the power output of the alternator/generator at notch 8 is 4000 
horsepower, calculate your useful life as 30,000 MW-hrs (7.5 x 4000).


Sec.  1033.150   Interim provisions.

    The provisions of this section apply instead of other provisions of 
this part for a limited time. This section describes when these 
provisions apply.
    (a) Early availability of Tier 0, Tier 1, or Tier 2 systems. Except 
as specified in paragraph (a)(2) of this section, for model years 2008 
and 2009, you may remanufacture locomotives to meet the applicable 
standards in 40 CFR part 92 only if no remanufacture system has been 
certified to meet the standards of this part and is available at a 
reasonable cost at least 90 days prior to the completion of the 
remanufacture as specified in paragraph (a)(3) of this section. This 
same provision continues to apply after 2009, but only for Tier 2 
locomotives. Note that remanufacturers may certify remanufacturing 
systems that will not be available at a reasonable cost; however such 
certification does not trigger the requirements of this paragraph (a).
    (1) For the purpose of this paragraph (a), ``available at a 
reasonable cost'' means available for use where all of the following 
are true:
    (i) The total incremental cost to the owner and operators of the 
locomotive due to meeting the new standards (including initial 
hardware, increased fuel consumption, and increased maintenance costs) 
during the useful life of the locomotive is less than $250,000, 
adjusted as specified in paragraph (a)(4)(i) of this section.
    (ii) The initial incremental hardware costs are reasonably related 
to the technology included in the remanufacturing system and are less 
than $125,000, adjusted as specified in paragraph (a)(4)(i) of this 
section.
    (iii) The remanufactured locomotive will have reliability 
throughout its useful life that is similar to the reliability the 
locomotive would have had if it had been remanufactured without the 
certified remanufacture system.
    (iv) The remanufacturer must demonstrate at the time of 
certification that the system meets the requirements of this paragraph 
(a)(1).
    (v) The system does not generate or use emission credits.
    (2) The number of locomotives that each railroad must remanufacture 
under this paragraph (a) is capped as follows:
    (i) For the period October 3, 2008 to December 31, 2008, the 
maximum number of locomotives that a railroad must remanufacture under 
this paragraph (a) is 50 percent of the total number of the railroad's 
locomotives that are remanufactured during this period under this part 
or 40 CFR part 92. Include in the calculation both locomotives you own 
and locomotives you lease.
    (ii) For the period January 1, 2009 to December 31, 2009, the 
maximum number of locomotives that a railroad must remanufacture under 
this paragraph (a) is 70 percent of the total number of the railroad's 
locomotives that are remanufactured during this period under this part 
or 40 CFR part 92. Include in the calculation both locomotives you own 
and locomotives you lease.
    (3) Remanufacturers applying for certificates under this paragraph 
(a) are responsible to notify owner/operators (and other customers as 
applicable) that they have requested such certificates. The 
notification should occur at the same time that the remanufacturer 
submits its application, and should include a description of the 
remanufacturing system, price, expected incremental operating costs, 
and draft copies of your installation and maintenance instructions. The 
system is considered to be available for a customer 120 days after this 
notification, or 90 days after the certificate is issued, whichever is 
later. Where we issue a certificate of conformity under this part based 
on carryover data from an engine family that we previously considered 
available for the configuration, the system is considered to be 
available when we issue the certificate.
    (4) Estimate costs as described in this paragraph (a)(4).
    (i) The cost limits described in paragraph (a)(1) of this section 
are specified in terms of 2007 dollars. Adjust these values for future 
years according to the following equation:

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

Where:

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

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

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

    (b) Idle controls. A locomotive equipped with an automatic engine 
stop/start system that was originally installed before January 1, 2008 
and that conforms to the requirements of Sec.  1033.115(g) is deemed to 
be covered by a certificate of conformity with respect to the 
requirements of Sec.  1033.115(g). Note that the provisions of subpart 
C of this part also allow you to apply for a conventional certificate 
of conformity for such systems.
    (c) Locomotive labels for transition to new standards. This 
paragraph (c) applies when you remanufacture a locomotive that was 
previously certified under 40 CFR part 92. You must remove the old 
locomotive label and replace it with the locomotive label specified in 
Sec.  1033.135.
    (d) Small manufacturer/remanufacturer provisions. The production-
line testing requirements and in-use testing requirements of this part 
do not apply until January 1, 2013 for manufacturers/remanufacturers 
that

[[Page 37206]]

qualify as small manufacturers under Sec.  1033.901.
    (e) Producing switch locomotives using certified nonroad engines. 
You may use the provisions of this paragraph (e) to produce any number 
of freshly manufactured or refurbished switch locomotives in model 
years 2008 through 2017. Locomotives produced under this paragraph (e) 
are exempt from the standards and requirements of this part and 40 CFR 
part 92 subject to the following provisions:
    (1) All of the engines on the switch locomotive must be covered by 
a certificate of conformity issued under 40 CFR part 89 or 1039 for 
model year 2008 or later. Engines over 750 hp certified to the Tier 4 
standards for non-generator set engines are not eligible for this 
allowance after 2014.
    (2) You must reasonably project that more of the engines will be 
sold and used for non-locomotive use than for use in locomotives.
    (3) You may not generate or use locomotive credits under this part 
for these locomotives.
    (4) Include the following statement on a permanent locomotive 
label: ``THIS LOCOMOTIVE WAS CERTIFIED UNDER 40 CFR 1033.150(e). THE 
ENGINES USED IN THIS LOCOMOTIVE ARE SUBJECT TO REQUIREMENTS OF 40 CFR 
PARTS 1039 (or 89) AND 1068.''
    (5) The rebuilding requirements of 40 CFR part 1068 apply when 
remanufacturing engines used in these locomotives.
    (f) In-use compliance limits. For purposes of determining 
compliance other than for certification or production-line testing, 
calculate the applicable in-use compliance limits by adjusting the 
applicable standards/FELs. The PM adjustment applies only for model 
year 2017 and earlier locomotives and does not apply for locomotives 
with a PM FEL higher than 0.03 g/bhp-hr. The NOX adjustment 
applies only for model year 2017 and earlier locomotives and does not 
apply for locomotives with a NOX FEL higher than 2.0 g/bhp-
hr. Add the applicable adjustments in Tables 1 or 2 of this section 
(which follow) to the otherwise applicable standards (or FELs) and 
notch caps. You must specify during certification which add-ons, if 
any, will apply for your locomotives.

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


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

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

[[Page 37207]]

have accumulated 50 hours or more of operation is the FEL plus 0.6 g/
bhp-hr.
    (7) The in-use NOX add-ons specified in paragraph (f) of 
this section do not apply for these locomotives.
    (8) All other provisions of this part apply to such locomotives, 
except as specified otherwise in this paragraph (g).
    (h) Test procedures. You are generally required to use the test 
procedures specified in subpart F of this part (including the 
applicable test procedures in 40 CFR part 1065). As specified in this 
paragraph (h), you may use a combination of the test procedures 
specified in this part and the test procedures specified in 40 CFR part 
92 prior to January 1, 2015. After this date, you must use only the 
test procedures specified in this part.
    (1) Prior to January 1, 2015, you may ask to use some or all of the 
procedures specified in 40 CFR part 92 for locomotives certified under 
this part 1033.
    (2) If you ask to rely on a combination of procedures under this 
paragraph (h), we will approve your request only if you show us that it 
does not affect your ability to demonstrate compliance with the 
applicable emission standards. Generally this requires that the 
combined procedures would result in emission measurements at least as 
high as those that would be measured using the procedures specified in 
this part. Alternatively, you may demonstrate that the combined effects 
of the different procedures is small relative to your compliance margin 
(the degree to which your emissions are below the applicable 
standards).
    (i) Certification testing. Prior to model year 2014, you may use 
the simplified steady-state engine test procedure specified in this 
paragraph (i) for certification testing. The normal certification 
procedures and engine testing procedures apply, except as specified in 
this paragraph (i).
    (1) Use good engineering judgment to operate the engine consistent 
with its expected operation in the locomotive, to the extent practical. 
You are not required to exactly replicate the transient behavior of the 
engine.
    (2) You may delay sampling during notch transition for up to 20 
seconds after you begin the notch change.
    (3) We may require you provide additional information in your 
application for certification to support the expectation that 
production locomotives will meet all applicable emission standards when 
tested as locomotives.
    (4) You may not use this simplified procedure for production-line 
or in-use testing.
    (j) Administrative requirements. For model years 2008 and 2009, you 
may use a combination of the administrative procedures specified in 
this part and the test procedures specified in 40 CFR part 92. For 
example, this would allow you to use the certification procedures of 40 
CFR part 92 to apply for certificates under this part 1033.
    (k) Test fuels. Testing performed during calendar years 2008 and 
2009 may be performed using test fuels that meet the specifications of 
40 CFR 92.113. If you do, adjust PM emissions downward by 0.04 g/bhp-hr 
to account for the difference in sulfur content of the fuel.
    (1) Refurbished switch locomotives. In 2008 and 2009 remanufactured 
Tier 0 switch locomotives that are deemed to be refurbished may be 
certified as remanufactured switch locomotives under 40 CFR part 92.

Subpart C--Certifying Engine Families


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

    Certification is the process by which you demonstrate to us that 
your freshly manufactured or remanufactured locomotives will meet the 
applicable emission standards throughout their useful lives (explaining 
to us how you plan to manufacture or remanufacture locomotives, and 
providing test data showing that such locomotives will comply with all 
applicable emission standards). Anyone meeting the definition of 
manufacturer in Sec.  1033.901 may apply for a certificate of 
conformity for freshly manufactured locomotives. Anyone meeting the 
definition of remanufacturer in Sec.  1033.901 may apply for a 
certificate of conformity for remanufactured locomotives.
    (a) You must send us a separate application for a certificate of 
conformity for each engine family. A certificate of conformity is valid 
starting with the indicated effective date, but it is not valid for any 
production after December 31 of the model year for which it is issued. 
No certificate will be issued after December 31 of the model year.
    (b) The application must contain all the information required by 
this part and must not include false or incomplete statements or 
information (see Sec.  1033.255).
    (c) We may ask you to include less information than we specify in 
this subpart, as long as you maintain all the information required by 
Sec.  1033.250.
    (d) You must use good engineering judgment for all decisions 
related to your application (see 40 CFR 1068.5).
    (e) An authorized representative of your company must approve and 
sign the application.
    (f) See Sec.  1033.255 for provisions describing how we will 
process your application.
    (g) We may require you to deliver your test locomotives to a 
facility we designate for our testing (see Sec.  1033.235(c)).
    (h) By applying for a certificate of conformity, you are accepting 
responsibility for the in-use emission performance of all properly 
maintained and used locomotives covered by your certificate. This 
responsibility applies without regard to whether you physically 
manufacture or remanufacture the entire locomotive. If you do not 
physically manufacture or remanufacture the entire locomotive, you must 
take reasonable steps (including those specified by this part) to 
ensure that the locomotives produced under your certificate conform to 
the specifications of your application for certification. Note that 
this paragraph does not limit any liability under this part or the 
Clean Air Act for entities that do not obtain certificates. This 
paragraph also does not prohibit you from making contractual 
arrangements with noncertifiers related to recovering damages for 
noncompliance.
    (i) The provisions of this subpart describe how to obtain a 
certificate that covers all standards and requirements. Manufacturer/
remanufacturers may ask to obtain a certificate of conformity that does 
not cover the idle control requirements of Sec.  1033.115 or one that 
only covers the idle control requirements of Sec.  1033.115. 
Remanufacturers obtaining such partial certificates must include a 
statement in their installation instructions that two certificates and 
labels are required for a locomotive to be in a fully certified 
configuration. We may modify the certification requirements for 
certificates that will only cover idle control systems.


Sec.  1033.205  Applying for a certificate of conformity.

    (a) Send the Designated Compliance Officer a complete application 
for each engine family for which you are requesting a certificate of 
conformity.
    (b) The application must be approved and signed by the authorized 
representative of your company.
    (c) You must update and correct your application to accurately 
reflect your production, as described in Sec.  1033.225.

[[Page 37208]]

    (d) Include the following information in your application:
    (1) A description of the basic engine design including, but not 
limited to, the engine family specifications listed in Sec.  1033.230. 
For freshly manufactured locomotives, a description of the basic 
locomotive design. For remanufactured locomotives, a description of the 
basic locomotive designs to which the remanufacture system will be 
applied. Include in your description, a list of distinguishable 
configurations to be included in the engine family. Note whether you 
are requesting a certificate that will or will not cover idle controls.
    (2) An explanation of how the emission control system operates, 
including detailed descriptions of:
    (i) All emission control system components.
    (ii) Injection or ignition timing for each notch (i.e., degrees 
before or after top-dead-center), and any functional dependence of such 
timing on other operational parameters (e.g., engine coolant 
temperature).
    (iii) Each auxiliary emission control device (AECD).
    (iv) All fuel system components to be installed on any production 
or test locomotives.
    (v) Diagnostics.
    (3) A description of the test locomotive.
    (4) A description of the test equipment and fuel used. Identify any 
special or alternate test procedures you used.
    (5) A description of the operating cycle and the period of 
operation necessary to accumulate service hours on the test locomotive 
and stabilize emission levels. You may also include a Green Engine 
Factor that would adjust emissions from zero-hour engines to be 
equivalent to stabilized engines.
    (6) A description of all adjustable operating parameters 
(including, but not limited to, injection timing and fuel rate), 
including the following:
    (i) The nominal or recommended setting and the associated 
production tolerances.
    (ii) The intended adjustable range, and the physically adjustable 
range.
    (iii) The limits or stops used to limit adjustable ranges.
    (iv) Production tolerances of the limits or stops used to establish 
each physically adjustable range.
    (v) Information relating to why the physical limits or stops used 
to establish the physically adjustable range of each parameter, or any 
other means used to inhibit adjustment, are the most effective means 
possible of preventing adjustment of parameters to settings outside 
your specified adjustable ranges on in-use engines.
    (7) Projected U.S. production information for each configuration. 
If you are projecting substantially different sales of a configuration 
than you had previously, we may require you to explain why you are 
projecting the change.
    (8) All test data you obtained for each test engine or locomotive. 
As described in Sec.  1033.235, we may allow you to demonstrate 
compliance based on results from previous emission tests, development 
tests, or other testing information. Include data for NOX, 
PM, HC, CO, and CO2.
    (9) The intended deterioration factors for the engine family, in 
accordance with Sec.  1033.245. If the deterioration factors for the 
engine family were developed using procedures that we have not 
previously approved, you should request preliminary approval under 
Sec.  1033.210.
    (10) The intended useful life period for the engine family, in 
accordance with Sec.  1033.101(g). If the useful life for the engine 
family was determined using procedures that we have not previously 
approved, you should request preliminary approval under Sec.  1033.210.
    (11) Copies of your proposed emission control label(s), maintenance 
instructions, and installation instructions (where applicable).
    (12) An unconditional statement declaring that all locomotives 
included in the engine family comply with all requirements of this part 
and the Clean Air Act.
    (e) If we request it, you must supply such additional information 
as may be required to evaluate the application.
    (f) Provide the information to read, record, and interpret all the 
information broadcast by a locomotive's onboard computers and 
electronic control units. State that, upon request, you will give us 
any hardware, software, or tools we would need to do this. You may 
reference any appropriate publicly released standards that define 
conventions for these messages and parameters. Format your information 
consistent with publicly released standards.
    (g) Include the information required by other subparts of this 
part. For example, include the information required by Sec.  1033.725 
if you participate in the ABT program.
    (h) Include other applicable information, such as information 
specified in this part or part 1068 of this chapter related to requests 
for exemptions.
    (i) Name an agent for service located in the United States. Service 
on this agent constitutes service on you or any of your officers or 
employees for any action by EPA or otherwise by the United States 
related to the requirements of this part.
    (j) For imported locomotives, we may require you to describe your 
expected importation process.


Sec.  1033.210  Preliminary approval.

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


Sec.  1033.220   Amending maintenance instructions.

    You may amend your emission-related maintenance instructions after 
you submit your application for certification, as long as the amended 
instructions remain consistent with the provisions of Sec.  1033.125. 
You must send the Designated Compliance Officer a request to amend your 
application for certification for an engine family if you want to 
change the emission-related maintenance instructions in a way that 
could affect emissions. In your request, describe the proposed changes 
to the maintenance instructions. We will approve your request if we 
determine that the amended instructions are consistent with maintenance 
you performed on emission-data engines such that your durability 
demonstration would remain valid. If owners/operators follow the 
original maintenance instructions rather than the newly specified 
maintenance, this does not allow you to disqualify those locomotives 
from in-use testing or deny a warranty claim.
    (a) If you are decreasing, replacing, or eliminating any of the 
specified

[[Page 37209]]

maintenance, you may distribute the new maintenance instructions to 
your customers 30 days after we receive your request, unless we 
disapprove your request. This would generally include replacing one 
maintenance step with another. We may approve a shorter time or waive 
this requirement.
    (b) If your requested change would not decrease the specified 
maintenance, you may distribute the new maintenance instructions 
anytime after you send your request. For example, this paragraph (b) 
would cover adding instructions to increase the frequency of filter 
changes for locomotives in severe-duty applications.
    (c) You do not need to request approval if you are making only 
minor corrections (such as correcting typographical mistakes), 
clarifying your maintenance instructions, or changing instructions for 
maintenance unrelated to emission control. We may ask you to send us 
copies of maintenance instructions revised under this paragraph (c).


Sec.  1033.225  Amending applications for certification.

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


Sec.  1033.230  Grouping locomotives into engine families.

    (a) Divide your product line into engine families of locomotives 
that are expected to have similar emission characteristics throughout 
the useful life. Your engine family is limited to a single model year. 
Freshly manufactured locomotives may not be included in the same engine 
family as remanufactured locomotives, except as allowed by paragraph 
(f) of this section. Paragraphs (b) and (c) of this section specify 
default criteria for dividing locomotives into engine families. 
Paragraphs (d) and (e) of this section allow you deviate from these 
defaults in certain circumstances.

[[Page 37210]]

    (b) This paragraph (b) applies for all locomotives other than Tier 
0 locomotives. Group locomotives in the same engine family if they are 
the same in all the following aspects:
    (1) The combustion cycle (e.g., diesel cycle).
    (2) The type of engine cooling employed and procedure(s) employed 
to maintain engine temperature within desired limits (thermostat, on-
off radiator fan(s), radiator shutters, etc.).
    (3) The nominal bore and stroke dimensions.
    (4) The approximate intake and exhaust event timing and duration 
(valve or port).
    (5) The location of the intake and exhaust valves (or ports).
    (6) The size of the intake and exhaust valves (or ports).
    (7) The overall injection or ignition timing characteristics (i.e., 
the deviation of the timing curves from the optimal fuel economy timing 
curve must be similar in degree).
    (8) The combustion chamber configuration and the surface-to-volume 
ratio of the combustion chamber when the piston is at top dead center 
position, using nominal combustion chamber dimensions.
    (9) The location of the piston rings on the piston.
    (10) The method of air aspiration (turbocharged, supercharged, 
naturally aspirated, Roots blown).
    (11) The general performance characteristics of the turbocharger or 
supercharger (e.g., approximate boost pressure, approximate response 
time, approximate size relative to engine displacement).
    (12) The type of air inlet cooler (air-to-air, air-to-liquid, 
approximate degree to which inlet air is cooled).
    (13) The intake manifold induction port size and configuration.
    (14) The type of fuel and fuel system configuration.
    (15) The configuration of the fuel injectors and approximate 
injection pressure.
    (16) The type of fuel injection system controls (i.e., mechanical 
or electronic).
    (17) The type of smoke control system.
    (18) The exhaust manifold port size and configuration.
    (19) The type of exhaust aftertreatment system (oxidation catalyst, 
particulate trap), and characteristics of the aftertreatment system 
(catalyst loading, converter size vs. engine size).
    (c) Group Tier 0 locomotives in the same engine family if they are 
the same in all the following aspects:
    (1) The combustion cycle (e.g., diesel cycle).
    (2) The type of engine cooling employed and procedure(s) employed 
to maintain engine temperature within desired limits (thermostat, on-
off radiator fan(s), radiator shutters, etc.).
    (3) The approximate bore and stroke dimensions.
    (4) The approximate location of the intake and exhaust valves (or 
ports).
    (5) The combustion chamber general configuration and the 
approximate surface-to-volume ratio of the combustion chamber when the 
piston is at top dead center position, using nominal combustion chamber 
dimensions.
    (6) The method of air aspiration (turbocharged, supercharged, 
naturally aspirated, Roots blown).
    (7) The type of air inlet cooler (air-to-air, air-to-liquid, 
approximate degree to which inlet air is cooled).
    (8) The type of fuel and general fuel system configuration.
    (9) The general configuration of the fuel injectors and approximate 
injection pressure.
    (10) The type of fuel injection system control (electronic or 
mechanical).
    (d) You may subdivide a group of locomotives that is identical 
under paragraph (b) or (c) of this section into different engine 
families if you show the expected emission characteristics are 
different during the useful life. This allowance also covers 
locomotives for which only calculated emission rates differ, such as 
locomotives with and without energy-saving design features. For the 
purposes of determining whether an engine family is a small engine 
family in Sec.  1033.405(a)(2), we will consider the number of 
locomotives that could have been classed together under paragraph (b) 
or (c) of this section, instead of the number of locomotives that are 
included in a subdivision allowed by this paragraph (d).
    (e) In unusual circumstances, you may group locomotives that are 
not identical with respect to the things listed in paragraph (b) or (c) 
of this section in the same engine family if you show that their 
emission characteristics during the useful life will be similar.
    (f) During the first six calendar years after a new tier of 
standards become applicable, remanufactured engines/locomotives may be 
included in the same engine family as freshly manufactured locomotives, 
provided the same engines and emission controls are used for locomotive 
models included in the engine family.


Sec.  1033.235  Emission testing required for certification.

    This section describes the emission testing you must perform to 
show compliance with the emission standards in Sec.  1033.101.
    (a) Select an emission-data locomotive (or engine) from each engine 
family for testing. It may be a low mileage locomotive, or a 
development engine (that is equivalent in design to the engines of the 
locomotives being certified), or another low hour engine. Use good 
engineering judgment to select the locomotive configuration that is 
most likely to exceed (or have emissions nearest to) an applicable 
emission standard or FEL. In making this selection, consider all 
factors expected to affect emission control performance and compliance 
with the standards, including emission levels of all exhaust 
constituents, especially NOX and PM.
    (b) Test your emission-data locomotives using the procedures and 
equipment specified in subpart F of this part.
    (c) We may measure emissions from any of your test locomotives or 
other locomotives from the engine family.
    (1) We may decide to do the testing at your plant or any other 
facility. If we do this, you must deliver the test locomotive to a test 
facility we designate. If we do the testing at your plant, you must 
schedule it as soon as possible and make available the instruments, 
personnel, and equipment we need.
    (2) If we measure emissions from one of your test locomotives, the 
results of that testing become the official emission results for the 
locomotive. Unless we later invalidate these data, we may decide not to 
consider your data in determining if your engine family meets 
applicable requirements.
    (3) Before we test one of your locomotives, we may set its 
adjustable parameters to any point within the adjustable ranges (see 
Sec.  1033.115(b)).
    (4) Before we test one of your locomotives, we may calibrate it 
within normal production tolerances for anything we do not consider an 
adjustable parameter.
    (d) You may ask to use emission data from a previous model year 
instead of doing new tests if all the following are true:
    (1) The engine family from the previous model year differs from the 
current engine family only with respect to model year, or other factors 
not related to emissions. You may include additional configurations 
subject to the provisions of Sec.  1033.225.
    (2) The emission-data locomotive from the previous model year 
remains the appropriate emission-data locomotive under paragraph (b) of 
this section.

[[Page 37211]]

    (3) The data show that the emission-data locomotive would meet all 
the requirements that apply to the engine family covered by the 
application for certification.
    (e) You may ask to use emission data from a different engine family 
you have already certified instead of testing a locomotive in the 
second engine family if all the following are true:
    (1) The same engine is used in both engine families.
    (2) You demonstrate to us that the differences in the two families 
are sufficiently small that the locomotives in the untested family will 
meet the same applicable notch standards calculated from the test data.
    (f) We may require you to test a second locomotive of the same or 
different configuration in addition to the locomotive tested under 
paragraph (b) of this section.
    (g) If you use an alternate test procedure under 40 CFR 1065.10 and 
later testing shows that such testing does not produce results that are 
equivalent to the procedures specified in subpart F of this part, we 
may reject data you generated using the alternate procedure.
    (h) The requirement to measure smoke emissions is waived for 
certification and production line testing, except where there is reason 
to believe your locomotives do not meet the applicable smoke standards.


Sec.  1033.240  Demonstrating compliance with exhaust emission 
standards.

    (a) For purposes of certification, your engine family is considered 
in compliance with the applicable numerical emission standards in Sec.  
1033.101 if all emission-data locomotives representing that family have 
test results showing deteriorated emission levels at or below these 
standards.
    (1) If you include your locomotive in the ABT program in subpart H 
of this part, your FELs are considered to be the applicable emission 
standards with which you must comply.
    (2) If you do not include your remanufactured locomotive in the ABT 
program in subpart H of this part, but it was previously included in 
the ABT program in subpart H of this part, the previous FELs are 
considered to be the applicable emission standards with which you must 
comply.
    (b) Your engine family is deemed not to comply if any emission-data 
locomotive representing that family has test results showing a 
deteriorated emission level above an applicable FEL or emission 
standard from Sec.  1033.101 for any pollutant. Use the following steps 
to determine the deteriorated emission level for the test locomotive:
    (1) Collect emission data using measurements with enough 
significant figures to calculate the cycle-weighted emission rate to at 
least one more decimal place than the applicable standard. Apply any 
applicable humidity corrections before weighting emissions.
    (2) Apply the regeneration factors if applicable. At this point the 
emission rate is generally considered to be an official emission 
result.
    (3) Apply the deterioration factor to the official emission result, 
as described in Sec.  1033.245, then round the adjusted figure to the 
same number of decimal places as the emission standard. This adjusted 
value is the deteriorated emission level. Compare these emission levels 
from the emission-data locomotive with the applicable emission 
standards. In the case of NOX+NMHC standards, apply the 
deterioration factor to each pollutant and then add the results before 
rounding.
    (4) The highest deteriorated emission levels for each pollutant are 
considered to be the certified emission levels.
    (c) An owner/operator remanufacturing its locomotives to be 
identical to their previously certified configuration may certify by 
design without new emission test data. To do this, submit the 
application for certification described in Sec.  1033.205, but instead 
of including test data, include a description of how you will ensure 
that your locomotives will be identical in all material respects to 
their previously certified condition. You may use reconditioned parts 
consistent with good engineering judgment. You have all of the 
liabilities and responsibilities of the certificate holder for 
locomotives you certify under this paragraph.


Sec.  1033.245  Deterioration factors.

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

[[Page 37212]]

good engineering judgment. You may use separate deterioration factors 
for crankcase emissions of each pollutant (either multiplicative or 
additive) or include the effects in combined deterioration factors that 
include exhaust and crankcase emissions together for each pollutant.
    (e) Include the following information in your application for 
certification:
    (1) If you determine your deterioration factors based on test data 
from a different engine family, explain why this is appropriate and 
include all the emission measurements on which you base the 
deterioration factor.
    (2) If you determine your deterioration factors based on 
engineering analysis, explain why this is appropriate and include a 
statement that all data, analyses, evaluations, and other information 
you used are available for our review upon request.
    (3) If you do testing to determine deterioration factors, describe 
the form and extent of service accumulation, including a rationale for 
selecting the service-accumulation period and the method you use to 
accumulate hours.


Sec.  1033.250  Reporting and recordkeeping.

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


Sec.  1033.255  EPA decisions.

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

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


Sec.  1033.301   Applicability.

    The requirements of this part apply to manufacturers/
remanufacturers of locomotives certified under this part, with the 
following exceptions:
    (a) The requirements of Sec. Sec.  1033.310 1033.315, 1033.320, and 
1033.330 apply only to manufacturers of freshly manufactured 
locomotives or locomotive engines (including those used for 
repowering). We may also apply these requirements to remanufacturers of 
any locomotives for which there is reason to believe production 
problems exist that could affect emission performance. When we make a 
determination that production problems may exist that could affect 
emission performance, we will notify the remanufacturer(s). The 
requirements of Sec. Sec.  1033.310, 1033.315, 1033.320, and 1033.330 
will apply as specified in the notice.
    (b) The requirements of Sec.  1033.335 apply only to 
remanufacturers.
    (c) As specified in Sec.  1033.1(d), we may apply the requirements 
of this subpart to manufacturers/remanufacturers that do not certify 
the

[[Page 37213]]

locomotives. However, unless we specify otherwise, the requirements of 
this subpart apply to manufacturers/remanufacturers that hold the 
certificates for the locomotives.


Sec.  1033.305   General requirements.

    (a) Manufacturers (and remanufacturers, where applicable) are 
required to test production line locomotives using the test procedures 
specified in Sec.  1033.315. While this subpart refers to locomotive 
testing, you may ask to test locomotive engines instead of testing 
locomotives.
    (b) Remanufacturers are required to conduct audits according to the 
requirements of Sec.  1033.335 to ensure that remanufactured 
locomotives comply with the requirements of this part.
    (c) If you certify an engine family with carryover emission data, 
as described in Sec.  1033.235, and these equivalent engine families 
consistently pass the production-line testing requirements over the 
preceding two-year period, you may ask for a reduced testing rate for 
further production-line testing for that family. If we reduce your 
testing rate, we may limit our approval to any number of model years. 
In determining whether to approve your request, we may consider the 
number of locomotives that have failed emission tests.
    (d) You may ask to use an alternate program or measurement method 
for testing production-line engines. In your request, you must show us 
that the alternate program gives equal assurance that your engines meet 
the requirements of this part. We may waive some or all of this 
subpart's requirements if we approve your alternate program.


Sec.  1033.310   Sample selection for testing.

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


Sec.  1033.315  Test procedures.

    (a) Test procedures. Use the test procedures described in subpart F 
of this part, except as specified in this section.
    (1) You may ask to use other test procedures. We will approve your 
request if we determine that it is not possible to perform satisfactory 
testing using the specified procedures. We may also approve alternate 
test procedures under Sec.  1033.305(d).
    (2) If you used test procedures other than those in subpart F of 
this part during certification for the engine family (other than 
alternate test procedures necessary for testing a development engine or 
a low hour engine instead of a low mileage locomotive), use the same 
test procedures for production line testing that you used in 
certification.
    (b) Modifying a test locomotive. Once an engine is selected for 
testing, you may adjust, repair, maintain, or modify it or check its 
emissions only if one of the following is true:
    (1) You document the need for doing so in your procedures for 
assembling and inspecting all your production engines and make the 
action routine for all the engines in the engine family.
    (2) This subpart otherwise specifically allows your action.
    (3) We approve your action in advance.
    (c) Adjustable parameters. (1) Confirm that adjustable parameters 
are set to values or positions that are within the range recommended to 
the ultimate purchaser.
    (2) We may require to be adjusted any adjustable parameter to any 
setting within the specified adjustable range of that parameter prior 
to the performance of any test.
    (d) Stabilizing emissions. You may stabilize emissions from the 
locomotives to be tested through service accumulation by running the 
engine through a typical duty cycle. Emissions are considered 
stabilized after 300 hours of operation. You may accumulate fewer 
hours, consistent with good engineering judgment. You may establish a 
Green Engine Factor for each regulated pollutant for each engine 
family, instead of (or in combination with) accumulating actual 
operation, to be used in calculating emissions test results. You must 
obtain our approval prior to using a Green Engine Factor. For catalyst-
equipped locomotives, you may operate the locomotive for up to 1000 
hours (in revenue or other service) prior to testing.
    (e) Adjustment after shipment. If a locomotive is shipped to a 
facility other than the production facility for production line 
testing, and an adjustment or repair is necessary because of such 
shipment, you may perform the necessary adjustment or repair only after 
the initial test of the locomotive, unless we determine that the test 
would be impossible to perform or would permanently damage the 
locomotive.
    (f) Malfunctions. If a locomotive cannot complete the service 
accumulation or an emission test because of a malfunction, you may 
request that we authorize either the repair of that locomotive or its 
deletion from the test sequence.
    (g) Retesting. If you determine that any production line emission 
test of a locomotive is invalid, you must retest it in accordance with 
the requirements of

[[Page 37214]]

this subpart. Report emission results from all tests to us, including 
test results you determined are invalid. You must also include a 
detailed explanation of the reasons for invalidating any test in the 
quarterly report required in Sec.  1033.320(e). In the event a retest 
is performed, you may ask us within ten days of the end of the 
production quarter for permission to substitute the after-repair test 
results for the original test results. We will respond to the request 
within ten working days of our receipt of the request.


Sec.  1033.320   Calculation and reporting of test results.

    (a) Calculate initial test results using the applicable test 
procedure specified in Sec.  1033.315(a). Include applicable non-
deterioration adjustments such as a Green Engine Factor or regeneration 
adjustment factor. Round the results to one more decimal place than the 
applicable emission standard.
    (b) If you conduct multiple tests on any locomotives, calculate 
final test results by summing the initial test results derived in 
paragraph (a) of this section for each test locomotive, dividing by the 
number of tests conducted on the locomotive, and rounding to one more 
decimal place than the applicable emission standard. For catalyst-
equipped locomotives, you may ask us to allow you to exclude an initial 
failed test if all of the following are true:
    (1) The catalyst was in a green condition when tested initially.
    (2) The locomotive met all emission standards when retested after 
degreening the catalyst.
    (3) No additional emission-related maintenance or repair was 
performed between the initial failed test and the subsequent passing 
test.
    (c) Calculate the final test results for each test locomotive by 
applying the appropriate deterioration factors, derived in the 
certification process for the engine family, to the final test results, 
and rounding to one more decimal place than the applicable emission 
standard.
    (d) If, subsequent to an initial failure of a production line test, 
the average of the test results for the failed locomotive and the two 
additional locomotives tested, is greater than any applicable emission 
standard or FEL, the engine family is deemed to be in non-compliance 
with applicable emission standards, and you must notify us within ten 
working days of such noncompliance.
    (e) Within 45 calendar days of the end of each quarter, you must 
send to the Designated Compliance Officer a report with the following 
information:
    (1) The location and description of the emission test facilities 
which you used to conduct your testing.
    (2) Total production and sample size for each engine family tested.
    (3) The applicable standards against which each engine family was 
tested.
    (4) For each test conducted, include all of the following:
    (i) A description of the test locomotive, including:
    (A) Configuration and engine family identification.
    (B) Year, make, and build date.
    (C) Engine identification number.
    (D) Number of megawatt-hours (or miles if applicable) of service 
accumulated on locomotive prior to testing.
    (E) Description of Green Engine Factor; how it is determined and 
how it is applied.
    (ii) Location(s) where service accumulation was conducted and 
description of accumulation procedure and schedule, if applicable. If 
the locomotive was introduced into service between assembly and 
testing, you are only required to summarize the service accumulation, 
rather than identifying specific locations.
    (iii) Test number, date, test procedure used, initial test results 
before and after rounding, and final test results for all production 
line emission tests conducted, whether valid or invalid, and the reason 
for invalidation of any test results, if applicable.
    (iv) A complete description of any adjustment, modification, 
repair, preparation, maintenance, and testing which was performed on 
the test locomotive, has not been reported pursuant to any other 
paragraph of this subpart, and will not be performed on other 
production locomotives.
    (v) Any other information we may ask you to add to your written 
report so we can determine whether your new engines conform with the 
requirements of this part.
    (6) For each failed locomotive as defined in Sec.  1033.330(a), a 
description of the remedy and test results for all retests as required 
by Sec.  1033.340(g).
    (7) The following signed statement and endorsement by an authorized 
representative of your company:
    We submit this report under sections 208 and 213 of the Clean Air 
Act. Our production-line testing conformed completely with the 
requirements of 40 CFR part 1033. We have not changed production 
processes or quality-control procedures for the test locomotives in a 
way that might affect emission controls. All the information in this 
report is true and accurate to the best of my knowledge. I know of the 
penalties for violating the Clean Air Act and the regulations. 
(Authorized Company Representative)


Sec.  1033.325   Maintenance of records; submittal of information.

    (a) You must establish, maintain, and retain the following 
adequately organized and indexed test records:
    (1) A description of all equipment used to test locomotives. The 
equipment requirements in subpart F of this part apply to tests 
performed under this subpart. Maintain these records for each test cell 
that can be used to perform emission testing under this subpart.
    (2) Individual test records for each production line test or audit 
including:
    (i) The date, time, and location of each test or audit.
    (ii) The method by which the Green Engine Factor was calculated or 
the number of hours of service accumulated on the test locomotive when 
the test began and ended.
    (iii) The names of all supervisory personnel involved in the 
conduct of the production line test or audit;
    (iv) A record and description of any adjustment, repair, 
preparation or modification performed on test locomotives, giving the 
date, associated time, justification, name(s) of the authorizing 
personnel, and names of all supervisory personnel responsible for the 
conduct of the action.
    (v) If applicable, the date the locomotive was shipped from the 
assembly plant, associated storage facility or port facility, and the 
date the locomotive was received at the testing facility.
    (vi) A complete record of all emission tests or audits performed 
under this subpart (except tests performed directly by us), including 
all individual worksheets and/or other documentation relating to each 
test, or exact copies thereof, according to the record requirements 
specified in subpart F of this part and 40 CFR part 1065.
    (vii) A brief description of any significant events during testing 
not otherwise described under this paragraph (a)(2), commencing with 
the test locomotive selection process and including such extraordinary 
events as engine damage during shipment.
    (b) Keep all records required to be maintained under this subpart 
for a period of eight years after completion of all testing. Store 
these records in any format and on any media, as long as you can 
promptly provide to us organized, written records in English if we ask 
for them and all the information is retained.

[[Page 37215]]

    (c) Send us the following information with regard to locomotive 
production if we ask for it:
    (1) Projected production for each configuration within each engine 
family for which certification has been requested and/or approved.
    (2) Number of locomotives, by configuration and assembly plant, 
scheduled for production.
    (d) Nothing in this section limits our authority to require you to 
establish, maintain, keep or submit to us information not specified by 
this section.
    (e) Send all reports, submissions, notifications, and requests for 
approval made under this subpart to the Designated Compliance Officer 
using an approved format.
    (f) You must keep a copy of all reports submitted under this 
subpart.


Sec.  1033.330  Compliance criteria for production line testing.

    There are two types of potential failures: failure of an individual 
locomotive to comply with the standards, and a failure of an engine 
family to comply with the standards.
    (a) A failed locomotive is one whose final test results pursuant to 
Sec.  1033.320(c), for one or more of the applicable pollutants, exceed 
an applicable emission standard or FEL.
    (b) An engine family is deemed to be in noncompliance, for purposes 
of this subpart, if at any time throughout the model year, the average 
of an initial failed locomotive and the two additional locomotives 
tested, is greater than any applicable emission standard or FEL.


Sec.  1033.335  Remanufactured locomotives: installation audit 
requirements.

    The section specifies the requirements for certifying 
remanufacturers to audit the remanufacture of locomotives covered by 
their certificates of conformity for proper components, component 
settings and component installations on randomly chosen locomotives in 
an engine family.
    (a) You must ensure that all emission related components are 
properly installed on the locomotive and are set to the proper 
specification as indicated in your instructions. You may submit audits 
performed by the owners/operators of the locomotives, provided the 
audits are performed in accordance with the provisions of this section. 
We may require that you obtain affidavits for audits performed by 
owners/operators.
    (b) Audit at least five percent of your annual production per model 
year per installer or ten per engine family per installer, whichever is 
less. You must perform more audits if there are any failures. Randomly 
select the locomotives to be audited after the remanufacture is 
complete. We may allow you to select locomotives prior to the 
completion of the remanufacture, if the preselection would not have the 
potential to affect the manner in which the locomotive was 
remanufactured (e.g., where the installer is not aware of the selection 
prior to the completion of the remanufacture). Unless we specify 
otherwise, you are not required to audit installers that remanufacture 
fewer than 10 locomotives per year under your certificates (combined 
for all of your engine families).
    (c) The audit should be completed as soon as is practical after the 
remanufacture is complete. In no case may the remanufactured locomotive 
accumulate more than 45,000 miles prior to an audit.
    (d) A locomotive fails if any emission related components are found 
to be improperly installed, improperly adjusted or incorrectly used.
    (e) If a remanufactured locomotive fails an audit, then you must 
audit two additional locomotives from the next ten remanufactured in 
that engine family by that installer.
    (f) An engine family is determined to have failed an audit, if at 
any time during the model year, you determine that the three 
locomotives audited are found to have had any improperly installed, 
improperly adjusted or incorrectly used components. You must notify us 
within 2 working days of a determination of an engine family audit 
failure.
    (g) Within 45 calendar days of the end of each quarter, each 
remanufacturer must send the Designated Compliance Officer a report 
which includes the following information:
    (1) The location and description of your audit facilities which 
were utilized to conduct auditing reported pursuant to this section;
    (2) Total production and sample size for each engine family;
    (3) The applicable standards and/or FELs against which each engine 
family was audited;
    (4) For each audit conducted:
    (i) A description of the audited locomotive, including:
    (A) Configuration and engine family identification;
    (B) Year, make, build date, and remanufacture date; and
    (C) Locomotive and engine identification numbers;
    (ii) Any other information we request relevant to the determination 
whether the new locomotives being remanufactured do in fact conform 
with the regulations with respect to which the certificate of 
conformity was issued;
    (5) For each failed locomotive as defined in paragraph (d) of this 
section, a description of the remedy as required by Sec.  1033.340(g);
    (6) The following signed statement and endorsement by your 
authorized representative:
    We submit this report under sections 208 and 213 of the Clean Air 
Act. Our production-line auditing conformed completely with the 
requirements of 40 CFR part 1033. We have not changed production 
processes or quality-control procedures for the audited locomotives in 
a way that might affect emission controls. All the information in this 
report is true and accurate to the best of my knowledge. I know of the 
penalties for violating the Clean Air Act and the regulations. 
(Authorized Company Representative)


Sec.  1033.340  Suspension and revocation of certificates of 
conformity.

    (a) A certificate can be suspended for an individual locomotive as 
follows:
    (1) The certificate of conformity is automatically suspended for 
any locomotive that fails a production line test pursuant to Sec.  
1033.330(a), effective from the time the testing of that locomotive is 
completed.
    (2) The certificate of conformity is automatically suspended for 
any locomotive that fails an audit pursuant to Sec.  1033.335(d), 
effective from the time that auditing of that locomotive is completed.
    (b) A certificate can be suspended for an engine family as follows:
    (1) We may suspend the certificate of conformity for an engine 
family that is in noncompliance pursuant to Sec.  1033.330(b), thirty 
days after the engine family is deemed to be in noncompliance.
    (2) We may suspend the certificate of conformity for an engine 
family that is determined to have failed an audit pursuant to Sec.  
1033.335(f). This suspension will not occur before thirty days after 
the engine family is deemed to be in noncompliance.
    (c) If we suspend your certificate of conformity for an engine 
family, the suspension may apply to all facilities producing engines 
from an engine family, even if you find noncompliant engines only at 
one facility.
    (d) We may revoke a certificate of conformity for any engine family 
in whole or in part if:
    (1) You fail to comply with any of the requirements of this 
subpart.
    (2) You submit false or incomplete information in any report or 
information provided to us under this subpart.

[[Page 37216]]

    (3) You render inaccurate any test data submitted under this 
subpart.
    (4) An EPA enforcement officer is denied the opportunity to conduct 
activities authorized in this subpart.
    (5) An EPA enforcement officer is unable to conduct authorized 
activities for any reason.
    (e) We will notify you in writing of any suspension or revocation 
of a certificate of conformity in whole or in part; a suspension or 
revocation is effective upon receipt of such notification or thirty 
days from the time a locomotive or engine family is deemed to be in 
noncompliance under Sec. Sec.  1033.320(d), 1033.330(a), 1033.330(b), 
or 1033.335(f) is made, whichever is earlier, except that the 
certificate is immediately suspended with respect to any failed 
locomotives as provided for in paragraph (a) of this section.
    (f) We may revoke a certificate of conformity for an engine family 
when the certificate has been suspended under paragraph (b) or (c) of 
this section if the remedy is one requiring a design change or changes 
to the locomotive, engine and/or emission control system as described 
in the application for certification of the affected engine family.
    (g) Once a certificate has been suspended for a failed locomotive, 
as provided for in paragraph (a) of this section, you must take all the 
following actions before the certificate is reinstated for that failed 
locomotive:
    (1) Remedy the nonconformity.
    (2) Demonstrate that the locomotive conforms to applicable 
standards or family emission limits by retesting, or reauditing if 
applicable, the locomotive in accordance with this part.
    (3) Submit a written report to us after successful completion of 
testing (or auditing, if applicable) on the failed locomotive, which 
contains a description of the remedy and testing (or auditing) results 
for each locomotive in addition to other information that may be 
required by this part.
    (h) Once a certificate for a failed engine family has been 
suspended pursuant to paragraph (b) or (c) of this section, you must 
take the following actions before we will consider reinstating the 
certificate:
    (1) Submit a written report to us identifying the reason for the 
noncompliance of the locomotives, describing the remedy, including a 
description of any quality control measures you will use to prevent 
future occurrences of the problem, and stating the date on which the 
remedies will be implemented.
    (2) Demonstrate that the engine family for which the certificate of 
conformity has been suspended does in fact comply with the regulations 
of this part by testing (or auditing) locomotives selected from normal 
production runs of that engine family. Such testing (or auditing) must 
comply with the provisions of this subpart. If you elect to continue 
testing (or auditing) individual locomotives after suspension of a 
certificate, the certificate is reinstated for any locomotive actually 
determined to be in conformance with the applicable standards or family 
emission limits through testing (or auditing) in accordance with the 
applicable test procedures, provided that we have not revoked the 
certificate under paragraph (f) of this section.
    (i) If the certificate has been revoked for an engine family, you 
must take the following actions before we will issue a certificate that 
would allow you to continue introduction into commerce of a modified 
version of that family:
    (1) If we determine that the change(s) in locomotive design may 
have an effect on emission deterioration, we will notify you within 
five working days after receipt of the report in paragraph (h) of this 
section, whether subsequent testing/auditing under this subpart will be 
sufficient to evaluate the change(s) or whether additional testing (or 
auditing) will be required.
    (2) After implementing the change or changes intended to remedy the 
nonconformity, you must demonstrate that the modified engine family 
does in fact conform with the regulations of this part by testing 
locomotives (or auditing for remanufactured locomotives) selected from 
normal production runs of that engine family. When both of these 
requirements are met, we will reissue the certificate or issue a new 
certificate. If this subsequent testing (or auditing) reveals failing 
data the revocation remains in effect.
    (j) At any time subsequent to an initial suspension of a 
certificate of conformity for a test or audit locomotive pursuant to 
paragraph (a) of this section, but not later than 30 days (or such 
other period as may we allow) after the notification our decision to 
suspend or revoke a certificate of conformity in whole or in part 
pursuant to this section, you may request a hearing as to whether the 
tests or audits have been properly conducted or any sampling methods 
have been properly applied. (See Sec.  1033.920.)
    (k) Any suspension of a certificate of conformity under paragraphs 
(a) through (d) of this section will be made only after you have been 
offered an opportunity for a hearing conducted in accordance with Sec.  
1033.920. It will not apply to locomotives no longer in your 
possession.
    (l) If we suspend, revoke, or void a certificate of conformity, and 
you believe that our decision was based on erroneous information, you 
may ask us to reconsider our decision before requesting a hearing. If 
you demonstrate to our satisfaction that our decision was based on 
erroneous information, we will reinstate the certificate.
    (m) We may conditionally reinstate the certificate for that family 
so that you do not have to store non-test locomotives while conducting 
subsequent testing or auditing of the noncomplying family subject to 
the following condition: you must commit to recall all locomotives of 
that family produced from the time the certificate is conditionally 
reinstated if the family fails subsequent testing, or auditing if 
applicable, and must commit to remedy any nonconformity at no expense 
to the owner.

Subpart E--In-use Testing


Sec.  1033.401  Applicability.

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


Sec.  1033.405  General provisions.

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

[[Page 37217]]

including for purposes of recall under 40 CFR part 1068, and whether 
remedial action is appropriate.


Sec.  1033.410  In-use test procedure.

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


Sec.  1033.415  General testing requirements.

    (a) Number of locomotives to be tested. Determine the number of 
locomotives to be tested by the following method:
    (1) Test a minimum of 2 locomotives per engine family, except as 
provided in paragraph (a)(2) of this section. You must test additional 
locomotives if any locomotives fail to meet any standard. Test 2 more 
locomotives for each failing locomotive, but stop testing if the total 
number of locomotives tested equals 10.
    (2) If an engine family has been certified using carryover emission 
data from a family that has been previously tested under paragraph 
(a)(1) of this section (and we have not ordered or begun to negotiate 
remedial action of that family), you need to test only one locomotive 
per engine family. If that locomotive fails to meet applicable 
standards for any pollutant, testing for that engine family must be 
conducted as outlined under paragraph (a)(1) of this section.
    (3) You may ask us to allow you to test more locomotives than the 
minimum number described above or you may concede failure before 
testing 10 locomotives.
    (b) Compliance criteria. We will consider failure rates, average 
emission levels and the existence of any defects among other factors in 
determining whether to pursue remedial action. We may order a recall 
pursuant to 40 CFR part 1068 before testing reaches the tenth 
locomotive.
    (c) Collection of in-use locomotives. Procure in-use locomotives 
that have been operated for 50 to 75 percent of the locomotive's useful 
life for testing under this subpart. Complete testing required by this 
section for any engine family before useful life of the locomotives in 
the engine family passes. (Note: Sec.  1033.820 specifies that 
railroads must make reasonable efforts to enable you to perform this 
testing.)


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

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


Sec.  1033.425  In-use test program reporting requirements.

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

Subpart F--Test Procedures


Sec.  1033.501  General provisions.

    (a) Except as specified in this subpart, use the equipment and 
procedures for

[[Page 37218]]

compression-ignition engines in 40 CFR part 1065 to determine whether 
your locomotives meet the duty-cycle emission standards in Sec.  
1033.101. Use the applicable duty cycles specified in this subpart. 
Measure emissions of all the pollutants we regulate in Sec.  1033.101 
plus CO2. The general test procedure is the procedure 
specified in 40 CFR part 1065 for steady-state discrete-mode cycles. 
However, if you use the optional ramped modal cycle in Sec.  1033.520, 
follow the procedures for ramped modal testing in 40 CFR part 1065. The 
following exceptions from the 1065 procedures apply:
    (1) You must average power and emissions over the sampling periods 
specified in this subpart for both discrete-mode testing and ramped 
modal testing.
    (2) The test cycle is considered to be steady-state with respect to 
operator demand rather than engine speed and load.
    (3) The provisions related to engine mapping and duty cycle 
generation (40 CFR 1065.510 and 1065.512) are not applicable to testing 
of complete locomotives or locomotive engines because locomotive 
operation and locomotive duty cycles are based on operator demand via 
locomotive notch settings rather than engine speeds and loads. The 
cycle validation criteria (40 CFR 1065.514) are not applicable to 
testing of complete locomotives but do apply for dynamometer testing of 
engines.
    (b) You may use special or alternate procedures to the extent we 
allow as them under 40 CFR 1065.10. In some cases, we allow you to use 
procedures that are less precise or less accurate than the specified 
procedures if they do not affect your ability to show that your 
locomotives comply with the applicable emission standards. This 
generally requires emission levels to be far enough below the 
applicable emission standards so that any errors caused by greater 
imprecision or inaccuracy do not affect your ability to state 
unconditionally that the locomotives meet all applicable emission 
standards.
    (c) This part allows (with certain limits) testing of either a 
complete locomotive or a separate uninstalled engine. When testing a 
locomotive, you must test the complete locomotive in its in-use 
configuration, except that you may disconnect the power output and fuel 
input for the purpose of testing. To calculate power from measured 
alternator/generator output, use an alternator/generator efficiency 
curve that varies with speed/load, consistent with good engineering 
judgment.
    (d) Unless smoke standards do not apply for your locomotives or the 
testing requirement is waived, measure smoke emissions using the 
procedures in Sec.  1033.525.
    (e) Use the applicable fuel listed in 40 CFR part 1065, subpart H, 
to perform valid tests.
    (1) For diesel-fueled locomotives, use the appropriate diesel fuel 
specified in 40 CFR part 1065, subpart H, for emission testing. The 
applicable diesel test fuel is either the ultra low-sulfur diesel or 
low-sulfur diesel fuel, as specified in Sec.  1033.101. Identify the 
test fuel in your application for certification and ensure that the 
fuel inlet label is consistent with your selection of the test fuel 
(see Sec. Sec.  1033.101 and 1033.135).
    (2) You may ask to use as a test fuel commercially available diesel 
fuel similar but not identical to the applicable fuel specified in 40 
CFR part 1065, subpart H; we will approve your request if you show us 
that it does not affect your ability to demonstrate compliance with the 
applicable emission standards. If your locomotive uses sulfur-sensitive 
technology, you may not use an in-use fuel that has a lower sulfur 
content than the range specified for the otherwise applicable test fuel 
in 40 CFR part 1065. If your locomotive does not use sulfur-sensitive 
technology, we may allow you to use an in-use fuel that has a lower 
sulfur content than the range specified for the otherwise applicable 
test fuel in 40 CFR part 1065, but may require that you correct PM 
emissions to account for the sulfur differences.
    (3) For service accumulation, use the test fuel or any commercially 
available fuel that is representative of the fuel that in-use 
locomotives will use.
    (f) See Sec.  1033.505 for information about allowable ambient 
testing conditions for testing.
    (g) This subpart is addressed to you as a manufacturer/
remanufacturer, but it applies equally to anyone who does testing for 
you, and to us when we perform testing to determine if your locomotives 
meet emission standards.
    (h) We may also perform other testing as allowed by the Clean Air 
Act.
    (i) For passenger locomotives that can generate hotel power from 
the main propulsion engine, the locomotive must comply with the 
emission standards when in either hotel or non-hotel setting.


Sec.  1033.505  Ambient conditions.

    This section specifies the allowable ambient conditions (including 
temperature and pressure) under which testing may be performed to 
determine compliance with the emission standards of (1068.101. 
Manufacturers/remanufacturers may ask to perform testing at conditions 
other than those allowed by this section. We will allow such testing 
provided it does not affect your ability to demonstrate compliance with 
the applicable standards. See Sec. Sec.  1033.101 and 1033.115 for more 
information about the requirements that apply at other conditions.
    (a) Temperature. Testing may be performed with ambient temperatures 
from 15.5 [deg]C (60 [deg]F) to 40.5 [deg]C (105 [deg]F). Do not 
correct emissions for temperature effects within this range. If we 
allow you to perform testing at lower ambient temperatures, you must 
correct NOX emissions for temperature effects, consistent 
with good engineering judgment. For example, if the intake air 
temperature (at the manifold) is lower at the test temperature than at 
15.5 [deg]C, you generally will need to adjust your measured 
NOX emissions to account for the effect of the lower intake 
air temperature. However, if you maintain a constant manifold air 
temperature, you will generally not need to correct emissions.
    (b) Altitude/pressure. Testing may be performed with ambient 
pressures from 88.000 kPa (26.0 in Hg) to 103.325 kPa (30.5 in Hg). 
This is intended to correspond to altitudes up to 4000 feet above sea 
level. Do not correct emissions for pressure effects within this range.
    (c) Humidity. Testing may be performed with any ambient humidity 
level. Correct NOX emissions as specified in 40 CFR 
1065.670. Do not correct any other emissions for humidity effects.
    (d) Wind. If you test outdoors, use good engineering judgment to 
ensure that excessive wind does not affect your emission measurements. 
Winds are excessive if they disturb the size, shape, or location of the 
exhaust plume in the region where exhaust samples are drawn or where 
the smoke plume is measured, or otherwise cause any dilution of the 
exhaust. Tests may be conducted if wind shielding is placed adjacent to 
the exhaust plume to prevent bending, dispersion, or any other 
distortion of the exhaust plume as it passes through the optical unit 
or through the sample probe.


Sec.  1033.510  Auxiliary power units.

    If your locomotive is equipped with an auxiliary power unit (APU) 
that operates during an idle shutdown mode, you must account for the 
APU's emissions rates as specified in this section, unless the APU is 
part of an AESS system that was certified separate from the rest of the 
locomotive. This

[[Page 37219]]

section does not apply for auxiliary engines that only provide hotel 
power.
    (a) Adjust the locomotive main engine's idle emission rate (g/hr) 
as specified in Sec.  1033.530. Add the APU emission rate (g/hr) that 
you determine under paragraph (b) of this section. Use the locomotive 
main engine's idle power as specified in Sec.  1033.530.
    (b) Determine the representative emission rate for the APU using 
one of the following methods.
    (1) Installed APU tested separately. If you separately measure 
emission rates (g/hr) for each pollutant from the APU installed in the 
locomotive, you may use the measured emissions rates (g/hr) as the 
locomotive's idle emissions rates when the locomotive is shutdown and 
the APU is operating. For all testing other than in-use testing, apply 
appropriate deterioration factors to the measured emission rates. You 
may ask to carryover APU emission data for a previous test, or use data 
for the same APU installed on locomotives in another engine family.
    (2) Uninstalled APU tested separately. If you separately measure 
emission rates (g/hr) over an appropriate duty-cycle for each pollutant 
from the APU when it is not installed in the locomotive, you may use 
the measured emissions rates (g/hr) as the locomotive's idle emissions 
rates when the locomotive is shutdown and the APU is operating. For the 
purpose of this paragraph (b)(2), an appropriate duty-cycle is one that 
approximates the APU engine's cycle-weighted power when operating in 
the locomotive. Apply appropriate deterioration factors to the measured 
emission rates. You may ask to carryover APU emission data for a 
previous test, or use data for the same APU installed on locomotives in 
another engine family.
    (3) APU engine certification data. If the engine used for the APU 
has been certified to EPA emission standards you may calculate the 
APU's emissions based upon existing EPA-certification information about 
the APU's engine. In this case, calculate the APU's emissions as 
follows:
    (i) For each pollutant determine the brake-specific standard/FEL to 
which the APU engine was originally EPA-certified.
    (ii) Determine the APU engine's cycle-weighted power when operating 
in the locomotive.
    (iii) Multiply each of the APU's applicable brake-specific 
standards/FELs by the APU engine's cycle-weighted power. The results 
are the APU's emissions rates (in g/hr).
    (iv) Use these emissions rates as the locomotive's idle emissions 
rates when the locomotive is shutdown and the APU is running. Do not 
apply a deterioration factor to these values.
    (4) Other. You may ask us to approve an alternative means to 
account for APU emissions.


Sec.  1033.515  Discrete-mode steady-state emission tests of 
locomotives and locomotive engines.

    This section describes how to test locomotives at each notch 
setting so that emissions can be weighted according to either the line-
haul duty cycle or the switch duty cycle. The locomotive test cycle 
consists of a warm-up followed by a sequence of nominally steady-state 
discrete test modes, as described in Table 1 to this section. The test 
modes are steady-state with respect to operator demand, which is the 
notch setting for the locomotive. Engine speeds and loads are not 
necessarily steady-state.
    (a) Follow the provisions of 40 CFR part 1065, subpart F for 
general pre-test procedures (including engine and sampling system pre-
conditioning which is included as engine warm-up). You may operate the 
engine in any way you choose to warm it up prior to beginning the 
sample preconditioning specified in 40 CFR part 1065.
    (b) Begin the test by operating the locomotive over the pre-test 
portion of the cycle specified in Table 1 to this section. For 
locomotives not equipped with catalysts, you may begin the test as soon 
as the engine reaches its lowest idle setting. For catalyst-equipped 
locomotives, you may begin the test in normal idle mode if the engine 
does not reach its lowest idle setting within 15 minutes. If you do 
start in normal idle, run the low idle mode after normal idle, then 
resume the specified mode sequence (without repeating the normal idle 
mode).
    (c) Measure emissions during the rest of the test cycle.
    (1) Each test mode begins when the operator demand to the 
locomotive or engine is set to the applicable notch setting.
    (2) Start measuring gaseous emissions, power, and fuel consumption 
at the start of the test mode A and continue until the completion of 
test mode 8. You may zero and span analyzers between modes (or take 
other actions consistent with good engineering judgment).
    (i) The sample period over which emissions for the mode are 
averaged generally begins when the operator demand is changed to start 
the test mode and ends within 5 seconds of the minimum sampling time 
for the test mode is reached. However, you need to shift the sampling 
period to account for sample system residence times. Follow the 
provisions of 40 CFR 1065.308 and 1065.309 to time align emission and 
work measurements.
    (ii) The sample period is 300 seconds for all test modes except 
mode 10. The sample period for test mode 8 is 600 seconds.
    (3) If gaseous emissions are sampled using a batch-sampling method, 
begin proportional sampling at the beginning of each sampling period 
and terminate sampling once the minimum time in each test mode is 
reached,  5 seconds.
    (4) If applicable, begin the smoke test at the start of the test 
mode A. Continue collecting smoke data until the completion of test 
mode 8. Refer to Sec.  1033.101 to determine applicability of smoke 
testing and Sec.  1033.525 for details on how to conduct a smoke test.
    (5) Begin proportional sampling of PM emissions at the beginning of 
each sampling period and terminate sampling once the minimum time in 
each test mode is reached,  5 seconds, unless good 
engineering judgment requires you sample for a longer period to allow 
for collection of a sufficiently large PM sample.
    (6) Proceed through each test mode in the order specified in Table 
1 to this section until the locomotive test cycle is completed.
    (7) At the end of each numbered test mode, you may continue to 
operate sampling and dilution systems to allow corrections for the 
sampling system's response time.
    (8) Following the completion of Mode 8, conduct the post sampling 
procedures in Sec.  1065.530. Note that cycle validation criteria do 
not apply to testing of complete locomotives.

                               Table 1 to Sec.   1033.515.--Locomotive Test Cycle
----------------------------------------------------------------------------------------------------------------
                                                               Time in mode        Sample averaging  period for
             Test mode                  Notch setting          (minutes) \1\              emissions \1\
----------------------------------------------------------------------------------------------------------------
Pre-test idle.....................  Lowest idle setting..  10 to 15 3..........  Not applicable
A.................................  Low idle \2\.........  5 to 10.............  300  5 seconds
B.................................  Normal idle..........  5 to 10.............  300  5 seconds

[[Page 37220]]

 
C.................................  Dynamic brake \2\....  5 to 10.............  300  5 seconds
1.................................  Notch 1..............  5 to 10.............  300  5 seconds
2.................................  Notch 2..............  5 to 10.............  300  5 seconds
3.................................  Notch 3..............  5 to 10.............  300  5 seconds
4.................................  Notch 4..............  5 to 10.............  300  5 seconds
5.................................  Notch 5..............  5 to 10.............  300  5 seconds
6.................................  Notch 6..............  5 to 10.............  300  5 seconds
7.................................  Notch 7..............  5 to 10.............  300  5 seconds
8.................................  Notch 8..............  10 to 15............  600  5 seconds
----------------------------------------------------------------------------------------------------------------
\1\ The time in each notch and sample averaging period may be extended as needed to allow for collection of a
  sufficiently large PM sample.
\2\ Omit if not so equipped.
3 See paragraph (b) of this section for alternate pre-test provisions.

    (f) There are two approaches for sampling PM emissions during 
discrete-mode steady-state testing as described in this paragraph (f).
    (1) Engines certified to a PM standard/FEL at or above 0.05 g/bhp-
hr. Use a separate PM filter sample for each test mode of the 
locomotive test cycle according to the procedures specified in 
paragraph (a) through (e) of this section. You may ask to use a shorter 
sampling period if the total mass expected to be collected would cause 
unacceptably high pressure drop across the filter before reaching the 
end of the required sampling time. We will not allow sampling times 
less than 60 seconds. When we conduct locomotive emission tests, we 
will adhere to the time limits for each of the numbered modes in Table 
1 to Sec.  1033.515.
    (2) Engines certified to a PM standard/FEL below 0.05 g/bhp-hr. (i) 
You may use separate PM filter samples for each test mode as described 
in paragraph (f)(1) of this section; however, we recommend that you do 
not. The low rate of sample filter loading will result in very long 
sampling times and the large number of filter samples may induce 
uncertainty stack-up that will lead to unacceptable PM measurement 
accuracy. Instead, we recommend that you measure PM emissions as 
specified in paragraph (f)(2)(ii) of this section.
    (ii) You may use a single PM filter for sampling PM over all of the 
test modes of the locomotive test cycle as specified in this paragraph 
(f)(2). Vary the sample time to be proportional to the applicable line-
haul or switch weighting factors specified in Sec.  1033.530 for each 
mode. The minimum sampling time for each mode is 400 seconds multiplied 
by the weighting factor. For example, for a mode with a weighting 
factor of 0.030, the minimum sampling time is 12.0 seconds. PM sampling 
in each mode must be proportional to engine exhaust flow as specified 
in 40 CFR part 1065. Begin proportional sampling of PM emissions at the 
beginning of each test mode as is specified in paragraph (c) of this 
section. End the sampling period for each test mode so that sampling 
times are proportional to the weighting factors for the applicable duty 
cycles. If necessary, you may extend the time limit for each of the 
test modes beyond the sampling times in Table 1 to Sec.  1033.515 to 
increase the sampled mass of PM emissions or to account for proper 
weighting of the PM emission sample over the entire cycle, using good 
engineering judgment.
    (g) This paragraph (g) describes how to test locomotive engines 
when not installed in a locomotive. Note that the test procedures for 
dynamometer engine testing of locomotive engines are intended to 
produce emission measurements that are essentially identical to 
emission measurements produced during testing of complete locomotives 
using the same engine configuration. The following requirements apply 
for all engine tests:
    (1) Specify a second-by-second set of engine speed and load points 
that are representative of in-use locomotive operation for each of the 
set-points of the locomotive test cycle described in Table 1 to Sec.  
1033.515, including transitions from one notch to the next. This is 
your reference cycle for validating your cycle. You may ignore points 
between the end of the sampling period for one mode and the point at 
which you change the notch setting to begin the next mode.
    (2) Keep the temperature of the air entering the engine after any 
charge air cooling to within 5 [deg]C of the typical intake manifold 
air temperature when the engine is operated in the locomotive under 
similar ambient conditions.
    (3) Proceed with testing as specified for testing complete 
locomotives as specified in paragraphs (a) through (f) of this section.


Sec.  1033.520  Alternative ramped modal cycles.

    (a) Locomotive testing over a ramped modal cycle is intended to 
improve measurement accuracy at low emission levels by allowing the use 
of batch sampling of PM and gaseous emissions over multiple locomotive 
notch settings. Ramped modal cycles combine multiple test modes of a 
discrete-mode steady-state into a single sample period. Time in notch 
is varied to be proportional to weighting factors. The ramped modal 
cycle for line-haul locomotives is shown in Table 1 to this section. 
The ramped modal cycle for switch locomotives is shown in Table 2 to 
this section. Both ramped modal cycles consist of a warm-up followed by 
three test phases that are each weighted in a manner that maintains the 
duty cycle weighting of the line-haul and switch locomotive duty cycles 
in Sec.  1033.530. You may use ramped modal cycle testing for any 
locomotives certified under this part.
    (b) Ramped modal testing requires continuous gaseous analyzers and 
three separate PM filters (one for each phase). You may collect a 
single batch sample for each test phase, but you must also measure 
gaseous emissions continuously to allow calculation of notch caps as 
required under Sec.  1033.101.
    (c) You may operate the engine in any way you choose to warm it up. 
Then follow the provisions of 40 CFR part 1065, subpart F for general 
pre-test procedures (including engine and sampling system pre-
conditioning).
    (d) Begin the test by operating the locomotive over the pre-test 
portion of the cycle. For locomotives not equipped with catalysts, you 
may begin the test as soon as the engine reaches its lowest idle 
setting. For catalyst-equipped locomotives, you may begin the test in 
normal idle mode if the engine does not reach its lowest idle setting 
within 15 minutes. If you do start in normal idle, run the low idle 
mode after normal idle,

[[Page 37221]]

then resume the specified mode sequence (without repeating the normal 
idle mode).
    (e) Start the test according to 40 CFR 1065.530.
    (1) Each test phase begins when operator demand is set to the first 
operator demand setting of each test phase of the ramped modal cycle. 
Each test phase ends when the time in mode is reached for the last mode 
in the test phase.
    (2) For PM emissions (and other batch sampling), the sample period 
over which emissions for the phase are averaged generally begins within 
10 seconds after the operator demand is changed to start the test phase 
and ends within 5 seconds of the sampling time for the test mode is 
reached. (see Table 1 to this section). You may ask to delay the start 
of the sample period to account for sample system residence times 
longer than 10 seconds.
    (3) Use good engineering judgment when transitioning between 
phases.
    (i) You should come as close as possible to simultaneously:
    (A) Ending batch sampling of the previous phase.
    (B) Starting batch sampling of the next phase.
    (C) Changing the operator demand to the notch setting for the first 
mode in the next phase.
    (ii) Avoid the following:
    (A) Overlapping batch sampling of the two phases.
    (B) An unnecessarily long delay before starting the next phase.
    (iii) For example, the following sequence would generally be 
appropriate:
    (A) End batch sampling for phase 2 after 240 seconds in notch 7.
    (B) Switch the operator demand to notch 8 one second later.
    (C) Begin batch sampling for phase 3 one second after switching to 
notch 8.
    (4) If applicable, begin the smoke test at the start of the first 
test phase of the applicable ramped modal cycle. Continue collecting 
smoke data until the completion of final test phase. Refer to Sec.  
1033.101 to determine applicability of the smoke standards and Sec.  
1033.525 for details on how to conduct a smoke test.
    (5) Proceed through each test phase of the applicable ramped modal 
cycle in the order specified until the test is completed.
    (6) If you must void a test phase you may repeat the phase. To do 
so, begin with a warm engine operating at the notch setting for the 
last mode in the previous phase. You do not need to repeat later phases 
if they were valid. (Note: you must report test results for all voided 
tests and test phases.)
    (7) Following the completion of the third test phase of the 
applicable ramped modal cycle, conduct the post sampling procedures 
specified in 40 CFR 1065.530.

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


                        Table 2 to Sec.   1033.520.--Switch Locomotive Ramped Modal Cycle
----------------------------------------------------------------------------------------------------------------
                                    Weighting                        Time in mode
         RMC test phase               factor          RMC mode        (seconds)             Notch setting
----------------------------------------------------------------------------------------------------------------
Pre-test idle..................  NA.............  NA.............  600 to 900.....  Lowest idle setting.\1\
Phase 1........................  ...............  A..............  600............  Low Idle.\2\
(Idle test)....................  0.598..........  B..............  600............  Normal Idle.
----------------------------------------------------------------------------------------------------------------
                                                Phase Transition
----------------------------------------------------------------------------------------------------------------
                                 ...............  1..............  868............  Notch 1.
                                 ...............  2..............  861............  Notch 2.
                                 ...............  3..............  406............  Notch 3.
                                 ...............  4..............  252............  Notch 4.
Phase 2........................  0.377..........  5..............  252............  Notch 5.
----------------------------------------------------------------------------------------------------------------

[[Page 37222]]

 
                                                Phase Transition
----------------------------------------------------------------------------------------------------------------
                                 ...............  6..............  1080...........  Notch 6.
                                 ...............  7..............  144............  Notch 7.
Phase 3........................  0.025..........  8..............  576............  Notch 8.
----------------------------------------------------------------------------------------------------------------
\1\ See paragraph (d) of this section for alternate pre-test provisions.
\2\ Operate at normal idle for modes A and B if not equipped with multiple idle settings.

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

Sec.  1033.525  Smoke testing.

    This section describes the equipment and procedures for testing for 
smoke emissions when is required.
    (a) This section specifies how to measure smoke emissions using a 
full-flow, open path light extinction smokemeter. A light extinction 
meter consists of a built-in light beam that traverses the exhaust 
smoke plume that issues from exhaust the duct. The light beam must be 
at right angles to the axis of the plume. Align the light beam to go 
through the plume along the hydraulic diameter (defined in 1065.1001) 
of the exhaust stack. Where it is difficult to align the beam to have a 
path length equal to the hydraulic diameter (such as a long narrow 
rectangular duct), you may align the beam to have a different path 
length and correct it to be equivalent to a path length equal to the 
hydraulic diameter. The light extinction meter must meet the 
requirements of paragraph (b) of this section and the following 
requirements:
    (1) Use an incandescent light source with a color temperature range 
of 2800K to 3250K, or a light source with a spectral peak between 550 
and 570 nanometers.
    (2) Collimate the light beam to a nominal diameter of 3 centimeters 
and an angle of divergence within a 6 degree included angle.
    (3) Use a photocell or photodiode light detector. If the light 
source is an incandescent lamp, use a detector that has a spectral 
response similar to the photopic curve of the human eye (a maximum 
response in the range of 550 to 570 nanometers, to less than four 
percent of that maximum response below 430 nanometers and above 680 
nanometers).
    (4) Attach a collimating tube to the detector with apertures equal 
to the beam diameter to restrict the viewing angle of the detector to 
within a 16 degree included angle.
    (5) Amplify the detector signal corresponding to the amount of 
light.
    (6) You may use an air curtain across the light source and detector 
window assemblies to minimize deposition of smoke particles on those 
surfaces, provided that it does not measurably affect the opacity of 
the plume.
    (7) Minimize distance from the optical centerline to the exhaust 
outlet; in no case may it be more than 3.0 meters. The maximum 
allowable distance of unducted space upstream of the optical centerline 
is 0.5 meters. Center the full flow of the exhaust stream between the 
source and detector apertures (or windows and lenses) and on the axis 
of the light beam.
    (8) You may use light extinction meters employing substantially 
identical measurement principles and producing substantially equivalent 
results, but which employ other electronic and optical techniques.
    (b) All smokemeters must meet the following specifications:
    (1) A full-scale deflection response time of 0.5 second or less.
    (2) You may attenuate signal responses with frequencies higher than 
10 Hz with a separate low-pass electronic filter with the following 
performance characteristics:
    (i) Three decibel point: 10 Hz.
    (ii) Insertion loss: 0.0  0.5 dB.
    (iii) Selectivity: 12 dB down at 40 Hz minimum.
    (iv) Attenuation: 27 dB down at 40 Hz minimum.
    (c) Perform the smoke test by continuously recording smokemeter 
response over the entire locomotive test cycle in percent opacity to 
within one percent resolution and also simultaneously record operator 
demand set point (e.g., notch position). Compare the recorded opacities 
to the smoke standards applicable to your locomotive.
    (d) You may use a partial flow sampling smokemeter if you correct 
for the path length of your exhaust plume. If you use a partial flow 
sampling meter, follow the instrument manufacturer's installation, 
calibration, operation, and maintenance procedures.


Sec.  1033.530  Duty cycles and calculations.

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

[[Page 37223]]



      Table 1 to Sec.   1033.530.--Standard Duty Cycle Weighting Factors for Calculating Emission Rates for
                                     Locomotives With Multiple Idle Settings
----------------------------------------------------------------------------------------------------------------
                                                                                         Line-haul
                                                                            Line-haul    weighting      Switch
               Notch setting                           Test mode            weighting   factors (no   weighting
                                                                             factors      dynamic      factors
                                                                                           brake)
----------------------------------------------------------------------------------------------------------------
Low Idle...................................  A...........................        0.190        0.190        0.299
Normal Idle................................  B...........................        0.190        0.315        0.299
Dynamic Brake..............................  C...........................        0.125        (\1\)        0.000
Notch 1....................................  1...........................        0.065        0.065        0.124
Notch 2....................................  2...........................        0.065        0.065        0.123
Notch 3....................................  3...........................        0.052        0.052        0.058
Notch 4....................................  4...........................        0.044        0.044        0.036
Notch 5....................................  5...........................        0.038        0.038        0.036
Notch 6....................................  6...........................        0.039        0.039        0.015
Notch 7....................................  7...........................        0.030        0.030        0.002
Notch 8....................................  8...........................        0.162        0.162        0.008
----------------------------------------------------------------------------------------------------------------
\1\ Not applicable.


      Table 2 to Sec.   1033.530.--Standard Duty Cycle Weighting Factors for Calculating Emission Rates for
                                     Locomotives With a Single Idle Setting
----------------------------------------------------------------------------------------------------------------
                                                                                         Line-haul
               Notch setting                           Test mode            Line-haul   (no dynamic     Switch
                                                                                           brake)
----------------------------------------------------------------------------------------------------------------
Normal Idle................................  A...........................        0.380        0.505        0.598
Dynamic Brake..............................  C...........................        0.125        (\1\)        0.000
Notch 1....................................  1...........................        0.065        0.065        0.124
Notch 2....................................  2...........................        0.065        0.065        0.123
Notch 3....................................  3...........................        0.052        0.052        0.058
Notch 4....................................  4...........................        0.044        0.044        0.036
Notch 5....................................  5...........................        0.038        0.038        0.036
Notch 6....................................  6...........................        0.039        0.039        0.015
Notch 7....................................  7...........................        0.030        0.030        0.002
Notch 8....................................  8...........................        0.162        0.162        0.008
----------------------------------------------------------------------------------------------------------------
\1\ Not applicable.

    (b) Idle and dynamic brake notches. The test procedures generally 
require you to measure emissions at two idle settings and one dynamic 
brake, as follows:
    (1) If your locomotive is equipped with two idle settings and one 
or more dynamic brake settings, measure emissions at both idle settings 
and the worst case dynamic brake setting, and weight the emissions as 
specified in the applicable table of this section. Where it is not 
obvious which dynamic brake setting represents worst case, do one of 
the following:
    (i) You may measure emissions and power at each dynamic brake point 
and average them together.
    (ii) You may measure emissions and power at the dynamic brake point 
with the lowest power.
    (2) If your locomotive is equipped with two idle settings and is 
not equipped with dynamic brake, use a normal idle weighting factor of 
0.315 for the line-haul cycle. If your locomotive is equipped with only 
one idle setting and no dynamic brake, use an idle weighting factor of 
0.505 for the line-haul cycle.
    (c) Nonstandard notches or no notches. If your locomotive is 
equipped with more or less than 8 propulsion notches, recommend an 
alternate test cycle based on the in-use locomotive configuration. 
Unless you have data demonstrating that your locomotive will be 
operated differently from conventional locomotives, recommend weighting 
factors that are consistent with the power weightings of the specified 
duty cycle. For example, the average load factor for your recommended 
cycle (cycle-weighted power divided by rated power) should be 
equivalent to those of conventional locomotives. We may also allow the 
use of the standard power levels shown in Table 3 to this section for 
nonstandard locomotive testing subject to our prior approval. This 
paragraph (c) does not allow engines to be tested without consideration 
of the actual notches that will be used.

 Table 3 to Sec.   1033.530.--Standard Notch Power Levels Expressed as a
                        Percentage of Rated Power
------------------------------------------------------------------------
                                                                Percent
------------------------------------------------------------------------
Normal Idle..................................................       0.00
Dynamic Brake................................................       0.00
Notch 1......................................................       4.50
Notch 2......................................................      11.50
Notch 3......................................................      23.50
Notch 4......................................................      35.00
Notch 5......................................................      48.50
Notch 6......................................................      64.00
Notch 7......................................................      85.00
Notch 8......................................................     100.00
------------------------------------------------------------------------

    (d) Optional Ramped Modal Cycle Testing. Tables 1 and 2 of Sec.  
1033.520 show the weighting factors to use to calculate cycle-weighted 
average emission rates for the applicable locomotive ramped modal 
cycle. Use the weighting factors for the ramped modal cycle for your 
locomotive application and calculate cycle-weighted average emissions 
as specified in 40 CFR part 1065, subpart G.

[[Page 37224]]

    (e) Automated Start-Stop. For locomotive equipped with features 
that shut the engine off after prolonged periods of idle, multiply the 
measured idle mass emission rate over the idle portion of the 
applicable test cycles by a factor equal to one minus the estimated 
fraction reduction in idling time that will result in use from the 
shutdown feature. Do not apply this factor to the weighted idle power. 
Application of this adjustment is subject to our approval. This 
paragraph (e) does not apply if the locomotive is (or will be) covered 
by a separate certificates for idle control.
    (f) Multi-engine locomotives. This paragraph (f) applies for 
locomotives using multiple engines where all engines are identical in 
all material respects. In cases where we allow engine dynamometer 
testing, you may test a single engine consistent with good engineering 
judgment, as long as you test it at the operating points at which the 
engines will operate when installed in the locomotive (excluding 
stopping and starting). Weigh the results to reflect the power demand/
power-sharing of the in-use configuration for each notch setting.
    (g) Representative test cycles for freshly manufactured 
locomotives. As specified in this paragraph (g), manufacturers may be 
required to use an alternate test cycle for freshly manufactured Tier 3 
and later locomotives.
    (1) If you determine that you are adding design features that will 
make the expected average in-use duty cycle for any of your freshly 
manufactured locomotive engine families significantly different from 
the otherwise applicable test cycle (including weighting factors), you 
must notify us and recommend an alternate test cycle that represents 
the expected average in-use duty cycle. You should also obtain 
preliminary approval before you begin collecting data to support an 
alternate test cycle. We will specify whether to use the default duty 
cycle, your recommended cycle, or a different cycle, depending on which 
cycle we believe best represents expected in-use operation.
    (2) The provisions of this paragraph (g) apply differently for 
different types of locomotives, as follows:
    (i) For Tier 4 and later line-haul locomotives, use the cycle 
required by (g)(1) of this section to show compliance with the line-
haul cycle standards.
    (ii) For Tier 3 and later switch locomotives, use the cycle 
required by (g)(1) of this section to show compliance with the switch 
cycle standards.
    (iii) For Tier 3 line-haul locomotives, if we specify an alternate 
cycle, use it to show compliance with the line-haul cycle standards. If 
you include the locomotives in the ABT program of subpart H of this 
part, calculate line-haul cycle credits (positive or negative) using 
the alternate cycle and the line-haul cycle standards. Your locomotive 
is deemed to also generate an equal amount of switch cycle credits.
    (3) For all locomotives certified using an alternate cycle, include 
a description of the cycle in the owners manual such that the 
locomotive can be remanufactured using the same cycle.
    (4) For example, if your freshly manufactured line-haul locomotives 
are equipped with load control features that modify how the locomotive 
will operate when it is in a consist, and such features will cause the 
locomotives to operate differently from the otherwise applicable line-
haul cycle, we may require you to certify using an alternate cycle.
    (5) See paragraph (h) of this section for cycle-changing design 
features that also result in energy savings.
    (h) Calculation adjustments for energy-saving design features. The 
provisions of this paragraph (h) apply for locomotives equipped with 
energy-saving locomotive design features. They do not apply for 
features that only improve the engine's brake-specific fuel 
consumption.
    (1) Manufacturers/remanufacturers choosing to adjust emissions 
under this paragraph (h) must do all of the following for 
certification:
    (i) Describe the energy-saving features in your application for 
certification.
    (ii) Describe in your installation instruction and/or maintenance 
instructions all steps necessary to utilize the energy-saving features.
    (2) If your design feature will also affect the locomotive's duty 
cycle, you must comply with the requirements of paragraph (g) of this 
section.
    (3) Calculate energy the savings as described in this paragraph 
(h)(3).
    (i) Estimate the expected mean in-use fuel consumption rate (on a 
BTU per ton-mile basis) with and without the energy saving design 
feature, consistent with the specifications of paragraph (h)(4) of this 
section. The energy savings is the ratio of fuel consumed from a 
locomotive operating with the new feature to fuel consumed from a 
locomotive operating without the feature under identical conditions. 
Include an estimate of the 80 percent confidence interval for your 
estimate of the mean, and other statistical parameters we specify.
    (ii) Your estimate must be based on in-use operating data, 
consistent with good engineering judgment. Where we have previously 
certified your design feature under this paragraph (h), we may require 
you to update your analysis based on all new data that are available. 
You must obtain preliminary approval before you begin collecting 
operational data for this purpose.
    (iii) We may allow you to consider the effects of your design 
feature separately for different route types, regions, or railroads. We 
may require that you certify these different locomotives in different 
engine families and may restrict their use to the specified 
applications.
    (iv) Design your test plan so that the operation of the locomotives 
with and without is as similar as possible in all material aspects 
(other than the design feature being evaluated). Correct all data for 
any relevant differences, consistent with good engineering judgment.
    (v) Do not include any brake-specific energy savings in your 
calculated values. If it is not possible to exclude such effects from 
your data gathering, you must correct for these effects, consistent 
with good engineering judgment.
    (4) Calculate adjustment factors as described in this paragraph 
(h)(4). If the energy savings will apply broadly, calculate and apply 
the adjustment on a cycle-weighted basis. Otherwise, calculate and 
apply the adjustment separately for each notch. To apply the 
adjustment, multiply the emissions (either cycle-weighted or notch-
specific, as applicable) by the adjustment. Use the lower bound of the 
80 percent confidence interval of the estimate of the mean as your 
estimated energy savings rate. We may cap your energy savings rate for 
this paragraph (h)(4) at 80 percent of the estimate of the mean. 
Calculate the emission adjustment factors as:

AF = 1.000--(energy savings rate)


Sec.  1033.535  Adjusting emission levels to account for infrequently 
regenerating aftertreatment devices.

    This section describes how to adjust emission results from 
locomotives using aftertreatment technology with infrequent 
regeneration events that occur during testing. See paragraph (e) of 
this section for how to adjust ramped modal testing. See paragraph (f) 
of this section for how to adjust discrete-mode testing. For this 
section, ``regeneration'' means an intended event during which emission 
levels change while the system restores aftertreatment performance. For 
example, hydrocarbon emissions may increase temporarily while oxidizing 
accumulated particulate matter in a trap. Also for this section, 
``infrequent'' refers to regeneration events that are

[[Page 37225]]

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

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

Where:

F = the frequency of the regeneration event during normal in-use 
operation, expressed in terms of the fraction of equivalent tests 
during which the regeneration occurs. You may determine F from in-
use operating data or running replicate tests. For example, if you 
observe that the regeneration occurs 125 times during 1000 MW-hrs of 
operation, and your locomotive typically accumulates 1 MW-hr per 
test, F would be (125) / (1000) x (1) = 0.125.
EFH = measured emissions from a test segment in which the 
regeneration occurs.
EFL = measured emissions from a test segment in which the 
regeneration does not occur.

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

UAF = EFA-EFL

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

DAF = EFH-EFA

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

EFA = (0.10)(0.50 g/ bhp-hr) + (1.00-0.10)(0.10 g/ bhp-hr) = 0.14 g/ 
bhp-hr.
UAF = 0.14 g/ bhp-hr-0.10 g/ bhp-hr = 0.04 g/ bhp-hr.
DAF = 0.50 g/ bhp-hr-0.14 g/ bhp-hr = 0.36 g/ bhp-hr

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

Subpart G--Special Compliance Provisions


Sec.  1033.601  General compliance provisions.

    Locomotive manufacturer/remanufacturers, as well as owners and 
operators of locomotives subject to the requirements of this part, and 
all other persons, must observe the provisions of this part, the 
requirements and prohibitions in 40 CFR part 1068, and the provisions 
of the Clean Air Act. The provisions of 40 CFR part 1068 apply for 
locomotives as specified in that part, except as otherwise specified in 
this section.
    (a) Meaning of manufacturer. When used in 40 CFR part 1068, the 
term ``manufacturer'' means manufacturer and/or remanufacturer.
    (b) Engine rebuilding. The provisions of 40 CFR 1068.120 do not 
apply when remanufacturing locomotives under a certificate of 
conformity issued under this part.
    (c) Exemptions. (1) The exemption provisions of 40 CFR 1068.240 
(i.e., exemptions for replacement engines) do not apply for domestic or 
imported locomotives. (Note: You may introduce into commerce freshly 
manufactured replacement engines under this part, provided the 
locomotives into which they are installed are covered by a certificate 
of conformity.
    (2) The exemption provisions of 40 CFR 1068.250 and 1068.255 (i.e., 
exemptions for hardship relief) do not apply for domestic or imported 
locomotives. See Sec.  1033.620 for provisions related to hardship 
relief.
    (3) The exemption provisions of 40 CFR 1068.260 (i.e., exemptions 
for delegated assembly) do not apply for domestic or imported 
locomotives, except as specified in Sec.  1033.630.
    (4) The provisions for importing engines and equipment under the 
identical configuration exemption of 40 CFR 1068.315(i) do not apply 
for locomotives.
    (5) The provisions for importing engines and equipment under the 
ancient engine exemption of 40 CFR 1068.315(j) do not apply for 
locomotives.
    (d) SEAs, defect reporting, and recall. The provisions of 40 CFR 
part 1068, subpart E (i.e., SEA provisions) do not apply for 
locomotives. Except as noted in this paragraph (d), the provisions of 
40 CFR part 1068, subpart F, apply to certificate holders for 
locomotives as specified for manufacturers in that part.
    (1) When there are multiple persons meeting the definition of 
manufacturer or remanufacturer, each person meeting the definition of 
manufacturer or remanufacturer must comply with the requirements of 40 
CFR part 1068, subpart F, as needed so that the certificate holder can 
fulfill its obligations under those subparts.
    (2) The defect investigation requirements of 40 CFR 1068.501(a)(5), 
(b)(1) and (b)(2) do not apply for locomotives. Instead, use good 
engineering judgment to investigate emission-related defects consistent 
with normal locomotive industry practice for investigating defects. You 
are not required to track parts shipments as indicators of possible 
defects.
    (e) Introduction into commerce. The placement of a new locomotive 
or new

[[Page 37226]]

locomotive engine back into service following remanufacturing is a 
violation of 40 CFR 1068.101(a)(1), unless it has a valid certificate 
of conformity for its model year and the required label.


Sec.  1033.610  Small railroad provisions.

    In general, the provisions of this part apply for all locomotives, 
including those owned by Class II and Class III railroads. This section 
describes how these provisions apply for railroads meeting the 
definition of ``small railroad'' in Sec.  1033.901. (Note: The term 
``small railroad'' excludes all Class II railroads and some Class III 
railroads, such as those owned by large parent companies.)
    (a) Locomotives become subject to the provisions of this part when 
they become ``new'' as defined in Sec.  1033.901. Under that 
definition, a locomotive is ``new'' when first assembled, and generally 
becomes ``new'' again when remanufactured. As an exception to this 
general concept, locomotives that are owned and operated by railroads 
meeting the definition of ``small railroad'' in Sec.  1033.901 do not 
become ``new'' when remanufactured, unless they were previously 
certified to EPA emission standards. Certificate holders may require 
written confirmation from the owner/operator that the locomotive 
qualifies as a locomotive that is owned and operated by a small 
railroad. Such written confirmation to a certificate holder is deemed 
to also be a submission to EPA and is thus subject to the reporting 
requirements of 40 CFR 1068.101.
    (b) The provisions of subpart I of this part apply to all owners 
and operators of locomotives subject to this part 1033. However, the 
regulations of that subpart specify some provisions that apply only for 
Class I freight railroads, and others that apply differently to Class I 
freight railroads and other railroads.
    (c) We may exempt new locomotives that are owned or operated by 
small railroads from the prohibition against remanufacturing a 
locomotive without a certificate of conformity as specified in this 
paragraph (c). This exemption is only available in cases where no 
certified remanufacturing system is available for the locomotive. For 
example, it is possible that no remanufacturer will certify a system 
for very old locomotive models that comprise a tiny fraction of the 
fleet and that are remanufactured infrequently. We will grant the 
exemption in all cases in which no remanufacturing system has been 
certified for the applicable engine family and model year. We may also 
grant an exemption where we determine that a certified system is 
unavailable. We may consider the issue of excessive costs in 
determining the availability of certified systems. If we grant this 
exemption for a previously certified locomotive, you are required to 
return the locomotive to its previously certified configuration. Send 
your request for such exemptions to the Designated Compliance Officer.
    (d) Non-Class I railroads that do not meet the definition of 
``small railroad'' in Sec.  1033.901 may ask that their remanufactured 
locomotives be excluded from the definition of ``new'' in Sec.  
1033.901 in cases where no certified remanufacturing system is 
available for the locomotive. We will grant the exemption in all cases 
in which no remanufacturing system has been certified for the 
applicable engine family and model year. If we grant this exemption for 
a previously certified locomotive, you are required to return the 
locomotive to its previously certified configuration. Send your request 
for such exemptions to the Designated Compliance Officer.


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

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


Sec.  1033.620  Hardship provisions for manufacturers and 
remanufacturers.

    (a) If you qualify for the economic hardship provisions specified 
in 40 CFR 1068.245, we may approve a period of delayed compliance for 
up to one model year total.
    (b) The provisions of this paragraph (b) are intended to address 
problems that could occur near the date on which more stringent 
emission standards become effective, such as the transition from the 
Tier 2 standards to the Tier 3 standards for line-haul locomotives on 
January 1, 2012.
    (1) In appropriate extreme and unusual circumstances that are 
clearly outside the control of the manufacturer and could not have been 
avoided by the exercise of prudence, diligence, and due care, we may 
permit you, for a brief period, to introduce into commerce locomotives 
which do not comply with the applicable emission standards if all of 
the following conditions apply:
    (i) You cannot reasonably manufacture the locomotives in such a 
manner that they would be able to comply with the applicable standards.
    (ii) The manufacture of the locomotives was substantially completed 
prior to the applicability date of the standards from which you seek 
the relief. For example, you may not request relief for a locomotive 
that has been ordered, but for which you will not begin the assembly 
process prior to the applicability date of the standards. On the other 
hand, we would generally consider completion of the underframe weldment 
to be a substantial part of the manufacturing process.
    (iii) Manufacture of the locomotives was previously scheduled to be 
completed at such a point in time that locomotives would have been 
included in the previous model year, such that they would have been 
subject to less stringent standards, and that such schedule was 
feasible under normal conditions.
    (iv) You demonstrate that the locomotives comply with the less 
stringent standards that applied to the previous model year's 
production described in paragraph (b)(1)(iii) of this section, as 
prescribed by subpart C of this part (i.e., that the locomotives are 
identical to locomotives certified in the previous model year).

[[Page 37227]]

    (v) You exercised prudent planning, were not able to avoid the 
violation, and have taken all reasonable steps to minimize the extent 
of the nonconformity.
    (vi) We approve your request before you introduce the locomotives 
into commerce.
    (2) You must notify us as soon as you become aware of the extreme 
or unusual circumstances.
    (3)(i) Include locomotives for which we grant relief under this 
section in the engine family for which they were originally intended to 
be included.
    (ii) Where the locomotives are to be included in an engine family 
that was certified to an FEL above the applicable standard, you must 
reserve credits to cover the locomotives covered by this allowance and 
include the required information for these locomotives in the end-of-
year report required by subpart H of this part.
    (c) In granting relief under this section, we may also set other 
conditions as appropriate, such as requiring payment of fees to negate 
an economic gain that such relief would otherwise provide.


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

    You may certify freshly manufactured or remanufactured locomotives 
using non-locomotive-specific engines (as defined in (1033.901) using 
the normal certification procedures of this part. Locomotives certified 
in that way are generally treated the same as other locomotives, except 
where specified otherwise. The provisions of this section provide for 
design certification to the locomotive standards in this part for 
locomotives using engines included in engine families certified under 
40 CFR part 1039 (or part 89) in limited circumstances.
    (a) Remanufactured or freshly manufactured switch locomotives 
powered by non-locomotive-specific engines may be certified by design 
without the test data required by 1033.235 if all of the following are 
true:
    (1) Before being installed in the locomotive, the engines were 
covered by a certificate of conformity issued under 40 CFR Part 1039 
(or part 89) that is effective for the calendar year in which the 
manufacture or remanufacture occurs. You may use engines certified 
during the previous year if it is subject to the same standards. You 
may not make any modifications to the engines unless we approve them.
    (2) The engines were certified to standards that are numerically 
lower than the applicable locomotive standards of this part.
    (3) More engines are reasonably projected to be sold and used under 
the certificate for non-locomotive use than for use in locomotives.
    (4) The number of such locomotives certified under this section 
does not exceed 30 in any three-year period. We may waive this sales 
limit for locomotive models that have previously demonstrated 
compliance with the locomotive standards of Sec.  1033.101 in-use.
    (5) We approved the application as specified in paragraph (d) of 
this section.
    (b) To certify your locomotives by design under this section, 
submit your application as specified in Sec.  1033.205, except include 
the following instead of the locomotive test data otherwise required:
    (1) A description of the engines to be used, including the name of 
the engine manufacturer and engine family identifier for the engines.
    (2) A brief engineering analysis describing how the engine's 
emission controls will function when installed in the locomotive 
throughout the locomotive's useful life.
    (3) The emission data submitted under 40 CFR part 1039 (or part 
89).
    (c) Locomotives certified under this section are subject to all of 
the same requirements of this part unless specified otherwise in this 
section. The engines used in such locomotives are not considered to be 
included in the otherwise applicable engines family of 40 CFR part 1039 
(or part 89).
    (d) We will approve or deny the application as specified in subpart 
C of this part. For example, we will deny your application for 
certification by design under this section in any case where we have 
evidence that your locomotives will not conform to the requirements of 
this part throughout their useful lives.


Sec.  1033.630  Staged-assembly and delegated assembly exemptions.

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

[[Page 37228]]

determine are necessary to ensure that the locomotives are assembled in 
their certified configuration before being placed (back) into service.


Sec.  1033.640  Provisions for repowered and refurbished locomotives.

    (a) The provisions of this section apply for locomotives that are 
produced from an existing locomotive so that the new locomotive 
contains both previously used parts and parts that have never been used 
before.
    (1) Repowered locomotives are used locomotives in which a freshly 
manufactured propulsion engine is installed. As described in this 
section, a repowered locomotive is deemed to be either remanufactured 
or freshly manufactured, depending on the total amount of unused parts 
on the locomotive. It may also be deemed to be a refurbished 
locomotive.
    (2) Refurbished locomotives are locomotives that contain more 
unused parts than previously used parts. As described in this section, 
a locomotive containing more unused parts than previously used parts 
may be deemed to be either remanufactured or freshly manufactured, 
depending on the total amount of unused parts on the locomotive. Note 
that Sec.  1033.101 defines refurbishment of a pre-1973 locomotive to 
be an upgrade of the locomotive.
    (b) A single existing locomotive cannot be divided into parts and 
combined with new parts to create more than one remanufactured 
locomotive. However, any number of locomotives can be divided into 
parts and combined with new parts to create more than one 
remanufactured locomotive, provide the number of locomotives created 
(remanufactured and freshly manufactured) does not exceed the number of 
locomotives that were disassembled.
    (c) You may determine the relative amount of previously used parts 
consistent with the specifications of the Federal Railroad 
Administration. Otherwise, determine the relative amount of previously 
used parts as follows:
    (1) Identify the parts in the fully assembled locomotive that have 
been previously used and those that have never been used before.
    (2) Weight the unused parts and previously used parts by the dollar 
value of the parts. For example, a single part valued at $1200 would 
count the same as six parts valued at $200 each. Group parts by system 
where possible (such as counting the engine as one part) if either all 
the parts in that system are used or all the parts in that system are 
unused. Calculate the used part values using dollar values from the 
same year as the new parts.
    (3) Sum the values of the unused parts. Also sum the values of the 
previously used parts. The relative fraction of used parts is the total 
value of previously used parts divided by the combined value of the 
unused parts and previously used parts.
    (c) If the weighted fraction of the locomotive that is comprised of 
previously used parts is greater than or equal to 25 percent, then the 
locomotive is considered to be a remanufactured locomotive and retains 
its original date of manufacture. Note, however, that if the weighted 
fraction of the locomotive that is comprised of previously used parts 
is less than 50 percent, then the locomotive is also considered to be a 
refurbished locomotive.
    (d) If the weighted fraction of the locomotive that is comprised of 
previously used parts is less than 25 percent, then the locomotive is 
deemed to be a freshly manufactured locomotive and the date of original 
manufacture is the most recent date on which the locomotive was 
assembled using less than 25 percent previously used parts. For 
example:
    (1) If you produce a new locomotive that includes a used frame, but 
all other parts are unused, then the locomotive would likely be 
considered to be a freshly manufactured locomotive because the value of 
the frame would likely be less than 25 percent of the total value of 
the locomotive. Its date of original manufacture would be the date on 
which you complete its assembly.
    (2) If you produce a new locomotive by replacing the engine in a 
1990 locomotive with a freshly manufactured engine, but all other parts 
are used, then the locomotive would likely be considered to be a 
remanufactured locomotive and its date of original manufacture is the 
date on which assembly was completed in 1990. (Note: such a locomotive 
would also be considered to be a repowered locomotive.)
    (e) Locomotives containing used parts that are deemed to be freshly 
manufactured locomotives are subject to the same provisions as all 
other freshly manufactured locomotives. Other refurbished locomotives 
are subject to the same provisions as other remanufactured locomotives, 
with the following exceptions:
    (1) Switch locomotives. (i) Prior to January 1, 2015, 
remanufactured Tier 0 switch locomotives that are deemed to be 
refurbished are subject to the Tier 0 line-haul cycle and switch cycle 
standards. Note that this differs from the requirements applicable to 
other Tier 0 switch locomotives, which are not subject to the Tier 0 
line-haul cycle standards.
    (ii) Beginning January 1, 2015, remanufactured Tier 3 and earlier 
switch locomotives that are deemed to be refurbished are subject to the 
Tier 3 switch standards.
    (2) Line-haul locomotives. Remanufactured line-haul locomotives 
that are deemed to be refurbished are subject to the same standards as 
freshly manufactured line-haul locomotives, except that line-haul 
locomotives with rated power less than 3000 hp that are refurbished 
before January 1, 2015 are subject to the same standards as refurbished 
switch locomotives under paragraph (e)(1)(i) of this section. However, 
line-haul locomotives less than 3000 hp may not generate emission 
credits relative to the standards specified in paragraph (e)(1)(i) of 
this section.
    (3) Labels for switch and line-haul locomotives. Remanufacturers 
that refurbish a locomotive must add a secondary locomotive label that 
includes the following:
    (i) The label heading: ``REFURBISHED LOCOMOTIVE EMISSION CONTROL 
INFORMATION.''
    (ii) The statement identifying when the locomotive was refurbished 
and what standards it is subject to, as follows: ``THIS LOCOMOTIVE WAS 
REFURBISHED IN [year of refurbishment] AND MUST COMPLY WITH THE TIER 
[applicable standard level] EACH TIME THAT IT IS REMANUFACTURED, EXCEPT 
AS ALLOWED BY 40 CFR 1033.750.''.


Sec.  1033.645  Non-OEM component certification program.

    This section describes a voluntary program that allows you to get 
EPA approval of components you manufacture for use during 
remanufacturing.
    (a) Applicability. This section applies only for components 
replaced during remanufacturing. It does not apply for other components 
that are replaced during a locomotive's useful life.
    (1) The following components are eligible for approval under this 
section:
    (i) Cylinder liners.
    (ii) Pistons.
    (iii) Piston rings.
    (iv) Heads.
    (v) Fuel injectors.
    (vi) Turbochargers.
    (vii) Aftercoolers and intercoolers.
    (2) Catalysts and electronic controls are not eligible for approval 
under this section.
    (3) We may determine that other types of components can be 
certified under

[[Page 37229]]

this section, consistent with good engineering judgment.
    (b) Approval. To obtain approval, submit your request to the 
Designated Compliance Officer.
    (1) Include all of the following in your request:
    (i) A description of the component(s) for which you are requesting 
approval.
    (ii) A list of all engine/locomotive models and engine families for 
which your component would be used. You may exclude models that are not 
subject to our standards or will otherwise not be remanufactured under 
a certificate of conformity.
    (iii) A copy of the maintenance instructions for engines using your 
component. You may reference the other certificate holder's maintenance 
instructions in your instructions. For example, your instructions may 
specify to follow the other certificate holder's instructions in 
general, but list one or more exceptions to address the specific 
maintenance needs of your component.
    (iv) An engineering analysis (including test data in some cases) 
demonstrating to us that your component will not cause emissions to 
increase. The analysis must address both low-hour and end-of-useful 
life emissions. The amount of information required for this analysis is 
less than is required to obtain a certificate of conformity under 
subpart C of this part and will vary depending on the type of component 
being certified.
    (v) The following statement signed by an authorized representative 
of your company: We submit this request under 40 CFR 1033.645. All the 
information in this report is true and accurate to the best of my 
knowledge. I know of the penalties for violating the Clean Air Act and 
the regulations. (Authorized Company Representative)
    (2) If we determine that there is reasonable technical basis to 
believe that your component is sufficiently equivalent that it will not 
increase emissions, we will approve your request and you will be a 
certificate holder for your components with respect to actual emissions 
performance for all locomotives that use those components (in 
accordance with this section).
    (c) Liability. Being a certificate holder under this section means 
that if in-use testing indicates that a certified locomotive using one 
or more of your approved components does not comply with an applicable 
emission standard, we will presume that you and other certificate 
holders are liable for the noncompliance. However, we will not hold you 
liable in cases where you convince us that your components did not 
cause the noncompliance. Conversely, we will not hold other certificate 
holders liable for noncompliance caused solely by your components. You 
are also subject to the warranty and defect reporting requirements of 
this part for your certified components. Other requirements of this 
part apply as specified in Sec.  1033.1.
    (d) In-use testing. Locomotives containing your components must be 
tested according to the provisions of this paragraph (d).
    (1) Except as specified in paragraph (d)(5) of this section, you 
must test at least one locomotive if 250 locomotives use your component 
under this section. You must test one additional locomotive for the 
next additional 500 locomotives that use your component under this 
section. After that, we may require you to test one additional 
locomotive for each additional 1000 locomotives that use your component 
under this section. These numbers apply across model years. For 
example, if your component is used in 125 remanufactures per year under 
this section, you must test one of the first 250 locomotives, one of 
the next 500 locomotives, and up to one every eight years after that. 
Do not count locomotives that use your components but are not covered 
by this section.
    (2) Except for the first locomotive you test for a specific 
component under this section, locomotives tested under this paragraph 
(d) must be past the half-way point of the useful life in terms of MW-
hrs. For the first locomotive you test, select a locomotive that has 
operated between 25 and 50 percent of its useful life.
    (3) Unless we approve a different schedule, you must complete 
testing and report the results to us within 180 days of the earliest 
point at which you could complete the testing based on the hours of 
operation accumulated by the locomotives. For example, if 250 or more 
locomotives use your part under this section, and the first of these to 
reach 25 percent of its useful life does so on March 1st of a given 
year, you must complete testing of one of the first 250 locomotives and 
report to us by August 28th of that year.
    (4) Unless we approve different test procedures, you must test the 
locomotive according to the procedures specified in subpart F of this 
part.
    (5) If any locomotives fail to meet all standards, we may require 
you to test one additional locomotive for each locomotive that fails. 
You may choose to accept that your part is causing an emission problem 
rather than continuing testing. You may also test additional 
locomotives at any time. We will consider failure rates, average 
emission levels and the existence of any defects among other factors in 
determining whether to pursue remedial action. We may order a recall 
pursuant to 40 CFR part 1068 before you complete testing additional 
locomotives.
    (6) You may ask us to allow you to rely on testing performed by 
others instead of requiring you to perform testing. For example, if a 
railroad tests a locomotive with your component as part of its testing 
under Sec.  1033.810, you may ask to submit those test data as 
fulfillment of your test obligations under this paragraph (d). If a 
given test locomotive uses different components certified under this 
section that were manufactured by different manufacturers (such as 
rings from one manufacturer and cylinder liners from another 
manufacturer), a single test of it may be counted towards both 
manufacturers' test obligations. In unusual circumstances, you may also 
ask us to grant you hardship relief from the testing requirements of 
this paragraph (d). In determining whether to grant you relief, we will 
consider all relevant factors including the extent of the financial 
hardship to your company and whether the test data are available from 
other sources, such as testing performed by a railroad.
    (e) Components certified under this section may be used when 
remanufacturing Category 2 engines under 40 CFR part 1042.


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

    You may ask us to exempt from the requirements and prohibitions of 
this part locomotives that are operated primarily outside of the United 
States and that enter the United States temporarily from Canada or 
Mexico. We will approve this exemption only where we determine that the 
locomotive's operation within the United States will not be extensive 
and will be incidental to its primary operation. For example, we would 
generally exempt locomotives that will not operate more than 25 miles 
from the border and will operate in the United States less than 5 
percent of their operating time. For existing operations, you must 
request this exemption before January 1, 2011. In your request, 
identify the locomotives for which you are requesting an exemption, and 
describe their projected use in the United States. We may grant the 
exemption broadly or limit the exemption to specific locomotives and/or 
specific geographic areas. However, we will typically approve 
exemptions for specific rail facilities rather than specific 
locomotives. In unusual circumstances, such as cases in which

[[Page 37230]]

new rail facilities are created, we may approve requests submitted 
after January 1, 2011.


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

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

                       Table 1 to Sec.   1033.655
------------------------------------------------------------------------
 
------------------------------------------------------------------------
8-40C.....................................  P32ACDM
8-40B.....................................  P42DC
8-32B.....................................  8-40BPH
8-40CW....................................  P40DC
8-40BW....................................  8-32BWH
8-40CM....................................  C39-8
8-41CW....................................  B39-8E
8-44CW                                      ............................
------------------------------------------------------------------------

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

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


Sec.  1033.701  General provisions.

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

[[Page 37231]]

Sec.  1033.705  Calculating emission credits.

    The provisions of this section apply separately for calculating 
emission credits for NOX or PM.
    (a) Calculate positive emission credits for an engine family that 
has an FEL below the otherwise applicable emission standard. Calculate 
negative emission credits for an engine family that has an FEL above 
the otherwise applicable emission standard. Do not round until the end 
of year report.
    (b) For each participating engine family, calculate positive or 
negative emission credits relative to the otherwise applicable emission 
standard. For the end of year report, round calculated emission credits 
to the nearest one hundredth of a megagram (0.01 Mg). Round your end of 
year emission credit balance to the nearest megagram (Mg). Use 
consistent units throughout the calculation. When useful life is 
expressed in terms of megawatt-hrs, calculate credits for each engine 
family from the following equation:

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

Where:

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

    (c) When useful life is expressed in terms of miles, calculate the 
useful life in terms of megawatt-hours (UL) by dividing the useful life 
in miles by 100,000, and multiplying by the sales-weighted average 
rated power of the engine family. For example, if your useful life is 
800,000 miles for a family with an average rated power of 3,500 hp, 
then your equivalent MW-hr useful life would be 28,000 MW-hrs. Credits 
are calculated using this UL value in the equations of paragraph (b) of 
this section.
    (d) The proration factor is an estimate of the fraction of a 
locomotive's service life that remains as a function of age. The 
proration factor is 1.00 for freshly manufactured locomotives.
    (1) The locomotive's age is the length of time in years from the 
date of original manufacture to the date at which the remanufacture 
(for which credits are being calculated) is completed, rounded to the 
next higher year.
    (2) The proration factors for line-haul locomotives ages 1 through 
20 are specified in Table 1 to this section. For line-haul locomotives 
more than 20 years old, use the proration factor for 20 year old 
locomotives. The proration factors for switch locomotives ages 1 
through 40 are specified in Table 2 to this section. For switch 
locomotives more than 40 years old, use the proration factor for 40 
year old locomotives.
    (3) For repower engines, the proration factor is based on the age 
of the locomotive chassis, not the age of the engine, except for 
remanufactured locomotives that qualify as refurbished. The minimum 
proration factor for remanufactured locomotives that meet the 
definition of refurbished but not freshly manufactured is 0.60. (Note: 
The proration factor is 1.00 for all locomotives that meet the 
definition of freshly manufactured.)

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


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

    (e) In your application for certification, base your showing of 
compliance on projected production volumes for locomotives that will be 
placed into service in the United States. As described in Sec.  
1033.730, compliance with the requirements of this subpart is 
determined at the end of the model year based on actual production 
volumes for locomotives that will be placed into service in the United 
States. Do not include any of the following locomotives to calculate 
emission credits:
    (1) Locomotives permanently exempted under subpart G of this part 
or under 40 CFR part 1068.
    (2) Exported locomotives. You may ask to include locomotives sold 
to Mexican or Canadian railroads if they will likely operate within the 
United States and you include all such locomotives (both credit using 
and credit generating locomotives).

[[Page 37232]]

    (3) Locomotives not subject to the requirements of this part, such 
as those excluded under Sec.  1033.5.
    (4) Any other locomotives, where we indicate elsewhere in this part 
1033 that they are not to be included in the calculations of this 
subpart.


Sec.  1033.710  Averaging emission credits.

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


Sec.  1033.715  Banking emission credits.

    (a) Banking is the retention of emission credits by the 
manufacturer/remanufacturer generating the emission credits (or owner/
operator, in the case of transferred credits) for use in averaging, 
trading, or transferring in future model years. You may use banked 
emission credits only as allowed by Sec.  1033.740.
    (b) You may use banked emission credits from the previous model 
year for averaging, trading, or transferring before we verify them, but 
we may revoke these emission credits if we are unable to verify them 
after reviewing your reports or auditing your records.
    (c) Reserved credits become actual emission credits only when we 
verify them after reviewing your final report.


Sec.  1033.720  Trading emission credits.

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


Sec.  1033.722  Transferring emission credits.

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


Sec.  1033.725  Requirements for your application for certification.

    (a) You must declare in your application for certification your 
intent to use the provisions of this subpart for each engine family 
that will be certified using the ABT program. You must also declare the 
FELs you select for the engine family for each pollutant for which you 
are using the ABT program. Your FELs must comply with the 
specifications of subpart B of this part, including the FEL caps. FELs 
must be expressed to the same number of decimal places as the 
applicable emission standards.
    (b) Include the following in your application for certification:
    (1) A statement that, to the best of your belief, you will not have 
a negative balance of emission credits for any averaging set when all 
emission credits are calculated at the end of the year.
    (2) Detailed calculations of projected emission credits (positive 
or negative) based on projected production volumes.


Sec.  1033.730  ABT reports.

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

[[Page 37233]]

    (ii) A copy of any contracts related to the trade.
    (iii) How you intend to use the emission credits, including the 
number of emission credits you intend to apply to each engine family 
(if known).
    (e) If you transfer emission credits, you must send us a report 
within 90 days after the first transfer to an owner/operator, as 
follows:
    (1) Include the following information:
    (i) The corporate names of the owner/operator receiving the 
credits.
    (ii) A copy of any contracts related to the trade.
    (iii) The serial numbers and engine families for the locomotive 
that generated the transferred emission credits and the number of 
emission credits from each family.
    (2) The requirements of this paragraph (e) apply separately for 
each owner/operator.
    (3) We may require you to submit additional 90-day reports under 
this paragraph (e).
    (f) Send your reports electronically to the Designated Compliance 
Officer using an approved information format. If you want to use a 
different format, send us a written request with justification for a 
waiver.
    (g) Correct errors in your end-of-year report or final report as 
follows:
    (1) You may correct any errors in your end-of-year report when you 
prepare the final report, as long as you send us the final report by 
the time it is due.
    (2) If you or we determine within 270 days after the end of the 
model year that errors mistakenly decreased your balance of emission 
credits, you may correct the errors and recalculate the balance of 
emission credits. You may not make these corrections for errors that 
are determined more than 270 days after the end of the model year. If 
you report a negative balance of emission credits, we may disallow 
corrections under this paragraph (g)(2).
    (3) If you or we determine anytime that errors mistakenly increased 
your balance of emission credits, you must correct the errors and 
recalculate the balance of emission credits.
    (h) We may modify these requirements for owners/operators required 
to submit reports because of their involvement in credit transferring.


Sec.  1033.735  Required records.

    (a) You must organize and maintain your records as described in 
this section. We may review your records at any time.
    (b) Keep the records required by this section for eight years after 
the due date for the end-of-year report. You may not use emission 
credits on any engines if you do not keep all the records required 
under this section. You must therefore keep these records to continue 
to bank valid credits. Store these records in any format and on any 
media, as long as you can promptly send us organized, written records 
in English if we ask for them. You must keep these records readily 
available. We may review them at any time.
    (c) Keep a copy of the reports we require in Sec.  1033.730.
    (d) Keep the following additional records for each locomotive you 
produce that generates or uses emission credits under the ABT program:
    (1) Engine family designation.
    (2) Locomotive identification number. You may identify these 
numbers as a range.
    (3) FEL. If you change the FEL after the start of production, 
identify the date that you started using the new FEL and give the 
engine identification number for the first engine covered by the new 
FEL.
    (4) Rated power and useful life.
    (5) Purchaser and destination for freshly manufactured locomotives; 
or owner for remanufactured locomotives.
    (e) We may require you to keep additional records or to send us 
relevant information not required by this section, as allowed under the 
Clean Air Act.


Sec.  1033.740  Credit restrictions.

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


Sec.  1033.745  Compliance with the provisions of this subpart.

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

[[Page 37234]]

    (c) We may void the certificate of conformity for an engine family 
if you fail to keep records, send reports, or give us information we 
request.
    (d) You may ask for a hearing if we void your certificate under 
this section (see Sec.  1033.920).


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

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

Subpart I--Requirements for Owners and Operators


Sec.  1033.801  Applicability.

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


Sec.  1033.805  Remanufacturing requirements.

    (a) See the definition of ``remanufacture'' in Sec.  1033.901 to 
determine if you are remanufacturing your locomotive or engine. (Note: 
Replacing power assemblies one at a time may qualify as 
remanufacturing, depending on the interval between replacement.)
    (b) See the definition of ``new'' in Sec.  1033.901 to determine if 
remanufacturing your locomotive makes it subject to the requirements of 
this part. If the locomotive is considered to be new, it is subject to 
the certification requirements of this part, unless it is exempt under 
subpart G of this part. The standards to which your locomotive is 
subject will depend on factors such as the following:
    (1) Its date of original manufacture.
    (2) The FEL to which it was previously certified, which is listed 
on the ``Locomotive Emission Control Information'' label.
    (3) Its power rating (whether it is above or below 2300 hp).
    (4) The calendar year in which it is being remanufactured.
    (c) You may comply with the certification requirements of this part 
for your remanufactured locomotive by either obtaining your own 
certificate of conformity as specified in subpart C of this part or by 
having a certifying remanufacturer include your locomotive under its 
certificate of conformity. In either case, your remanufactured 
locomotive must be covered by a certificate before it is reintroduced 
into service.
    (d) If you do not obtain your own certificate of conformity from 
EPA, contact a certifying remanufacturer to have your locomotive 
included under its certificate of conformity. Confirm with the 
certificate holder that your locomotive's model, date of original 
manufacture, previous FEL, and power rating allow it to be covered by 
the certificate. You must do all of the following:
    (1) Comply with the certificate holder's emission-related 
installation instructions, which should include the following:
    (i) A description of how to assemble and adjust the locomotive so 
that it will operate according to design specifications in the 
certificate. See paragraph (e) of this section for requirements related 
to the parts you must use.
    (ii) Instructions to remove the Engine Emission Control Information 
label and replace it with the certificate holder's new label. Note: In 
most cases, you must not remove the Locomotive Emission Control 
Information label.
    (2) Provide to the certificate holder the information it identifies 
as necessary to comply with the requirements of this part. For example, 
the certificate holder may require you to provide the information 
specified by Sec.  1033.735.
    (e) For parts unrelated to emissions and emission-related parts not 
addressed by the certificate holder in the emission-related 
installation instructions, you may use parts from any source. For 
emission-related parts listed by the certificate holder in the 
emission-related installation instructions, you must either use the 
specified parts or parts certified under Sec.  1033.645 for 
remanufacturing. If you believe that the certificate holder has 
included as emission-related parts, parts that are actually unrelated 
to emissions, you may ask us to exclude such parts from the emission-
related installation instructions. Note: This paragraph (e) does not 
apply with respect to parts for maintenance other than remanufacturing; 
see Sec.  1033.815 for provisions related to general maintenance.
    (f) Failure to comply with this section is a violation of 40 CFR 
1068.101(a)(1).


Sec.  1033.810  In-use testing program.

    (a) Applicability. This section applies to all Class I freight 
railroads. It does not apply to other owner/operators.
    (b) Testing requirements. Annually test a sample of locomotives in 
your fleet. For purposes of this section, your fleet includes both the 
locomotives that you own and the locomotives that you are leasing. Use 
the test procedures in subpart F of this part, unless we approve 
different procedures.
    (1) Except for the cases described in paragraph (b)(2) of this 
section, test at least 0.075 percent of the average number of 
locomotives in your fleet during the previous calendar year (i.e., 
determine the number to be tested by multiplying the number of 
locomotives in the fleet by 0.00075 and rounding up to the next whole 
number).
    (2) We may allow you to test a smaller number of locomotives if we 
determine that the number of tests otherwise required by this section 
is not necessary.
    (c) Test locomotive selection. Unless we specify a different 
option, select test locomotives as specified in paragraph (c)(1) of 
this section (Option 1). In no case may you exclude locomotives because 
of visible smoke, a history of durability problems, or other evidence 
of malmaintenance. You may test more locomotives than is required by 
this section.
    (1) Option 1. To the extent possible, select locomotives from each 
manufacturer and remanufacturer, and from each tier level (e.g., Tier 
0, Tier 1 and Tier 2) in proportion to their numbers in the your fleet. 
Exclude locomotives tested during the previous year. If possible, 
select locomotives that have been operated for at least 100 percent of 
their useful lives. Where there are multiple locomotives meeting the 
requirements of this paragraph (c)(1), randomly select the locomotives 
to be tested from among those locomotives. If the number of certified 
locomotives that have been operated for at least 100 percent of their 
useful lives is not large enough to fulfill the testing

[[Page 37235]]

requirement, test locomotives still within their useful lives as 
follows:
    (i) Test locomotives in your fleet that are nearest to the end of 
their useful lives. You may identify such locomotives as a range of 
values representing the fraction of the useful life already used up for 
the locomotives.
    (ii) For example, you may determine that 20 percent of your fleet 
has been operated for at least 75 percent of their useful lives. In 
such a case, select locomotives for testing that have been operated for 
at least 75 percent of their useful lives.
    (2) Option 2. If you hold a certificate for some of your 
locomotives, you may ask us to allow you to select up to two 
locomotives as specified in subpart E of this part, and count those 
locomotives toward both your testing obligations of that subpart and 
this section.
    (3) Option 3. You may ask us to allow you to test locomotives that 
use parts covered under Sec.  1033.645. If we do, it does not change 
the number of locomotives that you must test.
    (4) Option 4. We may require that you test specific locomotives, 
including locomotives that do not meet the criteria specified in any of 
the options in this section. If we do, we will specify which 
locomotives to test by January 1 of the calendar year for which testing 
is required.
    (d) Reporting requirements. Report all testing done in compliance 
with the provisions of this section to us within 45 calendar days after 
the end of each calendar year. At a minimum, include the following:
    (1) Your full corporate name and address.
    (2) For each locomotive tested, all the following:
    (i) Corporate name of the manufacturer and last remanufacturer(s) 
of the locomotive (including both certificate holder and installer, 
where different), and the corporate name of the manufacturer or last 
remanufacturer(s) of the engine if different than that of the 
manufacturer/remanufacturer(s) of the locomotive.
    (ii) Year (and month if known) of original manufacture of the 
locomotive and the engine, and the manufacturer's model designation of 
the locomotive and manufacturer's model designation of the engine, and 
the locomotive identification number.
    (iii) Year (and month if known) that the engine last underwent 
remanufacture, the engine remanufacturer's designation that reflects 
(or most closely reflects) the engine after the last remanufacture, and 
the engine family identification.
    (iv) The number of MW-hrs and miles (where available) the 
locomotive has been operated since its last remanufacture.
    (v) The emission test results for all measured pollutants.
    (e) You do not have to submit a report for any year in which you 
performed no emission testing under this section.
    (f) You may ask us to allow you to submit equivalent emission data 
collected for other purposes instead of some or all of the test data 
required by this section. If we allow it in advance, you may report 
emission data collected using other testing or sampling procedures 
instead of some or all of the data specified by this section.
    (g) Submit all reports to the Designated Compliance Officer.
    (h) Failure to comply fully with this section is a violation of 40 
CFR 1068.101(a)(2).


Sec.  1033.815  Maintenance, operation, and repair.

    All persons who own, operate, or maintain locomotives are subject 
to this section, except where we specify that a requirement applies to 
the owner.
    (a) Unless we allow otherwise, all owners of locomotives subject to 
the provisions of this part must ensure that all emission-related 
maintenance is performed on the locomotives, as specified in the 
maintenance instructions provided by the certifying manufacturer/
remanufacturer in compliance with Sec.  1033.125 (or maintenance that 
is equivalent to the maintenance specified by the certifying 
manufacturer/remanufacturer in terms of maintaining emissions 
performance).
    (b) Perform unscheduled maintenance in a timely manner. This 
includes malfunctions identified through the locomotive's emission 
control diagnostics system and malfunctions discovered in components of 
the diagnostics system itself. For most repairs, this paragraph (b) 
requires that the maintenance be performed no later than the 
locomotive's next periodic (92-day) inspection. See paragraph (e) of 
this section, for reductant replenishment requirements in a locomotive 
equipped with an SCR system.
    (c) Use good engineering judgment when performing maintenance of 
locomotives subject to the provisions of this part. You must perform 
all maintenance and repair such that you have a reasonable technical 
basis for believing the locomotive will continue (after the maintenance 
or repair) to meet the applicable emission standards and FELs to which 
it was certified.
    (d) The owner of the locomotive must keep records of all 
maintenance and repairs that could reasonably affect the emission 
performance of any locomotive subject to the provisions of this part. 
Keep these records for eight years.
    (e) For locomotives equipped with emission controls requiring the 
use of specific fuels, lubricants, or other fluids, proper maintenance 
includes complying with the manufacturer/remanufacturer's 
specifications for such fluids when operating the locomotives. This 
requirement applies without regard to whether misfueling permanently 
disables the emission controls. The following additional provisions 
apply for locomotives equipped with SCR systems requiring the use of 
urea or other reductants:
    (1) You must plan appropriately to ensure that reductant will be 
available to the locomotive during operation.
    (2) If the SCR diagnostic indicates (or you otherwise determine) 
that either reductant supply or reductant quality in the locomotive is 
inadequate, you must replace the reductant as soon as practical.
    (3) If you operate a locomotive without the appropriate urea or 
other reductant, you must report such operation to us within 30 days. 
Note that such operation violates the requirement of this paragraph 
(e); however, we may consider mitigating factors (such as how long the 
locomotive was operated without the appropriate urea or other 
reductant) in determining whether to assess penalties for such 
violations.
    (f) Failure to fully comply with this section is a violation of 40 
CFR 1068.101(b).


Sec.  1033.820  In-use locomotives.

    (a) We may require you to supply in-use locomotives to us for 
testing. We will specify a reasonable time and place at which you must 
supply the locomotives and a reasonable period during which we will 
keep them for testing. We will make reasonable allowances for you to 
schedule the supply of locomotives to minimize disruption of your 
operations. The number of locomotives that you must supply is limited 
as follows:
    (1) We will not require a Class I railroad to supply more than five 
locomotives per railroad per calendar year.
    (2) We will not require a non-Class I railroad (or other entity 
subject to the provisions of this subpart) to supply more than two 
locomotives per railroad per calendar year. We will request locomotives 
under this paragraph (a)(2) only for purposes that cannot be

[[Page 37236]]

accomplished using locomotives supplied under paragraph (a)(1) of this 
section.
    (b) You must make reasonable efforts to supply manufacturers/
remanufacturers with the test locomotives needed to fulfill the in-use 
testing requirements in subpart E of this part.
    (c) Failure to fully comply with this section is a violation of 40 
CFR 1068.101(a)(2).


Sec.  1033.825  Refueling requirements.

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

Subpart J--Definitions and Other Reference Information


Sec.  1033.901  Definitions.

    The following definitions apply to this part. The definitions apply 
to all subparts unless we note otherwise. All undefined terms have the 
meaning the Clean Air Act gives to them. The definitions follow:
    Adjustable parameter means any device, system, or element of design 
that someone can adjust (including those which are difficult to access) 
and that, if adjusted, may affect emissions or locomotive performance 
during emission testing or normal in-use operation. This includes, but 
is not limited to, parameters related to injection timing and fueling 
rate. You may ask us to exclude a parameter if you show us that it will 
not be adjusted in a way that affects emissions during in-use 
operation.
    Aftertreatment means relating to a catalytic converter, particulate 
filter, or any other system, component, or technology mounted 
downstream of the exhaust valve (or exhaust port) whose design function 
is to reduce emissions in the locomotive exhaust before it is exhausted 
to the environment. Exhaust-gas recirculation (EGR) is not 
aftertreatment.
    Alcohol fuel means a fuel consisting primarily (more than 50 
percent by weight) of one or more alcohols: e.g., methyl alcohol, ethyl 
alcohol.
    Alternator/generator efficiency means the ratio of the electrical 
power output from the alternator/generator to the mechanical power 
input to the alternator/generator at the operating point. Note that the 
alternator/generator efficiency may be different at different operating 
points. For example, the Institute of Electrical and Electronic 
Engineers Standard 115 (``Test Procedures for Synchronous Machines'') 
is an appropriate test procedure for determining alternator/generator 
efficiency. Other methods may also be used consistent with good 
engineering judgment.
    Applicable emission standard or applicable standard means a 
standard to which a locomotive is subject; or, where a locomotive has 
been or is being certified to another standard or FEL, the FEL or other 
standard to which the locomotive has been or is being certified is the 
applicable standard. This definition does not apply to Subpart H of 
this part.
    Auxiliary emission control device means any element of design that 
senses temperature, locomotive speed, engine RPM, transmission gear, or 
any other parameter for the purpose of activating, modulating, 
delaying, or deactivating the operation of any part of the emission-
control system.
    Auxiliary engine means a nonroad engine that provides hotel power 
or power during idle, but does not provide power to propel the 
locomotive.
    Averaging means the exchange of emission credits among engine 
families within a given manufacturer's, or remanufacturer's product 
line.
    Banking means the retention of emission credits by a credit holder 
for use in future calendar year averaging or trading as permitted by 
the regulations in this part.
    Brake power means the sum of the alternator/generator input power 
and the mechanical accessory power, excluding any power required to 
circulate engine coolant, circulate engine lubricant, supply fuel to 
the engine, or operate aftertreatment devices.
    Calibration means the set of specifications, including tolerances, 
specific to a particular design, version, or application of a 
component, or components, or assembly capable of functionally 
describing its operation over its working range.
    Carryover means the process of obtaining a certificate for one 
model year using the same test data from the preceding model year, as 
described in Sec.  1033.235(d). This generally requires that the 
locomotives in the engine family do not differ in any aspect related to 
emissions.
    Certification means the process of obtaining a certificate of 
conformity for an engine family that complies with the emission 
standards and requirements in this part, or relating to that process.
    Certified emission level means the highest deteriorated emission 
level in an engine family for a given pollutant from a given test 
cycle.
    Class I freight railroad means a Class I railroad that primarily 
transports freight rather than passengers.
    Class I railroad means a railroad that has been classified as a 
Class I railroad by the Surface Transportation Board.
    Class II railroad means a railroad that has been classified as a 
Class II railroad by the Surface Transportation Board.
    Class III railroad means a railroad that has been classified as a 
Class III railroad by the Surface Transportation Board.
    Clean Air Act means the Clean Air Act, as amended, 42 U.S.C. 7401-
7671q.
    Configuration means a unique combination of locomotive hardware and 
calibration within an engine family. Locomotives within a single 
configuration differ only with respect to normal production variability 
(or factors unrelated to engine performance or emissions).
    Crankcase emissions means airborne substances emitted to the 
atmosphere from any part of the locomotive crankcase's ventilation or 
lubrication systems. The crankcase is the housing for the crankshaft 
and other related internal parts.
    Days means calendar days, unless otherwise specified. For example, 
where we specify working days, we mean calendar days excluding weekends 
and U.S. national holidays.
    Design certify or certify by design means to certify a locomotive 
based on inherent design characteristics rather than your test data, 
such as allowed under Sec.  1033.625. All other requirements of this 
part apply for such locomotives.
    Designated Compliance Officer means the Manager, Heavy Duty and 
Nonroad Engine Group (6403-J), U.S. Environmental Protection Agency, 
1200 Pennsylvania Ave., NW., Washington, DC 20460.
    Deteriorated emission level means the emission level that results 
from applying the appropriate deterioration factor to the official 
emission result of the emission-data locomotive.
    Deterioration factor means the relationship between emissions at 
the end of useful life and emissions at the low-hour test point, 
expressed in one of the following ways:

[[Page 37237]]

    (1) For multiplicative deterioration factors, the ratio of 
emissions at the end of useful life to emissions at the low-hour test 
point.
    (2) For additive deterioration factors, the difference between 
emissions at the end of useful life and emissions at the low-hour test 
point.
    Discrete-mode means relating to the discrete-mode type of steady-
state test described in Sec.  1033.515.
    Emission control system means any device, system, or element of 
design that controls or reduces the regulated emissions from a 
locomotive.
    Emission credits represent the amount of emission reduction or 
exceedance, by a locomotive engine family, below or above the emission 
standard, respectively. Emission reductions below the standard are 
considered as ``positive credits,'' while emission exceedances above 
the standard are considered as ``negative credits.'' In addition, 
``projected credits'' refer to emission credits based on the projected 
applicable production/sales volume of the engine family. ``Reserved 
credits'' are emission credits generated within a calendar year waiting 
to be reported to EPA at the end of the calendar year. ``Actual 
credits'' refer to emission credits based on actual applicable 
production/sales volume as contained in the end-of-year reports 
submitted to EPA.
    Emission-data locomotive means a locomotive or engine that is 
tested for certification. This includes locomotives tested to establish 
deterioration factors.
    Emission-related maintenance means maintenance that substantially 
affects emissions or is likely to substantially affect emission 
deterioration.
    Engine family has the meaning given in Sec.  1033.230.
    Engine used in a locomotive means an engine incorporated into a 
locomotive or intended for incorporation into a locomotive (whether or 
not it is used for propelling the locomotive).
    Engineering analysis means a summary of scientific and/or 
engineering principles and facts that support a conclusion made by a 
manufacturer/remanufacturer, with respect to compliance with the 
provisions of this part.
    EPA Enforcement Officer means any officer or employee of the 
Environmental Protection Agency so designated in writing by the 
Administrator or his/her designee.
    Exempted means relating to a locomotive that is not required to 
meet otherwise applicable standards. Exempted locomotives must conform 
to regulatory conditions specified for an exemption in this part 1033 
or in 40 CFR part 1068. Exempted locomotives are deemed to be ``subject 
to'' the standards of this part, even though they are not required to 
comply with the otherwise applicable requirements. Locomotives exempted 
with respect to a certain tier of standards may be required to comply 
with an earlier tier of standards as a condition of the exemption; for 
example, locomotives exempted with respect to Tier 3 standards may be 
required to comply with Tier 2 standards.
    Excluded means relating to a locomotive that either has been 
determined not to be a locomotive (as defined in this section) or 
otherwise excluded under section Sec.  1033.5. Excluded locomotives are 
not subject to the standards of this part.
    Exhaust emissions means substances (i.e., gases and particles) 
emitted to the atmosphere from any opening downstream from the exhaust 
port or exhaust valve of a locomotive engine.
    Exhaust-gas recirculation means a technology that reduces emissions 
by routing exhaust gases that had been exhausted from the combustion 
chamber(s) back into the locomotive to be mixed with incoming air 
before or during combustion. The use of valve timing to increase the 
amount of residual exhaust gas in the combustion chamber(s) that is 
mixed with incoming air before or during combustion is not considered 
exhaust-gas recirculation for the purposes of this part.
    Freshly manufactured locomotive means a new locomotive that 
contains fewer than 25 percent previously used parts (weighted by the 
dollar value of the parts) as described in Sec.  1033.640.
    Freshly manufactured engine means a new engine that has not been 
remanufactured. An engine becomes freshly manufactured when it is 
originally manufactured.
    Family emission limit (FEL) means an emission level declared by the 
manufacturer/remanufacturer to serve in place of an otherwise 
applicable emission standard under the ABT program in subpart H of this 
part. The family emission limit must be expressed to the same number of 
decimal places as the emission standard it replaces. The family 
emission limit serves as the emission standard for the engine family 
with respect to all required testing.
    Fuel system means all components involved in transporting, 
metering, and mixing the fuel from the fuel tank to the combustion 
chamber(s), including the fuel tank, fuel tank cap, fuel pump, fuel 
filters, fuel lines, carburetor or fuel-injection components, and all 
fuel-system vents.
    Fuel type means a general category of fuels such as diesel fuel or 
natural gas. There can be multiple grades within a single fuel type, 
such as high-sulfur or low-sulfur diesel fuel.
    Gaseous fuel means a fuel which is a gas at standard temperature 
and pressure. This includes both natural gas and liquefied petroleum 
gas.
    Good engineering judgment means judgments made consistent with 
generally accepted scientific and engineering principles and all 
available relevant information. See 40 CFR 1068.5 for the 
administrative process we use to evaluate good engineering judgment.
    Green Engine Factor means a factor that is applied to emission 
measurements from a locomotive or locomotive engine that has had little 
or no service accumulation. The Green Engine Factor adjusts emission 
measurements to be equivalent to emission measurements from a 
locomotive or locomotive engine that has had approximately 300 hours of 
use.
    High-altitude means relating to an altitude greater than 4000 feet 
(1220 meters) and less than 7000 feet (2135 meters), or equivalent 
observed barometric test conditions (approximately 79 to 88 kPa).
    High-sulfur diesel fuel means one of the following:
    (1) For in-use fuels, high-sulfur diesel fuel means a diesel fuel 
with a maximum sulfur concentration greater than 500 parts per million.
    (2) For testing, high-sulfur diesel fuel has the meaning given in 
40 CFR part 1065.
    Hotel power means the power provided by an engine on a locomotive 
to operate equipment on passenger cars of a train; e.g., heating and 
air conditioning, lights, etc.
    Hydrocarbon (HC) means the hydrocarbon group (THC, NMHC, or THCE) 
on which the emission standards are based for each fuel type as 
described in Sec.  1033.101.
    Identification number means a unique specification (for example, a 
model number/serial number combination) that allows someone to 
distinguish a particular locomotive from other similar locomotives.
    Idle speed means the speed, expressed as the number of revolutions 
of the crankshaft per unit of time (e.g., rpm), at which the engine is 
set to operate when not under load for purposes of propelling the 
locomotive. There are typically one or two idle speeds on a locomotive 
as follows:
    (1) Normal idle speed means the idle speed for the idle throttle-
notch position for locomotives that have one throttle-notch position, 
or the highest idle speed

[[Page 37238]]

for locomotives that have two idle throttle-notch positions.
    (2) Low idle speed means the lowest idle speed for locomotives that 
have two idle throttle-notch positions.
    Inspect and qualify means to determine that a previously used 
component or system meets all applicable criteria listed for the 
component or system in a certificate of conformity for remanufacturing 
(such as to determine that the component or system is functionally 
equivalent to one that has not been used previously).
    Installer means an individual or entity that assembles 
remanufactured locomotives or locomotive engines.
    Line-haul locomotive means a locomotive that does not meet the 
definition of switch locomotive. Note that this includes both freight 
and passenger locomotives.
    Liquefied petroleum gas means the commercial product marketed as 
propane or liquefied petroleum gas.
    Locomotive means a self-propelled piece of on-track equipment 
designed for moving or propelling cars that are designed to carry 
freight, passengers or other equipment, but which itself is not 
designed or intended to carry freight, passengers (other than those 
operating the locomotive) or other equipment. The following other 
equipment are not locomotives (see 40 CFR parts 86, 89, and 1039 for 
this diesel-powered equipment):
    (1) Equipment designed for operation both on highways and rails is 
not a locomotive.
    (2) Specialized railroad equipment for maintenance, construction, 
post-accident recovery of equipment, and repairs; and other similar 
equipment, are not locomotives.
    (3) Vehicles propelled by engines with total rated power of less 
than 750 kW (1006 hp) are not locomotives, unless the owner (which may 
be a manufacturer) chooses to have the equipment certified to meet the 
requirements of this part (under Sec.  1033.615). Where equipment is 
certified as a locomotive pursuant to this paragraph (3), it is subject 
to the requirements of this part for the remainder of its service life. 
For locomotives propelled by two or more engines, the total rated power 
is the sum of the rated power of each engine.
    Locomotive engine means an engine that propels a locomotive.
    Low-hour means relating to a locomotive with stabilized emissions 
and represents the undeteriorated emission level. This would generally 
involve less than 300 hours of operation.
    Low mileage locomotive means a locomotive during the interval 
between the time that normal assembly operations and adjustments are 
completed and the time that either 10,000 miles of locomotive operation 
or 300 additional operating hours have been accumulated (including 
emission testing if performed). Note that we may deem locomotives with 
additional operation to be low mileage locomotives, consistent with 
good engineering judgment.
    Low-sulfur diesel fuel means one of the following:
    (1) For in-use fuels, low-sulfur diesel fuel means a diesel fuel 
market as low-sulfur diesel fuel having a maximum sulfur concentration 
of 500 parts per million.
    (2) For testing, low-sulfur diesel fuel has the meaning given in 40 
CFR part 1065.
    Malfunction means a condition in which the operation of a component 
in a locomotive or locomotive engine occurs in a manner other than that 
specified by the certifying manufacturer/remanufacturer (e.g., as 
specified in the application for certification); or the operation of 
the locomotive or locomotive engine in that condition.
    Manufacture means the physical and engineering process of 
designing, constructing, and assembling a locomotive or locomotive 
engine.
    Manufacturer has the meaning given in section 216(1) of the Clean 
Air Act with respect to freshly manufactured locomotives or engines. In 
general, this term includes any person who manufactures a locomotive or 
engine for sale in the United States or otherwise introduces a new 
locomotive or engine into commerce in the United States. This includes 
importers who import locomotives or engines for resale.
    Manufacturer/remanufacturer means the manufacturer of a freshly 
manufactured locomotive or engine or the remanufacturer of a 
remanufactured locomotive or engine, as applicable.
    Model year means a calendar year in which a locomotive is 
manufactured or remanufactured.
    New, when relating to a locomotive or locomotive engine, has the 
meaning given in paragraph (1) of this definition, except as specified 
in paragraph (2) of this definition:
    (1) A locomotive or engine is new if its equitable or legal title 
has never been transferred to an ultimate purchaser. Where the 
equitable or legal title to a locomotive or engine is not transferred 
prior to its being placed into service, the locomotive or engine ceases 
to be new when it is placed into service. A locomotive or engine also 
becomes new if it is remanufactured or refurbished (as defined in this 
section). A remanufactured locomotive or engine ceases to be new when 
placed back into service. With respect to imported locomotives or 
locomotive engines, the term ``new locomotive'' or ``new locomotive 
engine'' also means a locomotive or locomotive engine that is not 
covered by a certificate of conformity under this part or 40 CFR part 
92 at the time of importation, and that was manufactured or 
remanufactured after the effective date of the emission standards in 40 
CFR part 92 which would have been applicable to such locomotive or 
engine had it been manufactured or remanufactured for importation into 
the United States. Note that replacing an engine in one locomotive with 
an unremanufactured used engine from a different locomotive does not 
make a locomotive new.
    (2) The provisions of paragraph (1) of this definition do not apply 
for the following cases:
    (i) Locomotives and engines that were originally manufactured 
before January 1, 1973 are not considered to become new when 
remanufactured unless they have been upgraded (as defined in this 
section). The provisions of paragraph (1) of this definition apply for 
locomotives that have been upgraded.
    (ii) Locomotives that are owned and operated by a small railroad 
and that have never been remanufactured into a certified configuration 
are not considered to become new when remanufactured. The provisions of 
paragraph (1) of this definition apply for locomotives that have 
previously been remanufactured into a certified configuration.
    (iii) Locomotives originally certified under (1033.150(e) do not 
become new when remanufactured, except as specified in Sec.  1033.615.
    (iv) Locomotives that operate only on non-standard gauge rails do 
not become new when remanufactured if no certified remanufacturing 
system is available for them.
    Nonconforming means relating to a locomotive that is not covered by 
a certificate of conformity prior to importation or being offered for 
importation (or for which such coverage has not been adequately 
demonstrated to EPA); or a locomotive which was originally covered by a 
certificate of conformity, but which is not in a certified 
configuration, or otherwise does not comply with the conditions of that 
certificate of conformity. (Note: Domestic locomotives and locomotive 
engines not covered by a certificate of conformity prior to their 
introduction

[[Page 37239]]

into U.S. commerce are considered to be noncomplying locomotives and 
locomotive engines.)
    Non-locomotive-specific engine means an engine that is sold for and 
used in non-locomotive applications much more than for locomotive 
applications.
    Nonmethane hydrocarbon has the meaning given in 40 CFR 1065.1001. 
This generally means the difference between the emitted mass of total 
hydrocarbons and the emitted mass of methane.
    Nonroad means relating to nonroad engines as defined in 40 CFR 
1068.30.
    Official emission result means the measured emission rate for an 
emission-data locomotive on a given duty cycle before the application 
of any deterioration factor, but after the application of regeneration 
adjustment factors, Green Engine Factors, and/or humidity correction 
factors.
    Opacity means the fraction of a beam of light, expressed in 
percent, which fails to penetrate a plume of smoke, as measured by the 
procedure specified in Sec.  1033.525.
    Original manufacture means the event of freshly manufacturing a 
locomotive or locomotive engine. The date of original manufacture is 
the date of final assembly, except as provided in Sec.  1033.640. Where 
a locomotive is manufactured under Sec.  1033.620(b), the date of 
original manufacture is the date on which the final assembly of 
locomotive was originally scheduled.
    Original remanufacture means the first remanufacturing of a 
locomotive at which the locomotive is subject to the emission standards 
of this part.
    Owner/operator means the owner and/or operator of a locomotive.
    Owners manual means a written or electronic collection of 
instructions provided to ultimate purchasers to describe the basic 
operation of the locomotive.
    Oxides of nitrogen has the meaning given in 40 CFR part 1065.
    Particulate trap means a filtering device that is designed to 
physically trap all particulate matter above a certain size.
    Passenger locomotive means a locomotive designed and constructed 
for the primary purpose of propelling passenger trains, and providing 
power to the passenger cars of the train for such functions as heating, 
lighting and air conditioning.
    Petroleum fuel means gasoline or diesel fuel or another liquid fuel 
primarily derived from crude oil.
    Placed into service means put into initial use for its intended 
purpose after becoming new.
    Power assembly means the components of an engine in which 
combustion of fuel occurs, and consists of the cylinder, piston and 
piston rings, valves and ports for admission of charge air and 
discharge of exhaust gases, fuel injection components and controls, 
cylinder head and associated components.
    Primary fuel means the type of fuel (e.g., diesel fuel) that is 
consumed in the greatest quantity (mass basis) when the locomotive is 
operated in use.
    Produce means to manufacture or remanufacture. Where a certificate 
holder does not actually assemble the locomotives or locomotive engines 
that it manufactures or remanufactures, produce means to allow other 
entities to assemble locomotives under the certificate holder's 
certificate.
    Railroad means a commercial entity that operates locomotives to 
transport passengers or freight.
    Ramped-modal means relating to the ramped-modal type of testing in 
subpart F of this part.
    Rated power has the meaning given in Sec.  1033.140.
    Refurbish has the meaning given in Sec.  1033.640.
    Remanufacture means one of the following:
    (1)(i) To replace, or inspect and qualify, each and every power 
assembly of a locomotive or locomotive engine, whether during a single 
maintenance event or cumulatively within a five-year period.
    (ii) To upgrade a locomotive or locomotive engine.
    (iii) To convert a locomotive or locomotive engine to enable it to 
operate using a fuel other than it was originally manufactured to use.
    (iv) To install a remanufactured engine or a freshly manufactured 
engine into a previously used locomotive.
    (v) To repair a locomotive engine that does not contain power 
assemblies to a condition that is equivalent to or better than its 
original condition with respect to reliability and fuel consumption.
    (2) Remanufacture also means the act of remanufacturing.
    Remanufacture system or remanufacturing system means all components 
(or specifications for components) and instructions necessary to 
remanufacture a locomotive or locomotive engine in accordance with 
applicable requirements of this part or 40 CFR part 92.
    Remanufactured locomotive means either a locomotive powered by a 
remanufactured locomotive engine, a repowered locomotive, or a 
refurbished locomotive.
    Remanufactured locomotive engine means a locomotive engine that has 
been remanufactured.
    Remanufacturer has the meaning given to ``manufacturer'' in section 
216(1) of the Clean Air Act with respect to remanufactured locomotives. 
(See Sec. Sec.  1033.1 and 1033.601 for applicability of this term.) 
This term includes:
    (1) Any person that is engaged in the manufacture or assembly of 
remanufactured locomotives or locomotive engines, such as persons who:
    (i) Design or produce the emission-related parts used in 
remanufacturing.
    (ii) Install parts in an existing locomotive or locomotive engine 
to remanufacture it.
    (iii) Own or operate the locomotive or locomotive engine and 
provide specifications as to how an engine is to be remanufactured 
(i.e., specifying who will perform the work, when the work is to be 
performed, what parts are to be used, or how to calibrate the 
adjustable parameters of the engine).
    (2) Any person who imports remanufactured locomotives or 
remanufactured locomotive engines.
    Repower means replacement of the engine in a previously used 
locomotive with a freshly manufactured locomotive engine. See Sec.  
1033.640.
    Repowered locomotive means a locomotive that has been repowered 
with a freshly manufactured engine.
    Revoke has the meaning given in 40 CFR 1068.30. In general this 
means to terminate the certificate or an exemption for an engine 
family.
    Round means to round numbers as specified in 40 CFR 1065.1001.
    Service life means the total life of a locomotive. Service life 
begins when the locomotive is originally manufactured and continues 
until the locomotive is permanently removed from service.
    Small manufacturer/remanufacturer means a manufacturer/
remanufacturer with 1,000 or fewer employees. For purposes of this 
part, the number of employees includes all employees of the 
manufacturer/remanufacturer's parent company, if applicable.
    Small railroad means a railroad meeting the criterion of paragraph 
(1) of this definition, but not either of the criteria of paragraphs 
(2) and (3) of this definition.
    (1) To be considered a small railroad, a railroad must qualify as a 
small business under the Small Business Administration's regulations in 
13 CFR part 121.
    (2) Class I and Class II railroads (and their subsidiaries) are not 
small railroads.
    (3) Intercity passenger and commuter railroads are excluded from 
this

[[Page 37240]]

definition of small railroad. Note that this paragraph (3) does not 
exclude tourist railroads.
    Specified adjustable range means the range of allowable settings 
for an adjustable component specified by a certificate of conformity.
    Specified by a certificate of conformity or specified in a 
certificate of conformity means stated or otherwise specified in a 
certificate of conformity or an approved application for certification.
    Sulfur-sensitive technology means an emission-control technology 
that would experience a significant drop in emission control 
performance or emission-system durability when a locomotive is operated 
on low-sulfur fuel with a sulfur concentration of 300 to 500 ppm as 
compared to when it is operated on ultra low-sulfur fuel (i.e., fuel 
with a sulfur concentration less than 15 ppm). Exhaust-gas 
recirculation is not a sulfur-sensitive technology.
    Suspend has the meaning given in 40 CFR 1068.30. In general this 
means to temporarily discontinue the certificate or an exemption for an 
engine family.
    Switch locomotive means a locomotive that is powered by an engine 
with a maximum rated power (or a combination of engines having a total 
rated power) of 2300 hp or less. Include auxiliary engines in your 
calculation of total power if the engines are permanently installed on 
the locomotive and can be operated while the main propulsion engine is 
operating. Do not count the power of auxiliary engines that operate 
only to reduce idling time of the propulsion engine.
    Test locomotive means a locomotive or engine in a test sample.
    Test sample means the collection of locomotives or engines selected 
from the population of an engine family for emission testing. This may 
include testing for certification, production-line testing, or in-use 
testing.
    Tier 0 or Tier 0+ means relating to the Tier 0 emission standards, 
as shown in Sec.  1033.101.
    Tier 1 or Tier 1+ means relating to the Tier 1 emission standards, 
as shown in Sec.  1033.101.
    Tier 2 or Tier 2+ means relating to the Tier 2 emission standards, 
as shown in Sec.  1033.101.
    Tier 3 means relating to the Tier 3 emission standards, as shown in 
Sec.  1033.101.
    Tier 4 means relating to the Tier 4 emission standards, as shown in 
Sec.  1033.101.
    Total hydrocarbon has the meaning given in 40 CFR 1065.1001. This 
generally means the combined mass of organic compounds measured by the 
specified procedure for measuring total hydrocarbon, expressed as a 
hydrocarbon with an atomic hydrogen-to-carbon ratio of 1.85:1.
    Total hydrocarbon equivalent has the meaning given in 40 CFR 
1065.1001. This generally means the sum of the carbon mass 
contributions of non-oxygenated hydrocarbons, alcohols and aldehydes, 
or other organic compounds that are measured separately as contained in 
a gas sample, expressed as exhaust hydrocarbon from petroleum-fueled 
locomotives. The hydrogen-to-carbon ratio of the equivalent hydrocarbon 
is 1.85:1.
    Ultimate purchaser means the first person who in good faith 
purchases a new locomotive for purposes other than resale.
    Ultra low-sulfur diesel fuel means one of the following:
    (1) For in-use fuels, ultra low-sulfur diesel fuel means a diesel 
fuel marketed as ultra low-sulfur diesel fuel having a maximum sulfur 
concentration of 15 parts per million.
    (2) For testing, ultra low-sulfur diesel fuel has the meaning given 
in 40 CFR part 1065.
    Upcoming model year means for an engine family the model year after 
the one currently in production.
    Upgrade means one of the following types of remanufacturing.
    (1) Repowering a locomotive that was originally manufactured prior 
to January 1, 1973.
    (2) Refurbishing a locomotive that was originally manufactured 
prior to January 1, 1973 in a manner that is not freshly manufacturing.
    (3) Modifying a locomotive that was originally manufactured prior 
to January 1, 1973 (or a locomotive that was originally manufactured on 
or after January 1, 1973, and that is not subject to the emission 
standards of this part), such that it is intended to comply with the 
Tier 0 standards. See Sec.  1033.615.
    Useful life means the period during which the locomotive engine is 
designed to properly function in terms of reliability and fuel 
consumption, without being remanufactured, specified as work output or 
miles. It is the period during which a new locomotive is required to 
comply with all applicable emission standards. See Sec.  1033.101(g).
    Void has the meaning given in 40 CFR 1068.30. In general this means 
to invalidate a certificate or an exemption both retroactively and 
prospectively.
    Volatile fuel means a volatile liquid fuel or any fuel that is a 
gas at atmospheric pressure. Gasoline, natural gas, and LPG are 
volatile fuels.
    Volatile liquid fuel means any liquid fuel other than diesel or 
biodiesel that is a liquid at atmospheric pressure and has a Reid Vapor 
Pressure higher than 2.0 pounds per square inch.
    We (us, our) means the Administrator of the Environmental 
Protection Agency and any authorized representatives.


Sec.  1033.905  Symbols, acronyms, and abbreviations.

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

AECD auxiliary emission control device.
AESS automatic engine stop/start
CFR Code of Federal Regulations.
CO carbon monoxide.
CO2 carbon dioxide.
EPA Environmental Protection Agency.
FEL Family Emission Limit.
g/bhp-hr grams per brake horsepower-hour.
HC hydrocarbon.
hp horsepower.
LPG liquefied petroleum gas.
LSD low sulfur diesel.
MW megawatt.
NIST National Institute of Standards and Technology.
NMHC nonmethane hydrocarbons.
NOX oxides of nitrogen.
PM particulate matter.
rpm revolutions per minute.
SAE Society of Automotive Engineers.
SCR selective catalytic reduction.
SEA Selective Enforcement Audit.
THC total hydrocarbon.
THCE total hydrocarbon equivalent.
UL useful life.
ULSD ultra low sulfur diesel.
U.S.C. United States Code.


Sec.  1033.915  Confidential information.

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


Sec.  1033.920  How to request a hearing.

    (a) You may request a hearing under certain circumstances, as 
described elsewhere in this part. To do this, you must file a written 
request, including a description of your objection and any supporting 
data, within 30 days after we make a decision.
    (b) For a hearing you request under the provisions of this part, we 
will

[[Page 37241]]

approve your request if we find that your request raises a substantial 
factual issue.
    (c) If we agree to hold a hearing, we will use the procedures 
specified in 40 CFR part 1068, subpart G.

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

0
39. The authority citation for part 1039 continues to read as follows:

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

Subpart F--[Amended]

0
40. Section 1039.505 is amended by revising paragraphs (a)(1) 
introductory text, (c), and (d) and adding paragraph (g) to read as 
follows:


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

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

Subpart G--[Amended]

0
41. Section 1039.645 is amended by revising paragraph (b)(1) to read as 
follows:


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

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

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

* * * * *

Appendices--[Amended]

0
42. Appendix II to part 1039 is revised to read as follows:

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

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

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

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

----------------------------------------------------------------------------------------------------------------
                                      Time in mode
              RMC mode                  (seconds)            Engine speed             Torque  (percent) 1, 2
----------------------------------------------------------------------------------------------------------------
1a Steady-state....................              53  Engine governed............  100.
1b Transition......................              20  Engine governed............  Linear transition.
2a Steady-state....................             101  Engine governed............  10.

[[Page 37242]]

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

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

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

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

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

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

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


[[Page 37243]]

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

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


0
43. Appendix III and Appendix IV of part 1039 are removed and reserved.

0
44. A new part 1042 is added to subchapter U of chapter I to read as 
follows:

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

Subpart A--Overview and Applicability
Sec.
1042.1 Applicability.
1042.2 Who is responsible for compliance?
1042.5 Exclusions.
1042.10 Organization of this part.
1042.15 Do any other regulation parts apply to me?
Subpart B--Emission Standards and Related Requirements
1042.101 Exhaust emission standards.
1042.107 Evaporative emission standards.
1042.110 Recording reductant use and other diagnostic functions.
1042.115 Other requirements.
1042.120 Emission-related warranty requirements.
1042.125 Maintenance instructions for Category 1 and Category 2 
engines.
1042.130 Installation instructions for vessel manufacturers.
1042.135 Labeling.
1042.140 Maximum engine power, displacement, and power density.
1042.145 Interim provisions.
Subpart C--Certifying Engine Families
1042.201 General requirements for obtaining a certificate of 
conformity.
1042.205 Application requirements.
1042.210 Preliminary approval.
1042.220 Amending maintenance instructions.
1042.225 Amending applications for certification.
1042.230 Engine families.
1042.235 Emission testing required for a certificate of conformity.
1042.240 Demonstrating compliance with exhaust emission standards.
1042.245 Deterioration factors.
1042.250 Recordkeeping and reporting.
1042.255 EPA decisions.
Subpart D--Testing Production-Line Engines
1042.301 General provisions.
1042.305 Preparing and testing production-line engines.
1042.310 Engine selection.
1042.315 Determining compliance.
1042.320 What happens if one of my production-line engines fails to 
meet emission standards?
1042.325 What happens if an engine family fails the production-line 
testing requirements?
1042.330 Selling engines from an engine family with a suspended 
certificate of conformity.
1042.335 Reinstating suspended certificates.
1042.340 When may EPA revoke my certificate under this subpart and 
how may I sell these engines again?
1042.345 Reporting.
1042.350 Recordkeeping.
Subpart E--In-Use Testing
1042.401 General Provisions.
Subpart F--Test Procedures
1042.501 How do I run a valid emission test?
1042.505 Testing engines using discrete-mode or ramped-modal duty 
cycles.
1042.515 Test procedures related to not-to-exceed standards.
1042.520 What testing must I perform to establish deterioration 
factors?
1042.525 How do I adjust emission levels to account for infrequently 
regenerating aftertreatment devices?
Subpart G--Special Compliance Provisions
1042.601. General compliance provisions for marine engines and 
vessels.
1042.605 Dressing engines already certified to other standards for 
nonroad or heavy-duty highway engines for marine use.
1042.610 Certifying auxiliary marine engines to land-based 
standards.
1042.615 Replacement engine exemption.
1042.620 Engines used solely for competition.
1042.625 Special provisions for engines used in emergency 
applications.
1042.630 Personal-use exemption.
1042.635 National security exemption.
1042.640 Special provisions for branded engines.
1042.650 Migratory vessels.
1042.660 Requirements for vessel manufacturers, owners, and 
operators.
Subpart H--Averaging, Banking, and Trading for Certification
1042.701 General provisions.
1042.705 Generating and calculating emission credits.
1042.710 Averaging emission credits.
1042.715 Banking emission credits.
1042.720 Trading emission credits.
1042.725 Information required for the application for certification.
1042.730 ABT reports.
1042.735 Recordkeeping.
1042.745 Noncompliance.
Subpart I--Special Provisions for Remanufactured Marine Engines
1042.801 General provisions.
1042.810 Requirements for owner/operators and installers during 
remanufacture.
1042.815 Demonstrating availability.

[[Page 37244]]

1042.820 Emission standards and required emission reductions for 
remanufactured engines.
1042.825 Baseline determination.
1042.830 Labeling.
1042.835 Certification of remanufactured engines.
1042.836 Marine certification of locomotive remanufacturing systems.
1042.840 Application requirements for remanufactured engines.
1042.845 Remanufactured engine families.
1042.850 Exemptions and hardship relief.
Subpart J--Definitions and Other Reference Information
1042.901 Definitions.
1042.905 Symbols, acronyms, and abbreviations.
1042.910 Reference materials.
1042.915 Confidential information.
1042.920 Hearings.
1042.925 Reporting and recordkeeping requirements.
Appendix I to Part 1042--Summary of Previous Emission Standards
Appendix II to Part 1042--Steady-state Duty Cycles
Appendix III to Part 1042--Not-to-Exceed Zones

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

Subpart A--Overview and Applicability


Sec.  1042.1   Applicability.

    Except as provided in Sec.  1042.5, the regulations in this part 
1042 apply for all new compression-ignition marine engines with per-
cylinder displacement below 30.0 liters per cylinder and vessels 
containing such engines. See Sec.  1042.901 for the definitions of 
engines and vessels considered to be new. This part 1042 applies as 
follows:
    (a) This part 1042 applies for freshly manufactured marine engines 
starting with the model years noted in the following tables:
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    (b) The requirements of subpart I of this part apply to 
remanufactured engines beginning July 7, 2008.
    (c) See 40 CFR part 94 for requirements that apply to engines with 
maximum engine power at or above 37 kW not yet subject to the 
requirements of this part 1042. See 40 CFR part 89 for requirements 
that apply to engines with maximum engine power below 37 kW not yet 
subject to the requirements of this part 1042.
    (d) The provisions of Sec. Sec.  1042.620 and 1042.901 apply for 
new engines used solely for competition beginning January 1, 2009.
    (e) Marine engines powered by natural gas with maximum engine power 
at or above 250 kW are deemed to be compression-ignition engines. These 
engines are therefore subject to all the requirements of this part even 
if they do not meet the definition of ``compression-ignition'' in Sec.  
1042.901.


Sec.  1042.2  Who is responsible for compliance?

    The regulations in this part 1042 contain provisions that affect 
both engine manufacturers and others. However, the requirements of this 
part, other than those of subpart I of this part, are generally 
addressed to the engine manufacturer for freshly manufactured marine 
engines or other certificate holders. The term ``you'' generally means 
the engine manufacturer, as defined in Sec.  1042.901, especially for 
issues related to certification (including production-line testing, 
reporting, etc.).


Sec.  1042.5  Exclusions.

    This part does not apply to the following marine engines:
    (a) Foreign vessels. The requirements and prohibitions of this part 
do not apply to engines installed on foreign vessels, as defined in 
Sec.  1042.901.
    (b) Hobby engines. Engines with per-cylinder displacement below 50 
cubic centimeters are not subject to the provisions of this part 1042.


Sec.  1042.10  Organization of this part.

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


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

    (a) The evaporative emission requirements of part 1060 of this 
chapter apply to vessels that include installed engines fueled with a 
volatile liquid fuel as specified in Sec.  1042.107. (Note: 
Conventional diesel fuel is not considered to be a volatile liquid 
fuel.)
    (b) Part 1065 of this chapter describes procedures and equipment 
specifications for testing engines. Subpart F of this part 1042 
describes how to apply the provisions of part 1065 of this chapter to 
determine whether engines meet the emission standards in this part.
    (c) The requirements and prohibitions of part 1068 of this chapter 
apply to everyone, including anyone who manufactures, imports, 
installs, owns, operates, or rebuilds any of the engines subject to 
this part 1042, or vessels containing these engines. Part 1068 of this 
chapter describes general provisions, including these seven areas:
    (1) Prohibited acts and penalties for engine manufacturers, vessel 
manufacturers, and others.
    (2) Rebuilding and other aftermarket changes.
    (3) Exclusions and exemptions for certain engines.
    (4) Importing engines.
    (5) Selective enforcement audits of your production.
    (6) Defect reporting and recall.
    (7) Procedures for hearings.
    (d) Other parts of this chapter apply if referenced in this part.

Subpart B--Emission Standards and Related Requirements


Sec.  1042.101   Exhaust emission standards.

    (a) Duty-cycle standards. Exhaust emissions from your engines may 
not exceed emission standards, as follows:
    (1) Measure emissions using the test procedures described in 
subpart F of this part.
    (2) The following CO emission standards in this paragraph (a)(2) 
apply starting with the applicable model year identified in Sec.  
1042.1:
    (i) 8.0 g/kW-hr for engines below 8 kW.
    (ii) 6.6 g/kW-hr for engines at or above 8 kW and below 19 kW.
    (iii) 5.5 g/kW-hr for engines at or above 19 kW and below 37 kW.
    (iv) 5.0 g/kW-hr for engines at or above 37 kW.
    (3) Except as described in paragraphs (a)(4) and (5) of this 
section, the Tier 3 standards for PM and NOX+HC emissions 
are described in the following tables:
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              Table 2 to Sec.   1042.101.--Tier 3 Standards for Category 2 Engines Below 3700 kW a
----------------------------------------------------------------------------------------------------------------
                                                                                                   NOX+HC (g/kW-
         Displacement (L/cyl)             Maximum engine power      Model year     PM  (g/kW-hr)        hr)
----------------------------------------------------------------------------------------------------------------
7.0 <= disp. < 15.0...................  kW < 2000...............           2013+            0.14             6.2
                                        2000 <= kW < 3700.......           2013+            0.14           b 7.8
15.0 <= disp. < 20.0 c................  kW < 2000...............           2014+            0.34             7.0
20.0 <= disp. < 25.0 c................  kW < 2000...............           2014+            0.27             9.8
25.0 <= disp. < 30.0 c................  kW < 2000...............           2014+            0.27            11.0
----------------------------------------------------------------------------------------------------------------
a No Tier 3 standards apply for Category 2 engines at or above 3700 kW. See Sec.   1042.1(c) and paragraph
  (a)(7) of this section for the standards that apply for these engines.
b For engines subject to the 7.8 g/kW-hr NOX+HC standard, FELs may not be higher than the Tier 1 NOX standard
  specified in Appendix I of this part.
c No Tier 3 standards apply for Category 2 engines with per-cylinder displacement above 15.0 liters if maximum
  engine power is at or above 2000 kW. See Sec.   1042.1(c) and paragraph (a)(7) of this section for the
  standards that apply for these engines.

    (4) For Tier 3 engines at or above 19 kW and below 75 kW with 
displacement below 0.9 L/cyl, you may alternatively certify some or all 
of your engine families to a PM emission standard of 0.20 g/kW-hr and a 
NOX+HC emission standard of 5.8 g/kW-hr for 2014 and later 
model years.
    (5) Starting with the 2014 model year, recreational marine engines 
at or above 3700 kW (with any displacement) must be certified under 
this part 1042 to the Tier 3 standards specified in this section for 
3.5 to 7.0 L/cyl recreational marine engines.
    (6) Interim Tier 4 PM standards apply for 2014 and 2015 model year 
engines between 2000 and 3700 kW as specified in this paragraph (a)(6). 
These engines are considered to be Tier 4 engines.
    (i) For Category 1 engines, the Tier 3 PM standards from Table 1 to 
this section continue to apply. PM FELs for these engines may not be 
higher than the applicable Tier 2 PM standards specified in Appendix I 
of this part.
    (ii) For Category 2 engines with per-cylinder displacement below 
15.0 liters, the Tier 3 PM standards from Table 2 to this section 
continue to apply. PM FELs for these engines may not be higher than 
0.27 g/kW-hr.
    (iii) For Category 2 engines with per-cylinder displacement at or 
above 15.0 liters, the PM standard is 0.34 g/kW-hr for engines at or 
above 2000 kW and

[[Page 37247]]

below 3300 kW, and 0.27 g/kW-hr for engines at or above 3300 kW and 
below 3700 kW. PM FELs for these engines may not be higher than 0.50 g/
kW-hr.
    (7) Except as described in paragraph (a)(8) of this section, the 
Tier 4 standards for PM, NOX, and HC emissions are described 
in the following table:

   Table 3 to Sec.   1042.101.--Tier 4 Standards for Category 2 and Commercial Category 1 Engines Above 600 kW
----------------------------------------------------------------------------------------------------------------
                                                                            PM  (g/kW-  NOX  (g/kW-   HC  (g/kW-
        Maximum engine power           Displacement  (L/cyl)   Model year      hr)          hr)          hr)
----------------------------------------------------------------------------------------------------------------
600 <= kW < 1400....................  all...................        2017+         0.04          1.8         0.19
1400 <= kW < 2000...................  all...................        2016+         0.04          1.8         0.19
2000 <= kW < 3700 a.................  all...................        2014+         0.04          1.8         0.19
kW >= 3700..........................  disp. <15.0...........    2014-2015         0.12          1.8         0.19
                                      15.0 <= disp.< 30.0...    2014-2015         0.25          1.8         0.19
                                      all...................        2016+         0.06          1.8         0.19
----------------------------------------------------------------------------------------------------------------
a See paragraph (a)(6) of this section for interim PM standards that apply for model years 2014 and 2015 for
  engines between 2000 and 3700 kW. The Tier 4 NOX FEL cap for engines at or above 2000 kW and below 3700 kW is
  7.0 g/kW-hr. Starting in the 2016 model year, the Tier 4 PM FEL cap for engines at or above 2000 kW and below
  3700 kW is 0.34 g/kW-hr.

    (8) The following optional provisions apply for complying with the 
Tier 3 and Tier 4 standards specified in paragraphs (a)(3) and (6) of 
this section:
    (i) You may use NOX credits accumulated through the ABT 
program to certify Tier 4 engines to a NOX+HC emission 
standard of 1.9 g/kW-hr instead of the NOX and HC standards 
that would otherwise apply by certifying your family to a 
NOX+HC FEL. Calculate the NOX credits needed as 
specified in subpart H of this part using the NOX+HC 
emission standard and FEL in the calculation instead of the otherwise 
applicable NOX standard and FEL. You may not generate 
credits relative to the alternate standard or certify to the standard 
without using credits.
    (ii) For engines below 1000 kW, you may delay complying with the 
Tier 4 standards in the 2017 model year for up to nine months, but you 
must comply no later than October 1, 2017.
    (iii) For engines at or above 3700 kW, you may delay complying with 
the Tier 4 standards in the 2016 model year for up to twelve months, 
but you must comply no later than December 31, 2016.
    (iv) For Category 2 engines at or above 1400 kW, you may 
alternatively comply with the Tier 3 and Tier 4 standards specified in 
Table 4 of this section instead of the NOX, HC, 
NOX+HC, and PM standards specified in paragraphs (a)(3) and 
(6) of this section. The CO standards specified in paragraph (a)(2) of 
this section apply without regard to whether you choose this option. If 
you choose this option, you must do so for all engines at or above 1400 
kW in the same displacement category (that is, 7-15, 15-20, 20-25, or 
25-30 liters per cylinder) in model years 2012 through 2015.

  Table 4 to Sec.   1042.101.--Optional Tier 3 and Tier 4 Standards for Category 2 Engines at or Above 1400 kW
----------------------------------------------------------------------------------------------------------------
                                                                            PM  (g/kW-  NOX  (g/kW-   HC  (g/kW-
                Tier                   Maximum engine power    Model year      hr)          hr)          hr)
----------------------------------------------------------------------------------------------------------------
Tier 3..............................  kW >= 1400............    2012-2014         0.14         7.8 NOX+HC
Tier 4..............................  1400 <= kW < 3700.....         2015         0.04          1.8         0.19
                                      kW >= 3700............         2015         0.06          1.8         0.19
----------------------------------------------------------------------------------------------------------------

    (b) Averaging, banking, and trading. You may generate or use 
emission credits under the averaging, banking, and trading (ABT) 
program as described in subpart H of this part for demonstrating 
compliance with NOX, NOX+HC, and PM emission 
standards for Category 1 and Category 2 engines. You may also use 
NOX or NOX+HC emission credits to comply with the 
alternate NOX+HC standard in paragraph (a)(8)(i) of this 
section. Generating or using emission credits requires that you specify 
a family emission limit (FEL) for each pollutant you include in the ABT 
program for each engine family. These FELs serve as the emission 
standards for the engine family with respect to all required testing 
instead of the standards specified in paragraph (a) of this section. 
The FELs determine the not-to-exceed standards for your engine family, 
as specified in paragraph (c) of this section. Unless otherwise 
specified, the following FEL caps apply:
    (1) FELs for Tier 3 engines may not be higher than the applicable 
Tier 2 standards specified in Appendix I of this part.
    (2) FELs for Tier 4 engines may not be higher than the applicable 
Tier 3 standards specified in paragraph (a)(3) of this section.
    (c) Not-to-exceed standards. Except as noted in Sec.  1042.145(e), 
exhaust emissions from all engines subject to the requirements of this 
part may not exceed the not-to-exceed (NTE) standards as follows:
    (1) Use the following equation to determine the NTE standards:
    (i) NTE standard for each pollutant = STD x M.

Where:

STD = The standard specified for that pollutant in this section if 
you certify without using ABT for that pollutant; or the FEL for 
that pollutant if you certify using ABT.
M = The NTE multiplier for that pollutant.

    (ii) Round each NTE standard to the same number of decimal places 
as the emission standard.
    (2) Determine the applicable NTE zone and subzones as described in 
Sec.  1042.515. Determine NTE multipliers for specific zones and 
subzones and pollutants as follows:
    (i) For commercial marine engines certified using the duty cycle 
specified in Sec.  1042.505(b)(1), except for variable-speed propulsion 
marine engines used

[[Page 37248]]

with controllable-pitch propellers or with electrically coupled 
propellers, apply the following NTE multipliers:
    (A) Subzone 1: 1.2 for Tier 3 NOX+HC standards.
    (B) Subzone 1: 1.5 for Tier 4 standards and Tier 3 PM and CO 
standards.
    (C) Subzone 2: 1.5 for NOX+HC standards.
    (D) Subzone 2: 1.9 for PM and CO standards.
    (ii) For recreational marine engines certified using the duty cycle 
specified in Sec.  1042.505(b)(2), except for variable-speed marine 
engines used with controllable-pitch propellers or with electrically 
coupled propellers, apply the following NTE multipliers:
    (A) Subzone 1: 1.2 for Tier 3 NOX+HC standards.
    (B) Subzone 1: 1.5 for Tier 4 standards and Tier 3 PM and CO 
standards.
    (C) Subzones 2 and 3: 1.5 for NOX+HC standards.
    (D) Subzones 2 and 3: 1.9 for PM and CO standards.
    (iii) For variable-speed marine engines used with controllable-
pitch propellers or with electrically coupled propellers that are 
certified using the duty cycle specified in Sec.  1042.505(b)(1), (2), 
or (3), apply the following NTE multipliers:
    (A) Subzone 1: 1.2 for Tier 3 NOX+HC standards.
    (B) Subzone 1: 1.5 for Tier 4 standards and Tier 3 PM and CO 
standards.
    (C) Subzone 2: 1.5 for NOX+HC standards.
    (D) Subzone 2: 1.9 for PM and CO standards. However, there is no 
NTE standard in Subzone 2b for PM emissions if the engine family's 
applicable standard for PM is at or above 0.07 g/kW-hr.
    (iv) For constant-speed engines certified using a duty cycle 
specified in Sec.  1042.505(b)(3) or (4), apply the following NTE 
multipliers:
    (A) Subzone 1: 1.2 for Tier 3 NOX+HC standards.
    (B) Subzone 1: 1.5 for Tier 4 standards and Tier 3 PM and CO 
standards.
    (C) Subzone 2: 1.5 for NOX+HC standards.
    (D) Subzone 2: 1.9 for PM and CO standards. However, there is no 
NTE standard for PM emissions if the engine family's applicable 
standard for PM is at or above 0.07 g/kW-hr.
    (v) For variable-speed auxiliary marine engines certified using the 
duty cycle specified in Sec.  1042.505(b)(5)(ii) or (iii):
    (A) Subzone 1: 1.2 for Tier 3 NOX+HC standards.
    (B) Subzone 1: 1.5 for Tier 4 standards and Tier 3 PM and CO 
standards.
    (C) Subzone 2: 1.2 for Tier 3 NOX+HC standards.
    (D) Subzone 2: 1.5 for Tier 4 standards and Tier 3 PM and CO 
standards. However, there is no NTE standard for PM emissions if the 
engine family's applicable standard for PM is at or above 0.07 g/kW-hr.
    (3) The NTE standards apply to your engines whenever they operate 
within the NTE zone for an NTE sampling period of at least thirty 
seconds, during which only a single operator demand set point may be 
selected. Engine operation during a change in operator demand is 
excluded from any NTE sampling period. There is no maximum NTE sampling 
period.
    (4) Collect emission data for determining compliance with the NTE 
standards using the procedures described in subpart F of this part.
    (5) You may ask us to accept as compliant an engine that does not 
fully meet specific requirements under the applicable NTE standards 
where such deficiencies are necessary for safety.
    (d) Fuel types. The exhaust emission standards in this section 
apply for engines using the fuel type on which the engines in the 
engine family are designed to operate.
    (1) You must meet the numerical emission standards for hydrocarbons 
in this section based on the following types of hydrocarbon emissions 
for engines powered by the following fuels:
    (i) Alcohol-fueled engines must comply with Tier 3 HC standards 
based on THCE emissions and with Tier 4 standards based on NMHCE 
emissions.
    (ii) Natural gas-fueled engines must comply with HC standards based 
on NMHC emissions.
    (iii) Diesel-fueled and other engines must comply with Tier 3 HC 
standards based on THC emissions and with Tier 4 standards based on 
NMHC emissions.
    (2) Tier 3 and later engines must comply with the exhaust emission 
standards when tested using test fuels containing 15 ppm or less sulfur 
(ultra low-sulfur diesel fuel). Manufacturers may use low-sulfur diesel 
fuel (without request) to certify an engine otherwise requiring an 
ultra low-sulfur test fuel; however, emissions may not be corrected to 
account for the effects of using higher sulfur fuel.
    (3) Engines designed to operate using residual fuel must comply 
with the standards and requirements of this part when operated using 
residual fuel in addition to complying with the requirements of this 
part when operated using diesel fuel.
    (e) Useful life. Your engines must meet the exhaust emission 
standards of this section over their full useful life, expressed as a 
period in years or hours of engine operation, whichever comes first.
    (1) The minimum useful life values are as follows, except as 
specified by paragraph (e)(2) or (3) of this section:
    (i) 10 years or 1,000 hours of operation for recreational Category 
1 engines
    (ii) 5 years or 3,000 hours of operation for commercial engines 
below 19 kW.
    (iii) 7 years or 5,000 hours of operation for commercial engines at 
or above 19 kW and below 37kW.
    (iv) 10 years or 10,000 hours of operation for commercial Category 
1 engines at or above 37 kW.
    (v) 10 years or 20,000 hours of operation for Category 2 engines.
    (2) Specify a longer useful life in hours for an engine family 
under either of two conditions:
    (i) If you design, advertise, or market your engine to operate 
longer than the minimum useful life (your recommended hours until 
rebuild indicates a longer design life).
    (ii) If your basic mechanical warranty is longer than the minimum 
useful life.
    (3) You may request in your application for certification that we 
approve a shorter useful life for an engine family. We may approve a 
shorter useful life, in hours of engine operation but not in years, if 
we determine that these engines will rarely operate longer than the 
shorter useful life. If engines identical to those in the engine family 
have already been produced and are in use, your demonstration must 
include documentation from such in-use engines. In other cases, your 
demonstration must include an engineering analysis of information 
equivalent to such in-use data, such as data from research engines or 
similar engine models that are already in production. Your 
demonstration must also include any overhaul interval that you 
recommend, any mechanical warranty that you offer for the engine or its 
components, and any relevant customer design specifications. Your 
demonstration may include any other relevant information. The useful 
life value may not be shorter than any of the following:
    (i) 1,000 hours of operation.
    (ii) Your recommended overhaul interval.
    (iii) Your mechanical warranty for the engine.
    (f) Applicability for testing. The duty-cycle emission standards in 
this subpart apply to all testing performed according to the procedures 
in Sec.  1042.505, including certification, production-line, and in-use 
testing. The not-to-exceed standards apply for all testing

[[Page 37249]]

performed according to the procedures of subpart F of this part.


Sec.  1042.107   Evaporative emission standards.

    You must design and produce engines fueled with a volatile liquid 
fuel to minimize evaporative emissions during normal operation, 
including periods when the engine is shut down. You must also design 
and produce them to minimize the escape of fuel vapors during 
refueling. Hoses used to refuel gaseous-fueled engines may not be 
designed to be bled or vented to the atmosphere under normal operating 
conditions. No valves or pressure-relief vents may be used on gaseous-
fueled engines except as emergency safety devices that do not operate 
at normal system operating flows and pressures.


Sec.  1042.110   Recording reductant use and other diagnostic 
functions.

    (a) Engines equipped with SCR systems using a reductant other than 
the engine's fuel must meet the following requirements:
    (1) The diagnostic system must monitor reductant quality and tank 
levels and alert operators to the need to refill the reductant tank 
before it is empty, or to replace the reductant if it does not meet 
your concentration specifications. Unless we approve other alerts, use 
a malfunction-indicator light (MIL) and an audible alarm. You do not 
need to separately monitor reductant quality if you include an exhaust 
NOX sensor (or other sensor) that allows you to determine 
inadequate reductant quality. However, tank level must be monitored in 
all cases.
    (2) The onboard computer log must record in nonvolatile computer 
memory all incidents of engine operation with inadequate reductant 
injection or reductant quality.
    (b) If you determine your emission controls have failure modes that 
may reasonably be expected to affect safety, equip the engines with 
diagnostic features that will alert the operator to such failures. Use 
good engineering judgment to alert the operator before the failure 
occurs.
    (c) You may equip your engine with other diagnostic features. If 
you do, they must be designed to allow us to read and interpret the 
codes. Note that Sec. Sec.  1042.115 and 1042.205 require that you 
provide us any information needed to read, record, and interpret all 
the information broadcast by an engine's onboard computers and 
electronic control units.


Sec.  1042.115   Other requirements.

    Engines that are required to comply with the emission standards of 
this part must meet the following requirements:
    (a) Crankcase emissions. Crankcase emissions may not be discharged 
directly into the ambient atmosphere from any engine throughout its 
useful life, except as follows:
    (1) Engines may discharge crankcase emissions to the ambient 
atmosphere if the emissions are added to the exhaust emissions (either 
physically or mathematically) during all emission testing. If you take 
advantage of this exception, you must do both of the following things:
    (i) Manufacture the engines so that all crankcase emissions can be 
routed into the applicable sampling systems specified in 40 CFR part 
1065.
    (ii) Account for deterioration in crankcase emissions when 
determining exhaust deterioration factors.
    (2) For purposes of this paragraph (a), crankcase emissions that 
are routed to the exhaust upstream of exhaust aftertreatment during all 
operation are not considered to be discharged directly into the ambient 
atmosphere.
    (b) Torque broadcasting. Electronically controlled engines must 
broadcast their speed and output shaft torque (in newton-meters). 
Engines may alternatively broadcast a surrogate value for determining 
torque. Engines must broadcast engine parameters such that they can be 
read with a remote device, or broadcast them directly to their 
controller area networks. This information is necessary for testing 
engines in the field (see Sec.  1042.515).
    (c) EPA access to broadcast information. If we request it, you must 
provide us any hardware or tools we would need to readily read, 
interpret, and record all information broadcast by an engine's on-board 
computers and electronic control modules. If you broadcast a surrogate 
parameter for torque values, you must provide us what we need to 
convert these into torque units. We will not ask for hardware or tools 
if they are readily available commercially.
    (d) Adjustable parameters. An operating parameter is not considered 
adjustable if you permanently seal it or if it is not normally 
accessible using ordinary tools. The following provisions apply for 
adjustable parameters:
    (1) Category 1 engines that have adjustable parameters must meet 
all the requirements of this part for any adjustment in the physically 
adjustable range. We may require that you set adjustable parameters to 
any specification within the adjustable range during any testing, 
including certification testing, selective enforcement auditing, or in-
use testing.
    (2) Category 2 engines that have adjustable parameters must meet 
all the requirements of this part for any adjustment in the specified 
adjustable range. You must specify in your application for 
certification the adjustable range of each adjustable parameter on a 
new engine to--
    (i) Ensure that safe engine operating characteristics are available 
within that range, as required by section 202(a)(4) of the Clean Air 
Act (42 U.S.C. 7521(a)(4)), taking into consideration the production 
tolerances.
    (ii) Limit the physical range of adjustability to the maximum 
extent practicable to the range that is necessary for proper operation 
of the engine.
    (e) Prohibited controls. You may not design your engines with 
emission-control devices, systems, or elements of design that cause or 
contribute to an unreasonable risk to public health, welfare, or safety 
while operating. For example, this would apply if the engine emits a 
noxious or toxic substance it would otherwise not emit, that 
contributes to such an unreasonable risk.
    (f) Defeat devices. You may not equip your engines with a defeat 
device. A defeat device is an auxiliary emission control device that 
reduces the effectiveness of emission controls under conditions that 
the engine may reasonably be expected to encounter during normal 
operation and use. This does not apply to auxiliary emission control 
devices you identify in your certification application if any of the 
following is true:
    (1) The conditions of concern were substantially included in the 
applicable duty-cycle test procedures described in subpart F of this 
part (the portion during which emissions are measured). See paragraph 
(f)(4) of this section for other conditions.
    (2) You show your design is necessary to prevent engine (or vessel) 
damage or accidents.
    (3) The reduced effectiveness applies only to starting the engine.


Sec.  1042.120   Emission-related warranty requirements.

    (a) General requirements. You must warrant to the ultimate 
purchaser and each subsequent purchaser that the new engine, including 
all parts of its emission control system, meets two conditions:
    (1) It is designed, built, and equipped so it conforms at the time 
of sale to the ultimate purchaser with the requirements of this part.

[[Page 37250]]

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


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

    Give the ultimate purchaser of each new engine written instructions 
for properly maintaining and using the engine, including the emission 
control system, as described in this section. The maintenance 
instructions also apply to service accumulation on your emission-data 
engines as described in Sec.  1042.245 and in 40 CFR part 1065. This 
section applies only to Category 1 and Category 2 engines.
    (a) Critical emission-related maintenance. Critical emission-
related maintenance includes any adjustment, cleaning, repair, or 
replacement of critical emission-related components. This may also 
include additional emission-related maintenance that you determine is 
critical if we approve it in advance. You may schedule critical 
emission-related maintenance on these components if you meet the 
following conditions:
    (1) You demonstrate that the maintenance is reasonably likely to be 
done at the recommended intervals on in-use engines. We will accept 
scheduled maintenance as reasonably likely to occur if you satisfy any 
of the following conditions:
    (i) You present data showing that any lack of maintenance that 
increases emissions also unacceptably degrades the engine's 
performance.
    (ii) You present survey data showing that at least 80 percent of 
engines in the field get the maintenance you specify at the recommended 
intervals.
    (iii) You provide the maintenance free of charge and clearly say so 
in maintenance instructions for the customer.
    (iv) You otherwise show us that the maintenance is reasonably 
likely to be done at the recommended intervals.
    (2) For engines below 130 kW, you may not schedule critical 
emission-related maintenance more frequently than the following minimum 
intervals, except as specified in paragraphs (a)(4), (b), and (c) of 
this section:
    (i) For EGR-related filters and coolers, PCV valves, and fuel 
injector tips (cleaning only), the minimum interval is 1,500 hours.
    (ii) For the following components, including associated sensors and 
actuators, the minimum interval is 3,000 hours: Fuel injectors, 
turbochargers, catalytic converters, electronic control units, 
particulate traps, trap oxidizers, components related to particulate 
traps and trap oxidizers, EGR systems (including related components, 
but excluding filters and coolers), and other add-on components. For 
particulate traps, trap oxidizers, and components related to either of 
these, maintenance is limited to cleaning and repair only.
    (3) For Category 1 and Category 2 engines at or above 130 kW, you 
may not schedule critical emission-related maintenance more frequently 
than the following minimum intervals, except as specified in paragraphs 
(a)(4), (b), and (c) of this section:
    (i) For EGR-related filters and coolers, PCV valves, and fuel 
injector tips (cleaning only), the minimum interval is 1,500 hours.
    (ii) For the following components, including associated sensors and 
actuators, the minimum interval is 4500 hours: Fuel injectors, 
turbochargers, catalytic converters, electronic control units, 
particulate traps, trap oxidizers, components related to particulate 
traps and trap oxidizers, EGR systems (including related components, 
but excluding filters and coolers), and other add-on components. For 
particulate traps, trap oxidizers, and components related to either of 
these, maintenance is limited to cleaning and repair only.
    (4) We may approve shorter maintenance intervals than those listed 
in paragraph (a)(3) of this section where technologically necessary.
    (5) If your engine family has an alternate useful life under Sec.  
1042.101(e) that is shorter than the period specified in paragraph 
(a)(2) or (a)(3) of this section, you may not schedule critical 
emission-related maintenance more frequently than the alternate useful 
life, except as specified in paragraph (c) of this section.
    (b) Recommended additional maintenance. You may recommend any 
additional amount of maintenance on the components listed in paragraph 
(a) of this section, as long as you state clearly that these 
maintenance steps are not necessary to keep the emission-related 
warranty valid. If operators do the maintenance specified in paragraph 
(a) of this section, but not the recommended additional maintenance, 
this does not allow you to disqualify those engines from in-use testing 
or deny a warranty claim. Do not take these maintenance steps during 
service accumulation on your emission-data engines.
    (c) Special maintenance. You may specify more frequent maintenance 
to address problems related to special situations, such as atypical 
engine operation. You must clearly state that this additional 
maintenance is associated with the special situation you are 
addressing.
    (d) Noncritical emission-related maintenance. Subject to the 
provisions of this paragraph (d), you may schedule any amount of 
emission-related inspection or maintenance that is not covered by 
paragraph (a) of this section (that is, maintenance that is neither 
explicitly identified as critical emission-related maintenance, nor 
that we approve as critical emission-related maintenance). Noncritical 
emission-

[[Page 37251]]

related maintenance generally includes maintenance on the components we 
specify in 40 CFR part 1068, Appendix I. You must state in the owners 
manual that these steps are not necessary to keep the emission-related 
warranty valid. If operators fail to do this maintenance, this does not 
allow you to disqualify those engines from in-use testing or deny a 
warranty claim. Do not take these inspection or maintenance steps 
during service accumulation on your emission-data engines.
    (e) Maintenance that is not emission-related. For maintenance 
unrelated to emission controls, you may schedule any amount of 
inspection or maintenance. You may also take these inspection or 
maintenance steps during service accumulation on your emission-data 
engines, as long as they are reasonable and technologically necessary. 
This might include adding engine oil, changing air, fuel, or oil 
filters, servicing engine-cooling systems, and adjusting idle speed, 
governor, engine bolt torque, valve lash, or injector lash. You may 
perform this nonemission-related maintenance on emission-data engines 
at the least frequent intervals that you recommend to the ultimate 
purchaser (but not intervals recommended for severe service).
    (f) Source of parts and repairs. State clearly on the first page of 
your written maintenance instructions that a repair shop or person of 
the owner's choosing may maintain, replace, or repair emission control 
devices and systems. Your instructions may not require components or 
service identified by brand, trade, or corporate name. Also, do not 
directly or indirectly condition your warranty on a requirement that 
the engine be serviced by your franchised dealers or any other service 
establishments with which you have a commercial relationship. You may 
disregard the requirements in this paragraph (f) if you do one of two 
things:
    (1) Provide a component or service without charge under the 
purchase agreement.
    (2) Get us to waive this prohibition in the public's interest by 
convincing us the engine will work properly only with the identified 
component or service.
    (g) Payment for scheduled maintenance. Owners are responsible for 
properly maintaining their engines. This generally includes paying for 
scheduled maintenance. However, manufacturers must pay for scheduled 
maintenance during the useful life if it meets all the following 
criteria:
    (1) Each affected component was not in general use on similar 
engines before the applicable dates shown in paragraph (6) of the 
definition of ``new marine engine'' in Sec.  1042.901.
    (2) The primary function of each affected component is to reduce 
emissions.
    (3) The cost of the scheduled maintenance is more than 2 percent of 
the price of the engine.
    (4) Failure to perform the maintenance would not cause clear 
problems that would significantly degrade the engine's performance.
    (h) Owners manual. Explain the owner's responsibility for proper 
maintenance in the owners manual.


Sec.  1042.130   Installation instructions for vessel manufacturers.

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


Sec.  1042.135   Labeling.

    (a) Assign each engine a unique identification number and 
permanently affix, engrave, or stamp it on the engine in a legible way.
    (b) At the time of manufacture, affix a permanent and legible label 
identifying each engine. The label must be--
    (1) Attached in one piece so it is not removable without being 
destroyed or defaced.
    (2) Secured to a part of the engine needed for normal operation and 
not normally requiring replacement.
    (3) Durable and readable for the engine's entire life.
    (4) Written in English.
    (c) The label must--
    (1) Include the heading ``EMISSION CONTROL INFORMATION''.
    (2) Include your full corporate name and trademark. You may 
identify another company and use its trademark instead of yours if you 
comply with the provisions of Sec.  1042.640.
    (3) Include EPA's standardized designation for the engine family 
(and subfamily, where applicable).
    (4) Identify all the emission standards that apply to the engine 
(or FELs, if applicable). If you do not declare an FEL under subpart H 
of this part, you may alternatively state the engine's category, 
displacement (in liters or L/cyl), maximum engine power (in kW), and 
power density (in kW/L) as needed to determine the emission standards 
for the engine family. You may specify displacement, maximum engine 
power, or power density as a range consistent with the ranges listed in 
Sec.  1042.101. See Sec.  1042.140 for descriptions of how to specify 
per-cylinder displacement, maximum engine power, and power density.
    (5) State the date of manufacture [DAY (optional), MONTH, and 
YEAR]. However, you may omit this from the label if you stamp or 
engrave it on the engine, in which case you must also describe in your 
application for certification where you will identify the date on the 
engine.
    (6) Identify the application(s) for which the engine family is 
certified

[[Page 37252]]

(such as constant-speed auxiliary, variable-speed propulsion engines 
used with fixed-pitch propellers, etc.). If the engine is certified as 
a recreational engine, state: ``INSTALLING THIS RECREATIONAL ENGINE IN 
A COMMERCIAL VESSEL OR USING THE VESSEL FOR COMMERCIAL PURPOSES MAY 
VIOLATE FEDERAL LAW SUBJECT TO CIVIL PENALTY (40 CFR 1042.601).''.
    (7) For engines requiring ULSD, state: ``ULTRA LOW SULFUR DIESEL 
FUEL ONLY''.
    (8) State the useful life for your engine family if the applicable 
useful life is based on the provisions of Sec.  1042.101(e)(2) or (3).
    (9) Identify the emission control system. Use terms and 
abbreviations consistent with SAE J1930 (incorporated by reference in 
Sec.  1042.910). You may omit this information from the label if there 
is not enough room for it and you put it in the owners manual instead.
    (10) State: ``THIS MARINE ENGINE COMPLIES WITH U.S. EPA REGULATIONS 
FOR [MODEL YEAR].''.
    (11) For an engine that can be modified to operate on residual 
fuel, but has not been certified to meet the standards on such a fuel, 
include the statement: ``THIS ENGINE IS CERTIFIED FOR OPERATION ONLY 
WITH DIESEL FUEL. MODIFYING THE ENGINE TO OPERATE ON RESIDUAL OR 
INTERMEDIATE FUEL MAY BE A VIOLATION OF FEDERAL LAW SUBJECT TO CIVIL 
PENALTIES.''.
    (d) You may add information to the emission control information 
label as follows:
    (1) You may identify other emission standards that the engine meets 
or does not meet (such as international standards). You may include 
this information by adding it to the statement we specify or by 
including a separate statement.
    (2) You may add other information to ensure that the engine will be 
properly maintained and used.
    (3) You may add appropriate features to prevent counterfeit labels. 
For example, you may include the engine's unique identification number 
on the label.
    (e) For engines requiring ULSD, create a separate label with the 
statement: ``ULTRA LOW SULFUR DIESEL FUEL ONLY''. Permanently attach 
this label to the vessel near the fuel inlet or, if you do not 
manufacture the vessel, take one of the following steps to ensure that 
the vessel will be properly labeled:
    (1) Provide the label to each vessel manufacturer and include in 
the emission-related installation instructions the requirement to place 
this label near the fuel inlet.
    (2) Confirm that the vessel manufacturers install their own 
complying labels.
    (f) You may ask us to approve modified labeling requirements in 
this part 1042 if you show that it is necessary or appropriate. We will 
approve your request if your alternate label is consistent with the 
intent of the labeling requirements of this part.
    (g) If you obscure the engine label while installing the engine in 
the vessel such that the label will be hard to read during normal 
maintenance, you must place a duplicate label on the vessel. If others 
install your engine in their vessels in a way that obscures the engine 
label, we require them to add a duplicate label on the vessel (see 40 
CFR 1068.105); in that case, give them the number of duplicate labels 
they request and keep the following records for at least five years:
    (1) Written documentation of the request from the vessel 
manufacturer.
    (2) The number of duplicate labels you send for each family and the 
date you sent them.


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

    This section describes how to determine the maximum engine power, 
displacement, and power density of an engine for the purposes of this 
part. Note that maximum engine power may differ from the definition of 
``maximum test power'' in Sec.  1042.901.
    (a) An engine configuration's maximum engine power is the maximum 
brake power point on the nominal power curve for the engine 
configuration, as defined in this section. Round the power value to the 
nearest whole kilowatt.
    (b) The nominal power curve of an engine configuration is the 
relationship between maximum available engine brake power and engine 
speed for an engine, using the mapping procedures of 40 CFR part 1065, 
based on the manufacturer's design and production specifications for 
the engine. This information may also be expressed by a torque curve 
that relates maximum available engine torque with engine speed.
    (c) An engine configuration's per-cylinder displacement is the 
intended swept volume of each cylinder. The swept volume of the engine 
is the product of the internal cross-section area of the cylinders, the 
stroke length, and the number of cylinders. Calculate the engine's 
intended swept volume from the design specifications for the cylinders 
using enough significant figures to allow determination of the 
displacement to the nearest 0.02 liters. Determine the final value by 
truncating digits to establish the per-cylinder displacement to the 
nearest 0.1 liters. For example, for an engine with circular cylinders 
having an internal diameter of 13.0 cm and a 15.5 cm stroke length, the 
rounded displacement would be: (13.0/2) \2\ x ([pi]) x (15.5) / 1000 = 
2.0 liters.
    (d) The nominal power curve and intended swept volume must be 
within the range of the actual power curves and swept volumes of 
production engines considering normal production variability. If after 
production begins, it is determined that either your nominal power 
curve or your intended swept volume does not represent production 
engines, we may require you to amend your application for certification 
under Sec.  1042.225.
    (e) Throughout this part, references to a specific power value for 
an engine are based on maximum engine power. For example, the group of 
engines with maximum engine power above 600 kW may be referred to as 
engines above 600 kW.
    (f) Calculate an engine family's power density in kW/L by dividing 
the unrounded maximum engine power by the engine's unrounded per-
cylinder displacement, then dividing by the number of cylinders. Round 
the calculated value to the nearest whole number.


Sec.  1042.145   Interim provisions.

    (a) General. The provisions in this section apply instead of other 
provisions in this part for Category 1 and Category 2 engines. This 
section describes when these interim provisions expire.
    (b) Delayed standards. Post-manufacturer marinizers that are small-
volume engine manufacturers may delay compliance with the Tier 3 
standards for engines below 600 kW as follows:
    (1) You may delay compliance with the Tier 3 standards for one 
model year, as long as the engines meet all the requirements that apply 
to Tier 2 engines.
    (2) You may delay compliance with the NTE standards for Tier 3 
engines for three model years in addition to the one-year delay 
specified in paragraph (b)(1) of this section, as long as the engines 
meet all other Tier 3 requirements for the appropriate model year.
    (c) Part 1065 test procedures. You must generally use the test 
procedures specified in subpart F of this part, including the 
applicable test procedures in 40 CFR part 1065. As specified in this 
paragraph (c), you may use a

[[Page 37253]]

combination of the test procedures specified in this part and the test 
procedures specified for Tier 2 engines before January 1, 2015. After 
this date, you must use test procedures only as specified in subpart F 
of this part.
    (1) You may determine maximum test speed for engines below 37 kW as 
specified in 40 CFR part 89 without request through the 2009 model 
year.
    (2) Before January 1, 2015, you may ask to use some or all of the 
procedures specified in 40 CFR part 94 (or 40 CFR part 89 for engines 
below 37 kW) for engines certified under this part 1042. If you ask to 
rely on a combination of procedures under this paragraph (c)(2), we 
will approve your request only if you show us that it does not affect 
your ability to demonstrate compliance with the applicable emission 
standards. This generally requires that the combined procedures would 
result in emission measurements at least as high as those that would be 
measured using the procedures specified in this part. Alternatively, 
you may demonstrate that the combined effects of the different 
procedures is small relative to your compliance margin (the degree to 
which your emissions are below the applicable standards).
    (d) [Reserved]
    (e) Delayed compliance with NTE standards. Engines below 56 kW may 
delay complying with the NTE standards specified in Sec.  1042.101(c) 
until the 2013 model year. Engines at or above 56 kW and below 75 kW 
may delay complying with the NTE standards specified in Sec.  
1042.101(c) until the 2012 model year.
    (f) In-use compliance limits. The provisions of this paragraph (f) 
apply for the first three model years of the Tier 4 standards. For 
purposes of determining compliance based on testing other than 
certification or production-line testing, calculate the applicable in-
use compliance limits by adjusting the applicable standards/FELs. The 
PM adjustment does not apply for engines with a PM standard or FEL 
above 0.04 g/kW-hr. The NOX adjustment does not apply for 
engines with a NOX FEL above 2.7 g/kW-hr. Add the applicable 
adjustments in one of the following tables to the otherwise applicable 
standards and NTE limits. You must specify during certification which 
add-ons, if any, will apply for your engines.

   Table 1 to Sec.   1042.145.--In-use Adjustments for the First Three
                   Model Years of the Tier 4 Standards
------------------------------------------------------------------------
                                         In-use adjustments (g/kW-hr)
                                     -----------------------------------
Fraction of useful life already used   For Tier 4 NOX    For Tier 4  PM
                                          standards         standards
------------------------------------------------------------------------
0 < hours <= 50% of useful life.....               0.9              0.02
50 < hours <= 75% of useful life....               1.3              0.02
hours > 75% of useful life..........               1.7              0.02
------------------------------------------------------------------------


 Table 2 to Sec.   1042.145.--Optional In-use Adjustments for the First
                Three Model Years of the Tier 4 Standards
------------------------------------------------------------------------
                                         In-use adjustments (g/kW-hr)
                                     -----------------------------------
                                       For model year    For model year
Fraction of useful life already used  2017 and earlier  2017 and earlier
                                         Tier 4 NOX         Tier 4 PM
                                          standards         standards
------------------------------------------------------------------------
0 < hours <= 50% of useful life.....               0.3              0.05
50 < hours <= 75% of useful life....               0.4              0.05
hours > 75% of useful life..........               0.5              0.05
------------------------------------------------------------------------

    (g) Deficiencies for NTE standards. You may ask us to accept as 
compliant an engine that does not fully meet specific requirements 
under the applicable NTE standards. Such deficiencies are intended to 
allow for minor deviations from the NTE standards under limited 
conditions. We expect your engines to have functioning emission control 
hardware that allows you to comply with the NTE standards.
    (1) Request our approval for specific deficiencies in your 
application for certification, or before you submit your application. 
We will not approve deficiencies retroactively to cover engines already 
certified. In your request, identify the scope of each deficiency and 
describe any auxiliary emission control devices you will use to control 
emissions to the lowest practical level, considering the deficiency you 
are requesting.
    (2) We will approve a deficiency only if compliance would be 
infeasible or unreasonable considering such factors as the technical 
feasibility of the given hardware and the applicable lead time and 
production cycles. We may consider other relevant factors.
    (3) Our approval applies only for a single model year and may be 
limited to specific engine configurations. We may approve your request 
for the same deficiency in the following model year if correcting the 
deficiency would require unreasonable hardware or software 
modifications and we determine that you have demonstrated an acceptable 
level of effort toward complying.
    (4) You may ask for any number of deficiencies in the first three 
model years during which NTE standards apply for your engines. For the 
next four model years, we may approve up to three deficiencies per 
engine family. Deficiencies of the same type that apply similarly to 
different power ratings within a family count as one deficiency per 
family. We may condition approval of any such additional deficiencies 
during these four years on any additional conditions we determine to be 
appropriate. We will not approve deficiencies after the seven-year 
period specified in this paragraph (g)(4), unless they are related to 
safety.

Subpart C--Certifying Engine Families


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

    (a) You must send us a separate application for a certificate of 
conformity for each engine family. A

[[Page 37254]]

certificate of conformity is valid starting with the indicated 
effective date, but it is not valid for any production after December 
31 of the model year for which it is issued. No certificate will be 
issued after December 31 of the model year.
    (b) The application must contain all the information required by 
this part and must not include false or incomplete statements or 
information (see Sec.  1042.255).
    (c) We may ask you to include less information than we specify in 
this subpart, as long as you maintain all the information required by 
Sec.  1042.250.
    (d) You must use good engineering judgment for all decisions 
related to your application (see 40 CFR 1068.5).
    (e) An authorized representative of your company must approve and 
sign the application.
    (f) See Sec.  1042.255 for provisions describing how we will 
process your application.
    (g) We may require you to deliver your test engines to a facility 
we designate for our testing (see Sec.  1042.235(c)).
    (h) For engines that become new as a result of substantial 
modifications or for engines installed on imported vessels that become 
subject to the requirements of this part, we may specify alternate 
certification provisions consistent with the intent of this part. See 
the definition of ``new marine engine'' in Sec.  1042.901.


Sec.  1042.205  Application requirements.

    This section specifies the information that must be in your 
application, unless we ask you to include less information under Sec.  
1042.201(c). We may require you to provide additional information to 
evaluate your application.
    (a) Describe the engine family's specifications and other basic 
parameters of the engine's design and emission controls. List the fuel 
type on which your engines are designed to operate (for example, ultra 
low-sulfur diesel fuel). List each distinguishable engine configuration 
in the engine family. For each engine configuration, list the maximum 
engine power and the range of values for maximum engine power resulting 
from production tolerances, as described in Sec.  1042.140.
    (b) Explain how the emission control system operates. Describe in 
detail all system components for controlling exhaust emissions, 
including all auxiliary emission control devices (AECDs) and all fuel-
system components you will install on any production or test engine. 
Identify the part number of each component you describe. For this 
paragraph (b), treat as separate AECDs any devices that modulate or 
activate differently from each other. Include all the following:
    (1) Give a general overview of the engine, the emission control 
strategies, and all AECDs.
    (2) Describe each AECD's general purpose and function.
    (3) Identify the parameters that each AECD senses (including 
measuring, estimating, calculating, or empirically deriving the 
values). Include vessel-based parameters and state whether you simulate 
them during testing with the applicable procedures.
    (4) Describe the purpose for sensing each parameter.
    (5) Identify the location of each sensor the AECD uses.
    (6) Identify the threshold values for the sensed parameters that 
activate the AECD.
    (7) Describe the parameters that the AECD modulates (controls) in 
response to any sensed parameters, including the range of modulation 
for each parameter, the relationship between the sensed parameters and 
the controlled parameters and how the modulation achieves the AECD's 
stated purpose. Use graphs and tables, as necessary.
    (8) Describe each AECD's specific calibration details. This may be 
in the form of data tables, graphical representations, or some other 
description.
    (9) Describe the hierarchy among the AECDs when multiple AECDs 
sense or modulate the same parameter. Describe whether the strategies 
interact in a comparative or additive manner and identify which AECD 
takes precedence in responding, if applicable.
    (10) Explain the extent to which the AECD is included in the 
applicable test procedures specified in subpart F of this part.
    (11) Do the following additional things for AECDs designed to 
protect engines or vessels:
    (i) Identify the engine and/or vessel design limits that make 
protection necessary and describe any damage that would occur without 
the AECD.
    (ii) Describe how each sensed parameter relates to the protected 
components' design limits or those operating conditions that cause the 
need for protection.
    (iii) Describe the relationship between the design limits/
parameters being protected and the parameters sensed or calculated as 
surrogates for those design limits/parameters, if applicable.
    (iv) Describe how the modulation by the AECD prevents engines and/
or vessels from exceeding design limits.
    (v) Explain why it is necessary to estimate any parameters instead 
of measuring them directly and describe how the AECD calculates the 
estimated value, if applicable.
    (vi) Describe how you calibrate the AECD modulation to activate 
only during conditions related to the stated need to protect components 
and only as needed to sufficiently protect those components in a way 
that minimizes the emission impact.
    (c) If your engines are equipped with an engine diagnostic system, 
explain how it works, describing especially the engine conditions (with 
the corresponding diagnostic trouble codes) that cause the malfunction-
indicator light to go on.
    (d) Describe the engines you selected for testing and the reasons 
for selecting them.
    (e) Describe the test equipment and procedures that you used, 
including the duty cycle(s) and the corresponding engine applications. 
Also describe any special or alternate test procedures you used.
    (f) Describe how you operated the emission-data engine before 
testing, including the duty cycle and the number of engine operating 
hours used to stabilize emission levels. Explain why you selected the 
method of service accumulation. Describe any scheduled maintenance you 
did.
    (g) List the specifications of the test fuel to show that it falls 
within the required ranges we specify in 40 CFR part 1065.
    (h) Identify the engine family's useful life.
    (i) Include the maintenance and warranty instructions you will give 
to the ultimate purchaser of each new engine (see Sec. Sec.  1042.120 
and 1042.125). Describe your plan for meeting warranty obligations 
under Sec. Sec.  1042.120.
    (j) Include the emission-related installation instructions you will 
provide if someone else installs your engines in a vessel (see Sec.  
1042.130).
    (k) Describe your emission control information label (see Sec.  
1042.135).
    (l) Identify the emission standards and/or FELs to which you are 
certifying engines in the engine family.
    (m) Identify the engine family's deterioration factors and describe 
how you developed them (see Sec.  1042.245). Present any emission test 
data you used for this.
    (n) State that you operated your emission-data engines as described 
in the application (including the test procedures, test parameters, and 
test fuels) to show you meet the requirements of this part.
    (o) Present emission data for HC, NOX, PM, and CO on an 
emission-data engine to show your engines meet emission standards as 
specified in

[[Page 37255]]

Sec.  1042.101. Show emission figures before and after applying 
adjustment factors for regeneration and deterioration factors for each 
pollutant and for each engine. If we specify more than one grade of any 
fuel type (for example, high-sulfur and low-sulfur diesel fuel), you 
need to submit test data only for one grade, unless the regulations of 
this part specify otherwise for your engine.
    Include emission results for each mode if you do discrete-mode 
testing under Sec.  1042.505. Note that Sec. Sec.  1042.235 and 
1042.245 allows you to submit an application in certain cases without 
new emission data.
    (p) For Category 1 and Category 2 engines, state that all the 
engines in the engine family comply with the applicable not-to-exceed 
emission standards in Sec.  1042.101 for all normal operation and use 
when tested as specified in Sec.  1042.515. Describe any relevant 
testing, engineering analysis, or other information in sufficient 
detail to support your statement.
    (q) [Reserved]
    (r) Report all test results, including those from invalid tests, 
whether or not they were conducted according to the test procedures of 
subpart F of this part. If you measure CO2, report those 
emission levels (in g/kW-hr). We may ask you to send other information 
to confirm that your tests were valid under the requirements of this 
part and 40 CFR part 1065.
    (s) Describe all adjustable operating parameters (see Sec.  
1042.115(d)), including production tolerances. Include the following in 
your description of each parameter:
    (1) The nominal or recommended setting.
    (2) The intended physically adjustable range.
    (3) The limits or stops used to establish adjustable ranges.
    (4) For Category 1 engines, information showing why the limits, 
stops, or other means of inhibiting adjustment are effective in 
preventing adjustment of parameters on in-use engines to settings 
outside your intended physically adjustable ranges.
    (5) For Category 2 engines, propose a range of adjustment for each 
adjustable parameter, as described in Sec.  1042.115(d). Include 
information showing why the limits, stops, or other means of inhibiting 
adjustment are effective in preventing adjustment of parameters on in-
use engines to settings outside your proposed adjustable ranges.
    (t) Provide the information to read, record, and interpret all the 
information broadcast by an engine's onboard computers and electronic 
control units. State that, upon request, you will give us any hardware, 
software, or tools we would need to do this. If you broadcast a 
surrogate parameter for torque values, you must provide us what we need 
to convert these into torque units. You may reference any appropriate 
publicly released standards that define conventions for these messages 
and parameters. Format your information consistent with publicly 
released standards.
    (u) Confirm that your emission-related installation instructions 
specify how to ensure that sampling of exhaust emissions will be 
possible after engines are installed in vessels and placed in service. 
Show how to sample exhaust emissions in a way that prevents diluting 
the exhaust sample with ambient air.
    (v) State whether your certification is limited for certain 
engines. If this is the case, describe how you will prevent use of 
these engines in applications for which they are not certified. This 
applies for engines such as the following:
    (1) Constant-speed engines.
    (2) Engines used with controllable-pitch propellers.
    (3) Recreational engines.
    (w) Unconditionally certify that all the engines in the engine 
family comply with the requirements of this part, other referenced 
parts of the CFR, and the Clean Air Act.
    (x) Include good-faith estimates of U.S.-directed production 
volumes. Include a justification for the estimated production volumes 
if they are substantially different than actual production volumes in 
earlier years for similar models.
    (y) Include the information required by other subparts of this 
part. For example, include the information required by Sec.  1042.725 
if you participate in the ABT program.
    (z) Include other applicable information, such as information 
specified in this part or 40 CFR part 1068 related to requests for 
exemptions.
    (aa) Name an agent for service located in the United States. 
Service on this agent constitutes service on you or any of your 
officers or employees for any action by EPA or otherwise by the United 
States related to the requirements of this part.
    (bb) The following provisions apply for imported engines:
    (1) Describe your normal practice for importing engines. For 
example, this may include identifying the names and addresses of any 
agents you have authorized to import your engines. Engines imported by 
nonauthorized agents are not covered by your certificate.
    (2) For engines below 560 kW, identify a test facility in the 
United States where you can test your engines if we select them for 
testing under a selective enforcement audit, as specified in 40 CFR 
part 1068.


Sec.  1042.210  Preliminary approval.

    If you send us information before you finish the application, we 
will review it and make any appropriate determinations, especially for 
questions related to engine family definitions, auxiliary emission 
control devices, deterioration factors, useful life, testing for 
service accumulation, maintenance, and compliance with not-to-exceed 
standards. See Sec.  1042.245 for specific provisions that apply for 
deterioration factors. Decisions made under this section are considered 
to be preliminary approval, subject to final review and approval. We 
will generally not reverse a decision where we have given you 
preliminary approval, unless we find new information supporting a 
different decision. If you request preliminary approval related to the 
upcoming model year or the model year after that, we will make best-
efforts to make the appropriate determinations as soon as practicable. 
We will generally not provide preliminary approval related to a future 
model year more than two years ahead of time.


Sec.  1042.220  Amending maintenance instructions.

    You may amend your emission-related maintenance instructions after 
you submit your application for certification, as long as the amended 
instructions remain consistent with the provisions of Sec.  1042.125. 
You must send the Designated Compliance Officer a written request to 
amend your application for certification for an engine family if you 
want to change the emission-related maintenance instructions in a way 
that could affect emissions. In your request, describe the proposed 
changes to the maintenance instructions. We will approve your request 
if we determine that the amended instructions are consistent with 
maintenance you performed on emission-data engines such that your 
durability demonstration would remain valid. If operators follow the 
original maintenance instructions rather than the newly specified 
maintenance, this does not allow you to disqualify those engines from 
in-use testing or deny a warranty claim.
    (a) If you are decreasing, replacing, or eliminating or any 
specified maintenance, you may distribute the

[[Page 37256]]

new maintenance instructions to your customers 30 days after we receive 
your request, unless we disapprove your request. We may approve a 
shorter time or waive this requirement.
    (b) If your requested change would not decrease the specified 
maintenance, you may distribute the new maintenance instructions 
anytime after you send your request. For example, this paragraph (b) 
would cover adding instructions to increase the frequency of a 
maintenance step for engines in severe-duty applications.
    (c) You do not need to request approval if you are making only 
minor corrections (such as correcting typographical mistakes), 
clarifying your maintenance instructions, or changing instructions for 
maintenance unrelated to emission control.


Sec.  1042.225  Amending applications for certification.

    Before we issue you a certificate of conformity, you may amend your 
application to include new or modified engine configurations, subject 
to the provisions of this section. After we have issued your 
certificate of conformity, you may send us an amended application 
requesting that we include new or modified engine configurations within 
the scope of the certificate, subject to the provisions of this 
section. You must amend your application if any changes occur with 
respect to any information included in your application.
    (a) You must amend your application before you take any of the 
following actions:
    (1) Add an engine configuration to an engine family. In this case, 
the engine configuration added must be consistent with other engine 
configurations in the engine family with respect to the criteria listed 
in Sec.  1042.230.
    (2) Change an engine configuration already included in an engine 
family in a way that may affect emissions, or change any of the 
components you described in your application for certification. This 
includes production and design changes that may affect emissions any 
time during the engine's lifetime.
    (3) Modify an FEL for an engine family as described in paragraph 
(f) of this section.
    (b) To amend your application for certification as specified in 
paragraph (a) of this section, send the Designated Compliance Officer 
the following information:
    (1) Describe in detail the addition or change in the engine model 
or configuration you intend to make.
    (2) Include engineering evaluations or data showing that the 
amended engine family complies with all applicable requirements. You 
may do this by showing that the original emission-data engine is still 
appropriate with respect to showing compliance of the amended family 
with all applicable requirements.
    (3) If the original emission-data engine for the engine family is 
not appropriate to show compliance for the new or modified engine 
configuration, include new test data showing that the new or modified 
engine configuration meets the requirements of this part.
    (c) We may ask for more test data or engineering evaluations. You 
must give us these within 30 days after we request them.
    (d) For engine families already covered by a certificate of 
conformity, we will determine whether the existing certificate of 
conformity covers your newly added or modified engine. You may ask for 
a hearing if we deny your request (see Sec.  1042.920).
    (e) For engine families already covered by a certificate of 
conformity, you may start producing the new or modified engine 
configuration anytime after you send us your amended application and 
before we make a decision under paragraph (d) of this section. However, 
if we determine that the affected engines do not meet applicable 
requirements, we will notify you to cease production of the engines and 
may require you to recall the engines at no expense to the owner. 
Choosing to produce engines under this paragraph (e) is deemed to be 
consent to recall all engines that we determine do not meet applicable 
emission standards or other requirements and to remedy the 
nonconformity at no expense to the owner. If you do not provide 
information required under paragraph (c) of this section within 30 
days, you must stop producing the new or modified engines.
    (f) You may ask us to approve a change to your FEL in certain cases 
after the start of production. The changed FEL may not apply to engines 
you have already introduced into U.S. commerce, except as described in 
this paragraph (f). If we approve a changed FEL after the start of 
production, you must include the new FEL on the emission control 
information label for all engines produced after the change. You may 
ask us to approve a change to your FEL in the following cases:
    (1) You may ask to raise your FEL for your emission family at any 
time. In your request, you must show that you will still be able to 
meet the emission standards as specified in subparts B and H of this 
part. If you amend your application by submitting new test data to 
include a newly added or modified engine or fuel-system component, as 
described in paragraph (b)(3) of this section, use the appropriate FELs 
with corresponding production volumes to calculate your production-
weighted average FEL for the model year, as described in subpart H of 
this part. If you amend your application without submitting new test 
data, you must use the higher FEL for the entire family to calculate 
your production-weighted average FEL under subpart H of this part.
    (2) You may ask to lower the FEL for your emission family only if 
you have test data from production engines showing that emissions are 
below the proposed lower FEL. The lower FEL applies only to engines you 
produce after we approve the new FEL. Use the appropriate FELs with 
corresponding production volumes to calculate your production-weighted 
average FEL for the model year, as described in subpart H of this part.


Sec.  1042.230  Engine families.

    (a) For purposes of certification, divide your product line into 
families of engines that are expected to have similar emission 
characteristics throughout the useful life as described in this 
section. You may not group Category 1 and Category 2 engines in the 
same family. Your engine family is limited to a single model year.
    (b) For Category 1 engines, group engines in the same engine family 
if they are the same in all the following aspects:
    (1) The combustion cycle and the fuel with which the engine is 
intended or designed to be operated.
    (2) The cooling system (for example, raw-water vs. separate-circuit 
cooling).
    (3) Method of air aspiration.
    (4) Method of exhaust aftertreatment (for example, catalytic 
converter or particulate trap).
    (5) Combustion chamber design.
    (6) Nominal bore and stroke.
    (7) Number of cylinders (for engines with aftertreatment devices 
only).
    (8) Cylinder arrangement (for engines with aftertreatment devices 
only).
    (9) Method of control for engine operation other than governing 
(i.e., mechanical or electronic).
    (10) Application (commercial or recreational).
    (11) Numerical level of the emission standards that apply to the 
engine, except as allowed under paragraphs (f) and (g) of this section.
    (c) For Category 2 engines, group engines in the same engine family 
if they are the same in all the following aspects:

[[Page 37257]]

    (1) The combustion cycle (e.g., diesel cycle).
    (2) The fuel with which the engine is intended or designed to be 
operated and the fuel system configuration.
    (3) The cooling system (for example, air-cooled or water-cooled), 
and procedure(s) employed to maintain engine temperature within desired 
limits (thermostat, on-off radiator fans, radiator shutters, etc.).
    (4) The method of air aspiration (turbocharged, supercharged, 
naturally aspirated, Roots blown).
    (5) The turbocharger or supercharger general performance 
characteristics (e.g., approximate boost pressure, approximate response 
time, approximate size relative to engine displacement).
    (6) The type of air inlet cooler (air-to-air, air-to-liquid, 
approximate degree to which inlet air is cooled).
    (7) The type of exhaust aftertreatment system (oxidation catalyst, 
particulate trap), and characteristics of the aftertreatment system 
(catalyst loading, converter size vs. engine size).
    (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) Nominal bore and stroke dimensions.
    (10) The location of the piston rings on the piston.
    (11) The intake manifold induction port size and configuration.
    (12) The exhaust manifold port size and configuration.
    (13) The location of the intake and exhaust valves (or ports).
    (14) The size of the intake and exhaust valves (or ports).
    (15) The approximate intake and exhaust event timing and duration 
(valve or port).
    (16) The configuration of the fuel injectors and approximate 
injection pressure.
    (17) The type of fuel injection system controls (i.e., mechanical 
or electronic).
    (18) The overall injection timing characteristics, 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).
    (19) The type of smoke control system.
    (d) [Reserved]
    (e) You may subdivide a group of engines that is identical under 
paragraph (b) or (c) of this section into different engine families if 
you show the expected emission characteristics are different during the 
useful life. However, for the purpose of applying small-volume family 
provisions of this part, we will consider the otherwise applicable 
engine family criteria of this section.
    (f) You may group engines that are not identical with respect to 
the things listed in paragraph (b) or (c) of this section in the same 
engine family, as follows:
    (1) In unusual circumstances, you may group such engines in the 
same engine family if you show that their emission characteristics 
during the useful life will be similar.
    (2) If you are a small-volume engine manufacturer, you may group 
any Category 1 engines into a single engine family or you may group any 
Category 2 engines into a single engine family. This also applies if 
you are a post-manufacture marinizer modifying a base engine that has a 
valid certificate of conformity for any kind of nonroad or heavy-duty 
highway engine under this chapter.
    (3) The provisions of this paragraph (f) do not exempt any engines 
from meeting the standards and requirements in subpart B of this part.
    (g) If you combine engines that are subject to different emission 
standards into a single engine family under paragraph (f) of this 
section, you must certify the engine family to the more stringent set 
of standards for that model year.


Sec.  1042.235  Emission testing required for a certificate of 
conformity.

    This section describes the emission testing you must perform to 
show compliance with the emission standards in Sec.  1042.101(a). See 
Sec.  1042.205(p) regarding emission testing related to the NTE 
standards. See Sec. Sec.  1042.240 and 1042.245 and 40 CFR part 1065, 
subpart E, regarding service accumulation before emission testing.
    (a) Select an emission-data engine from each engine family for 
testing. For engines at or above 560 kW, you may use a development 
engine that is equivalent in design to the engine being certified. 
Using good engineering judgment, select the engine configuration most 
likely to exceed an applicable emission standard over the useful life, 
considering all exhaust emission constituents and the range of 
installation options available to vessel manufacturers.
    (b) Test your emission-data engines using the procedures and 
equipment specified in subpart F of this part.
    (c) We may measure emissions from any of your test engines or other 
engines from the engine family, as follows:
    (1) We may decide to do the testing at your plant or any other 
facility. If we do this, you must deliver the test engine to a test 
facility we designate. The test engine you provide must include 
appropriate manifolds, aftertreatment devices, electronic control 
units, and other emission-related components not normally attached 
directly to the engine block. If we do the testing at your plant, you 
must schedule it as soon as possible and make available the 
instruments, personnel, and equipment we need.
    (2) If we measure emissions from one of your test engines, the 
results of that testing become the official emission results for the 
engine. Unless we later invalidate these data, we may decide not to 
consider your data in determining if your engine family meets 
applicable requirements.
    (3) Before we test one of your engines, we may set its adjustable 
parameters to any point within the specified adjustable ranges (see 
Sec.  1042.115(d)).
    (4) Before we test one of your engines, we may calibrate it within 
normal production tolerances for anything we do not consider an 
adjustable parameter.
    (d) You may ask to use emission data from a previous model year 
instead of doing new tests, but only if all the following are true:
    (1) The engine family from the previous model year differs from the 
current engine family only with respect to model year or other 
characteristics unrelated to emissions. You may also ask to add a 
configuration subject to Sec.  1042.225.
    (2) The emission-data engine from the previous model year remains 
the appropriate emission-data engine under paragraph (b) of this 
section.
    (3) The data show that the emission-data engine would meet all the 
requirements that apply to the engine family covered by the application 
for certification. For engines originally tested under the provisions 
of 40 CFR part 94, you may consider those test procedures to be 
equivalent to the procedures we specify in subpart F of this part.
    (e) We may require you to test a second engine of the same or 
different configuration in addition to the engine tested under 
paragraph (b) of this section.
    (f) If you use an alternate test procedure under 40 CFR 1065.10 and 
later testing shows that such testing does not produce results that are 
equivalent to the procedures specified in subpart F of this part, we 
may reject data you generated using the alternate procedure.

[[Page 37258]]

Sec.  1042.240  Demonstrating compliance with exhaust emission 
standards.

    (a) For purposes of certification, your engine family is considered 
in compliance with the emission standards in Sec.  1042.101(a) if all 
emission-data engines representing that family have test results 
showing deteriorated emission levels at or below these standards. Note 
that your FELs are considered to be the applicable emission standards 
with which you must comply if you participate in the ABT program in 
subpart H of this part.
    (b) Your engine family is deemed not to comply if any emission-data 
engine representing that family has test results showing a deteriorated 
emission level above an applicable emission standard for any pollutant.
    (c) To compare emission levels from the emission-data engine with 
the applicable emission standards for Category 1 and Category 2 
engines, apply deterioration factors to the measured emission levels 
for each pollutant. Section 1042.245 specifies how to test your engine 
to develop deterioration factors that represent the deterioration 
expected in emissions over your engines' full useful life. Your 
deterioration factors must take into account any available data from 
in-use testing with similar engines. Small-volume engine manufacturers 
and post-manufacture marinizers may use assigned deterioration factors 
that we establish. Apply deterioration factors as follows:
    (1) Additive deterioration factor for exhaust emissions. Except as 
specified in paragraph (c)(2) of this section, use an additive 
deterioration factor for exhaust emissions. An additive deterioration 
factor is the difference between exhaust emissions at the end of the 
useful life and exhaust emissions at the low-hour test point. In these 
cases, adjust the official emission results for each tested engine at 
the selected test point by adding the factor to the measured emissions. 
If the deterioration factor is less than zero, use zero. Additive 
deterioration factors must be specified to one more decimal place than 
the applicable standard.
    (2) Multiplicative deterioration factor for exhaust emissions. Use 
a multiplicative deterioration factor if good engineering judgment 
calls for the deterioration factor for a pollutant to be the ratio of 
exhaust emissions at the end of the useful life to exhaust emissions at 
the low-hour test point. For example, if you use aftertreatment 
technology that controls emissions of a pollutant proportionally to 
engine-out emissions, it is often appropriate to use a multiplicative 
deterioration factor. Adjust the official emission results for each 
tested engine at the selected test point by multiplying the measured 
emissions by the deterioration factor. If the deterioration factor is 
less than one, use one. A multiplicative deterioration factor may not 
be appropriate in cases where testing variability is significantly 
greater than engine-to-engine variability. Multiplicative deterioration 
factors must be specified to one more significant figure than the 
applicable standard.
    (3) Deterioration factor for crankcase emissions. If your engine 
vents crankcase emissions to the exhaust or to the atmosphere, you must 
account for crankcase emission deterioration, using good engineering 
judgment. You may use separate deterioration factors for crankcase 
emissions of each pollutant (either multiplicative or additive) or 
include the effects in combined deterioration factors that include 
exhaust and crankcase emissions together for each pollutant.
    (d) Collect emission data using measurements to one more decimal 
place than the applicable standard. Apply the deterioration factor to 
the official emission result, as described in paragraph (c) of this 
section, then round the adjusted figure to the same number of decimal 
places as the emission standard. Compare the rounded emission levels to 
the emission standard for each emission-data engine. In the case of 
NOX+HC standards, apply the deterioration factor to each 
pollutant and then add the results before rounding.


Sec.  1042.245  Deterioration factors.

    For Category 1 and Category 2 engines, establish deterioration 
factors, as described in Sec.  1042.240, to determine whether your 
engines will meet emission standards for each pollutant throughout the 
useful life. This section describes how to determine deterioration 
factors, either with an engineering analysis, with pre-existing test 
data, or with new emission measurements.
    (a) You may ask us to approve deterioration factors for an engine 
family with established technology based on engineering analysis 
instead of testing. Engines certified to a NOX+HC standard 
or FEL greater than the Tier 3 NOX+HC standard are 
considered to rely on established technology for gaseous emission 
control, except that this does not include any engines that use 
exhaust-gas recirculation or aftertreatment. In most cases, 
technologies used to meet the Tier 1 and Tier 2 emission standards 
would be considered to be established technology. We must approve your 
plan to establish a deterioration factor under this paragraph (a) 
before you submit your application for certification.
    (b) You may ask us to approve deterioration factors for an engine 
family based on emission measurements from similar highway, stationary, 
or nonroad engines (including locomotive engines or other marine 
engines) if you have already given us these data for certifying the 
other engines in the same or earlier model years. Use good engineering 
judgment to decide whether the two engines are similar. We must approve 
your plan to establish a deterioration factor under this paragraph (b) 
before you submit your application for certification. We will approve 
your request if you show us that the emission measurements from other 
engines reasonably represent in-use deterioration for the engine family 
for which you have not yet determined deterioration factors.
    (c) If you are unable to determine deterioration factors for an 
engine family under paragraph (a) or (b) of this section, first get us 
to approve a plan for determining deterioration factors based on 
service accumulation and related testing. We will respond to your 
proposed plan within 45 days of receiving your request. Your plan must 
involve measuring emissions from an emission-data engine at least three 
times, which are evenly spaced over the service-accumulation period 
unless we specify otherwise, such that the resulting measurements and 
calculations will represent the deterioration expected from in-use 
engines over the full useful life. You may use extrapolation to 
determine deterioration factors once you have established a trend of 
changing emissions with age for each pollutant. You may use an engine 
installed in a vessel to accumulate service hours instead of running 
the engine only in the laboratory. You may perform maintenance on 
emission-data engines as described in Sec.  1042.125 and 40 CFR part 
1065, subpart E.
    (d) Include the following information in your application for 
certification:
    (1) If you determine your deterioration factors based on test data 
from a different engine family, explain why this is appropriate and 
include all the emission measurements on which you base the 
deterioration factor.
    (2) If you determine your deterioration factors based on 
engineering analysis, explain why this is appropriate and include a 
statement that all data, analyses, evaluations, and other information 
you used are available for our review upon request.

[[Page 37259]]

    (3) If you do testing to determine deterioration factors, describe 
the form and extent of service accumulation, including a rationale for 
selecting the service-accumulation period and the method you use to 
accumulate hours.


Sec.  1042.250  Recordkeeping and reporting.

    (a) If you produce engines under any provisions of this part that 
are related to production volumes, send the Designated Compliance 
Officer a report within 30 days after the end of the model year 
describing the total number of engines you produced in each engine 
family. For example, if you use special provisions intended for small-
volume engine manufacturers, report your U.S.-directed production 
volumes to show that you do not exceed the applicable limits.
    (b) Organize and maintain the following records:
    (1) A copy of all applications and any summary information you send 
us.
    (2) Any of the information we specify in Sec.  1042.205 that you 
were not required to include in your application.
    (3) A detailed history of each emission-data engine. For each 
engine, describe all of the following:
    (i) The emission-data engine's construction, including its origin 
and buildup, steps you took to ensure that it represents production 
engines, any components you built specially for it, and all the 
components you include in your application for certification.
    (ii) How you accumulated engine operating hours (service 
accumulation), including the dates and the number of hours accumulated.
    (iii) All maintenance, including modifications, parts changes, and 
other service, and the dates and reasons for the maintenance.
    (iv) All your emission tests (valid and invalid), including 
documentation on routine and standard tests, as specified in part 40 
CFR part 1065, and the date and purpose of each test.
    (v) All tests to diagnose engine or emission control performance, 
giving the date and time of each and the reasons for the test.
    (vi) Any other significant events.
    (4) Production figures for each engine family divided by assembly 
plant.
    (5) Keep a list of engine identification numbers for all the 
engines you produce under each certificate of conformity.
    (c) Keep data from routine emission tests (such as test cell 
temperatures and relative humidity readings) for one year after we 
issue the associated certificate of conformity. Keep all other 
information specified in paragraph (a) of this section for eight years 
after we issue your certificate.
    (d) Store these records in any format and on any media, as long as 
you can promptly send us organized, written records in English if we 
ask for them. You must keep these records readily available. We may 
review them at any time.
    (e) Send us copies of any engine maintenance instructions or 
explanations if we ask for them.


Sec.  1042.255  EPA decisions.

    (a) If we determine your application is complete and shows that the 
engine family meets all the requirements of this part and the Clean Air 
Act, we will issue a certificate of conformity for your engine family 
for that model year. We may make the approval subject to additional 
conditions.
    (b) We may deny your application for certification if we determine 
that your engine family fails to comply with emission standards or 
other requirements of this part or the Clean Air Act. Our decision may 
be based on a review of all information available to us. If we deny 
your application, we will explain why in writing.
    (c) In addition, we may deny your application or suspend or revoke 
your certificate if you do any of the following:
    (1) Refuse to comply with any testing or reporting requirements.
    (2) Submit false or incomplete information (paragraph (e) of this 
section applies if this is fraudulent).
    (3) Render inaccurate any test data.
    (4) Deny us from completing authorized activities (see 40 CFR 
1068.20). This includes a failure to provide reasonable assistance.
    (5) Produce engines for importation into the United States at a 
location where local law prohibits us from carrying out authorized 
activities.
    (6) Fail to supply requested information or amend your application 
to include all engines being produced.
    (7) Take any action that otherwise circumvents the intent of the 
Clean Air Act or this part.
    (d) We may void your certificate if you do not keep the records we 
require or do not give us information as required under this part or 
the Clean Air Act.
    (e) We may void your certificate if we find that you intentionally 
submitted false or incomplete information.
    (f) If we deny your application or suspend, revoke, or void your 
certificate, you may ask for a hearing (see Sec.  1042.920).

Subpart D--Testing Production-line Engines


Sec.  1042.301  General provisions.

    (a) If you produce engines that are subject to the requirements of 
this part, you must test them as described in this subpart, except as 
follows:
    (1) Small-volume engine manufacturers may omit testing under this 
subpart.
    (2) We may exempt Category 1 engine families with a projected U.S.-
directed production volume below 100 engines from routine testing under 
this subpart. Request this exemption in your application for 
certification and include your basis for projecting a production volume 
below 100 units. You must promptly notify us if your actual production 
exceeds 100 units during the model year. If you exceed the production 
limit or if there is evidence of a nonconformity, we may require you to 
test production-line engines under this subpart, or under 40 CFR part 
1068, subpart D, even if we have approved an exemption under this 
paragraph (a)(2).
    (3) [Reserved]
    (b) We may suspend or revoke your certificate of conformity for 
certain engine families if your production-line engines do not meet the 
requirements of this part or you do not fulfill your obligations under 
this subpart (see Sec. Sec.  1042.325 and 1042.340).
    (c) Other requirements apply to engines that you produce. Other 
regulatory provisions authorize us to suspend, revoke, or void your 
certificate of conformity, or order recalls for engine families without 
regard to whether they have passed these production-line testing 
requirements. The requirements of this subpart do not affect our 
ability to do selective enforcement audits, as described in 40 CFR part 
1068. Individual engines in families that pass these production-line 
testing requirements must also conform to all applicable regulations of 
this part and 40 CFR part 1068.
    (d) You may use alternate programs or measurement methods for 
testing production-line engines in the following circumstances:
    (1) [Reserved]
    (2) You may test your engines using the CumSum procedures specified 
in 40 CFR part 1045 or 1051 instead of the procedures specified in this 
subpart, except that the threshold for establishing quarterly or annual 
test periods is based on U.S.-directed production volumes of 800 
instead of 1600. This alternate program does not require prior 
approval.
    (3) You may ask to use another alternate program or measurement

[[Page 37260]]

method for testing production-line engines. In your request, you must 
show us that the alternate program gives equal assurance that your 
engines meet the requirements of this part. We may waive some or all of 
this subpart's requirements if we approve your alternate program.
    (e) If you certify an engine family with carryover emission data, 
as described in Sec.  1042.235(d), and these equivalent engine families 
consistently pass the production-line testing requirements over the 
preceding two-year period, you may ask for a reduced testing rate for 
further production-line testing for that family. The minimum testing 
rate is one engine per engine family. If we reduce your testing rate, 
we may limit our approval to any number of model years. In determining 
whether to approve your request, we may consider the number of engines 
that have failed the emission tests.
    (f) We may ask you to make a reasonable number of production-line 
engines available for a reasonable time so we can test or inspect them 
for compliance with the requirements of this part. See 40 CFR 1068.27.


Sec.  1042.305  Preparing and testing production-line engines.

    This section describes how to prepare and test production-line 
engines. You must assemble the test engine in a way that represents the 
assembly procedures for other engines in the engine family. You must 
ask us to approve any deviations from your normal assembly procedures 
for other production engines in the engine family.
    (a) Test procedures. Test your production-line engines using the 
applicable testing procedures in subpart F of this part to show you 
meet the duty-cycle emission standards in subpart B of this part. The 
not-to-exceed standards apply for this testing, but you need not do 
additional testing to show that production-line engines meet the not-
to-exceed standards.
    (b) Modifying a test engine. Once an engine is selected for testing 
(see Sec.  1042.310), you may adjust, repair, prepare, or modify it or 
check its emissions only if one of the following is true:
    (1) You document the need for doing so in your procedures for 
assembling and inspecting all your production engines and make the 
action routine for all the engines in the engine family.
    (2) This subpart otherwise specifically allows your action.
    (3) We approve your action in advance.
    (c) Engine malfunction. If an engine malfunction prevents further 
emission testing, ask us to approve your decision to either repair the 
engine or delete it from the test sequence.
    (d) Setting adjustable parameters. Before any test, we may require 
you to adjust any adjustable parameter on a Category 1 engine to any 
setting within its physically adjustable range. We may adjust or 
require you to adjust any adjustable parameter on a Category 2 engine 
to any setting within its specified adjustable range.
    (1) We may require you to adjust idle speed outside the physically 
adjustable range as needed, but only until the engine has stabilized 
emission levels (see paragraph (e) of this section). We may ask you for 
information needed to establish an alternate minimum idle speed.
    (2) We may specify adjustments within the physically adjustable 
range or the specified adjustable range by considering their effect on 
emission levels, as well as how likely it is someone will make such an 
adjustment with in-use engines.
    (e) Stabilizing emission levels. You may stabilize emission levels 
(or establish a Green Engine Factor for Category 2 engines) before you 
test production-line engines, as follows:
    (1) You may stabilize emission levels by operating the engine in a 
way that represents the way production engines will be used, using good 
engineering judgment, for no more than the greater of two periods:
    (i) 300 hours.
    (ii) The number of hours you operated your emission-data engine for 
certifying the engine family (see 40 CFR part 1065, subpart E, or the 
applicable regulations governing how you should prepare your test 
engine).
    (2) For Category 2 engines, you may ask us to approve a Green 
Engine Factor for each regulated pollutant for each engine family. Use 
the Green Engine Factor to adjust measured emission levels to establish 
a stabilized low-hour emission level.
    (f) Damage during shipment. If shipping an engine to a remote 
facility for production-line testing makes necessary an adjustment or 
repair, you must wait until after the initial emission test to do this 
work. We may waive this requirement if the test would be impossible or 
unsafe, or if it would permanently damage the engine. Report to us in 
your written report under Sec.  1042.345 all adjustments or repairs you 
make on test engines before each test.
    (g) Retesting after invalid tests. You may retest an engine if you 
determine an emission test is invalid under subpart F of this part. 
Explain in your written report reasons for invalidating any test and 
the emission results from all tests. If you retest an engine, you may 
ask us to substitute results of the new tests for the original ones. 
You must ask us within ten days of testing. We will generally answer 
within ten days after we receive your information.


Sec.  1042.310  Engine selection.

    (a) Determine minimum sample sizes as follows:
    (1) For Category 1 engines, the minimum sample size is one engine 
or one percent of the projected U.S.-directed production volume for all 
your Category 1 engine families, whichever is greater.
    (2) For Category 2 engines, the minimum sample size is one engine 
or one percent of the projected U.S.-directed production volume for all 
your Category 2 engine families, whichever is greater.
    (b) Randomly select one engine from each engine family early in the 
model year. For further testing to reach the minimum sample size, 
randomly select a proportional sample from each engine family, with 
testing distributed evenly over the course of the model year, unless we 
specify a different schedule for your tests. For example, we may 
require you to disproportionately select engines from the early part of 
a model year for a new engine model that has not previously been 
subject to production-line testing.
    (c) For each engine that fails to meet emission standards, test two 
engines from the same engine family from the next fifteen engines 
produced or within seven days, whichever is later. If an engine fails 
to meet emission standards for any pollutant, count it as a failing 
engine under this paragraph (c).
    (d) Continue testing until one of the following things happens:
    (1) You test the number of engines specified in paragraphs (a) and 
(c) of this section.
    (2) The engine family does not comply according to Sec.  1042.315 
or you choose to declare that the engine family does not comply with 
the requirements of this subpart.
    (3) You test 30 engines from the engine family.
    (e) You may elect to test more randomly chosen engines than we 
require under this section.


Sec.  1042.315  Determining compliance.

    This section describes the pass-fail criteria for the production-
line testing requirements. We apply these criteria on an engine-family 
basis. See Sec.  1042.320 for the requirements that apply to individual 
engines that fail a production-line test.

[[Page 37261]]

    (a) Calculate your test results as follows:
    (1) Initial and final test results. Calculate the test results for 
each engine. If you do several tests on an engine, calculate the 
initial test results, then add them together and divide by the number 
of tests for the final test results on that engine. Include the Green 
Engine Factor to determine low-hour emission results, if applicable.
    (2) Final deteriorated test results. Apply the deterioration factor 
for the engine family to the final test results (see Sec.  
1042.240(c)).
    (3) Round deteriorated test results. Round the results to one more 
decimal place than the applicable emission standard.
    (b) If a production-line engine fails to meet emission standards 
and you test two additional engines as described in Sec.  1042.310, 
calculate the average emission level for each pollutant for the three 
engines. If the calculated average emission level for any pollutant 
exceeds the applicable emission standard, the engine family fails the 
production-line testing requirements of this subpart. Tell us within 
ten working days if this happens. You may request to amend the 
application for certification to raise the FEL of the engine family as 
described in Sec.  1042.225(f).


Sec.  1042.320  What happens if one of my production-line engines fails 
to meet emission standards?

    (a) If you have a production-line engine with final deteriorated 
test results exceeding one or more emission standards (see Sec.  
1042.315(a)), the certificate of conformity is automatically suspended 
for that failing engine. You must take the following actions before 
your certificate of conformity can cover that engine:
    (1) Correct the problem and retest the engine to show it complies 
with all emission standards.
    (2) Include in your written report a description of the test 
results and the remedy for each engine (see Sec.  1042.345).
    (b) You may request to amend the application for certification to 
raise the FEL of the entire engine family at this point (see Sec.  
1042.225).
    (c) For catalyst-equipped engines, you may ask us to allow you to 
exclude an initial failed test if all of the following are true:
    (1) The catalyst was in a green condition when tested initially.
    (2) The engine met all emission standards when retested after 
degreening the catalyst.
    (3) No additional emission-related maintenance or repair was 
performed between the initial failed test and the subsequent passing 
test.


Sec.  1042.325  What happens if an engine family fails the production-
line testing requirements?

    (a) We may suspend your certificate of conformity for an engine 
family if it fails under Sec.  1042.315. The suspension may apply to 
all facilities producing engines from an engine family, even if you 
find noncompliant engines only at one facility.
    (b) We will tell you in writing if we suspend your certificate in 
whole or in part. We will not suspend a certificate until at least 15 
days after the engine family fails. The suspension is effective when 
you receive our notice.
    (c) Up to 15 days after we suspend the certificate for an engine 
family, you may ask for a hearing (see Sec.  1042.920). If we agree 
before a hearing occurs that we used erroneous information in deciding 
to suspend the certificate, we will reinstate the certificate.
    (d) Section 1042.335 specifies steps you must take to remedy the 
cause of the engine family's production-line failure. All the engines 
you have produced since the end of the last test period are presumed 
noncompliant and should be addressed in your proposed remedy. We may 
require you to apply the remedy to engines produced earlier if we 
determine that the cause of the failure is likely to have affected the 
earlier engines.
    (e) You may request to amend the application for certification to 
raise the FEL of the entire engine family as described in Sec.  
1051.225(f). We will approve your request if it is clear that you used 
good engineering judgment in establishing the original FEL.


Sec.  1042.330  Selling engines from an engine family with a suspended 
certificate of conformity.

    You may sell engines that you produce after we suspend the engine 
family's certificate of conformity under Sec.  1042.315 only if one of 
the following occurs:
    (a) You test each engine you produce and show it complies with 
emission standards that apply.
    (b) We conditionally reinstate the certificate for the engine 
family. We may do so if you agree to recall all the affected engines 
and remedy any noncompliance at no expense to the owner if later 
testing shows that the engine family still does not comply.


Sec.  1042.335  Reinstating suspended certificates.

    (a) Send us a written report asking us to reinstate your suspended 
certificate. In your report, identify the reason for noncompliance, 
propose a remedy for the engine family, and commit to a date for 
carrying it out. In your proposed remedy include any quality control 
measures you propose to keep the problem from happening again.
    (b) Give us data from production-line testing that shows the 
remedied engine family complies with all the emission standards that 
apply.


Sec.  1042.340  When may EPA revoke my certificate under this subpart 
and how may I sell these engines again?

    (a) We may revoke your certificate for an engine family in the 
following cases:
    (1) You do not meet the reporting requirements.
    (2) Your engine family fails to comply with the requirements of 
this subpart and your proposed remedy to address a suspended 
certificate under Sec.  1042.325 is inadequate to solve the problem or 
requires you to change the engine's design or emission control system.
    (b) To sell engines from an engine family with a revoked 
certificate of conformity, you must modify the engine family and then 
show it complies with the requirements of this part.
    (1) If we determine your proposed design change may not control 
emissions for the engine's full useful life, we will tell you within 
five working days after receiving your report. In this case we will 
decide whether production-line testing will be enough for us to 
evaluate the change or whether you need to do more testing.
    (2) Unless we require more testing, you may show compliance by 
testing production-line engines as described in this subpart.
    (3) We will issue a new or updated certificate of conformity when 
you have met these requirements.


Sec.  1042.345  Reporting.

    (a) Within 45 days of the end of each quarter in which production-
line testing occurs, send us a report with the following information:
    (1) Describe any facility used to test production-line engines and 
state its location.
    (2) State the total U.S.-directed production volume and number of 
tests for each engine family.
    (3) Describe how you randomly selected engines.
    (4) Describe each test engine, including the engine family's 
identification and the engine's model year, build date, model number, 
identification number, and number of hours of operation before testing. 
Also describe how you developed and applied the Green Engine Factor, if 
applicable.
    (5) Identify how you accumulated hours of operation on the engines 
and

[[Page 37262]]

describe the procedure and schedule you used.
    (6) Provide the test number; the date, time and duration of 
testing; test procedure; initial test results before and after 
rounding; final test results; and final deteriorated test results for 
all tests. Provide the emission results for all measured pollutants. 
Include information for both valid and invalid tests and the reason for 
any invalidation.
    (7) Describe completely and justify any nonroutine adjustment, 
modification, repair, preparation, maintenance, or test for the test 
engine if you did not report it separately under this subpart. Include 
the results of any emission measurements, regardless of the procedure 
or type of engine.
    (8) Report on each failed engine as described in Sec.  1042.320.
    (9) Identify when the model year ends for each engine family.
    (b) We may ask you to add information to your written report so we 
can determine whether your new engines conform with the requirements of 
this subpart.
    (c) An authorized representative of your company must sign the 
following statement:
    We submit this report under sections 208 and 213 of the Clean Air 
Act. Our production-line testing conformed completely with the 
requirements of 40 CFR part 1042. We have not changed production 
processes or quality-control procedures for test engines in a way that 
might affect emission controls. All the information in this report is 
true and accurate to the best of my knowledge. I know of the penalties 
for violating the Clean Air Act and the regulations. (Authorized 
Company Representative)
    (d) Send electronic reports of production-line testing to the 
Designated Compliance Officer using an approved information format. If 
you want to use a different format, send us a written request with 
justification for a waiver.
    (e) We will send copies of your reports to anyone from the public 
who asks for them. See Sec.  1042.915 for information on how we treat 
information you consider confidential.


Sec.  1042.350  Recordkeeping.

    (a) Organize and maintain your records as described in this 
section. We may review your records at any time.
    (b) Keep records of your production-line testing for eight years 
after you complete all the testing required for an engine family in a 
model year. You may use any appropriate storage formats or media.
    (c) Keep a copy of the written reports described in Sec.  1042.345.
    (d) Keep the following additional records:
    (1) A description of all test equipment for each test cell that you 
can use to test production-line engines.
    (2) The names of supervisors involved in each test.
    (3) The name of anyone who authorizes adjusting, repairing, 
preparing, or modifying a test engine and the names of all supervisors 
who oversee this work.
    (4) If you shipped the engine for testing, the date you shipped it, 
the associated storage or port facility, and the date the engine 
arrived at the testing facility.
    (5) Any records related to your production-line tests that are not 
in the written report.
    (6) A brief description of any significant events during testing 
not otherwise described in the written report or in this section.
    (7) Any information specified in Sec.  1042.345 that you do not 
include in your written reports.
    (e) If we ask, you must give us projected or actual production 
figures for an engine family. We may ask you to divide your production 
figures by maximum engine power, displacement, fuel type, or assembly 
plant (if you produce engines at more than one plant).
    (f) Keep a list of engine identification numbers for all the 
engines you produce under each certificate of conformity. Give us this 
list within 30 days if we ask for it.
    (g) We may ask you to keep or send other information necessary to 
implement this subpart.

Subpart E--In-use Testing


Sec.  1042.401  General Provisions.

    We may perform in-use testing of any engine subject to the 
standards of this part.

Subpart F--Test Procedures


Sec.  1042.501  How do I run a valid emission test?

    (a) Use the equipment and procedures for compression-ignition 
engines in 40 CFR part 1065 to determine whether Category 1 and 
Category 2 engines meet the duty-cycle emission standards in Sec.  
1042.101(a). Measure the emissions of all regulated pollutants as 
specified in 40 CFR part 1065. Use the applicable duty cycles specified 
in Sec.  1042.505.
    (b) Section 1042.515 describes the supplemental test procedures for 
evaluating whether engines meet the not-to-exceed emission standards in 
Sec.  1042.101(c).
    (c) Use the fuels and lubricants specified in 40 CFR part 1065, 
subpart H, for all the testing we require in this part, except as 
specified in Sec.  1042.515.
    (1) For service accumulation, use the test fuel or any commercially 
available fuel that is representative of the fuel that in-use engines 
will use.
    (2) For diesel-fueled engines, use the appropriate diesel fuel 
specified in 40 CFR part 1065, subpart H, for emission testing. Unless 
we specify otherwise, the appropriate diesel test fuel is the ultra 
low-sulfur diesel fuel. If we allow you to use a test fuel with higher 
sulfur levels, identify the test fuel in your application for 
certification and ensure that the emission control information label is 
consistent with your selection of the test fuel (see Sec.  
1042.135(c)(11)). For Category 2 engines, you may ask to use 
commercially available diesel fuel similar but not necessarily 
identical to the applicable fuel specified in 40 CFR part 1065, subpart 
H; we will approve your request if you show us that it does not affect 
your ability to demonstrate compliance with the applicable emission 
standards.
    (3) For Category 1 and Category 2 engines that are expected to use 
a type of fuel (or mixed fuel) other than diesel fuel (such as natural 
gas, methanol, or residual fuel), use a commercially available fuel of 
that type for emission testing. If an engine is designed to operate on 
different fuels, we may (at our discretion) require testing on each 
fuel. Propose test fuel specifications that take into account the 
engine design and the properties of commercially available fuels. 
Describe these test fuel specifications in the application for 
certification.
    (4) [Reserved]
    (d) You may use special or alternate procedures to the extent we 
allow them under 40 CFR 1065.10.
    (e) This subpart is addressed to you as a manufacturer, but it 
applies equally to anyone who does testing for you, and to us when we 
perform testing to determine if your engines meet emission standards.
    (f) Duty-cycle testing is limited to ambient temperatures of 20 to 
30 [deg]C. Atmospheric pressure must be between 91.000 and 103.325 kPa, 
and must be within 5 percent of the value recorded at the 
time of the last engine map. Testing may be performed with any ambient 
humidity level. Correct duty-cycle NOX emissions for 
humidity as specified in 40 CFR part 1065.

[[Page 37263]]

Sec.  1042.505  Testing engines using discrete-mode or ramped-modal 
duty cycles.

    This section describes how to test engines under steady-state 
conditions. In some cases, we allow you to choose the appropriate 
steady-state duty cycle for an engine. In these cases, you must use the 
duty cycle you select in your application for certification for all 
testing you perform for that engine family. If we test your engines to 
confirm that they meet emission standards, we will use the duty cycles 
you select for your own testing. We may also perform other testing as 
allowed by the Clean Air Act.
    (a) You may perform steady-state testing with either discrete-mode 
or ramped-modal cycles, as follows:
    (1) For discrete-mode testing, sample emissions separately for each 
mode, then calculate an average emission level for the whole cycle 
using the weighting factors specified for each mode. Calculate cycle 
statistics and compare with the established criteria as specified in 40 
CFR 1065.514 to confirm that the test is valid. Operate the engine and 
sampling system as follows:
    (i) Engines with NOX aftertreatment. For engines that 
depend on aftertreatment to meet the NOX emission standard, 
operate the engine for 5-6 minutes, then sample emissions for 1-3 
minutes in each mode. You may extend the sampling time to improve 
measurement accuracy of PM emissions, using good engineering judgment. 
If you have a longer sampling time for PM emissions, calculate and 
validate cycle statistics separately for the gaseous and PM sampling 
periods.
    (ii) Engines without NOX aftertreatment. For other 
engines, operate the engine for at least 5 minutes, then sample 
emissions for at least 1 minute in each mode.
    (2) For ramped-modal testing, start sampling at the beginning of 
the first mode and continue sampling until the end of the last mode. 
Calculate emissions and cycle statistics the same as for transient 
testing as specified in 40 CFR part 1065, subpart G.
    (b) Measure emissions by testing the engine on a dynamometer with 
one of the following duty cycles (as specified) to determine whether it 
meets the emission standards in Sec.  1042.101(a):
    (1) General cycle. Use the 4-mode duty cycle or the corresponding 
ramped-modal cycle described in paragraph (a) of Appendix II of this 
part for commercial propulsion marine engines that are used with (or 
intended to be used with) fixed-pitch propellers, propeller-law 
auxiliary engines, and any other engines for which the other duty 
cycles of this section do not apply. Use this duty cycle also for 
commercial variable-speed propulsion marine engines that are used with 
(or intended to be used with) controllable-pitch propellers or with 
electrically coupled propellers, unless these engines are not intended 
for sustained operation (e.g., for at least 30 minutes) at all four 
modes when installed in the vessel.
    (2) Recreational marine engines. Except as specified in paragraph 
(b)(3) of this section, use the 5-mode duty cycle or the corresponding 
ramped-modal cycle described in paragraph (b) of Appendix II of this 
part for recreational marine engines with maximum engine power at or 
above 37 kW.
    (3) Controllable-pitch and electrically coupled propellers. Use the 
4-mode duty cycle or the corresponding ramped-modal cycle described in 
paragraph (c) of Appendix II of this part for constant-speed propulsion 
marine engines that are used with (or intended to be used with) 
controllable-pitch propellers or with electrically coupled propellers. 
Use this duty cycle also for variable-speed propulsion marine engines 
that are used with (or intended to be used with) controllable-pitch 
propellers or with electrically coupled propellers if the duty cycles 
in paragraph (b)(1) and (b)(2) of this section do not apply.
    (4) Constant-speed auxiliary engines. Use the 5-mode duty cycle or 
the corresponding ramped-modal cycle described in 40 CFR part 1039, 
Appendix II, paragraph (a) for constant-speed auxiliary engines.
    (5) Variable-speed auxiliary engines. (i) Use the duty cycle 
specified in paragraph (b)(1) of this section for propeller-law 
auxiliary engines.
    (ii) Use the 6-mode duty cycle or the corresponding ramped-modal 
cycle described in 40 CFR part 1039, Appendix II, paragraph (b) for 
variable-speed auxiliary engines with maximum engine power below 19 kW 
that are not propeller-law engines.
    (iii) Use the 8-mode duty cycle or the corresponding ramped-modal 
cycle described in 40 CFR part 1039, Appendix III, paragraph (c) for 
variable-speed auxiliary engines with maximum engine power at or above 
19 kW that are not propeller-law engines.
    (c) During idle mode, operate the engine at its warm idle speed as 
described in 40 CFR part 1065.
    (d) For constant-speed engines whose design prevents full-load 
operation for extended periods, you may ask for approval under 40 CFR 
1065.10(c) to replace full-load operation with the maximum load for 
which the engine is designed to operate for extended periods.
    (e) See 40 CFR part 1065 for detailed specifications of tolerances 
and calculations.


Sec.  1042.515  Test procedures related to not-to-exceed standards.

    (a) This section describes the procedures to determine whether your 
engines meet the not-to-exceed emission standards in Sec.  1042.101(c). 
These procedures may include any normal engine operation and ambient 
conditions that the engines may experience in use. Paragraphs (c) 
through (e) of this section define the limits of what we will consider 
normal engine operation and ambient conditions.
    (b) Measure emissions with one of the following procedures:
    (1) Remove the selected engines for testing in a laboratory. You 
may use an engine dynamometer to simulate normal operation, as 
described in this section. Use the equipment and procedures specified 
in 40 CFR part 1065 to conduct laboratory testing.
    (2) Test the selected engines while they remain installed in a 
vessel. Use the equipment and procedures specified in 40 CFR part 1065 
subpart J, to conduct field testing. Use fuel meeting the 
specifications of 40 CFR part 1065, subpart H, or a fuel typical of 
what you would expect the engine to use in service.
    (c) Engine testing may occur under the following ranges of ambient 
conditions without correcting measured emission levels:
    (1) Atmospheric pressure must be between 96.000 and 103.325 kPa, 
except that manufacturers may test at lower atmospheric pressures if 
their test facility is located at an altitude that makes it impractical 
to stay within this range. This pressure range is intended to allow 
testing under most weather conditions at all altitudes up to 1,100 feet 
above sea level.
    (2) Ambient air temperature must be between 13 and 35 [deg]C (or 
between 13 [deg]C and 30 [deg]C for engines not drawing intake air 
directly from a space that could be heated by the engine).
    (3) Ambient water temperature must be between 5 and 27 [deg]C.
    (4) Ambient humidity must be between 7.1 and 10.7 grams of moisture 
per kilogram of dry air.
    (d) Engine testing may occur at any conditions expected during 
normal operation but that are outside the conditions described in 
paragraph (b) of this section, as long as measured values are corrected 
to be equivalent to the nearest end of the specified range, using

[[Page 37264]]

good engineering judgment. Correct NOX emissions for 
humidity as specified in 40 CFR part 1065, subpart G.
    (e) The sampling period may not begin until the engine has reached 
stable operating temperatures. For example, this would include only 
engine operation after starting and after the engine thermostat starts 
modulating the engine's coolant temperature. The sampling period may 
not include engine starting.
    (f) Apply the NTE standards specified in Sec.  1042.101(c) to an 
engine family based on the zones and subzones corresponding to specific 
duty cycles and engine types as defined in Appendix III of this part. 
For an engine family certified to multiple duty cycles, the broadest 
applicable NTE zone applies for that family at the time of 
certification. Whenever an engine family is certified to multiple duty 
cycles and a specific engine from that family is tested for NTE 
compliance in use, determine the applicable NTE zone for that engine 
according to its in-use application. An engine family's NTE zone may be 
modified as follows:
    (1) You may ask us to approve a narrower NTE zone for an engine 
family at the time of certification, based on information such as how 
that engine family is expected to normally operate in use. For example, 
if an engine family is always coupled to a pump or jet drive, the 
engine might be able to operate only within a narrow range of engine 
speed and power.
    (2) You may ask us to approve a Limited Testing Region (LTR). An 
LTR is a region of engine operation, within the applicable NTE zone, 
where you have demonstrated that your engine family operates for no 
more than 5.0 percent of its normal in-use operation, on a time-
weighted basis. You must specify an LTR using boundaries based on 
engine speed and power (or torque), where the LTR boundaries must 
coincide with some portion of the boundary defining the overall NTE 
zone. Any emission data collected within an LTR for a time duration 
that exceeds 5.0 percent of the duration of its respective NTE sampling 
period (as defined in paragraph (c)(3) of this section) will be 
excluded when determining compliance with the applicable NTE standards. 
Any emission data collected within an LTR for a time duration of 5.0 
percent or less of the duration of the respective NTE sampling period 
will be included when determining compliance with the NTE standards.
    (3) You must notify us if you design your engines for normal in-use 
operation outside the applicable NTE zone. If we learn that normal in-
use operation for your engines includes other speeds and loads, we may 
specify a broader NTE zone, as long as the modified zone is limited to 
normal in-use operation for speeds greater than 70 percent of maximum 
test speed and loads greater than 30 percent of maximum power at 
maximum test speed (or 30 percent of maximum test torque for constant-
speed engines).
    (4) You may exclude emission data based on ambient or engine 
parameter limit values as follows:
    (i) NOX catalytic aftertreatment minimum temperature. For an engine 
equipped with a catalytic NOX aftertreatment system, exclude 
NOX emission data that is collected when the exhaust 
temperature is less than 250 [deg]C, as measured within 30 cm 
downstream of the last NOX aftertreatment device. Where 
there are parallel paths, measure the temperature 30 cm downstream of 
the last NOX aftertreatment device in the path with the 
greatest exhaust flow.
    (ii) Oxidizing aftertreatment minimum temperature. For an engine 
equipped with an oxidizing catalytic aftertreatment system, exclude HC, 
CO, and PM emission data that is collected when the exhaust temperature 
is less than 250 [deg]C, as measured within 30 cm downstream of the 
last oxidizing aftertreatment device. Where there are parallel paths, 
measure the temperature 30 cm downstream of the last oxidizing 
aftertreatment device in the path with the greatest exhaust flow.
    (iii) Other parameters. You may request our approval for other 
minimum or maximum ambient or engine parameter limit values at the time 
of certification.
    (g) For engines equipped with emission controls that include 
discrete regeneration events, if a regeneration event occurs during the 
NTE test, the averaging period must be at least as long as the time 
between the events multiplied by the number of full regeneration events 
within the sampling period. This requirement applies only for engines 
that send an electronic signal indicating the start of the regeneration 
event.


Sec.  1042.520  What testing must I perform to establish deterioration 
factors?

    Sections 1042.240 and 1042.245 describe the required methods for 
testing to establish deterioration factors for an engine family.


Sec.  1042.525  How do I adjust emission levels to account for 
infrequently regenerating aftertreatment devices?

    This section describes how to adjust emission results from engines 
using aftertreatment technology with infrequent regeneration events. 
See paragraph (e) of this section for how to adjust ramped-modal 
testing. See paragraph (f) of this section for how to adjust discrete-
mode testing. For this section, ``regeneration'' means an intended 
event during which emission levels change while the system restores 
aftertreatment performance. For example, exhaust gas temperatures may 
increase temporarily to remove sulfur from adsorbers or to oxidize 
accumulated particulate matter in a trap. For this section, 
``infrequent'' refers to regeneration events that are expected to occur 
on average less than once over the applicable transient duty cycle or 
ramped-modal cycle, or on average less than once per typical mode in a 
discrete-mode test.
    (a) Developing adjustment factors. Develop an upward adjustment 
factor and a downward adjustment factor for each pollutant based on 
measured emission data and observed regeneration frequency. Adjustment 
factors should generally apply to an entire engine family, but you may 
develop separate adjustment factors for different engine configurations 
within an engine family. If you use adjustment factors for 
certification, you must identify the frequency factor, F, from 
paragraph (b) of this section in your application for certification and 
use the adjustment factors in all testing for that engine family. You 
may use carryover or carry-across data to establish adjustment factors 
for an engine family, as described in Sec.  1042.235(d), consistent 
with good engineering judgment. All adjustment factors for regeneration 
are additive. Determine adjustment factors separately for different 
test segments. For example, determine separate adjustment factors for 
different modes of a discrete-mode steady-state test. You may use 
either of the following different approaches for engines that use 
aftertreatment with infrequent regeneration events:
    (1) You may disregard this section if regeneration does not 
significantly affect emission levels for an engine family (or 
configuration) or if it is not practical to identify when regeneration 
occurs. If you do not use adjustment factors under this section, your 
engines must meet emission standards for all testing, without regard to 
regeneration.
    (2) If your engines use aftertreatment technology with extremely 
infrequent regeneration and you are unable to apply the provisions of 
this section, you may ask us to approve an alternate methodology to 
account for regeneration events.

[[Page 37265]]

    (b) Calculating average adjustment factors. Calculate the average 
adjustment factor (EFA) based on the following equation:

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

Where:
F = the frequency of the regeneration event during normal in-use 
operation, expressed in terms of the fraction of equivalent tests 
during which the regeneration occurs. You may determine F from in-
use operating data or running replicate tests. For example, if you 
observe that the regeneration occurs 125 times during 1000 MW-hrs of 
operation, and your engine typically accumulates 1 MW-hr per test, F 
would be (125) / (1000) / (1) = 0.125.
EFH = Measured emissions from a test segment in which the 
regeneration occurs.
EFL = Measured emissions from a test segment in which the 
regeneration does not occur.

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

UAF = EFA-EFL

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

DAF = EFH-EFA

    (d) Sample calculation. If EFL is 0.10 g/kW-hr, 
EFH is 0.50 g/kW-hr, and F is 0.1 (the regeneration occurs 
once for each ten tests), then:

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

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

Subpart G--Special Compliance Provisions


Sec.  1042.601  General compliance provisions for marine engines and 
vessels.

    Engine and vessel manufacturers, as well as owners, operators, and 
rebuilders of engines and vessels subject to the requirements of this 
part, and all other persons, must observe the provisions of this part, 
the requirements and prohibitions in 40 CFR part 1068, and the 
provisions of the Clean Air Act. The provisions of 40 CFR part 1068 
apply for compression-ignition marine engines as specified in that 
part, subject to the following provisions:
    (a) The following prohibitions apply with respect to recreational 
marine engines and recreational vessels:
    (1) Installing a recreational marine engine in a vessel that is not 
a recreational vessel is a violation of 40 CFR 1068.101(a)(1).
    (2) For a vessel with an engine that is certified and labeled as a 
recreational marine engine, using it in a manner inconsistent with its 
intended use as a recreational vessel violates 40 CFR 1068.101(a)(1), 
except as allowed by this chapter.
    (b) Subpart I of this part describes how the prohibitions of 40 CFR 
1068.101(a)(1) apply for remanufactured engines. The provisions of 40 
CFR 1068.105 do not allow the installation of a new remanufactured 
engine in a vessel that is defined as a ``new vessel'' unless the 
remanufactured engine is subject to the same standards as the standards 
applicable to freshly manufactured engines of the required model year.
    (c) The provisions of 40 CFR 1068.120 apply when rebuilding marine 
engines, except as specified in subpart I of this part. The following 
additional requirements also apply when rebuilding marine engines 
equipped with exhaust aftertreatment:
    (1) Follow all instructions from the engine manufacturer and 
aftertreatment manufacturer for checking, repairing, and replacing 
aftertreatment components. For example, you must replace the catalyst 
if the catalyst assembly is stamped with a build date more than ten 
years ago and the manufacturer's instructions state that catalysts over 
ten years old must be replaced when the engine is rebuilt.
    (2) Measure pressure drop across the catalyst assembly to ensure 
that it is neither higher nor lower than the manufacturer's 
specifications and repair or replace exhaust-system components as 
needed to bring the pressure drop within the manufacturer's 
specifications.
    (3) For engines equipped with exhaust sensors, verify that sensor 
outputs are within the manufacturer's recommended range and repair or 
replace any malfunctioning components (sensors, catalysts, or other 
components).
    (d) The provisions of Sec.  1042.635 for the national security 
exemption apply instead of 40 CFR 1068.225.
    (e) For replacement engines, apply the provisions of 40 CFR 
1068.240 as described in Sec.  1042.615.
    (f) For the purpose of meeting the defect-reporting requirements in 
40 CFR 1068.501, if you manufacture other nonroad engines that are 
substantially similar to your marine engines, you may consider defects 
using combined marine and non-marine families.
    (g) For a marine engine labeled as requiring the use of ultra low-
sulfur diesel fuel, is a violation of 40 CFR 1068.101(b)(1) to operate 
it with higher-sulfur fuel. It is also a violation of 40 CFR 
1068.101(b)(1) if an engine installer or vessel manufacturer fails to 
follow the engine manufacturer's emission-related installation 
instructions when installing a certified engine in a marine vessel.


Sec.  1042.605  Dressing engines already certified to other standards 
for nonroad or heavy-duty highway engines for marine use.

    (a) General provisions. If you are an engine manufacturer 
(including someone who marinizes a land-based engine), this section 
allows you to introduce new marine engines into U.S. commerce if they 
are already certified to the requirements that apply to compression-
ignition engines under 40 CFR parts 85 and 86 or 40 CFR part 89, 92, 
1033, or 1039 for the appropriate model year. If you comply with all 
the provisions of this section, we consider the certificate issued 
under 40 CFR part 86, 89, 92, 1033, or 1039 for each engine to also be 
a valid certificate of conformity under this part 1042 for its model 
year, without a separate application for certification under the 
requirements of this part 1042.
    (b) Vessel-manufacturer provisions. If you are not an engine 
manufacturer, you may install an engine certified for the appropriate 
model year under 40 CFR part 86, 89, 92, 1033, or 1039 in a marine 
vessel as long as you do not make any of the changes described in 
paragraph (d)(3) of this section and you meet the requirements of 
paragraph (e) of this section. If you modify the non-marine engine in 
any of the ways

[[Page 37266]]

described in paragraph (d)(3) of this section, we will consider you a 
manufacturer of a new marine engine. Such engine modifications prevent 
you from using the provisions of this section.
    (c) Liability. Engines for which you meet the requirements of this 
section are exempt from all the requirements and prohibitions of this 
part, except for those specified in this section. Engines exempted 
under this section must meet all the applicable requirements from 40 
CFR parts 85 and 86 or 40 CFR part 89, 92, 1033, or 1039. This 
paragraph (c) applies to engine manufacturers, vessel manufacturers 
that use such an engine, and all other persons as if the engine were 
used in its originally intended application. The prohibited acts of 40 
CFR 1068.101(a)(1) apply to these new engines and vessels; however, we 
consider the certificate issued under 40 CFR part 86, 89, 92, 1033, or 
1039 for each engine to also be a valid certificate of conformity under 
this part 1042 for its model year. If we make a determination that 
these engines do not conform to the regulations during their useful 
life, we may require you to recall them under 40 CFR part 85, 89, 92, 
or 1068.
    (d) Specific criteria and requirements. If you are an engine 
manufacturer and meet all the following criteria and requirements 
regarding your new marine engine, the engine is eligible for an 
exemption under this section:
    (1) You must produce it by marinizing an engine covered by a valid 
certificate of conformity from one of the following programs:
    (i) Heavy-duty highway engines (40 CFR part 86).
    (ii) Land-based compression-ignition nonroad engines (40 CFR part 
89 or 1039).
    (iii) Locomotives (40 CFR part 92 or 1033). To be eligible for 
dressing under this section, the engine must be from a locomotive 
certified to standards that are at least as stringent as either the 
standards applicable to new marine engines or freshly manufactured 
locomotives in the model year that the engine is being dressed.
    (2) The engine must have the label required under 40 CFR part 86, 
89, 92, 1033, or 1039.
    (3) You must not make any changes to the certified engine that 
could reasonably be expected to increase its emissions. For example, if 
you make any of the following changes to one of these engines, you do 
not qualify for the engine dressing exemption:
    (i) Change any fuel system parameters from the certified 
configuration, or change, remove, or fail to properly install any other 
component, element of design, or calibration specified in the engine 
manufacturer's application for certification. This includes 
aftertreatment devices and all related components.
    (ii) Replacing an original turbocharger, except that small-volume 
engine manufacturers may replace an original turbocharger on a 
recreational engine with one that matches the performance of the 
original turbocharger.
    (iii) Modify or design the marine engine cooling or aftercooling 
system so that temperatures or heat rejection rates are outside the 
original engine manufacturer's specified ranges.
    (4) You must show that fewer than 10 percent of the engine family's 
total sales in the United States are used in marine applications. This 
includes engines used in any application, without regard to which 
company manufactures the vessel or equipment. Show this as follows:
    (i) If you are the original manufacturer of the engine, base this 
showing on your sales information.
    (ii) In all other cases, you must confirm this based on your best 
estimate of the original manufacturer's sales information.
    (e) Labeling and documentation. If you are an engine manufacturer 
or vessel manufacturer using this exemption, you must do all of the 
following:
    (1) Make sure the original engine label will remain clearly visible 
after installation in the vessel.
    (2) Add a permanent supplemental label to the engine in a position 
where it will remain clearly visible after installation in the vessel. 
In your engine label, do the following:
    (i) Include the heading: ``Marine Engine Emission Control 
Information''.
    (ii) Include your full corporate name and trademark.
    (iii) State: ``This engine was marinized without affecting its 
emission controls.''.
    (iv) State the date you finished marinizing the engine (month and 
year).
    (3) Send the Designated Compliance Officer a signed letter by the 
end of each calendar year (or less often if we tell you) with all the 
following information:
    (i) Identify your full corporate name, address, and telephone 
number.
    (ii) List the engine models for which you expect to use this 
exemption in the coming year and describe your basis for meeting the 
sales restrictions of paragraph (d)(4) of this section.
    (iii) State: ``We prepare each listed engine model for marine 
application without making any changes that could increase its 
certified emission levels, as described in 40 CFR 1042.605.''.
    (f) Failure to comply. If your engines do not meet the criteria 
listed in paragraph (d) of this section, they will be subject to the 
standards, requirements, and prohibitions of this part 1042 and the 
certificate issued under 40 CFR part(s) 86, 89, 92, 1033, or 1039 will 
not be deemed to also be a certificate issued under this part 1042. 
Introducing these engines into U.S. commerce as marine engines without 
a valid exemption or certificate of conformity under this part violates 
the prohibitions in 40 CFR 1068.101(a)(1).
    (g) Data submission. (1) If you are both the original manufacturer 
and marinizer of an exempted engine, you must send us emission test 
data on the appropriate marine duty cycles. You can include the data in 
your application for certification or in the letter described in 
paragraph (e)(3) of this section.
    (2) If you are the original manufacturer of an exempted engine that 
is marinized by a post-manufacture marinizer, you may be required to 
send us emission test data on the appropriate marine duty cycles. If 
such data are requested you will be allowed a reasonable amount of time 
to collect the data.
    (h) Participation in averaging, banking and trading. Engines 
adapted for marine use under this section may not generate or use 
emission credits under this part 1042. These engines may generate 
credits under the ABT provisions in 40 CFR part(s) 86, 89, 92, 1033, or 
1039, as applicable. These engines must use emission credits under 40 
CFR part(s) 86, 89, 92, 1033, or 1039 as applicable if they are 
certified to an FEL that exceeds an emission standard.
    (i) Operator requirements. The requirements specified for vessel 
manufacturers, owners, and operators in this subpart (including 
requirements in 40 CFR part 1068) apply to these engines whether they 
are certified under this part 1042 or another part as allowed by this 
section.


Sec.  1042.610  Certifying auxiliary marine engines to land-based 
standards.

    This section applies to auxiliary marine engines that are identical 
to certified land-based engines. See Sec.  1042.605 for provisions that 
apply to propulsion marine engines or auxiliary marine engines that are 
modified for marine applications.
    (a) General provisions. If you are an engine manufacturer, this 
section allows you to introduce new marine engines into U.S. commerce 
if they are already certified to the requirements that apply to 
compression-ignition engines under

[[Page 37267]]

40 CFR part 89 or 1039 for the appropriate model year. If you comply 
with all the provisions of this section, we consider the certificate 
issued under 40 CFR part 89 or 1039 for each engine to also be a valid 
certificate of conformity under this part 1042 for its model year, 
without a separate application for certification under the requirements 
of this part 1042.
    (b) Vessel-manufacturer provisions. If you are not an engine 
manufacturer, you may install an engine certified for land-based 
applications in a marine vessel as long as you meet all the qualifying 
criteria and requirements specified in paragraphs (d) and (e) of this 
section. If you modify the non-marine engine, we will consider you a 
manufacturer of a new marine engine. Such engine modifications prevent 
you from using the provisions of this section.
    (c) Liability. Engines for which you meet the requirements of this 
section are exempt from all the requirements and prohibitions of this 
part, except for those specified in this section. Engines exempted 
under this section must meet all the applicable requirements from 40 
CFR part 89 or 1039. This paragraph (c) applies to engine 
manufacturers, vessel manufacturers that use such an engine, and all 
other persons as if the engine were used in its originally intended 
application. The prohibited acts of 40 CFR 1068.101(a)(1) apply to 
these new engines and vessels; however, we consider the certificate 
issued under 40 CFR part 89 or 1039 for each engine to also be a valid 
certificate of conformity under this part 1042 for its model year. If 
we make a determination that these engines do not conform to the 
regulations during their useful life, we may require you to recall them 
under 40 CFR part 89 or 1068.
    (d) Qualifying criteria. If you are an engine manufacturer and meet 
all the following criteria and requirements regarding your new marine 
engine, the engine is eligible for an exemption under this section:
    (1) The marine engine must be identical in all material respects to 
a land-based engine covered by a valid certificate of conformity for 
the appropriate model year showing that it meets emission standards for 
engines of that power rating under 40 CFR part 89 or 1039.
    (2) The engines may not be used as propulsion marine engines.
    (3) You must show that the number of auxiliary marine engines from 
the engine family must be smaller than the number of land-based engines 
from the engine family sold in the United States, as follows:
    (i) If you are the original manufacturer of the engine, base this 
showing on your sales information.
    (ii) In all other cases, you must get the original manufacturer of 
the engine to confirm this based on its sales information.
    (e) Specific requirements. If you are an engine manufacturer or 
vessel manufacturer using this exemption, you must do all of the 
following:
    (1) Make sure the original engine label will remain clearly visible 
after installation in the vessel. This label or a supplemental label 
must identify that the original certification is valid for auxiliary 
marine applications.
    (2) Send a signed letter to the Designated Compliance Officer by 
the end of each calendar year (or less often if we tell you) with all 
the following information:
    (i) Identify your full corporate name, address, and telephone 
number.
    (ii) List the engine models you expect to produce under this 
exemption in the coming year and describe your basis for meeting the 
sales restrictions of paragraph (d)(3) of this section.
    (iii) State: ``We produce each listed engine model for marine 
application without making any changes that could increase its 
certified emission levels, as described in 40 CFR 1042.610.''.
    (3) If you are the certificate holder, you must describe in your 
application for certification how you plan to produce engines for both 
land-based and auxiliary marine applications, including projected sales 
of auxiliary marine engines to the extent this can be determined. If 
the projected marine sales are substantial, we may ask for the year-end 
report of production volumes to include actual auxiliary marine engine 
sales.
    (f) Failure to comply. If your engines do not meet the criteria 
listed in paragraph (d) of this section, they will be subject to the 
standards, requirements, and prohibitions of this part 1042 and the 
certificate issued under 40 CFR part 89 or 1039 will not be deemed to 
also be a certificate issued under this part 1042. Introducing these 
engines into U.S. commerce as marine engines without a valid exemption 
or certificate of conformity under this part 1042 violates the 
prohibitions in 40 CFR 1068.101(a)(1).
    (g) Participation in averaging, banking and trading. Engines using 
this exemption may not generate or use emission credits under this part 
1042. These engines may generate credits under the ABT provisions in 40 
CFR part 89 or 1039, as applicable. These engines must use emission 
credits under 40 CFR part 89 or 1039 as applicable if they are 
certified to an FEL that exceeds an emission standard.
    (h) Operator requirements. The requirements specified for vessel 
manufacturers, owners, and operators in this subpart (including 
requirements in 40 CFR part 1068) apply to these engines whether they 
are certified under this part 1042 or another part as allowed by this 
section.


Sec.  1042.615  Replacement engine exemption.

    For replacement engines, apply the provisions of 40 CFR 1068.240 as 
described in this section.
    (a) This paragraph (a) applies instead of the provisions of 40 CFR 
1068.240(b)(3). The prohibitions in 40 CFR 1068.101(a)(1) do not apply 
for a new replacement engine meeting Tier 3 standards if the engine 
being replaced is a Tier 3 or earlier engine (this applies where new 
engines would otherwise be subject to Tier 4 or later standards). For 
other cases, the prohibitions in 40 CFR 1068.101(a)(1) do not apply to 
a new replacement engine if all the following conditions are met:
    (1) You use good engineering judgment to determine that no engine 
certified to the current requirements of this part is produced by any 
manufacturer with the appropriate physical or performance 
characteristics to repower the vessel.
    (2) You make a record of your determination for each replacement 
engine with the following information and keep these records for eight 
years:
    (i) If you determine that no engine certified to the current 
requirements of this part is available with the appropriate performance 
characteristics, explain why certified engines produced by you and 
other manufacturers cannot be used as a replacement because they are 
not similar to the engine being replaced in terms of power or speed.
    (ii) You may determine that all engines certified to the current 
requirements of this part that have appropriate performance 
characteristics are not available because they do not have the 
appropriate physical characteristics. If this is the case, explain why 
these certified engines produced by you and other manufacturers cannot 
be used as a replacement because their weight or dimensions are 
substantially different than those of the engine being replaced, or 
because they will not fit within the vessel's engine compartment or 
engine room.
    (iii) In evaluating appropriate physical or performance 
characteristics, you may account for compatibility with vessel 
components you would not

[[Page 37268]]

otherwise replace when installing a new engine, including transmissions 
or reduction gears, drive shafts or propeller shafts, propellers, 
cooling systems, operator controls, or electrical systems for 
generators or indirect-drive configurations. If you make your 
determination on this basis, you must identify the vessel components 
that are incompatible with engines certified to current standards and 
explain how they are incompatible and why it would be unreasonable to 
replace them.
    (iv) In evaluating appropriate physical or performance 
characteristics, you may account for compatibility in a set of two or 
more propulsion engines on a vessel where only one of the engines needs 
replacement, but only if each engine not needing replacement has 
operated for less than 75 percent of its applicable useful life in 
hours or years (see Sec.  1042.101). If any engine not otherwise 
needing replacement exceeds this 75 percent threshold, your 
determination must consider replacement of all the propulsion engines.
    (v) In addition to the determination specified in paragraph (a)(1) 
of this section, you must make a separate determination for your own 
product line addressing every tier of emission standards that is more 
stringent than the emission standards for the engine being replaced. 
For example, if the engine being replaced was built before the Tier 1 
standards started to apply and engines of that size are currently 
subject to Tier 3 standards, you must consider whether any Tier 1 or 
Tier 2 engines that you produce have the appropriate physical and 
performance characteristics for replacing the old engine; if you can 
produce a Tier 2 engine with the appropriate physical and performance 
characteristics, you must use it as the replacement engine.
    (3) You must notify us within 30 days after you ship each 
replacement engine under this section. Your notification must include 
all the following things and be signed by an authorized representative 
of your company:
    (i) A copy of your records describing how you made the 
determination described in paragraph (a)(2) of this section for this 
particular engine.
    (ii) The total number of replacement engines you have shipped in 
the applicable calendar year, from all your marine engine models.
    (iii) The following statement:
    I certify that the statements and information in the enclosed 
document are true, accurate, and complete to the best of my knowledge. 
I am aware that there are significant civil and criminal penalties for 
submitting false statements and information, or omitting required 
statements and information.
    (4) We may reduce the reporting and recordkeeping requirements in 
this section.
    (b) Modifying a vessel to significantly increase its value within 
six months after installing a replacement engine produced under this 
section is a violation of 40 CFR 1068.101(a)(1).
    (c) We may void an exemption for an engine if we determine that any 
of the conditions described in paragraph (a) of this section are not 
met.


Sec.  1042.620  Engines used solely for competition.

    The provisions of this section apply for new engines and vessels 
built on or after January 1, 2009.
    (a) We may grant you an exemption from the standards and 
requirements of this part for a new engine on the grounds that it is to 
be used solely for competition. The requirements of this part, other 
than those in this section, do not apply to engines that we exempt for 
use solely for competition. The prohibitions in Sec.  1068.101(a)(1) do 
not apply to engines exempted under this section.
    (b) We will exempt engines that we determine will be used solely 
for competition. The basis of our determination is described in 
paragraphs (c) and (d) of this section. Exemptions granted under this 
section are good for only one model year and you must request renewal 
for each subsequent model year. We will not approve your renewal 
request if we determine the engine will not be used solely for 
competition.
    (c) Engines meeting all the following criteria are considered to be 
used solely for competition:
    (1) Neither the engine nor any vessels containing the engine may be 
displayed for sale in any public dealership or otherwise offered for 
sale to the general public.
    (2) Sale of the vessel in which the engine is installed must be 
limited to professional racing teams, professional racers, or other 
qualified racers. Keep records documenting this, such as a letter 
requesting an exempted engine.
    (3) The engine and the vessel in which it is installed must have 
performance characteristics that are substantially superior to 
noncompetitive models.
    (4) The engines are intended for use only as specified in paragraph 
(e) of this section.
    (d) You may ask us to approve an exemption for engines not meeting 
the applicable criteria listed in paragraph (c) of this section as long 
as you have clear and convincing evidence that the engines will be used 
solely for competition.
    (e) Engines will not be considered to be used solely for 
competition if they are ever used for any recreational or other 
noncompetitive purpose. This means that their use must be limited to 
competition events sanctioned by the U.S. Coast Guard or another public 
organization with authorizing permits for participating competitors. 
Operation for such engines may include only racing events or trials to 
qualify for racing events. Authorized attempts to set speed records 
(and the associated official trials) are also considered racing events. 
Any use of exempt engines in recreational events, such as poker runs 
and lobsterboat races, is a violation of 40 CFR 1068.101(b)(4).
    (f) You must permanently label engines exempted under this section 
to clearly indicate that they are to be used only for competition. 
Failure to properly label an engine will void the exemption for that 
engine.
    (g) If we request it, you must provide us any information we need 
to determine whether the engines or vessels are used solely for 
competition. This would include documentation regarding the number of 
engines and the ultimate purchaser of each engine. Keep these records 
for five years.


Sec.  1042.625  Special provisions for engines used in emergency 
applications.

    (a) Except as specified in paragraph (d) of this section, the 
prohibitions in Sec.  1068.101(a)(1) do not apply to a new engine that 
is subject to Tier 4 standards if the following conditions are met:
    (1) The engine is intended for installation in one of the following 
vessels or applications:
    (i) A lifeboat approved by the U.S. Coast Guard under approval 
series 160.135 (see for example 46 CFR 199.201(a)(1)), as long as such 
a vessel is not also used as a launch or tender.
    (ii) A rescue boat approved by the U.S. Coast Guard under approval 
series 160.156 (see for example 46 CFR 199.202(a)).
    (iii) Generator sets or other auxiliary equipment that qualify as 
final emergency power sources under 46 CFR part 112.
    (2) The engine meets the Tier 3 emission standards specified in 
Sec.  1042.101 as specified in 40 CFR 1068.265.
    (3) The engine is used only for its intended purpose, as specified 
on the emission control information label.
    (b) Except as specified in paragraph (d) of this section, the 
prohibitions in Sec.  1068.101(a)(1) do not apply to a new

[[Page 37269]]

engine that is subject to Tier 3 standards according to the following 
provisions:
    (1) The engine must be intended for installation in a lifeboat or a 
rescue boat as specified in paragraph (a)(1)(i) or (ii) of this 
section.
    (2) This exemption is available from the initial effective date for 
the Tier 3 standards until the engine model (or one of comparable size, 
weight, and performance) has been certified as complying with the Tier 
3 standards and Coast Guard requirements.
    (3) The engine must meet the Tier 2 emission standards specified in 
Appendix I of this part as specified in 40 CFR 1068.265.
    (c) If you introduce an engine into U.S. commerce under this 
section, you must meet the labeling requirements in Sec.  1042.135, but 
add one of the following statements instead of the compliance statement 
in Sec.  1042.135(c)(10):
    (1) For lifeboats and rescue boats, add the following statement:
    THIS ENGINE DOES NOT COMPLY WITH CURRENT U.S. EPA EMISSION 
STANDARDS UNDER 40 CFR 1042.625 AND IS FOR USE SOLELY IN LIFEBOATS OR 
RESCUE BOATS (COAST GUARD APPROVAL SERIES 160.135 OR 160.156). 
INSTALLATION OR USE OF THIS ENGINE IN ANY OTHER APPLICATION MAY BE A 
VIOLATION OF FEDERAL LAW SUBJECT TO CIVIL PENALTY.
    (2) For engines serving as final emergency power sources, add the 
following statement:
    THIS ENGINE DOES NOT COMPLY WITH CURRENT U.S. EPA EMISSION 
STANDARDS UNDER 40 CFR 1042.625 AND IS FOR USE SOLELY IN EMERGENCY 
EQUIPMENT REGULATED BY 46 CFR 112. INSTALLATION OR USE OF THIS ENGINE 
IN ANY OTHER APPLICATION MAY BE A VIOLATION OF FEDERAL LAW SUBJECT TO 
CIVIL PENALTY.
    (d) Introducing into commerce a vessel containing an engine 
exempted under this section violates the prohibitions in 40 CFR 
1068.101(a)(1) where the vessel is not covered by paragraph (a) or (b) 
of this section, unless it is exempt under a different provision. 
Similarly, using such an engine or vessel as something other than a 
lifeboat, rescue boat, or emergency engine as specified in paragraph 
(a)(1) of this section violates the prohibitions in 40 CFR 
1068.101(a)(1), unless it is exempt under a different provision.


Sec.  1042.630  Personal-use exemption.

    This section applies to individuals who manufacture vessels for 
personal use. If you and your vessel meet all the conditions of this 
section, the vessel and its engine are considered to be exempt from the 
standards and requirements of this part that apply to new engines and 
new vessels. The prohibitions in Sec.  1068.101(a)(1) do not apply to 
engines exempted under this section. For example, you may install an 
engine that was not certified as a marine engine.
    (a) The vessel may not be manufactured from a previously certified 
vessel, nor may it be manufactured from a partially complete vessel 
that is equivalent to a certified vessel. The vessel must be 
manufactured primarily from unassembled components, but may incorporate 
some preassembled components. For example, fully preassembled steering 
assemblies may be used. You may also power the vessel with an engine 
that was previously used in a highway or land-based nonroad 
application.
    (b) The vessel may not be sold within five years after the date of 
final assembly.
    (c) No individual may manufacture more than one vessel in any ten-
year period under this exemption.
    (d) You may not use the vessel in any revenue-generating service or 
for any other commercial purpose, except that you may use a vessel 
exempt under this section for commercial fishing that you personally 
do.
    (e) This exemption may not be used to circumvent the requirements 
of this part or the requirements of the Clean Air Act. For example, 
this exemption would not cover a case in which a person sells an almost 
completely assembled vessel to another person, who would then complete 
the assembly. This would be considered equivalent to the sale of the 
complete new vessel. This section also does not allow engine 
manufacturers to produce new engines that are exempt from emission 
standards and it does not provide an exemption from the prohibition 
against tampering with certified engines.
    (f) The vessel must be a vessel that is not classed or subject to 
Coast Guard inspections or surveys.


Sec.  1042.635  National security exemption.

    The standards and requirements of this part and prohibitions in 
Sec.  1068.101(a)(1) do not apply to engines exempted under this 
section.
    (a) You are eligible for the exemption for national security only 
if you are a manufacturer.
    (b) Your engine is exempt without a request if it will be used or 
owned by an agency of the federal government responsible for national 
defense, where the vessel has armor, permanently attached weaponry, 
specialized electronic warfare systems, unique stealth performance 
requirements, and/or unique combat maneuverability requirements.
    (c) You may request a national security exemption for engines not 
meeting the conditions of paragraph (b) of this section, as long as 
your request is endorsed by an agency of the federal government 
responsible for national defense. In your request, explain why you need 
the exemption.
    (d) Add a legible label, written in English, to all engines 
exempted under this section. The label must be permanently secured to a 
readily visible part of the engine needed for normal operation and not 
normally requiring replacement, such as the engine block. This label 
must include at least the following items:
    (1) The label heading ``EMISSION CONTROL INFORMATION''.
    (2) Your corporate name and trademark.
    (3) Engine displacement, family identification, and model year of 
the engine (as applicable), or whom to contact for further information.
    (4) The statement ``THIS ENGINE HAS AN EXEMPTION FOR NATIONAL 
SECURITY UNDER 40 CFR 1042.635.''.


Sec.  1042.640  Special provisions for branded engines.

    The following provisions apply if you identify the name and 
trademark of another company instead of your own on your emission 
control information label, as provided by Sec.  1042.135(c)(2):
    (a) You must have a contractual agreement with the other company 
that obligates that company to take the following steps:
    (1) Meet the emission warranty requirements that apply under Sec.  
1042.120. This may involve a separate agreement involving reimbursement 
of warranty-related expenses.
    (2) Report all warranty-related information to the certificate 
holder.
    (b) In your application for certification, identify the company 
whose trademark you will use.
    (c) You remain responsible for meeting all the requirements of this 
chapter, including warranty and defect-reporting provisions.


Sec.  1042.650  Migratory vessels.

    The provisions of this section address concerns for vessel owners 
related to extended use of vessels with Tier 4 engines outside the 
United States where ultra low-sulfur diesel fuel is not available.
    (a) Temporary exemption. A vessel owner may ask us for a temporary

[[Page 37270]]

exemption from the tampering prohibition in 40 CFR 1068.101(b)(1) for a 
vessel if it will operate only in areas outside the United States where 
ULSD is not available. In your request, describe where the vessel will 
operate, how long it will operate there, why ULSD will be unavailable, 
and how you will modify the engine, including its emission controls. If 
we approve your request, you may modify the engine, but only as needed 
to disable or remove the emission controls needed for meeting the Tier 
4 standards. You must return the engine to its original certified 
configuration before the vessel returns to the United States to avoid 
violating the tampering prohibition in 40 CFR 1068.101(b)(1). We may 
set additional conditions to prevent circumvention of the provisions of 
this part.
    (b) SOLAS exemption. We may approve a permanent exemption from the 
prohibitions in 40 CFR 1068.101(a)(1) for an engine that is subject to 
Tier 4 standards as described in this paragraph (b).
    (1) Vessel owners may ask for a permanent exemption from the Tier 4 
standards for an engine that will be installed on vessels that will 
operate for extended periods outside the United States, provided they 
demonstrate all of the following are true:
    (i) Prior to introduction into service, the vessel will comply with 
applicable certification requirements for international safety pursuant 
to the U.S. Coast Guard and the International Convention for the 
Protection of Life at Sea (SOLAS). The vessel owner must maintain 
compliance with these requirements for the life of the exempted engine.
    (ii) The vessel will be used in areas outside of the United States 
where ULSD will not be available.
    (iii) The mix of vessels with engines certified to Tier 3 or 
earlier standards in the owner's current fleet and the owner's current 
business operation of those vessels makes the exemption necessary. Note 
that because of the large fraction of pre-Tier 4 engines in the fleet 
prior to 2021, a request for a Tier 4 exemption prior to that year must 
clearly demonstrate that unusual circumstances apply.
    (2) An engine exempted under this paragraph (b) must meet the Tier 
3 emission standards described in Sec.  1402.101, subject to the 
procedural requirements of 40 CFR 1068.265.
    (3) If you introduce an engine into U.S. commerce under this 
section, you must meet the labeling requirements in Sec.  1042.135, but 
add the following statement instead of the compliance statement in 
Sec.  1042.135(c)(10):
    THIS ENGINE DOES NOT COMPLY WITH CURRENT U.S. EPA EMISSION 
STANDARDS UNDER 40 CFR 1042.650 AND IS FOR USE SOLELY IN SOLAS VESSELS. 
INSTALLATION OR USE OF THIS ENGINE IN ANY OTHER APPLICATION MAY BE A 
VIOLATION OF FEDERAL LAW SUBJECT TO CIVIL PENALTY.
    (4) Operating a vessel containing an engine exempted under this 
paragraph (b) violates the prohibitions in 40 CFR 1068.101(a)(1) if the 
vessel in not in full compliance with applicable requirements for 
international safety specified in paragraph (b)(1)(i) of this section.
    (c) Vessels less than 500 gross tons. In unusual circumstances for 
vessels less than 500 gross tons, we may approve a vessel owner's 
request for a permanent exemption from the prohibitions in 40 CFR 
1068.101(a)(1) for an engine that is subject to Tier 4 standards that 
will operate for extended periods outside the United States without it 
being in compliance with applicable certification requirements for 
international safety. We may set appropriate additional conditions on 
such exemptions, and may void the exemption if those conditions are not 
met.


Sec.  1042.660  Requirements for vessel manufacturers, owners, and 
operators.

    (a) The provisions of 40 CFR part 94, subpart K, apply to 
manufacturers, owners, and operators of marine vessels that contain 
Category 3 engines subject to the provisions of 40 CFR part 94, subpart 
A.
    (b) For vessels equipped with emission controls requiring the use 
of specific fuels, lubricants, or other fluids, owners and operators 
must comply with the manufacturer/remanufacturer's specifications for 
such fluids when operating the vessels. Failure to comply with the 
requirements of this paragraph is a violation of 40 CFR 1068.101(b)(1).
    (c) For vessels equipped with SCR systems requiring the use of urea 
or other reductants, owners and operators must report to us within 30 
days any operation of such vessels without the appropriate reductant. 
Failure to comply with the requirements of this paragraph is a 
violation of 40 CFR 1068.101(a)(2).

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


Sec.  1042.701  General provisions.

    (a) You may average, bank, and trade (ABT) emission credits for 
purposes of certification as described in this subpart to show 
compliance with the standards of this part. Participation in this 
program is voluntary.
    (b) The definitions of subpart J of this part apply to this 
subpart. The following definitions also apply:
    (1) Actual emission credits means emission credits you have 
generated that we have verified by reviewing your final report.
    (2) Applicable emission standard means an emission standard that is 
specified in subpart B of this part. Note that for other subparts, 
``applicable emission standard'' is defined to also include FELs.
    (3) Averaging set means a set of engines in which emission credits 
may be exchanged only with other engines in the same averaging set.
    (4) Broker means any entity that facilitates a trade of emission 
credits between a buyer and seller.
    (5) Buyer means the entity that receives emission credits as a 
result of a trade.
    (6) Reserved emission credits means emission credits you have 
generated that we have not yet verified by reviewing your final report.
    (7) Seller means the entity that provides emission credits during a 
trade.
    (8) Standard means the emission standard that applies under subpart 
B of this part for engines not participating in the ABT program of this 
subpart.
    (9) Trade means to exchange emission credits, either as a buyer or 
seller.
    (c) Emission credits may be exchanged only within an averaging set. 
Except as specified in paragraph (d) of this section, the following 
criteria define the applicable averaging sets:
    (1) Recreational engines.
    (2) Commercial Category 1 engines.
    (3) Category 2 engines.
    (d) Emission credits generated by commercial Category 1 engine 
families may be used for compliance by Category 2 engine families. Such 
credits must be discounted by 25 percent.
    (e) You may not use emission credits generated under this subpart 
to offset any emissions that exceed an FEL or standard. This applies 
for all testing, including certification testing, in-use testing, 
selective enforcement audits, and other production-line testing. 
However, if emissions from an engine exceed an FEL or standard (for 
example, during a selective enforcement audit), you may use emission 
credits to recertify the engine family with a higher FEL that applies 
only to future production.
    (f) Engine families that use emission credits for one or more 
pollutants may not generate positive emission credits for another 
pollutant.
    (g) Emission credits may be used in the model year they are 
generated or in

[[Page 37271]]

future model years. Emission credits may not be used for past model 
years.
    (h) You may increase or decrease an FEL during the model year by 
amending your application for certification under Sec.  1042.225.
    (i) You may use NOX+HC credits to show compliance with a 
NOX emission standard or use NOX credits to show 
compliance with a NOX+HC emission standard.


Sec.  1042.705  Generating and calculating emission credits.

    The provisions of this section apply separately for calculating 
emission credits for NOX, NOX+HC, or PM.
    (a) For each participating family, calculate positive or negative 
emission credits relative to the otherwise applicable emission 
standard. Calculate positive emission credits for a family that has an 
FEL below the standard. Calculate negative emission credits for a 
family that has an FEL above the standard. Sum your positive and 
negative credits for the model year before rounding. Round calculated 
emission credits to the nearest kilogram (kg), using consistent units 
throughout the following equation:

Emission credits (kg) = (Std - FEL) x (Volume) x (Power) x (LF) x (UL) 
x (10-3)

Where:

Std = The emission standard, in g/kW-hr.
FEL = The family emission limit for the engine family, in g/kW-hr.
Volume = The number of engines eligible to participate in the 
averaging, banking, and trading program within the given engine 
family during the model year, as described in paragraph (c) of this 
section.
Power = The average value of maximum engine power of all the engine 
configurations within an engine family, calculated on a production-
weighted basis, in kilowatts.
LF = Load factor. Use 0.69 for propulsion marine engines and 0.51 
for auxiliary marine engines. We may specify a different load factor 
if we approve the use of special test procedures for an engine 
family under 40 CFR 1065.10(c)(2), consistent with good engineering 
judgment.
UL = The useful life for the given engine family, in hours.

    (b) [Reserved]
    (c) In your application for certification, base your showing of 
compliance on projected production volumes for engines whose point of 
first retail sale is in the United States. As described in Sec.  
1042.730, compliance with the requirements of this subpart is 
determined at the end of the model year based on actual production 
volumes for engines whose point of first retail sale is in the United 
States. Do not include any of the following engines to calculate 
emission credits:
    (1) Engines permanently exempted under subpart G of this part or 
under 40 CFR part 1068.
    (2) Exported engines.
    (3) Engines not subject to the requirements of this part, such as 
those excluded under Sec.  1042.5.
    (4) [Reserved]
    (5) Any other engines, where we indicate elsewhere in this part 
1042 that they are not to be included in the calculations of this 
subpart.


Sec.  1042.710  Averaging emission credits.

    (a) Averaging is the exchange of emission credits among your engine 
families.
    (b) You may certify one or more engine families to an FEL above the 
emission standard, subject to the FEL caps and other provisions in 
subpart B of this part, if you show in your application for 
certification that your projected balance of all emission-credit 
transactions in that model year is greater than or equal to zero.
    (c) If you certify an engine family to an FEL that exceeds the 
otherwise applicable emission standard, you must obtain enough emission 
credits to offset the engine family's deficit by the due date for the 
final report required in Sec.  1042.730. The emission credits used to 
address the deficit may come from your other engine families that 
generate emission credits in the same model year, from emission credits 
you have banked, or from emission credits you obtain through trading.


Sec.  1042.715  Banking emission credits.

    (a) Banking is the retention of emission credits by the 
manufacturer generating the emission credits for use in averaging or 
trading in future model years.
    (b) You may use banked emission credits from the previous model 
year for averaging or trading before we verify them, but we may revoke 
these emission credits if we are unable to verify them after reviewing 
your reports or auditing your records.
    (c) Reserved credits become actual emission credits only when we 
verify them in reviewing your final report.


Sec.  1042.720  Trading emission credits.

    (a) Trading is the exchange of emission credits between 
manufacturers. You may use traded emission credits for averaging, 
banking, or further trading transactions.
    (b) You may trade actual emission credits as described in this 
subpart. You may also trade reserved emission credits, but we may 
revoke these emission credits based on our review of your records or 
reports or those of the company with which you traded emission credits. 
You may trade banked credits to any certifying manufacturer.
    (c) If a negative emission credit balance results from a 
transaction, both the buyer and seller are liable, except in cases we 
deem to involve fraud. See Sec.  1042.255(e) for cases involving fraud. 
We may void the certificates of all engine families participating in a 
trade that results in a manufacturer having a negative balance of 
emission credits. See Sec.  1042.745.


Sec.  1042.725  Information required for the application for 
certification.

    (a) You must declare in your application for certification your 
intent to use the provisions of this subpart for each engine family 
that will be certified using the ABT program. You must also declare the 
FELs you select for the engine family for each pollutant for which you 
are using the ABT program. Your FELs must comply with the 
specifications of subpart B of this part, including the FEL caps. FELs 
must be expressed to the same number of decimal places as the emission 
standards.
    (b) Include the following in your application for certification:
    (1) A statement that, to the best of your belief, you will not have 
a negative balance of emission credits for any averaging set when all 
emission credits are calculated at the end of the year.
    (2) Detailed calculations of projected emission credits (positive 
or negative) based on projected production volumes.


Sec.  1042.730  ABT reports.

    (a) If any of your engine families are certified using the ABT 
provisions of this subpart, you must send an end-of-year report within 
90 days after the end of the model year and a final report within 270 
days after the end of the model year. We may waive the requirement to 
send the end-of-year report, as long as you send the final report on 
time.
    (b) Your end-of-year and final reports must include the following 
information for each engine family participating in the ABT program:
    (1) Engine-family designation.
    (2) The emission standards that would otherwise apply to the engine 
family.
    (3) The FEL for each pollutant. If you changed an FEL during the 
model year, identify each FEL you used and calculate the positive or 
negative emission credits under each FEL. Also, describe how the FEL 
can be identified for each engine you produced. For example, you might 
keep a list of engine

[[Page 37272]]

identification numbers that correspond with certain FEL values.
    (4) The projected and actual production volumes for the model year 
with a point of first retail sale in the United States, as described in 
Sec.  1042.705(c). If you changed an FEL during the model year, 
identify the actual production volume associated with each FEL.
    (5) Maximum engine power for each engine configuration, and the 
production-weighted average engine power for the engine family.
    (6) Useful life.
    (7) Calculated positive or negative emission credits for the whole 
engine family. Identify any emission credits that you traded, as 
described in paragraph (d)(1) of this section.
    (c) Your end-of-year and final reports must include the following 
additional information:
    (1) Show that your net balance of emission credits from all your 
participating engine families in each averaging set in the applicable 
model year is not negative.
    (2) State whether you will retain any emission credits for banking.
    (3) State that the report's contents are accurate.
    (d) If you trade emission credits, you must send us a report within 
90 days after the transaction, as follows:
    (1) Sellers must include the following information in their report:
    (i) The corporate names of the buyer and any brokers.
    (ii) A copy of any contracts related to the trade.
    (iii) The engine families that generated emission credits for the 
trade, including the number of emission credits from each family.
    (2) Buyers must include the following information in their report:
    (i) The corporate names of the seller and any brokers.
    (ii) A copy of any contracts related to the trade.
    (iii) How you intend to use the emission credits, including the 
number of emission credits you intend to apply to each engine family 
(if known).
    (e) Send your reports electronically to the Designated Compliance 
Officer using an approved information format. If you want to use a 
different format, send us a written request with justification for a 
waiver.
    (f) Correct errors in your end-of-year report or final report as 
follows:
    (1) You may correct any errors in your end-of-year report when you 
prepare the final report, as long as you send us the final report by 
the time it is due.
    (2) If you or we determine within 270 days after the end of the 
model year that errors mistakenly decreased your balance of emission 
credits, you may correct the errors and recalculate the balance of 
emission credits. You may not make these corrections for errors that 
are determined more than 270 days after the end of the model year. If 
you report a negative balance of emission credits, we may disallow 
corrections under this paragraph (f)(2).
    (3) If you or we determine anytime that errors mistakenly increased 
your balance of emission credits, you must correct the errors and 
recalculate the balance of emission credits.


Sec.  1042.735  Recordkeeping.

    (a) You must organize and maintain your records as described in 
this section. We may review your records at any time.
    (b) Keep the records required by this section for eight years after 
the due date for the end-of-year report. You may not use emission 
credits on any engines if you do not keep all the records required 
under this section. You must therefore keep these records to continue 
to bank valid credits. Store these records in any format and on any 
media, as long as you can promptly send us organized, written records 
in English if we ask for them. You must keep these records readily 
available. We may review them at any time.
    (c) Keep a copy of the reports we require in Sec.  1042.730.
    (d) Keep the following additional records for each engine you 
produce that generates or uses emission credits under the ABT program:
    (1) Engine family designation.
    (2) Engine identification number. You may identify these numbers as 
a range.
    (3) FEL and useful life. If you change the FEL after the start of 
production, identify the date that you started using the new FEL and 
give the engine identification number for the first engine covered by 
the new FEL.
    (4) Maximum engine power.
    (5) Purchaser and destination.
    (e) We may require you to keep additional records or to send us 
relevant information not required by this section, as allowed under the 
Clean Air Act.


Sec.  1042.745  Noncompliance.

    (a) For each engine family participating in the ABT program, the 
certificate of conformity is conditional upon full compliance with the 
provisions of this subpart during and after the model year. You are 
responsible to establish to our satisfaction that you fully comply with 
applicable requirements. We may void the certificate of conformity for 
an engine family if you fail to comply with any provisions of this 
subpart.
    (b) You may certify your engine family to an FEL above an emission 
standard based on a projection that you will have enough emission 
credits to offset the deficit for the engine family. However, we may 
void the certificate of conformity if you cannot show in your final 
report that you have enough actual emission credits to offset a deficit 
for any pollutant in an engine family.
    (c) We may void the certificate of conformity for an engine family 
if you fail to keep records, send reports, or give us information we 
request.
    (d) You may ask for a hearing if we void your certificate under 
this section (see Sec.  1042.920).

Subpart I--Special Provisions for Remanufactured Marine Engines


Sec.  1042.801  General provisions.

    This section describes how the provisions of this part 1042 apply 
for certain remanufactured marine engines.
    (a) The requirements of this subpart apply for remanufactured Tier 
2 and earlier commercial marine engines at or above 600 kW, excluding 
those engines originally manufactured before 1973. Note that the 
requirements of this subpart do not apply for engines below 600 kW, 
engines installed on recreational vessels, or Tier 3 and later engines.
    (b) Any person meeting the definition of ``remanufacturer'' in 
Sec.  1042.901 may apply for a certificate of conformity for a 
remanufactured engine family.
    (c) The rebuilding requirements of 40 CFR 1068.120 do not apply to 
remanufacturing of engines using a certified remanufacturing system 
under this subpart. However, the requirements of 40 CFR 1068.120 do 
apply to all other remanufacturing of engines.
    (d) Unless specified otherwise, engines certified under this 
subpart are also subject to the other requirements of this part.
    (e) For remanufactured engines required to have a valid certificate 
of conformity, placing a new marine engine back into service following 
remanufacturing is a violation of 40 CFR 1068.101(a)(1), unless it has 
a valid certificate of conformity for its model year and the required 
label.
    (f) Remanufacturing systems that require a fuel change or use of a 
fuel additive may be certified under this part. However, they are not 
considered to be ``available'' with respect to triggering the 
requirement for an engine to be covered by a certificate of conformity 
under Sec.  1042.815. The following provisions apply:

[[Page 37273]]

    (i) Only fuels and additives registered under 40 CFR part 79 may be 
used under this paragraph.
    (ii) You must demonstrate in your application that the fuel or 
additive will actually be used by operators, including a description of 
how the vessels and dispensing tanks will be labeled. We may require 
you to provide the labels to the operators.
    (iii) You must also describe analytical methods that can be used by 
EPA or others to verify that fuel meets your specifications.
    (iv) You must provide clear instructions to the operators 
specifying that they may only use the specified fuel/additive, label 
their vessels and fuel dispensing tanks, and keep records of their use 
of the fuel/additive in order for their engine to be covered by your 
certificate. Use of the incorrect fuel (or fuel without the specified 
additive) or any other failure to comply with the requirements of this 
paragraph is a violation of 40 CFR 1068.101(b)(1).
    (g) Vessels equipped with emission controls as part of a state or 
local retrofit program prior to January 1, 2017 are exempt from the 
requirements of this subpart, as specified in this paragraph (g).
    (1) This exemption only applies for retrofit programs sponsored by 
a state government (or one of its political subdivisions) for the 
purpose of reducing emissions. The exemption does not apply where the 
sponsoring government specifies that inclusion in the retrofit program 
is not intended to provide an exemption from the requirements of this 
subpart.
    (2) The prohibitions against tampering and defeat devices in 40 CFR 
1068.101(b) and the rebuilding requirements in 40 CFR 1068.120 apply 
for the exempt engines in the same manner as if they were covered by a 
certificate.
    (3) Vessel owners must request an exemption prior to 
remanufacturing the engine. Your request must include documentation 
that your vessel has been retrofitted consistent with the 
specifications of paragraph (g)(1) of this section, and a signed 
statement declaring that to be true. Except for the initial request for 
a specific vessel and a specific retrofit, you may consider your 
request to be approved unless we notify you otherwise within 30 days of 
the date that we receive your request.


Sec.  1042.810   Requirements for owner/operators and installers during 
remanufacture.

    This section describes how the remanufacturing regulations affect 
owner/operators and installers for engines subject to this subpart.
    (a) See the definition of ``remanufacture'' in Sec.  1042.901 to 
determine if you are remanufacturing your engine. (Note: Replacing 
cylinders one at a time may qualify as remanufacturing, depending on 
the interval between replacement.)
    (b) See the definition of ``new marine engine'' in Sec.  1042.901 
to determine if remanufacturing your engine makes it subject to the 
requirements of this part. If the engine is considered to be new, it is 
subject to the certification requirements of this subpart, unless it is 
exempt under subpart G of this part.
    (c) Your engine is not subject to the standards of this part if we 
determine that no certified remanufacturing system is available for 
your engine as described in Sec.  1042.815. For engines that are 
remanufactured during multiple events within a five-year period, you 
are not required to use a certified system until all of your engine's 
cylinders have been replaced after the system became available. For 
example, if you remanufacture your 16-cylinder engine by replacing four 
cylinders each January and a system becomes available for your engine 
June 1, 2010, your engine must be in a certified configuration when you 
replace four cylinders in January of 2014. At that point, all 16 
cylinders would have been replaced after June 1, 2010.
    (d) You may comply with the certification requirements of this part 
for your remanufactured engine by either obtaining your own certificate 
of conformity as specified in subpart C of this part or by having a 
certifying remanufacturer include your engine under its certificate of 
conformity. In either case, your remanufactured engine must be covered 
by a certificate before it is reintroduced into service.
    (e) Contact a certifying remanufacturer to have your engine 
included under its certificate of conformity. You must comply with the 
certificate holder's emission-related installation instructions.


Sec.  1042.815   Demonstrating availability.

    (a) A certified remanufacturing system is considered to be 
available for a specific engine only if EPA has certified the 
remanufacturing system as being in compliance with the provisions of 
this part and the certificate holder has demonstrated during 
certification that the system meets the criteria of this paragraph (a). 
We may issue a certificate for a remanufacturing system that does not 
meet these criteria, but such systems would not be considered 
available.
    (1) The engine configuration must be included in the engine family 
for the remanufacturing system.
    (2) The total marginal cost of the remanufacturing system, as 
calculated under paragraph (c) of this section, must be less than 
$45,000 per ton of PM reduction.
    (3) It must be possible to obtain and install the remanufacturing 
system in a timely manner consistent with normal remanufacturing 
procedures. For example, a remanufacturing system would generally not 
be considered to be available if it required that the engine be removed 
from the vessel and shipped to a factory to be remanufactured.
    (4) The remanufacturing system may result in increased maintenance 
costs, provided the incremental maintenance costs are included in the 
total costs. The remanufacturing system may not adversely affect engine 
reliability or power. Note that owner/operators may ask us to determine 
that a remanufacturing system is not considered available for their 
vessels because of excessive costs under Sec.  1042.850.
    (b) We will maintain a list of available remanufacturing systems. A 
new remanufacturing system is considered to be available 120 days after 
we first issue a certificate of conformity for it. Where we issue a 
certificate of conformity based on carryover data for a system that is 
already considered to be available for the configuration, the 120-day 
delay does not apply and the new system is considered to be available 
when we issue the certificate.
    (c) For the purpose of paragraph (a)(2) of this section, marginal 
cost means the difference in costs between remanufacturing the engine 
using the remanufacturing system and remanufacturing the engine 
conventionally, divided by the projected amount that PM emissions will 
be reduced over the engine's useful life.
    (1) Total costs include:
    (i) Incremental hardware costs.
    (ii) Incremental labor costs.
    (iii) Incremental operating costs over one useful life period.
    (iv) Other costs (such as shipping).
    (2) Calculate the projected amount that PM emissions will be 
reduced over the engine's useful life using the following equation:

PM tons = (EFbase - EFcont) x (PR) x (UL) x (LF) 
x (10-6)

Where:

EFbase = deteriorated baseline PM emission rate (g/kW-hr).
EFcont = deteriorated controlled PM emission rate (g/kW-hr).
PR = maximum engine power for the engine (kW).

[[Page 37274]]

UL = useful life (hr).
LF = the load factor that would apply for your engine under Sec.  
1042.705.

Sec.  1042.820   Emission standards and required emission reductions 
for remanufactured engines.

    (a) The requirements of this section apply with respect to 
emissions as measured according to subpart F of this part. See 
paragraph (g) of this section for special provisions related to 
remanufacturing systems certified for both locomotive and marine 
engines. Remanufactured Tier 2 and earlier engines may be certified 
under this subpart only if they have NOX emissions 
equivalent to or less than baseline NOX levels and PM 
emissions at least 25.0 percent less than baseline PM emission levels. 
See Sec.  1042.825 for provisions for determining baseline 
NOX and PM emissions. See Sec.  1042.835 for provisions 
related to demonstrating compliance with these requirements.
    (b) The NTE and ABT provisions of this part do not apply for 
remanufactured engines.
    (c) The exhaust emission standards in this section apply for 
engines using the fuel type on which the engines in the engine family 
are designed to operate. Engines designed to operate using residual 
fuel must comply with the standards and requirements of this part when 
operated using residual fuel.
    (d) Your engines must meet the exhaust emission standards of this 
section over their full useful life, as defined in Sec.  1042.101(e).
    (e) The duty-cycle emission standards in this subpart apply to all 
testing performed according to the procedures in Sec.  1042.505, 
including certification, production-line, and in-use testing.
    (f) Sections 1042.120, 1042.125, 1042.130, 1042.140 apply for 
remanufactured engines as written. Section 1042.115 applies for 
remanufactured engines as written, except for the requirement that 
electronically controlled engines broadcast their speed and output 
shaft torque.
    (g) A remanufacturing system certified for locomotive engines under 
40 CFR part 1033 may be deemed to also meet the requirements of this 
section, as specified in Sec.  1042.836.


Sec.  1042.825   Baseline determination.

    (a) For the purpose of this subpart, the term ``baseline 
emissions'' means the average measured emission rate specified by this 
section. Baseline emissions are specific to a given certificate holder 
and a given engine configuration.
    (b) Select a used engine to be the emission-data engine for the 
engine family for testing. Using good engineering judgment, select the 
engine configuration expected to represent the most common 
configuration in the family.
    (c) Remanufacture the engine according to OEM specifications (or 
equivalent). The engine is considered ``the baseline engine'' at this 
point. If the OEM specifications include a range of adjustment for any 
parameter, set the parameter to the midpoint of the range. You may ask 
us to allow you to adjust it differently, consistent with good 
engineering judgment.
    (d) Test the baseline engine four times according to the test 
procedures in subpart F of this part. The baseline emissions are the 
average of those four tests.
    (e) We may require you to test a second engine of the same or 
different configuration in addition to the engine tested under this 
section. If we require you to test the same configuration, average the 
results of the testing with previous results, unless we determine that 
your previous results are not valid.
    (f) Use good engineering judgment for all aspects of the baseline 
determination. We may reject your baseline if we determine that you did 
not use good engineering judgment, consistent with the provisions of 40 
CFR 1068.5.


Sec.  1042.830   Labeling.

    (a) At the time of remanufacture, affix a permanent and legible 
label identifying each engine. The label must be--
    (1) Attached in one piece so it is not removable without being 
destroyed or defaced.
    (2) Secured to a part of the engine needed for normal operation and 
not normally requiring replacement.
    (3) Durable and readable for the engine's entire useful life.
    (4) Written in English.
    (b) The label must--
    (1) Include the heading ``EMISSION CONTROL INFORMATION''.
    (2) Include your full corporate name and trademark.
    (3) Include EPA's standardized designation for the engine family.
    (4) State the engine's category, displacement (in liters or L/cyl), 
maximum engine power (in kW), and power density (in kW/L) as needed to 
determine the emission standards for the engine family. You may specify 
displacement, maximum engine power, and power density as ranges 
consistent with the ranges listed in Sec.  1042.101. See Sec.  1042.140 
for descriptions of how to specify per-cylinder displacement, maximum 
engine power, and power density.
    (5) State: ``THIS MARINE ENGINE COMPLIES WITH 40 CFR 1042, SUBPART 
I, FOR [CALENDAR YEAR OF REMANUFACTURE].''.
    (c) You may add information to the emission control information 
label to identify other emission standards that the engine meets or 
does not meet (such as international standards). You may also add other 
information to ensure that the engine will be properly maintained and 
used.
    (d) You may ask us to approve modified labeling requirements in 
this section if you show that it is necessary or appropriate. We will 
approve your request if your alternate label is consistent with the 
intent of the labeling requirements of this section.


Sec.  1042.835  Certification of remanufactured engines.

    (a) General requirements. See Sec. Sec.  1042.201, 1042.210, 
1042.220, 1042.225, 1042.250, and 1042.255 for the general requirements 
related to obtaining a certificate of conformity. See Sec.  1042.836 
for special certification provisions for remanufacturing systems 
certified for locomotive engines under 40 CFR 1033.936.
    (b) Applications. See Sec.  1042.840 for a description of what you 
must include in your application.
    (c) Engine families. See Sec.  1042.845 for instruction about 
dividing your engines into engine families.
    (d) Test data. (1) Measure baseline emissions for the test 
configuration as specified in Sec.  1042.825.
    (2) Measure emissions from the test engine for your remanufacturing 
system according to the procedures of subpart F of this part.
    (3) We may measure emissions from any of your test engines or other 
engines from the engine family, as follows:
    (i) We may decide to do the testing at your plant or any other 
facility. If we do this, you must deliver the test engine to a test 
facility we designate. The test engine you provide must include 
appropriate manifolds, aftertreatment devices, electronic control 
units, and other emission-related components not normally attached 
directly to the engine block. If we do the testing at your plant, you 
must schedule it as soon as possible and make available the 
instruments, personnel, and equipment we need.
    (ii) If we measure emissions from one of your test engines, the 
results of that testing become the official emission results for the 
engine. Unless we later invalidate these data, we may decide not to 
consider your data in determining if your engine family meets 
applicable requirements.

[[Page 37275]]

    (iii) Before we test one of your engines, we may set its adjustable 
parameters to any point within the specified adjustable ranges (see 
Sec.  1042.115(d)).
    (iv) Before we test one of your engines, we may calibrate it within 
normal production tolerances for anything we do not consider an 
adjustable parameter.
    (4) You may ask to use emission data from a previous model year 
instead of doing new tests, but only if all the following are true:
    (i) The engine family from the previous model year differs from the 
current engine family only with respect to model year or other 
characteristics unrelated to emissions. You may also ask to add a 
configuration subject to Sec.  1042.225.
    (ii) The emission-data engine from the previous model year remains 
the appropriate emission-data engine.
    (iii) The data show that the emission-data engine would meet all 
the requirements that apply to the engine family covered by the 
application for certification.
    (5) We may require you to test a second engine of the same or 
different configuration in addition to the engine tested under this 
section.
    (6) If you use an alternate test procedure under 40 CFR 1065.10 and 
later testing shows that such testing does not produce results that are 
equivalent to the procedures specified in subpart F of this part, we 
may reject data you generated using the alternate procedure.
    (e) Demonstrating compliance. (1) For purposes of certification, 
your engine family is considered in compliance with the emission 
standards in Sec.  1042.820 if all emission-data engines representing 
that family have test results showing compliance with the standards and 
percent reductions required by that section. To compare emission levels 
from the emission-data engine with the applicable emission standards, 
apply an additive deterioration factor of 0.015 g/kW-hr to the measured 
emission levels for PM. Alternatively, you may test your engine as 
specified in Sec.  1042.245 to develop deterioration factors that 
represent the deterioration expected in emissions over your engines' 
full useful life.
    (2) Collect emission data using measurements to one more decimal 
place than the applicable standard. Apply the deterioration factor to 
the official emission result, then round the adjusted figure to the 
same number of decimal places as the emission standard. Compare the 
rounded emission levels to the emission standard for each emission-data 
engine.
    (3) Your applicable NOX standard for each configuration 
is the baseline NOX emission rate for that configuration 
plus 5.0 percent (to account for test-to-test and engine-to-engine 
variability). Your applicable PM standard for each configuration is the 
baseline PM emission rate for that configuration multiplied by 0.750 
plus the deterioration factor. If you choose to include configurations 
in your engine family for which you do not measure baseline emissions, 
you must demonstrate through engineering analysis that your 
remanufacturing system will reduce PM emissions by at least 25.0 
percent for those configurations and not increase NOX 
emissions.
    (4) Your engine family is deemed not to comply if any emission-data 
engine representing that family for certification has test results 
showing a deteriorated emission level above an applicable emission 
standard for any pollutant.
    (f) Safety Evaluation. You must exercise due diligence in ensuring 
that your system will not adversely affect safety or otherwise violate 
the prohibition of Sec.  1042.115(e).
    (g) Compatibility Evaluation. If you are not the original 
manufacturer of the engine, you must contact the original manufacturer 
of the engine to verify that your system is compatible with the engine. 
Keep records of your contact with the original manufacturer.


Sec.  1042.836  Marine certification of locomotive remanufacturing 
systems.

    If you certify a Tier 0, Tier 1, or Tier 2 remanufacturing system 
for locomotives under 40 CFR part 92 or part 1033, you may also certify 
the system under this part 1042, according to the provisions of this 
section.
    (a) Include the following with your application for certification 
under 40 CFR part 1033:
    (1) A statement of your intent to use your remanufacturing system 
for marine engines. Include a list of marine engine models for which 
your system may be used.
    (2) If there are significant differences in how your remanufacture 
system will be applied to marine engines relative to locomotives, in an 
engineering analysis demonstrating that your system will achieve 
emission reductions from marine engines similar to those from 
locomotives.
    (3) A description of modifications needed for marine applications.
    (4) A demonstration of availability as described in Sec.  1042.815, 
except that the total marginal cost threshold does not apply.
    (5) An unconditional statement that all the engines in the engine 
family comply with the requirements of this part, other referenced 
parts of the CFR, and the Clean Air Act.
    (b) Sections 1042.835 and 1042.840 do not apply for engines 
certified under this section.
    (c) Systems certified under 40 CFR part 92 are subject to the 
following restrictions:
    (1) Tier 0 locomotives systems may not be used for any Category 1 
engines or Tier 1 or later Category 2 engines.
    (2) Where systems certified under 40 CFR part 1033 are also 
available for an engine, you may not use a system certified under 40 
CFR part 92.


Sec.  1042.840  Application requirements for remanufactured engines.

    This section specifies the information that must be in your 
application, unless we ask you to include less information under Sec.  
1042.201(c). We may require you to provide additional information to 
evaluate your application.
    (a) Describe the engine family's specifications and other basic 
parameters of the engine's design and emission controls. List the fuel 
type on which your engines are designed to operate (for example, ultra 
low-sulfur diesel fuel). List each distinguishable engine configuration 
in the engine family. For each engine configuration, list the maximum 
engine power and the range of values for maximum engine power resulting 
from production tolerances, as described in Sec.  1042.140.
    (b) Explain how the emission control system operates. Describe in 
detail all system components for controlling exhaust emissions, 
including any auxiliary emission control devices (AECDs) you add to the 
engine. Identify the part number of each component you describe.
    (c) Summarize your cost effectiveness analysis used to demonstrate 
your system will meet the availability criteria of Sec.  1042.815. 
Identify the maximum allowable costs for vessel modifications to meet 
the these criteria.
    (d) Describe the engines you selected for testing and the reasons 
for selecting them.
    (e) Describe the test equipment and procedures that you used, 
including the duty cycle(s) and the corresponding engine applications. 
Also describe any special or alternate test procedures you used.
    (f) Describe how you operated the emission-data engine before 
testing, including the duty cycle and the number of engine operating 
hours used

[[Page 37276]]

to stabilize emission levels. Explain why you selected the method of 
service accumulation. Describe any scheduled maintenance you did.
    (g) List the specifications of the test fuel to show that it falls 
within the required ranges we specify in 40 CFR part 1065. See Sec.  
1042.801 if your certification is based on the use of special fuels or 
additives.
    (h) Identify the engine family's useful life.
    (i) Include the maintenance and warranty instructions you will give 
to the owner/operator (see Sec. Sec.  1042.120 and 1042.125).
    (j) Include the emission-related installation instructions you will 
provide if someone else installs your engines in a vessel (see Sec.  
1042.130).
    (k) Describe your emission control information label (see Sec.  
1042.830).
    (l) Identify the engine family's deterioration factors and describe 
how you developed them (see Sec.  1042.245). Present any emission test 
data you used for this.
    (m) State that you operated your emission-data engines as described 
in the application (including the test procedures, test parameters, and 
test fuels) to show you meet the requirements of this part.
    (n) Present emission data for HC, NOX, PM, and CO as 
required by Sec.  1042.820. Show emission figures before and after 
applying adjustment factors for regeneration and deterioration factors 
for each pollutant and for each engine.
    (o) Report all test results, including those from invalid tests, 
whether or not they were conducted according to the test procedures of 
subpart F of this part. If you measure CO2, report those 
emission levels. We may ask you to send other information to confirm 
that your tests were valid under the requirements of this part and 40 
CFR part 1065.
    (p) Describe all adjustable operating parameters (see Sec.  
1042.115(d)), including production tolerances. Include the following in 
your description of each parameter:
    (1) The nominal or recommended setting.
    (2) The intended physically adjustable range.
    (3) The limits or stops used to establish adjustable ranges.
    (4) For Category 1 engines, information showing why the limits, 
stops, or other means of inhibiting adjustment are effective in 
preventing adjustment of parameters on in-use engines to settings 
outside your intended physically adjustable ranges.
    (5) For Category 2 engines, propose a range of adjustment for each 
adjustable parameter, as described in Sec.  1042.115(d). Include 
information showing why the limits, stops, or other means of inhibiting 
adjustment are effective in preventing adjustment of parameters on in-
use engines to settings outside your proposed adjustable ranges.
    (q) Unconditionally certify that all the engines in the engine 
family comply with the requirements of this part, other referenced 
parts of the CFR, and the Clean Air Act.
    (r) Include the information required by other subparts of this 
part.
    (s) Include other applicable information, such as information 
specified in this part or 40 CFR part 1068 related to requests for 
exemptions.
    (t) Name an agent for service located in the United States. Service 
on this agent constitutes service on you or any of your officers or 
employees for any action by EPA or otherwise by the United States 
related to the requirements of this part.
    (u) If you are not the original manufacturer of the engine, include 
a summary of your contact with the original manufacturer of the engine 
and provide to us any documentation provided to you by the original 
manufacturer.


Sec.  1042.845  Remanufactured engine families.

    (a) For purposes of certification, divide your product line into 
families of engines that are expected to have similar emission 
characteristics throughout the useful life as described in this 
section. You may not group Category 1 and Category 2 engines in the 
same family.
    (b) In general, group engines in the same engine family if they are 
the same in all the following aspects:
    (1) The combustion cycle and fuel (the fuels with which the engine 
is intended or designed to be operated).
    (2) The cooling system (for example, raw-water vs. separate-circuit 
cooling).
    (3) Method of air aspiration.
    (4) Method of exhaust aftertreatment (for example, catalytic 
converter or particulate trap).
    (5) Combustion chamber design.
    (6) Nominal bore and stroke.
    (7) Method of control for engine operation other than governing 
(i.e., mechanical or electronic).
    (8) Original engine manufacturer.
    (c) Alternatively, you may ask us to allow you to include other 
engine configurations in your engine family, consistent with good 
engineering judgment.
    (d) Do not include in your family any configurations for which good 
engineering judgment indicates that your emission controls are unlikely 
to provide PM emission reductions similar to the configuration(s) 
tested.


Sec.  1042.850  Exemptions and hardship relief.

    This section describes exemption and hardship provisions that are 
available for owner/operators of engine subject to the provisions of 
this subpart.
    (a) Vessels owned and operated by entities that meet the size 
criterion of this paragraph (a) are exempt from the requirements of 
this subpart I. To be exempt, your gross annual revenue for the 
calendar year before the remanufacture must be less than $5,000,000 in 
2008 dollars or the equivalent value for future years based on the 
Bureau of Labor Statistics' Producer Price Index (see www.bls.gov). 
Include all revenues from any parent company and its subsidiaries. The 
exemption applies only for years in which you meet this criterion.
    (b) In unusual circumstances, we may exempt you from an otherwise 
applicable requirement that you apply a certified remanufacturing 
system when remanufacturing your marine engine.
    (1) To be eligible, you must demonstrate that all of the following 
are true:
    (i) Unusual circumstances prevent you from meeting requirements 
from this chapter.
    (ii) You have taken all reasonable steps to minimize the extent of 
the nonconformity.
    (iii) Not having the exemption will jeopardize the solvency of your 
company.
    (iv) No other allowances are available under the regulations in 
this chapter to avoid the impending violation.
    (2) Send the Designated Compliance Officer a written request for an 
exemption before you are in violation.
    (3) We may impose other conditions, including provisions to use an 
engine meeting less stringent emission standards or to recover the lost 
environmental benefit.
    (4) In determining whether to grant the exemptions, we will 
consider all relevant factors, including the following:
    (i) The number of engines to be exempted.
    (ii) The size of your company and your ability to endure the 
hardship.
    (iii) The length of time a vessel is expected to remain in service.
    (c) If you believe that a remanufacturing system that we identified 
as being available cannot be

[[Page 37277]]

installed without significant modification of your vessel, you may ask 
us to determine that a remanufacturing system is not considered 
available for your vessel because the cost would be excessive.

Subpart J--Definitions and Other Reference Information


Sec.  1042.901  Definitions.

    The following definitions apply to this part. The definitions apply 
to all subparts unless we note otherwise. All undefined terms have the 
meaning the Clean Air Act gives to them. The definitions follow:
    Adjustable parameter means any device, system, or element of design 
that someone can adjust (including those which are difficult to access) 
and that, if adjusted, may affect emissions or engine performance 
during emission testing or normal in-use operation. This includes, but 
is not limited to, parameters related to injection timing and fueling 
rate. You may ask us to exclude a parameter that is difficult to access 
if it cannot be adjusted to affect emissions without significantly 
degrading engine performance, or if you otherwise show us that it will 
not be adjusted in a way that affects emissions during in-use 
operation.
    Aftertreatment means relating to a catalytic converter, particulate 
filter, or any other system, component, or technology mounted 
downstream of the exhaust valve (or exhaust port) whose design function 
is to decrease emissions in the engine exhaust before it is exhausted 
to the environment. Exhaust-gas recirculation and turbochargers are not 
aftertreatment.
    Amphibious vehicle means a vehicle with wheels or tracks that is 
designed primarily for operation on land and secondarily for operation 
in water.
    Annex VI Technical Code means the ``Technical Code on Control of 
Emission of Nitrogen Oxides from Marine Diesel Engines, 1997,'' adopted 
by the International Maritime Organization (incorporated by reference 
in Sec.  1042.910).
    Applicable emission standard or applicable standard means an 
emission standard to which an engine is subject; or, where an engine 
has been or is being certified to another standard or FEL, applicable 
emission standards means the FEL and other standards to which the 
engine has been or is being certified. This definition does not apply 
to subpart H of this part.
    Auxiliary emission control device means any element of design that 
senses temperature, vessel speed, engine RPM, transmission gear, or any 
other parameter for the purpose of activating, modulating, delaying, or 
deactivating the operation of any part of the emission control system.
    Base engine means a land-based engine to be marinized, as 
configured prior to marinization.
    Baseline emissions has the meaning given in Sec.  1042.825.
    Brake power means the usable power output of the engine, not 
including power required to fuel, lubricate, or heat the engine, 
circulate coolant to the engine, or to operate aftertreatment devices.
    Calibration means the set of specifications and tolerances specific 
to a particular design, version, or application of a component or 
assembly capable of functionally describing its operation over its 
working range.
    Carryover means the process of obtaining a certificate for one 
model year using the same test data from the preceding model year, as 
described in Sec.  1042.235(d). This generally requires that the 
locomotives in the engine family do not differ in any aspect related to 
emissions.
    Category 1 means relating to a marine engine with specific engine 
displacement below 7.0 liters per cylinder.
    Category 2 means relating to a marine engine with a specific engine 
displacement at or above 7.0 liters per cylinder but less than 30.0 
liters per cylinder.
    Category 3 means relating to a marine engine with a specific engine 
displacement at or above 30.0 liters per cylinder.
    Certification means relating to the process of obtaining a 
certificate of conformity for an engine family that complies with the 
emission standards and requirements in this part.
    Certified emission level means the highest deteriorated emission 
level in an engine family for a given pollutant from either transient 
or steady-state testing.
    Clean Air Act means the Clean Air Act, as amended, 42 U.S.C. 7401-
7671q.
    Commercial means relating to an engine or vessel that is not a 
recreational marine engine or a recreational vessel.
    Compression-ignition means relating to a type of reciprocating, 
internal-combustion engine that is not a spark-ignition engine. Note 
that marine engines powered by natural gas with maximum engine power at 
or above 250 kW are deemed to be compression-ignition engines in Sec.  
1042.1.
    Constant-speed engine means an engine whose certification is 
limited to constant-speed operation. Engines whose constant-speed 
governor function is removed or disabled are no longer constant-speed 
engines.
    Constant-speed operation has the meaning given in 40 CFR 1065.1001.
    Crankcase emissions means airborne substances emitted to the 
atmosphere from any part of the engine crankcase's ventilation or 
lubrication systems. The crankcase is the housing for the crankshaft 
and other related internal parts.
    Critical emission-related component means any of the following 
components:
    (1) Electronic control units, aftertreatment devices, fuel-metering 
components, EGR-system components, crankcase-ventilation valves, all 
components related to charge-air compression and cooling, and all 
sensors and actuators associated with any of these components.
    (2) Any other component whose primary purpose is to reduce 
emissions.
    Days means calendar days, unless otherwise specified. For example, 
where we specify working days, we mean calendar days excluding weekends 
and U.S. national holidays.
    Designated Compliance Officer means the Manager, Heavy-Duty and 
Nonroad Engine Group (6403-J), U.S. Environmental Protection Agency, 
1200 Pennsylvania Ave., NW., Washington, DC 20460.
    Deteriorated emission level means the emission level that results 
from applying the appropriate deterioration factor to the official 
emission result of the emission-data engine.
    Deterioration factor means the relationship between emissions at 
the end of useful life and emissions at the low-hour test point (or 
between highest and lowest emission levels, if applicable), expressed 
in one of the following ways:
    (1) For multiplicative deterioration factors, the ratio of 
emissions at the end of useful life to emissions at the low-hour test 
point.
    (2) For additive deterioration factors, the difference between 
emissions at the end of useful life and emissions at the low-hour test 
point.
    Diesel fuel has the meaning given in 40 CFR 80.2. This generally 
includes No. 1 and No. 2 petroleum diesel fuels and biodiesel fuels.
    Discrete-mode means relating to the discrete-mode type of steady-
state test described in Sec.  1042.505.
    Emission control system means any device, system, or element of 
design that controls or reduces the emissions of regulated pollutants 
from an engine.
    Emission-data engine means an engine that is tested for 
certification. This includes engines tested to establish deterioration 
factors.

[[Page 37278]]

    Emission-related maintenance means maintenance that substantially 
affects emissions or is likely to substantially affect emission 
deterioration.
    Engine has the meaning given in 40 CFR 1068.30. This includes 
complete and partially complete engines.
    Engine configuration means a unique combination of engine hardware 
and calibration within an engine family. Engines within a single engine 
configuration differ only with respect to normal production 
variability.
    Engine family has the meaning given in Sec.  1042.230.
    Engine manufacturer means a manufacturer of an engine. See the 
definition of ``manufacturer'' in this section.
    Engineering analysis means a summary of scientific and/or 
engineering principles and facts that support a conclusion made by a 
manufacturer, with respect to compliance with the provisions of this 
part.
    Excluded means relating to an engine that either:
    (1) Has been determined not to be a nonroad engine, as specified in 
40 CFR 1068.30; or
    (2) Is a nonroad engine that, according to Sec.  1042.5, is not 
subject to this part 1042.
    Exempted has the meaning given in 40 CFR 1068.30.
    Exhaust-gas recirculation means a technology that reduces emissions 
by routing exhaust gases that had been exhausted from the combustion 
chamber(s) back into the engine to be mixed with incoming air before or 
during combustion. The use of valve timing to increase the amount of 
residual exhaust gas in the combustion chamber(s) that is mixed with 
incoming air before or during combustion is not considered exhaust-gas 
recirculation for the purposes of this part.
    Family emission limit (FEL) means an emission level declared by the 
manufacturer to serve in place of an otherwise applicable emission 
standard under the ABT program in subpart H of this part. The family 
emission limit must be expressed to the same number of decimal places 
as the emission standard it replaces. The family emission limit serves 
as the emission standard for the engine family with respect to all 
required testing.
    Freshly manufactured marine engine means a new marine engine that 
has not been remanufactured. An engine becomes freshly manufactured 
when it is originally manufactured.
    Foreign vessel means a vessel of foreign registry or a vessel 
operated under the authority of a country other than the United States.
    Fuel system means all components involved in transporting, 
metering, and mixing the fuel from the fuel tank to the combustion 
chamber(s), including the fuel tank, fuel tank cap, fuel pump, fuel 
filters, fuel lines, carburetor or fuel-injection components, and all 
fuel-system vents.
    Fuel type means a general category of fuels such as gasoline, 
diesel fuel, residual fuel, or natural gas. There can be multiple 
grades within a single fuel type, such as high-sulfur or low-sulfur 
diesel fuel.
    Good engineering judgment has the meaning given in 40 CFR 1068.30. 
See 40 CFR 1068.5 for the administrative process we use to evaluate 
good engineering judgment.
    Green Engine Factor means a factor that is applied to emission 
measurements from a Category 2 engine that has had little or no service 
accumulation. The Green Engine Factor adjusts emission measurements to 
be equivalent to emission measurements from an engine that has had 
approximately 300 hours of use.
    High-sulfur diesel fuel means one of the following:
    (1) For in-use fuels, high-sulfur diesel fuel means a diesel fuel 
with a maximum sulfur concentration above 500 parts per million.
    (2) For testing, high-sulfur diesel fuel has the meaning given in 
40 CFR part 1065.
    Hydrocarbon (HC) means the hydrocarbon group on which the emission 
standards are based for each fuel type, as described in Sec.  
1042.101(d).
    Identification number means a unique specification (for example, a 
model number/serial number combination) that allows someone to 
distinguish a particular engine from other similar engines.
    Low-hour means relating to an engine that has stabilized emissions 
and represents the undeteriorated emission level. This would generally 
involve less than 125 hours of operation for engines below 560 kW and 
less than 300 hours for engines at or above 560 kW.
    Low-sulfur diesel fuel means one of the following:
    (1) For in-use fuels, low-sulfur diesel fuel means a diesel fuel 
market as low-sulfur diesel fuel having a maximum sulfur concentration 
of 500 parts per million.
    (2) For testing, low-sulfur diesel fuel has the meaning given in 40 
CFR part 1065.
    Manufacture means the physical and engineering process of 
designing, constructing, and assembling an engine or a vessel.
    Manufacturer has the meaning given in section 216(1) of the Clean 
Air Act (42 U.S.C. 7550(1)). In general, this term includes any person 
who manufactures an engine or vessel for sale in the United States or 
otherwise introduces a new marine engine into U.S. commerce. This 
includes importers who import engines or vessels for resale. It also 
includes post-manufacture marinizers, but not dealers. All 
manufacturing entities under the control of the same person are 
considered to be a single manufacturer.
    Marine engine means a nonroad engine that is installed or intended 
to be installed on a marine vessel. This includes a portable auxiliary 
marine engine only if its fueling, cooling, or exhaust system is an 
integral part of the vessel. A fueling system is considered integral to 
the vessel only if one or more essential elements are permanently 
affixed to the vessel. There are two kinds of marine engines:
    (1) Propulsion marine engine means a marine engine that moves a 
vessel through the water or directs the vessel's movement.
    (2) Auxiliary marine engine means a marine engine not used for 
propulsion.
    Marine vessel has the meaning given in 1 U.S.C. 3, except that it 
does not include amphibious vehicles. The definition in 1 U.S.C. 3 very 
broadly includes every craft capable of being used as a means of 
transportation on water.
    Maximum engine power has the meaning given in Sec.  1042.140.
    Maximum test power means the power output observed at the maximum 
test speed with the maximum fueling rate possible.
    Maximum test speed has the meaning given in 40 CFR 1065.1001.
    Maximum test torque has the meaning given in 40 CFR 1065.1001.
    Model year means one of the following things:
    (1) For freshly manufactured marine engines (see definition of 
``new marine engine,'' paragraph (1)), model year means one of the 
following:
    (i) Calendar year.
    (ii) Your annual new model production period if it is different 
than the calendar year. This must include January 1 of the calendar 
year for which the model year is named. It may not begin before January 
2 of the previous calendar year and it must end by December 31 of the 
named calendar year.
    (2) For an engine that is converted to a marine engine after 
originally being placed into service as a motor-vehicle

[[Page 37279]]

engine, a nonroad engine that is not a marine engine, or a stationary 
engine, model year means the calendar year in which the engine was 
converted (see definition of ``new marine engine,'' paragraph (2)).
    (3) For a marine engine excluded under Sec.  1042.5 that is later 
converted to operate in an application that is not excluded, model year 
means the calendar year in which the engine was converted (see 
definition of ``new marine engine, (paragraph (3)).
    (4) For engines that are not freshly manufactured but are installed 
in new vessels, model year means the calendar year in which the engine 
is installed in the new vessel (see definition of ``new marine 
engine,'' paragraph (4)).
    (5) For imported engines:
    (i) For imported engines described in paragraph (5)(i) of the 
definition of ``new marine engine,'' model year has the meaning given 
in paragraphs (1) through (4) of this definition.
    (ii) For imported engines described in paragraph (5)(ii) of the 
definition of new marine engine,'' model year means the calendar year 
in which the engine is modified.
    (iii) For imported engines described in paragraph (5)(iii) of the 
definition of ``new marine engine,'' model year means the calendar year 
in which the importation occurs.
    (6) For freshly manufactured vessels, model year means the calendar 
year in which the keel is laid or the vessel is at a similar stage of 
construction. For vessels that become new as a result of substantial 
modifications, model year means the calendar year in which the 
modifications physically begin.
    (7) For remanufactured engines, model year means the calendar year 
in which the remanufacture takes place.
    Motor vehicle has the meaning given in 40 CFR 85.1703(a).
    New marine engine means any of the following things:
    (1) A freshly manufactured marine engine for which the ultimate 
purchaser has never received the equitable or legal title. This kind of 
engine might commonly be thought of as ``brand new.'' In the case of 
this paragraph (1), the engine is new from the time it is produced 
until the ultimate purchaser receives the title or the product is 
placed into service, whichever comes first.
    (2) An engine intended to be installed in a vessel that was 
originally manufactured as a motor-vehicle engine, a nonroad engine 
that is not a marine engine, or a stationary engine. In this case, the 
engine is no longer a motor-vehicle, nonmarine, or stationary engine 
and becomes a ``new marine engine.'' The engine is no longer new when 
it is placed into marine service.
    (3) A marine engine that has been previously placed into service in 
an application we exclude under Sec.  1042.5, where that engine is 
installed in a vessel that is covered by this part 1042. The engine is 
no longer new when it is placed into marine service covered by this 
part 1042. For example, this would apply to an engine that is no longer 
used in a foreign vessel.
    (4) An engine not covered by paragraphs (1) through (3) of this 
definition that is intended to be installed in a new vessel. The engine 
is no longer new when the ultimate purchaser receives a title for the 
vessel or it is placed into service, whichever comes first. This 
generally includes installation of used engines in new vessels.
    (5) A remanufactured marine engine. An engine becomes new when it 
is remanufactured (as defined in this section) and ceases to be new 
when placed back into service.
    (6) An imported marine engine, subject to the following provisions:
    (i) An imported marine engine covered by a certificate of 
conformity issued under this part that meets the criteria of one or 
more of paragraphs (1) through (4) of this definition, where the 
original engine manufacturer holds the certificate, is new as defined 
by those applicable paragraphs.
    (ii) An imported remanufactured engine that would have been 
required to be certified if it had been remanufactured in the United 
States.
    (iii) An imported engine that will be covered by a certificate of 
conformity issued under this part, where someone other than the 
original engine manufacturer holds the certificate (such as when the 
engine is modified after its initial assembly), is a new marine engine 
when it is imported. It is no longer new when the ultimate purchaser 
receives a title for the engine or it is placed into service, whichever 
comes first.
    (iv) An imported marine engine that is not covered by a certificate 
of conformity issued under this part at the time of importation is new, 
but only if it was produced on or after the dates shown in the 
following table. This addresses uncertified engines and vessels 
initially placed into service that someone seeks to import into the 
United States. Importation of this kind of engine (or vessel containing 
such an engine) is generally prohibited by 40 CFR part 1068.

                   Applicability of Emission Standards for Compression-Ignition Marine Engines
----------------------------------------------------------------------------------------------------------------
                                                                                                   Initial model
                                                                       Per-cylinder displacement      year of
        Engine category and type                  Power (kW)                    (L/cyl)              emission
                                                                                                     standards
----------------------------------------------------------------------------------------------------------------
Category 1..............................  P < 19....................  All.......................            2000
Category 1..............................  19 <= P < 37..............  All.......................            1999
Category 1, Recreational................  P >= 37...................  disp. < 0.9...............            2007
Category 1, Recreational................  All.......................  0.9 <= disp. < 2.5........            2006
Category 1, Recreational................  All.......................  disp. >= 2.5..............            2004
Category 1, Commercial..................  P >= 37...................  disp. < 0.9...............            2005
Category 1, Commercial..................  All.......................  disp. [gteqt] 0.9.........            2004
Category 2 and 3........................  All.......................  disp. >= 5.0..............            2004
----------------------------------------------------------------------------------------------------------------

    New vessel means any of the following:
    (1) A vessel for which the ultimate purchaser has never received 
the equitable or legal title. The vessel is no longer new when the 
ultimate purchaser receives this title or it is placed into service, 
whichever comes first.
    (2) For vessels with no Category 3 engines, a vessel that has been 
modified such that the value of the modifications exceeds 50 percent of 
the value of the modified vessel, excluding temporary modifications (as 
defined in this section). The value of the modification is the 
difference in the assessed value of the vessel before the modification 
and the assessed value of the vessel after the modification. The vessel 
is no longer new when it is placed into service. Use

[[Page 37280]]

the following equation to determine if the fractional value of the 
modification exceeds 50 percent:

Percent of value = [(Value after modification)-(Value before 
modification)] x 100% / (Value after modification)

    (3) For vessels with Category 3 engines, a vessel that has 
undergone a modification that substantially alters the dimensions or 
carrying capacity of the vessel, changes the type of vessel, or 
substantially prolongs the vessel's life.
    (4) An imported vessel that has already been placed into service, 
where it has an engine not covered by a certificate of conformity 
issued under this part at the time of importation that was manufactured 
after the requirements of this part start to apply (see Sec.  1042.1).
    Noncompliant engine means an engine that was originally covered by 
a certificate of conformity but is not in the certified configuration 
or otherwise does not comply with the conditions of the certificate.
    Nonconforming engine means an engine not covered by a certificate 
of conformity that would otherwise be subject to emission standards.
    Nonmethane hydrocarbon has the meaning given in 40 CFR 1065.1001. 
This generally means the difference between the emitted mass of total 
hydrocarbons and the emitted mass of methane.
    Nonroad means relating to nonroad engines, or vessels, or equipment 
that include nonroad engines.
    Nonroad engine has the meaning given in 40 CFR 1068.30. In general, 
this means all internal-combustion engines except motor vehicle 
engines, stationary engines, engines used solely for competition, or 
engines used in aircraft.
    Official emission result means the measured emission rate for an 
emission-data engine on a given duty cycle before the application of 
any deterioration factor, but after the applicability of regeneration 
adjustment factors.
    Operator demand has the meaning given in 40 CFR 1065.1001.
    Owners manual means a document or collection of documents prepared 
by the engine manufacturer for the owner or operator to describe 
appropriate engine maintenance, applicable warranties, and any other 
information related to operating or keeping the engine. The owners 
manual is typically provided to the ultimate purchaser at the time of 
sale. The owners manual may be in paper or electronic format.
    Oxides of nitrogen has the meaning given in 40 CFR 1065.1001.
    Particulate trap means a filtering device that is designed to 
physically trap particulate matter above a certain size.
    Passenger means a person that provides payment as a condition of 
boarding a vessel. This does not include the owner or any paid crew 
members.
    Placed into service means put into initial use for its intended 
purpose.
    Point of first retail sale means the location at which the initial 
retail sale occurs. This generally means a vessel dealership or 
manufacturing facility, but may also include an engine seller or 
distributor in cases where loose engines are sold to the general public 
for uses such as replacement engines.
    Post-manufacture marinizer means an entity that produces a marine 
engine by modifying a non-marine engine, whether certified or 
uncertified, complete or partially complete, where the entity is not 
controlled by the manufacturer of the base engine or by an entity that 
also controls the manufacturer of the base engine. In addition, vessel 
manufacturers that substantially modify marine engines are post-
manufacture marinizers. For the purpose of this definition, 
``substantially modify'' means changing an engine in a way that could 
change engine emission characteristics.
    Power density has the meaning given in Sec.  1042.140.
    Ramped-modal means relating to the ramped-modal type of steady-
state test described in Sec.  1042.505.
    Rated speed means the maximum full-load governed speed for governed 
engines and the speed of maximum power for ungoverned engines.
    Recreational marine engine means a Category 1 propulsion marine 
engine that is intended by the manufacturer to be installed on a 
recreational vessel.
    Recreational vessel means a vessel that is intended by the vessel 
manufacturer to be operated primarily for pleasure or leased, rented or 
chartered to another for the latter's pleasure. However, this does not 
include the following vessels:
    (1) Vessels below 100 gross tons that carry more than 6 passengers.
    (2) Vessels at or above 100 gross tons that carry one or more 
passengers.
    (3) Vessels used solely for competition (see Sec.  1042.620).
    Remanufacture means to replace every cylinder liner in a commercial 
engine with maximum engine power at or above 600 kW, whether during a 
single maintenance event or cumulatively within a five-year period. For 
the purpose of this definition, ``replace'' includes removing, 
inspecting, and requalifying a liner. Rebuilding a recreational engine 
or an engine with maximum engine power below 600 kW is not 
remanufacturing.
    Remanufacture system or remanufacturing system means all components 
(or specifications for components) and instructions necessary to 
remanufacture an engine in accordance with applicable requirements of 
this part 1042.
    Remanufacturer has the meaning given to ``manufacturer'' in section 
216(1) of the Clean Air Act (42 U.S.C. 7550(1)) with respect to 
remanufactured marine engines. This term includes any person that is 
engaged in the manufacture or assembly of remanufactured engines, such 
as persons who:
    (1) Design or produce the emission-related parts used in 
remanufacturing.
    (2) Install parts in or on an existing engine to remanufacture it.
    (3) Own or operate the 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).
    Residual fuel has the meaning given in 40 CFR 80.2. This generally 
includes all RM grades of marine fuel without regard to whether they 
are known commercially as residual fuel. For example, fuel marketed as 
intermediate fuel may be residual fuel.
    Revoke has the meaning given in 40 CFR 1068.30. In general this 
means to terminate the certificate or an exemption for an engine 
family.
    Round has the meaning given in 40 CFR 1065.1001.
    Scheduled maintenance means adjusting, repairing, removing, 
disassembling, cleaning, or replacing components or systems 
periodically to keep a part or system from failing, malfunctioning, or 
wearing prematurely. It also may mean actions you expect are necessary 
to correct an overt indication of failure or malfunction for which 
periodic maintenance is not appropriate.
    Small volume boat builder means a boat manufacturer with fewer than 
500 employees and with annual worldwide production of fewer than 100 
boats. For manufacturers owned by a parent company, these limits apply 
to the combined production and number of employees of the parent 
company and all its subsidiaries.
    Small-volume engine manufacturer means a manufacturer with annual 
worldwide production of fewer than 1,000 internal combustion engines 
(marine and nonmarine). For manufacturers owned by a parent company, 
the limit applies to the

[[Page 37281]]

production of the parent company and all its subsidiaries.
    Spark-ignition means relating to a gasoline-fueled engine or any 
other type of engine with a spark plug (or other sparking device) and 
with operating characteristics significantly similar to the theoretical 
Otto combustion cycle. Spark-ignition engines usually use a throttle to 
regulate intake air flow to control power during normal operation.
    Specified adjustable range means a range of adjustment for an 
adjustable parameter that is approved as part of certification. Note 
that Category 1 engines must comply with emission standards over the 
full physically adjustable range for any adjustable parameters.
    Steady-state has the meaning given in 40 CFR 1065.1001.
    Sulfur-sensitive technology means an emission control technology 
that experiences a significant drop in emission control performance or 
emission-system durability when an engine is operated on low-sulfur 
fuel (i.e., fuel with a sulfur concentration of 300 to 500 ppm) as 
compared to when it is operated on ultra low-sulfur fuel (i.e., fuel 
with a sulfur concentration less than 15 ppm). Exhaust-gas 
recirculation is not a sulfur-sensitive technology.
    Suspend has the meaning given in 40 CFR 1068.30. In general this 
means to temporarily discontinue the certificate or an exemption for an 
engine family.
    Temporary modification means a modification to a vessel based on a 
written contract for marine services such that the modifications will 
be removed from the vessel when the contract expires. This provision is 
intended to address short-term contracts that would generally be less 
than 12 months in duration. You may ask us to consider modifications 
that will be in place longer than 12 months as temporary modifications.
    Test engine means an engine in a test sample.
    Test sample means the collection of engines selected from the 
population of an engine family for emission testing. This may include 
testing for certification, production-line testing, or in-use testing.
    Tier 1 means relating to the Tier 1 emission standards, as shown in 
Appendix I.
    Tier 2 means relating to the Tier 2 emission standards, as shown in 
Appendix I.
    Tier 3 means relating to the Tier 3 emission standards, as shown in 
Sec.  1042.101.
    Tier 4 means relating to the Tier 4 emission standards, as shown in 
Sec.  1042.101.
    Total hydrocarbon has the meaning given in 40 CFR 1065.1001. This 
generally means the combined mass of organic compounds measured by the 
specified procedure for measuring total hydrocarbon, expressed as a 
hydrocarbon with an atomic hydrogen-to-carbon ratio of 1.85:1.
    Total hydrocarbon equivalent has the meaning given in 40 CFR 
1065.1001. This generally means the sum of the carbon mass 
contributions of non-oxygenated hydrocarbons, alcohols and aldehydes, 
or other organic compounds that are measured separately as contained in 
a gas sample, expressed as exhaust hydrocarbon from petroleum-fueled 
locomotives. The hydrogen-to-carbon ratio of the equivalent hydrocarbon 
is 1.85:1.
    Ultimate purchaser means, with respect to any new vessel or new 
marine engine, the first person who in good faith purchases such new 
vessel or new marine engine for purposes other than resale.
    Ultra low-sulfur diesel fuel means one of the following:
    (1) For in-use fuels, ultra low-sulfur diesel fuel means a diesel 
fuel marketed as ultra low-sulfur diesel fuel having a maximum sulfur 
concentration of 15 parts per million.
    (2) For testing, ultra low-sulfur diesel fuel has the meaning given 
in 40 CFR part 1065.
    United States has the meaning given in 40 CFR 1068.30.
    Upcoming model year means for an engine family the model year after 
the one currently in production.
    U.S.-directed production volume means the number of engine units, 
subject to the requirements of this part, produced by a manufacturer 
for which the manufacturer has a reasonable assurance that sale was or 
will be made to ultimate purchasers in the United States.
    Useful life means the period during which the engine is designed to 
properly function in terms of reliability and fuel consumption, without 
being remanufactured, specified as a number of hours of operation or 
calendar years, whichever comes first. It is the period during which a 
new engine is required to comply with all applicable emission 
standards. See Sec.  1042.101(e).
    Variable-speed engine means an engine that is not a constant-speed 
engine.
    Vessel means a marine vessel.
    Vessel operator means any individual that physically operates or 
maintains a vessel or exercises managerial control over the operation 
of the vessel.
    Vessel owner means the individual or company that holds legal title 
to a vessel.
    Void has the meaning given in 40 CFR 1068.30. In general this means 
to invalidate a certificate or an exemption both retroactively and 
prospectively.
    Volatile liquid fuel means any fuel other than diesel fuel or 
biodiesel that is a liquid at atmospheric pressure and has a Reid Vapor 
Pressure higher than 2.0 pounds per square inch.
    We (us, our) means the Administrator of the Environmental 
Protection Agency and any authorized representatives.


Sec.  1042.905  Symbols, acronyms, and abbreviations.

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

ABT Averaging, banking, and trading.
AECD auxiliary-emission control device.
CFR Code of Federal Regulations.
CO carbon monoxide.
CO2 carbon dioxide.
cyl cylinder.
disp. displacement.
EPA Environmental Protection Agency.
FEL Family Emission Limit.
g grams.
HC hydrocarbon.
hr hours.
kPa kilopascals.
kW kilowatts.
L liters.
LTR Limited Testing Region.
NARA National Archives and Records Administration.
NMHC nonmethane hydrocarbons.
NOX oxides of nitrogen (NO and NO2).
NTE not-to-exceed.
PM particulate matter.
RPM revolutions per minute.
SAE Society of Automotive Engineers.
SCR selective catalytic reduction.
THC total hydrocarbon.
THCE total hydrocarbon equivalent.
ULSD ultra low-sulfur diesel fuel.
U.S.C. United States Code.


Sec.  1042.910  Reference materials.

    Documents listed in this section have been incorporated by 
reference into this part. The Director of the Federal Register approved 
the incorporation by reference as prescribed in 5 U.S.C. 552(a) and 1 
CFR part 51. Anyone may inspect copies at the U.S. EPA, Air and 
Radiation Docket and Information Center, 1301 Constitution Ave., NW., 
Room B102, EPA West Building, Washington, DC 20460 or at the National 
Archives and Records Administration (NARA). For information on the 
availability of this material at NARA, call 202-741-6030, or go to: 
http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.

[[Page 37282]]

    (a) SAE material. Table 1 to this section lists material from the 
Society of Automotive Engineers that we have incorporated by reference. 
The first column lists the number and name of the material. The second 
column lists the sections of this part where we reference it. Anyone 
may purchase copies of these materials from the Society of Automotive 
Engineers, 400 Commonwealth Drive, Warrendale, PA 15096 or www.sae.org. 
Table 1 follows:

                Table 1 to Sec.  1042.910.--SAE Materials
------------------------------------------------------------------------
                                                             Part 1042
                 Document  No. and name                      reference
------------------------------------------------------------------------
SAE J1930, Electrical/Electronic Systems Diagnostic             1042.135
 Terms, Definitions, Abbreviations, and Acronyms,
 revised May 1998.......................................
------------------------------------------------------------------------

    (b) IMO material. Table 2 to this section lists material from the 
International Maritime Organization that we have incorporated by 
reference. The first column lists the number and name of the material. 
The second column lists the section of this part where we reference it. 
Anyone may purchase copies of these materials from the International 
Maritime Organization, 4 Albert Embankment, London SE1 7SR, United 
Kingdom or www.imo.org. Table 2 follows:

                Table 2 to Sec.  1042.910.--IMO Materials
------------------------------------------------------------------------
                                                             Part 1042
                  Document No. and name                      reference
------------------------------------------------------------------------
Resolutions of the 1997 MARPOL Conference: Resolution 2--       1042.901
 Technical Code on Control of Emission of Nitrogen
 Oxides from Marine Diesel Engines, 1997................
------------------------------------------------------------------------

Sec.  1042.915  Confidential information.

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


Sec.  1042.920  Hearings.

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


Sec.  1042.925  Reporting and recordkeeping requirements.

    Under the Paperwork Reduction Act (44 U.S.C. 3501 et seq.), the 
Office of Management and Budget approves the reporting and 
recordkeeping specified in the applicable regulations. The following 
items illustrate the kind of reporting and recordkeeping we require for 
engines regulated under this part:
    (a) We specify the following requirements related to engine 
certification in this part 1042:
    (1) In Sec. 1042.135 we require engine manufacturers to keep 
certain records related to duplicate labels sent to vessel 
manufacturers.
    (2) In Sec. 1042.145 we state the requirements for interim 
provisions.
    (3) In subpart C of this part we identify a wide range of 
information required to certify engines.
    (4) In Sec. Sec. 1042.345 and 1042.350 we specify certain records 
related to production-line testing.
    (5) In subpart G of this part we identify several reporting and 
recordkeeping items for making demonstrations and getting approval 
related to various special compliance provisions.
    (6) In Sec. Sec. 1042.725, 1042.730, and 1042.735 we specify 
certain records related to averaging, banking, and trading.
    (7) In subpart I of this part we specify certain records related to 
meeting requirements for remanufactured engines.
    (b) We specify the following requirements related to testing in 40 
CFR part 1065:
    (1) In 40 CFR 1065.2 we give an overview of principles for 
reporting information.
    (2) In 40 CFR 1065.10 and 1065.12 we specify information needs for 
establishing various changes to published test procedures.
    (3) In 40 CFR 1065.25 we establish basic guidelines for storing 
test information.
    (4) In 40 CFR 1065.695 we identify data that may be appropriate for 
collecting during testing of in-use engines using portable analyzers.
    (c) We specify the following requirements related to the general 
compliance provisions in 40 CFR part 1068:
    (1) In 40 CFR 1068.5 we establish a process for evaluating good 
engineering judgment related to testing and certification.
    (2) In 40 CFR 1068.25 we describe general provisions related to 
sending and keeping information.
    (3) In 40 CFR 1068.27 we require manufacturers to make engines 
available for our testing or inspection if we make such a request.
    (4) In 40 CFR 1068.105 we require vessel manufacturers to keep 
certain records related to duplicate labels from engine manufacturers.
    (5) In 40 CFR 1068.120 we specify recordkeeping related to 
rebuilding engines.
    (6) In 40 CFR part 1068, subpart C, we identify several reporting 
and recordkeeping items for making demonstrations and getting approval 
related to various exemptions.
    (7) In 40 CFR part 1068, subpart D, we identify several reporting 
and recordkeeping items for making demonstrations and getting approval 
related to importing engines.
    (8) In 40 CFR 1068.450 and 1068.455 we specify certain records 
related to testing production-line engines in a selective enforcement 
audit.
    (9) In 40 CFR 1068.501 we specify certain records related to 
investigating and reporting emission-related defects.
    (10) In 40 CFR 1068.525 and 1068.530 we specify certain records 
related to recalling nonconforming engines.

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

    The following standards apply to compression-ignition marine 
engines produced before the model years specified in Sec.  1042.1:
    (a) Engines below 37 kW. Tier 1 and Tier 2 standards for engines 
below 37 kW apply as specified in 40 CFR part 89 and summarized in 
the following table:

[[Page 37283]]



                  Table 1 to Appendix I.--Emission Standards for Engines Below 37 kW (g/kW-hr)
----------------------------------------------------------------------------------------------------------------
       Rated power (kW)               Tier          Model year      NMHC + NOX          CO              PM
----------------------------------------------------------------------------------------------------------------
kW<8..........................  Tier 1..........            2000            10.5             8.0            1.0
                                Tier 2..........            2005             7.5             8.0            0.80
8<=kW<19......................  Tier 1..........            2000             9.5             6.6            0.80
                                Tier 2..........            2005             7.5             6.6            0.80
19<=kW<37.....................  Tier 1..........            1999             9.5             5.5            0.8
                                Tier 2..........            2004             7.5             5.5            0.6
----------------------------------------------------------------------------------------------------------------

    (b) Engines at or above 37 kW. Tier 1 and Tier 2 standards for 
engines at or above 37 kW apply as specified in 40 CFR part 94 and 
summarized as follows:
    (1) Tier 1 standards. NOX emissions from model year 
2004 and later engines with displacement of 2.5 or more liters per 
cylinder may not exceed the following values:
    (i) 17.0 g/kW-hr when maximum test speed is less than 130 rpm.
    (ii) 45.0 x N-0.20 when maximum test speed is at or 
above 130 but below 2000 rpm, where N is the maximum test speed of 
the engine in revolutions per minute. Round the calculated standard 
to the nearest 0.1 g/kW-hr.
    (ii) 9.8 g/kW-hr when maximum test speed is 2000 rpm or more.
    (2) Tier 2 primary standards. Exhaust emissions may not exceed 
the values shown in the following table:

          Table 2 to Appendix I.--Primary Tier 2 Emission Standards for Commercial and Recreational Marine Engines at or Above 37 kW (g/kW-hr)
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                    NOX + THC
       Engine size  liters/cylinder            Maximum engine power                Category           Model  year    g/kW-hr    CO  g/kW-hr  PM  g/kW-hr
--------------------------------------------------------------------------------------------------------------------------------------------------------
disp. < 0.9..............................  power [gteqt] 37 kW.........  Category 1 Commercial......         2005          7.5          5.0         0.40
                                                                         Category 1 Recreational....         2007          7.5          5.0         0.40
0.9 <= disp. < 1.2.......................  All.........................  Category 1 Commercial......         2004          7.2          5.0         0.30
                                                                         Category 1 Recreational....         2006          7.2          5.0         0.30
1.2 <= disp. < 2.5.......................  All.........................  Category 1 Commercial......         2004          7.2          5.0         0.20
                                                                         Category 1 Recreational....         2006          7.2          5.0         0.20
2.5 <= disp. < 5.0.......................  All.........................  Category 1 Commercial......         2007          7.2          5.0         0.20
                                                                         Category 1 Recreational....         2009          7.2          5.0         0.20
5.0 <= disp. < 15.0......................  All.........................  Category 2.................         2007          7.8          5.0         0.27
15.0 <= disp. < 20.0.....................  power < 3300 kW.............  Category 2.................         2007          8.7          5.0         0.50
                                           power [gteqt] 3300 kW.......  Category 2.................         2007          9.8          5.0         0.50
20.0 <= disp. < 25.0.....................  All.........................  Category 2.................         2007          9.8          5.0         0.50
25.0 <= disp. < 30.0.....................  All.........................  Category 2.................         2007           11          5.0          0.5
--------------------------------------------------------------------------------------------------------------------------------------------------------

    (3) Tier 2 supplemental standards. Not-to-exceed emission 
standards apply for Tier 2 engines as specified in 40 CFR 94.8(e).

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

    (a) The following duty cycles apply as specified in Sec.  
1042.505(b)(1):
    (1) The following duty cycle applies for discrete-mode testing:

------------------------------------------------------------------------
                                            Percent of
    E3 mode No.       Engine speed \1\     maximum test      Weighting
                                               power          factors
------------------------------------------------------------------------
1.................  Maximum test speed..             100            0.2
2.................  91%.................              75            0.5
3.................  80%.................              50            0.15
4.................  63%.................              25            0.15 
------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065. Percent speed values
  are relative to maximum test speed.

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

----------------------------------------------------------------------------------------------------------------
                                           Time in mode
                RMC mode                     (seconds)         Engine speed 1, 3         Power (percent) 2, 3
----------------------------------------------------------------------------------------------------------------
1a Steady-state.........................             229  Maximum test speed........  100%.
1b Transition...........................              20  Linear transition.........  Linear transition in
                                                                                       torque.
2a Steady-state.........................             166  63%.......................  25%.
2b Transition...........................              20  Linear transition.........  Linear transition in
                                                                                       torque.
3a Steady-state.........................             570  91%.......................  75%.
3b Transition...........................              20  Linear transition.........  Linear transition in
                                                                                       torque.
4a Steady-state.........................             175  80%.......................  50%.
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065. Percent speed is relative to maximum test speed.
\2\ The percent power is relative to the maximum test power.

[[Page 37284]]

 
3 Advance from one mode to the next within a 20-second transition phase. During the transition phase, command a
  linear progression from the torque setting of the current mode to the torque setting of the next mode, and
  simultaneously command a similar linear progression for engine speed if there is a change in speed setting.

    (b) The following duty cycles apply as specified in Sec.  
1042.505(b)(2):
    (1) The following duty cycle applies for discrete-mode testing:

------------------------------------------------------------------------
                                            Percent of
    E5 mode No.       Engine speed \1\     maximum test      Weighting
                                               power          factors
------------------------------------------------------------------------
1.................  Maximum test speed..             100            0.08
2.................  91%.................              75            0.13
3.................  80%.................              50            0.17
4.................  63%.................              25            0.32
5.................  Warm idle...........               0            0.3
------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065. Percent speed values
  are relative to maximum test speed.

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

----------------------------------------------------------------------------------------------------------------
                                           Time in mode
                RMC mode                     (seconds)         Engine speed 1, 3         Power (percent) 2, 3
----------------------------------------------------------------------------------------------------------------
1a Steady-state.........................             167  Warm idle.................  0.
1b Transition...........................              20  Linear transition.........  Linear transition in
                                                                                       torque.
2a Steady-state.........................              85  Maximum test speed........  100%.
2b Transition...........................              20  Linear transition.........  Linear transition in
                                                                                       torque.
3a Steady-state.........................             354  63%.......................  25%.
3b Transition...........................              20  Linear transition.........  Linear transition in
                                                                                       torque.
4a Steady-state.........................             141  91%.......................  75%.
4b Transition...........................              20  Linear transition.........  Linear transition in
                                                                                       torque.
5a Steady-state.........................             182  80%.......................  50%.
5b Transition...........................              20  Linear transition.........  Linear transition in
                                                                                       torque.
6 Steady-state..........................             171  Warm idle.................  0.
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065. Percent speed is relative to maximum test speed.
\2\ The percent power is relative to the maximum test power.
3 Advance from one mode to the next within a 20-second transition phase. During the transition phase, command a
  linear progression from the torque setting of the current mode to the torque setting of the next mode, and
  simultaneously command a similar linear progression for engine speed if there is a change in speed setting.

    (c) The following duty cycles apply as specified in Sec.  
1042.505(b)(3):
    (1) The following duty cycle applies for discrete-mode testing:

------------------------------------------------------------------------
                                              Torque         Weighting
    E2 mode No.       Engine speed \1\     (percent) \2\      factors
------------------------------------------------------------------------
1.................  Engine Governed.....             100            0.2
2.................  Engine Governed.....              75            0.5
3.................  Engine Governed.....              50            0.15
4.................  Engine Governed.....              25            0.15
------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum test torque as defined
  in 40 CFR part 1065.

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

----------------------------------------------------------------------------------------------------------------
                                           Time in mode
                RMC mode                     (seconds)           Engine speed            Torque (percent) 1, 2
----------------------------------------------------------------------------------------------------------------
1a Steady-state.........................             234  Engine Governed...........  100%.
1b Transition...........................              20  Engine Governed...........  Linear transition.
2a Steady-state.........................             571  Engine Governed...........  25%.
2b Transition...........................              20  Engine Governed...........  Linear transition.
3a Steady-state.........................             165  Engine Governed...........  75%.
3b Transition...........................              20  Engine Governed...........  Linear transition.
4a Steady-state.........................             170  Engine Governed...........  50%.
----------------------------------------------------------------------------------------------------------------
\1\ The percent torque is relative to the maximum test torque as defined in 40 CFR part 1065.
\2\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
  a linear progression from the torque setting of the current mode to the torque setting of the next mode.


[[Page 37285]]

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

    (a) The following definitions apply for this Appendix III:
    (1) Percent power means the percentage of the maximum power 
achieved at Maximum Test Speed (or at Maximum Test Torque for 
constant-speed engines).
    (2) Percent speed means the percentage of Maximum Test Speed.
    (b) Figure 1 of this Appendix illustrates the default NTE zone 
for commercial marine engines certified using the duty cycle 
specified in Sec.  1042.505(b)(1), except for variable-speed 
propulsion marine engines used with controllable-pitch propellers or 
with electrically coupled propellers, as follows:
    (1) Subzone 1 is defined by the following boundaries:
    (i) Percent power >= 0.7 [middot] (percent speed)2.5.
    (ii) Percent power <= (percent speed/0.9)3.5.
    (iii) Percent power >= 3.0 [middot] (100%--percent speed).
    (2) Subzone 2 is defined by the following boundaries:
    (i) Percent power >= 0.7 [middot] (percent speed)2.5.
    (ii) Percent power <= (percent speed/0.9)3.5.
    (iii) Percent power < 3.0 [middot] (100% - percent speed).
    (iv) Percent speed >= 70 percent.
BILLING CODE 1505-01-D
[GRAPHIC] [TIFF OMITTED] TR06MY08.013

    (c) Figure 2 of this Appendix illustrates the default NTE zone 
for recreational marine engines certified using the duty cycle 
specified in Sec.  1042.505(b)(2), except for variable-speed marine 
engines used with controllable-pitch propellers or with electrically 
coupled propellers, as follows:
    (1) Subzone 1 is defined by the following boundaries:
    (i) Percent power >= 0.7 [middot] (percent speed)2.5.
    (ii) Percent power <= (percent speed/0.9)3.5.
    (iii) Percent power >= 3.0 [middot] (100%-percent speed).
    (iv) Percent power <= 95 percent.
    (2) Subzone 2 is defined by the following boundaries:
    (i) Percent power >= 0.7 [middot] (percent speed)2.5.
    (ii) Percent power <= (percent speed/0.9)3.5.
    (iii) Percent power < 3.0 [middot] (100%-percent speed).
    (iv) Percent speed >= 70 percent.
    (3) Subzone 3 is defined by the following boundaries:
    (i) Percent power <= (percent speed/0.9)3.5.
    (ii) Percent power > 95 percent.

[[Page 37286]]

[GRAPHIC] [TIFF OMITTED] TR06MY08.014

    (d) Figure 3 of this Appendix illustrates the default NTE zone 
for variable-speed marine engines used with controllable-pitch 
propellers or with electrically coupled propellers that are 
certified using the duty cycle specified in Sec.  1042.505(b)(1), 
(2), or (3), as follows:
    (1) Subzone 1 is defined by the following boundaries:
    (i) Percent power >= 0.7 [middot] (percent speed)2.5.
    (ii) Percent power >= 3.0 [middot] (100%-percent speed).
    (iii) Percent speed >= 78.9 percent.
    (2) Subzone 2a is defined by the following boundaries:
    (i) Percent power >= 0.7 [middot] (percent speed)2.5.
    (ii) Percent speed >= 70 percent.
    (iii) Percent speed < 78.9 percent, for Percent power > 63.3 
percent.
    (iv) Percent power < 3.0 [middot] (100%-percent speed), for 
Percent speed >= 78.9 percent.
    (3) Subzone 2b is defined by the following boundaries:
    (i) The line formed by connecting the following two points on a 
plot of speed-vs.-power:
    (A) Percent speed = 70 percent; Percent power = 28.7 percent.
    (B) Percent speed = 40 percent at governed speed; Percent power 
= 40 percent.
    (ii) Percent power < 0.7 [middot] (percent speed)2.5.

[[Page 37287]]

[GRAPHIC] [TIFF OMITTED] TR06MY08.015

    (e) Figure 4 of this Appendix illustrates the default NTE zone 
for constant-speed engines certified using a duty cycle specified in 
Sec.  1042.505(b)(3) or (b)(4), as follows:
    (1) Subzone 1 is defined by the following boundaries:
    (i) Percent power >= 70 percent.
    (ii) [Reserved]
    (2) Subzone 2 is defined by the following boundaries:
    (i) Percent power < 70 percent.
    (ii) Percent power >= 40 percent.
    [GRAPHIC] [TIFF OMITTED] TR06MY08.016
    

[[Page 37288]]


    (f) Figure 5 of this Appendix illustrates the default NTE zone 
for variable-speed auxiliary marine engines certified using the duty 
cycle specified in Sec.  1042.505(b)(5)(ii) or (iii), as follows:
    (1) The default NTE zone is defined by the boundaries specified 
in 40 CFR 86.1370-2007(b)(1) and (2).
    (2) A special PM subzone is defined in 40 CFR 1039.515(b).
    [GRAPHIC] [TIFF OMITTED] TR06MY08.017
    
PART 1065--ENGINE-TESTING PROCEDURES

0
45. The authority citation for part 1065 continues to read as follows:

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

Subpart A--[Amended]

0
46. Section 1065.1 is revised to read as follows:


Sec.  1065.1  Applicability.

    (a) This part describes the procedures that apply to testing we 
require for the following engines or for vehicles using the following 
engines:
    (1) Locomotives we regulate under 40 CFR part 1033. For earlier 
model years, manufacturers may use the test procedures in this part or 
those specified in 40 CFR part 92 according to Sec.  1065.10.
    (2) Model year 2010 and later heavy-duty highway engines we 
regulate under 40 CFR part 86. For earlier model years, manufacturers 
may use the test procedures in this part or those specified in 40 CFR 
part 86, subpart N, according to Sec.  1065.10.
    (3) Nonroad diesel engines we regulate under 40 CFR part 1039 and 
stationary diesel engines that are certified to the standards in 40 CFR 
part 1039 as specified in 40 CFR part 60, subpart IIII. For earlier 
model years, manufacturers may use the test procedures in this part or 
those specified in 40 CFR part 89 according to Sec.  1065.10.
    (4) Marine diesel engines we regulate under 40 CFR part 1042. For 
earlier model years, manufacturers may use the test procedures in this 
part or those specified in 40 CFR part 94 according to Sec.  1065.10.
    (5) [Reserved]
    (6) Large nonroad spark-ignition engines we regulate under 40 CFR 
part 1048, and stationary engines that are certified to the standards 
in 40 CFR part 1048 or as otherwise specified in 40 CFR part 60, 
subpart JJJJ.
    (7) Vehicles we regulate under 40 CFR part 1051 (such as 
snowmobiles and off-highway motorcycles) based on engine testing. See 
40 CFR part 1051, subpart F, for standards and procedures that are 
based on vehicle testing.
    (8) [Reserved]
    (b) The procedures of this part may apply to other types of 
engines, as described in this part and in the standard-setting part.
    (c) The term ``you'' means anyone performing testing under this 
part other than EPA.
    (1) This part is addressed primarily to manufacturers of engines, 
vehicles, equipment, and vessels, but it applies equally to anyone who 
does testing under this part for such manufacturers.
    (2) This part applies to any manufacturer or supplier of test 
equipment, instruments, supplies, or any other goods or services 
related to the procedures, requirements, recommendations, or options in 
this part.
    (d) Paragraph (a) of this section identifies the parts of the CFR 
that define emission standards and other requirements for particular 
types of engines. In this part, we refer to each of these other parts 
generically as the ``standard-setting part.'' For example, 40 CFR part 
1051 is always the standard-setting part for snowmobiles and part 86 is 
the standard-setting part for heavy-duty highway engines.
    (e) Unless we specify otherwise, the terms ``procedures'' and 
``test procedures'' in this part include all aspects of engine testing, 
including the equipment specifications, calibrations, calculations, and 
other protocols and procedural specifications needed to measure 
emissions.
    (f) For vehicles, equipment, or vessels subject to this part and 
regulated under

[[Page 37289]]

vehicle-based, equipment-based, or vessel-based standards, use good 
engineering judgment to interpret the term ``engine'' in this part to 
include vehicles, equipment, or vessels, where appropriate.
    (g) For additional information regarding these test procedures, 
visit our Web site at www.epa.gov, and in particular http://www.epa.gov/otaq/testingregs.htm.
0
47. Section 1065.2 is revised to read as follows:


Sec.  1065.2  Submitting information to EPA under this part.

    (a) You are responsible for statements and information in your 
applications for certification, requests for approved procedures, 
selective enforcement audits, laboratory audits, production-line test 
reports, field test reports, or any other statements you make to us 
related to this part 1065.
    (b) In the standard-setting part and in 40 CFR 1068.101, we 
describe your obligation to report truthful and complete information 
and the consequences of failing to meet this obligation. See also 18 
U.S.C. 1001 and 42 U.S.C. 7413(c)(2).
    (c) We may void any certificates or approvals associated with a 
submission of information if we find that you intentionally submitted 
false, incomplete, or misleading information. For example, if we find 
that you intentionally submitted incomplete information to mislead EPA 
when requesting approval to use alternate test procedures, we may void 
the certificates for all engines families certified based on emission 
data collected using the alternate procedures. This would also apply if 
you ignore data from incomplete tests or from repeat tests with higher 
emission results.
    (d) We may require an authorized representative of your company to 
approve and sign the submission, and to certify that all of the 
information submitted is accurate and complete. This includes everyone 
who submits information, including manufacturers and others.
    (e) See 40 CFR 1068.10 for provisions related to confidential 
information. Note however that under 40 CFR 2.301, emission data is 
generally not eligible for confidential treatment.
    (f) Nothing in this part should be interpreted to limit our ability 
under Clean Air Act section 208 (42 U.S.C. 7542) to verify that engines 
conform to the regulations.

0
48. Section 1065.5 is revised to read as follows:


Sec.  1065.5  Overview of this part 1065 and its relationship to the 
standard-setting part.

    (a) This part specifies procedures that apply generally to testing 
various categories of engines. See the standard-setting part for 
directions in applying specific provisions in this part for a 
particular type of engine. Before using this part's procedures, read 
the standard-setting part to answer at least the following questions:
    (1) What duty cycles must I use for laboratory testing?
    (2) Should I warm up the test engine before measuring emissions, or 
do I need to measure cold-start emissions during a warm-up segment of 
the duty cycle?
    (3) Which exhaust gases do I need to measure?
    (4) Do any unique specifications apply for test fuels?
    (5) What maintenance steps may I take before or between tests on an 
emission-data engine?
    (6) Do any unique requirements apply to stabilizing emission levels 
on a new engine?
    (7) Do any unique requirements apply to test limits, such as 
ambient temperatures or pressures?
    (8) Is field testing required or allowed, and are there different 
emission standards or procedures that apply to field testing?
    (9) Are there any emission standards specified at particular 
engine-operating conditions or ambient conditions?
    (10) Do any unique requirements apply for durability testing?
    (b) The testing specifications in the standard-setting part may 
differ from the specifications in this part. In cases where it is not 
possible to comply with both the standard-setting part and this part, 
you must comply with the specifications in the standard-setting part. 
The standard-setting part may also allow you to deviate from the 
procedures of this part for other reasons.
    (c) The following table shows how this part divides testing 
specifications into subparts:

      Table 1 of Sec.   1065.5.--Description of Part 1065 Subparts
------------------------------------------------------------------------
                                   Describes these specifications or
         This subpart                          procedures
------------------------------------------------------------------------
Subpart A....................  Applicability and general provisions.
Subpart B....................  Equipment for testing.
Subpart C....................  Measurement instruments for testing.
Subpart D....................  Calibration and performance verifications
                                for measurement systems.
Subpart E....................  How to prepare engines for testing,
                                including service accumulation.
Subpart F....................  How to run an emission test over a
                                predetermined duty cycle.
Subpart G....................  Test procedure calculations.
Subpart H....................  Fuels, engine fluids, analytical gases,
                                and other calibration standards.
Subpart I....................  Special procedures related to oxygenated
                                fuels.
Subpart J....................  How to test with portable emission
                                measurement systems (PEMS).
------------------------------------------------------------------------


0
49. Section 1065.10 is amended by revising paragraphs (c)(1), (c)(2), 
(c)(6), and (c)(7) introductory text to read as follows:


Sec.  1065.10  Other procedures.

* * * * *
    (c) * * *
    (1) The objective of the procedures in this part is to produce 
emission measurements equivalent to those that would result from 
measuring emissions during in-use operation using the same engine 
configuration as installed in a vehicle, equipment, or vessel. However, 
in unusual circumstances where these procedures may result in 
measurements that do not represent in-use operation, you must notify us 
if good engineering judgment indicates that the specified procedures 
cause unrepresentative emission measurements for your engines. Note 
that you need not notify us of unrepresentative aspects of the test 
procedure if measured emissions are equivalent to in-use emissions. 
This provision does not obligate you to pursue new information 
regarding the different ways your engine might operate in use, nor does 
it obligate you to collect any other in-use information to verify 
whether or not these test procedures are representative of your 
engine's in-use operation. If you notify us of unrepresentative 
procedures under this paragraph (c)(1), we will cooperate

[[Page 37290]]

with you to establish whether and how the procedures should be 
appropriately changed to result in more representative measurements. 
While the provisions of this paragraph (c)(1) allow us to be responsive 
to issues as they arise, we would generally work toward making these 
testing changes generally applicable through rulemaking. We will allow 
reasonable lead time for compliance with any resulting change in 
procedures. We will consider the following factors in determining the 
importance of pursuing changes to the procedures:
    (i) Whether supplemental emission standards or other requirements 
in the standard-setting part address the type of operation of concern 
or otherwise prevent inappropriate design strategies.
    (ii) Whether the unrepresentative aspect of the procedures affect 
your ability to show compliance with the applicable emission standards.
    (iii) The extent to which the established procedures require the 
use of emission-control technologies or strategies that are expected to 
ensure a comparable degree of emission control under the in-use 
operation that differs from the specified procedures.
    (2) You may request to use special procedures if your engine cannot 
be tested using the specified procedures. For example, this may apply 
if your engine cannot operate on the specified duty cycle. In this 
case, tell us in writing why you cannot satisfactorily test your engine 
using this part's procedures and ask to use a different approach. We 
will approve your request if we determine that it would produce 
emission measurements that represent in-use operation and we determine 
that it can be used to show compliance with the requirements of the 
standard-setting part.
* * * * *
    (6) During the 12 months following the effective date of any change 
in the provisions of this part 1065, you may use data collected using 
procedures specified in the previously applicable version of this part 
1065. This paragraph (c)(6) does not restrict the use of carryover 
certification data otherwise allowed by the standard-setting part.
    (7) You may request to use alternate procedures, or procedures that 
are more accurate or more precise than the allowed procedures. The 
following provisions apply to requests for alternate procedures:
* * * * *

0
50. Section 1065.12 is amended by revising paragraphs (a) and (d)(1) to 
read as follows:


Sec.  1065.12  Approval of alternate procedures.

    (a) To get approval for an alternate procedure under Sec.  
1065.10(c), send the Designated Compliance Officer an initial written 
request describing the alternate procedure and why you believe it is 
equivalent to the specified procedure. Anyone may request alternate 
procedure approval. This means that an individual engine manufacturer 
may request to use an alternate procedure. This also means that an 
instrument manufacturer may request to have an instrument, equipment, 
or procedure approved as an alternate procedure to those specified in 
this part. We may approve your request based on this information alone, 
or, as described in this section, we may ask you to submit to us in 
writing supplemental information showing that your alternate procedure 
is consistently and reliably at least as accurate and repeatable as the 
specified procedure.
* * * * *
    (d) * * *
    (1) Theoretical basis. Give a brief technical description 
explaining why you believe the proposed alternate procedure should 
result in emission measurements equivalent to those using the specified 
procedure. You may include equations, figures, and references. You 
should consider the full range of parameters that may affect 
equivalence. For example, for a request to use a different 
NOX measurement procedure, you should theoretically relate 
the alternate detection principle to the specified detection principle 
over the expected concentration ranges for NO, NO2, and interference 
gases. For a request to use a different PM measurement procedure, you 
should explain the principles by which the alternate procedure 
quantifies particulate mass similarly to the specified procedures.
* * * * *

0
51. Section 1065.15 is amended by revising paragraphs (c)(1) and (e) 
and adding paragraph (f) to read as follows:


Sec.  1065.15  Overview of procedures for laboratory and field testing.

* * * * *
    (c) * * *
    (1) Engine operation. Engine operation is specified over a test 
interval. A test interval is the time over which an engine's total mass 
of emissions and its total work are determined. Refer to the standard-
setting part for the specific test intervals that apply to each engine. 
Testing may involve measuring emissions and work in a laboratory-type 
environment or in the field, as described in paragraph (f) of this 
section.
* * * * *
    (e) The following figure illustrates the allowed measurement 
configurations described in this part 1065:
BILLING CODE 1505-01-D

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[GRAPHIC] [TIFF OMITTED] TR06MY08.018

BILLING CODE 1505-01-C

[[Page 37292]]

    (f) This part 1065 describes how to test engines in a laboratory-
type environment or in the field.
    (1) This affects test intervals and duty cycles as follows:
    (i) For laboratory testing, you generally determine brake-specific 
emissions for duty-cycle testing by using an engine dynamometer in a 
laboratory or other environment. This typically consists of one or more 
test intervals, each defined by a duty cycle, which is a sequence of 
modes, speeds, and/or torques (or powers) that an engine must follow. 
If the standard-setting part allows it, you may also simulate field 
testing with an engine dynamometer in a laboratory or other 
environment.
    (ii) Field testing consists of normal in-use engine operation while 
an engine is installed in a vehicle, equipment, or vessel rather than 
following a specific engine duty cycle. The standard-setting part 
specifies how test intervals are defined for field testing.
    (2) The type of testing may also affect what test equipment may be 
used. You may use ``lab-grade'' test equipment for any testing. The 
term ``lab-grade'' refers to equipment that fully conforms to the 
applicable specifications of this part. For some testing you may 
alternatively use ``field-grade'' equipment. The term ``field-grade'' 
refers to equipment that fully conforms to the applicable 
specifications of subpart J of this part, but does not fully conform to 
other specifications of this part. You may use ``field-grade'' 
equipment for field testing. We also specify in this part and in the 
standard-setting parts certain cases in which you may use ``field-
grade'' equipment for testing in a laboratory-type environment. (Note: 
Although ``field-grade'' equipment is generally more portable than 
``lab-grade'' test equipment, portability is not relevant to whether 
equipment is considered to be ``field-grade'' or ``lab-grade''.)

0
52. Section 1065.20 is amended by revising paragraphs (a)(2), (b)(2), 
(f), and (g) to read as follows:


Sec.  1065.20  Units of measure and overview of calculations.

    (a) * * *
    (2) We designate brake-specific emissions in grams per kilowatt-
hour (g/(kW[middot]hr)), rather than the SI unit of grams per megajoule 
(g/MJ). In addition, we use the symbol hr to identify hour, rather than 
the SI convention of using h. This is based on the fact that engines 
are generally subject to emission standards expressed in g/
kW[middot]hr. If we specify engine standards in grams per 
horsepower[middot]hour (g/(hp[middot]hr)) in the standard-setting part, 
convert units as specified in paragraph (d) of this section.
* * * * *
    (b) * * *
    (2) For all substances, cm3/m3, formerly ppm 
(volume).
* * * * *
    (f) Interpretation of ranges. Interpret a range as a tolerance 
unless we explicitly identify it as an accuracy, repeatability, 
linearity, or noise specification. See Sec.  1065.1001 for the 
definition of tolerance. In this part, we specify two types of ranges:
    (1) Whenever we specify a range by a single value and corresponding 
limit values above and below that value, target any associated control 
point to that single value. Examples of this type of range include 
`` 10% of maximum pressure'', or ``(30  10) 
kPa''.
    (2) Whenever we specify a range by the interval between two values, 
you may target any associated control point to any value within that 
range. An example of this type of range is ``(40 to 50) kPa''.
    (g) Scaling of specifications with respect to an applicable 
standard. Because this part 1065 is applicable to a wide range of 
engines and emission standards, some of the specifications in this part 
are scaled with respect to an engine's applicable standard or maximum 
power. This ensures that the specification will be adequate to 
determine compliance, but not overly burdensome by requiring 
unnecessarily high-precision equipment. Many of these specifications 
are given with respect to a ``flow-weighted mean'' that is expected at 
the standard or during testing. Flow-weighted mean is the mean of a 
quantity after it is weighted proportional to a corresponding flow 
rate. For example, if a gas concentration is measured continuously from 
the raw exhaust of an engine, its flow-weighted mean concentration is 
the sum of the products of each recorded concentration times its 
respective exhaust flow rate, divided by the sum of the recorded flow 
rates. As another example, the bag concentration from a CVS system is 
the same as the flow-weighted mean concentration, because the CVS 
system itself flow-weights the bag concentration. Refer to Sec.  
1065.602 for information needed to estimate and calculate flow-weighted 
means. Wherever a specification is scaled to a value based upon an 
applicable standard, interpret the standard to be the family emission 
limit if the engine is certified under an emission credit program in 
the standard-setting part.

Subpart B--[Amended]

0
53. Section 1065.101 is amended by revising paragraph (a) and adding 
paragraph (e) before the figures to read as follows:


Sec.  1065.101  Overview.

    (a) This subpart specifies equipment, other than measurement 
instruments, related to emission testing. The provisions of this 
subpart apply for all engine dynamometer testing where engine speeds 
and loads are controlled to follow a prescribed duty cycle. See subpart 
J of this part to determine which of the provisions of this subpart 
apply for field testing. This equipment includes three broad 
categories-dynamometers, engine fluid systems (such as fuel and intake-
air systems), and emission-sampling hardware.
* * * * *
    (e) Dynamometer testing involves engine operation over speeds and 
loads that are controlled to a prescribed duty cycle. Field testing 
involves measuring emissions over normal in-use operation of a vehicle 
or piece of equipment. Field testing does not involve operating an 
engine over a prescribed duty cycle.
* * * * *

0
54. Section 1065.110 is amended by revising paragraphs (a) introductory 
text and (e) and adding paragraphs (a)(1)(iv) and (f) to read as 
follows:


Sec.  1065.110  Work inputs and outputs, accessory work, and operator 
demand.

    (a) Work. Use good engineering judgment to simulate all engine work 
inputs and outputs as they typically would operate in use. Account for 
work inputs and outputs during an emission test by measuring them; or, 
if they are small, you may show by engineering analysis that 
disregarding them does not affect your ability to determine the net 
work output by more than  0.5% of the net expected work 
output over the test interval. Use equipment to simulate the specific 
types of work, as follows:
    (1) * * *
    (iv) You may use any device that is already installed on a vehicle, 
equipment, or vessel to absorb work from the engine's output shaft(s). 
Examples of these types of devices include a vessel's propeller and a 
locomotive's generator.
* * * * *
    (e) Operator demand for shaft work. Operator demand is defined in 
Sec.  1065.1001. Command the operator demand and the dynamometer(s) to 
follow a prescribed duty cycle with set points for engine speed and 
torque as specified in Sec.  1065.512. Refer to the

[[Page 37293]]

standard-setting part to determine the specifications for your duty 
cycle(s). Use a mechanical or electronic input to control operator 
demand such that the engine is able to meet the validation criteria in 
Sec.  1065.514 over each applicable duty cycle. Record feedback values 
for engine speed and torque as specified in Sec.  1065.512. Using good 
engineering judgment, you may improve control of operator demand by 
altering on-engine speed and torque controls. However, if these changes 
result in unrepresentative testing, you must notify us and recommend 
other test procedures under Sec.  1065.10(c)(1).
    (f) Other engine inputs. If your electronic control module requires 
specific input signals that are not available during dynamometer 
testing, such as vehicle speed or transmission signals, you may 
simulate the signals using good engineering judgment. Keep records that 
describe what signals you simulate and explain why these signals are 
necessary for representative testing.

0
55. Section 1065.120 is amended by revising paragraph (a) to read as 
follows:


Sec.  1065.120  Fuel properties and fuel temperature and pressure.

    (a) Use fuels as specified in the standard-setting part, or as 
specified in subpart H of this part if fuels are not specified in the 
standard-setting part.
* * * * *

0
56. Section 1065.122 is amended by revising paragraphs (a) introductory 
text, (a)(1), and (c) to read as follows:


Sec.  1065.122  Engine cooling and lubrication.

    (a) Engine cooling. Cool the engine during testing so its intake-
air, oil, coolant, block, and head temperatures are within their 
expected ranges for normal operation. You may use auxiliary coolers and 
fans.
    (1) For air-cooled engines only, if you use auxiliary fans you must 
account for work input to the fan(s) according to Sec.  1065.110.
* * * * *
    (c) Lubricating oil. Use lubricating oils specified in Sec.  
1065.740. For two-stroke engines that involve a specified mixture of 
fuel and lubricating oil, mix the lubricating oil with the fuel 
according to the manufacturer's specifications.
* * * * *

0
57. Section 1065.125 is amended by revising paragraphs (c) and (d) and 
adding paragraph (e) to read as follows:


Sec.  1065.125  Engine intake air.

* * * * *
    (c) Unless stated otherwise in the standard-setting part, maintain 
the temperature of intake air to (25  5) [deg]C, as 
measured upstream of any engine component.
    (d) Use an intake-air restriction that represents production 
engines. Make sure the intake-air restriction is between the 
manufacturer's specified maximum for a clean filter and the 
manufacturer's specified maximum allowed. Measure the static 
differential pressure of the restriction at the location and at the 
speed and torque set points specified by the manufacturer. If the 
manufacturer does not specify a location, measure this pressure 
upstream of any turbocharger or exhaust gas recirculation system 
connection to the intake air system. If the manufacturer does not 
specify speed and torque points, measure this pressure while the engine 
outputs maximum power. As the manufacturer, you are liable for emission 
compliance for all values up to the maximum restriction you specify for 
a particular engine.
    (e) This paragraph (e) includes provisions for simulating charge-
air cooling in the laboratory. This approach is described in paragraph 
(e)(1) of this section. Limits on using this approach are described in 
paragraphs (e)(2) and (3) of this section.
    (1) Use a charge-air cooling system with a total intake-air 
capacity that represents production engines' in-use installation. 
Design any laboratory charge-air cooling system to minimize 
accumulation of condensate. Drain any accumulated condensate and 
completely close all drains before emission testing. Keep the drains 
closed during the emission test. Maintain coolant conditions as 
follows:
    (i) Maintain a coolant temperature of at least 20 [deg]C at the 
inlet to the charge-air cooler throughout testing.
    (ii) At the engine conditions specified by the manufacturer, set 
the coolant flow rate to achieve an air temperature within  
5 [deg]C of the value specified by the manufacturer after the charge-
air cooler's outlet. Measure the air-outlet temperature at the location 
specified by the manufacturer. Use this coolant flow rate set point 
throughout testing. If the engine manufacturer does not specify engine 
conditions or the corresponding charge-air cooler air outlet 
temperature, set the coolant flow rate at maximum engine power to 
achieve a charge-air cooler air outlet temperature that represents in-
use operation.
    (iii) If the engine manufacturer specifies pressure-drop limits 
across the charge-air cooling system, ensure that the pressure drop 
across the charge-air cooling system at engine conditions specified by 
the manufacturer is within the manufacturer's specified limit(s). 
Measure the pressure drop at the manufacturer's specified locations.
    (2) The objective of this section is to produce emission results 
that are representative of in-use operation. If good engineering 
judgment indicates that the specifications in this section would result 
in unrepresentative testing (such as overcooling of the intake air), 
you may use more sophisticated setpoints and controls of charge-air 
pressure drop, coolant temperature, and flowrate to achieve more 
representative results.
    (3) This approach does not apply for field testing. You may not 
correct measured emission levels from field testing to account for any 
differences caused by the simulated cooling in the laboratory.

0
58. Section 1065.130 is revised to read as follows:


Sec.  1065.130  Engine exhaust.

    (a) General. Use the exhaust system installed with the engine or 
one that represents a typical in-use configuration. This includes any 
applicable aftertreatment devices.
    (b) Aftertreatment configuration. If you do not use the exhaust 
system installed with the engine, configure any aftertreatment devices 
as follows:
    (1) Position any aftertreatment device so its distance from the 
nearest exhaust manifold flange or turbocharger outlet is within the 
range specified by the engine manufacturer in the application for 
certification. If this distance is not specified, position 
aftertreatment devices to represent typical in-use vehicle 
configurations.
    (2) You may use exhaust tubing that is not from the in-use exhaust 
system upstream of any aftertreatment device that is of diameter(s) 
typical of in-use configurations. If you use exhaust tubing that is not 
from the in-use exhaust system upstream of any aftertreatment device, 
position each aftertreatment device according to paragraph (b)(1) of 
this section.
    (c) Sampling system connections. Connect an engine's exhaust system 
to any raw sampling location or dilution stage, as follows:
    (1) Minimize laboratory exhaust tubing lengths and use a total 
length of laboratory tubing of no more than 10 m or 50 outside 
diameters, whichever is greater. The start of laboratory exhaust tubing 
should be specified as the exit of the exhaust manifold, turbocharger 
outlet, last aftertreatment device, or the in-use exhaust system, 
whichever is furthest downstream. The end of laboratory exhaust tubing 
should be specified as the sample point, or first point of dilution. If 
laboratory exhaust tubing consists of several different outside tubing 
diameters, count the

[[Page 37294]]

number of diameters of length of each individual diameter, then sum all 
the diameters to determine the total length of exhaust tubing in 
diameters. Use the mean outside diameter of any converging or diverging 
sections of tubing. Use outside hydraulic diameters of any noncircular 
sections. For multiple stack configurations where all the exhaust 
stacks are combined, the start of the laboratory exhaust tubing may be 
taken at the last joint of where all the stacks are combined.
    (2) You may install short sections of flexible laboratory exhaust 
tubing at any location in the engine or laboratory exhaust systems. You 
may use up to a combined total of 2 m or 10 outside diameters of 
flexible exhaust tubing.
    (3) Insulate any laboratory exhaust tubing downstream of the first 
25 outside diameters of length.
    (4) Use laboratory exhaust tubing materials that are smooth-walled, 
electrically conductive, and not reactive with exhaust constituents. 
Stainless steel is an acceptable material.
    (5) We recommend that you use laboratory exhaust tubing that has 
either a wall thickness of less than 2 mm or is air gap-insulated to 
minimize temperature differences between the wall and the exhaust.
    (6) We recommend that you connect multiple exhaust stacks from a 
single engine into one stack upstream of any emission sampling. To 
ensure mixing of the multiple exhaust streams before emission sampling, 
you may configure the exhaust system with turbulence generators, such 
as orifice plates or fins, to achieve good mixing. We recommend a 
minimum Reynolds number, Re#, of 4000 for the combined exhaust stream, 
where Re# is based on the inside diameter of the single stack. Re# is 
defined in Sec.  1065.640.
    (d) In-line instruments. You may insert instruments into the 
laboratory exhaust tubing, such as an in-line smoke meter. If you do 
this, you may leave a length of up to 5 outside diameters of laboratory 
exhaust tubing uninsulated on each side of each instrument, but you 
must leave a length of no more than 25 outside diameters of laboratory 
exhaust tubing uninsulated in total, including any lengths adjacent to 
in-line instruments.
    (e) Leaks. Minimize leaks sufficiently to ensure your ability to 
demonstrate compliance with the applicable standards. We recommend 
performing a chemical balance of fuel, intake air, and exhaust 
according to Sec.  1065.655 to verify exhaust system integrity.
    (f) Grounding. Electrically ground the entire exhaust system.
    (g) Forced cooldown. You may install a forced cooldown system for 
an exhaust aftertreatment device according to Sec.  1065.530(a)(1)(i).
    (h) Exhaust restriction. As the manufacturer, you are liable for 
emission compliance for all values up to the maximum restriction(s) you 
specify for a particular engine. Measure and set exhaust restriction(s) 
at the location(s) and at the engine speed and torque values specified 
by the manufacturer. Also, for variable-restriction aftertreatment 
devices, measure and set exhaust restriction(s) at the aftertreatment 
condition (degreening/aging and regeneration/loading level) specified 
by the manufacturer. If the manufacturer does not specify a location, 
measure this pressure downstream of any turbocharger. If the 
manufacturer does not specify speed and torque points, measure pressure 
while the engine produces maximum power. Use an exhaust-restriction 
setpoint that represents a typical in-use value, if available. If a 
typical in-use value for exhaust restriction is not available, set the 
exhaust restriction at (80 to 100)% of the maximum exhaust restriction 
specified by the manufacturer, or if the maximum is 5 kPa or less, the 
set point must be no less than 1.0 kPa from the maximum. For example, 
if the maximum back pressure is 4.5 kPa, do not use an exhaust 
restriction set point that is less than 3.5 kPa.
    (i) Open crankcase emissions. If the standard-setting part requires 
measuring open crankcase emissions, you may either measure open 
crankcase emissions separately using a method that we approve in 
advance, or route open crankcase emissions directly into the exhaust 
system for emission measurement. If the engine is not already 
configured to route open crankcase emissions for emission measurement, 
route open crankcase emissions as follows:
    (1) Use laboratory tubing materials that are smooth-walled, 
electrically conductive, and not reactive with crankcase emissions. 
Stainless steel is an acceptable material. Minimize tube lengths. We 
also recommend using heated or thin-walled or air gap-insulated tubing 
to minimize temperature differences between the wall and the crankcase 
emission constituents.
    (2) Minimize the number of bends in the laboratory crankcase tubing 
and maximize the radius of any unavoidable bend.
    (3) Use laboratory crankcase exhaust tubing that meets the engine 
manufacturer's specifications for crankcase back pressure.
    (4) Connect the crankcase exhaust tubing into the raw exhaust 
downstream of any aftertreatment system, downstream of any installed 
exhaust restriction, and sufficiently upstream of any sample probes to 
ensure complete mixing with the engine's exhaust before sampling. 
Extend the crankcase exhaust tube into the free stream of exhaust to 
avoid boundary-layer effects and to promote mixing. You may orient the 
crankcase exhaust tube's outlet in any direction relative to the raw 
exhaust flow.

0
59. Section 1065.140 is revised to read as follows:


Sec.  1065.140  Dilution for gaseous and PM constituents.

    (a) General. You may dilute exhaust with ambient air, synthetic 
air, or nitrogen. For gaseous emission measurement the diluent must be 
at least 15[deg]C. Note that the composition of the diluent affects 
some gaseous emission measurement instruments' response to emissions. 
We recommend diluting exhaust at a location as close as possible to the 
location where ambient air dilution would occur in use.
    (b) Dilution-air conditions and background concentrations. Before a 
diluent is mixed with exhaust, you may precondition it by increasing or 
decreasing its temperature or humidity. You may also remove 
constituents to reduce their background concentrations. The following 
provisions apply to removing constituents or accounting for background 
concentrations:
    (1) You may measure constituent concentrations in the diluent and 
compensate for background effects on test results. See Sec.  1065.650 
for calculations that compensate for background concentrations.
    (2) Either measure these background concentrations the same way you 
measure diluted exhaust constituents, or measure them in a way that 
does not affect your ability to demonstrate compliance with the 
applicable standards. For example, you may use the following 
simplifications for background sampling:
    (i) You may disregard any proportional sampling requirements.
    (ii) You may use unheated gaseous sampling systems.
    (iii) You may use unheated PM sampling systems.
    (iv) You may use continuous sampling if you use batch sampling for 
diluted emissions.
    (v) You may use batch sampling if you use continuous sampling for 
diluted emissions.

[[Page 37295]]

    (3) For removing background PM, we recommend that you filter all 
dilution air, including primary full-flow dilution air, with high-
efficiency particulate air (HEPA) filters that have an initial minimum 
collection efficiency specification of 99.97% (see Sec.  1065.1001 for 
procedures related to HEPA-filtration efficiencies). Ensure that HEPA 
filters are installed properly so that background PM does not leak past 
the HEPA filters. If you choose to correct for background PM without 
using HEPA filtration, demonstrate that the background PM in the 
dilution air contributes less than 50% to the net PM collected on the 
sample filter. You may correct net PM without restriction if you use 
HEPA filtration.
    (c) Full-flow dilution; constant-volume sampling (CVS). You may 
dilute the full flow of raw exhaust in a dilution tunnel that maintains 
a nominally constant volume flow rate, molar flow rate or mass flow 
rate of diluted exhaust, as follows:
    (1) Construction. Use a tunnel with inside surfaces of 300 series 
stainless steel. Electrically ground the entire dilution tunnel. We 
recommend a thin-walled and insulated dilution tunnel to minimize 
temperature differences between the wall and the exhaust gases.
    (2) Pressure control. Maintain static pressure at the location 
where raw exhaust is introduced into the tunnel within  1.2 
kPa of atmospheric pressure. You may use a booster blower to control 
this pressure. If you test an engine using more careful pressure 
control and you show by engineering analysis or by test data that you 
require this level of control to demonstrate compliance at the 
applicable standards, we will maintain the same level of static 
pressure control when we test that engine.
    (3) Mixing. Introduce raw exhaust into the tunnel by directing it 
downstream along the centerline of the tunnel. You may introduce a 
fraction of dilution air radially from the tunnel's inner surface to 
minimize exhaust interaction with the tunnel walls. You may configure 
the system with turbulence generators such as orifice plates or fins to 
achieve good mixing. We recommend a minimum Reynolds number, Re#, of 
4000 for the diluted exhaust stream, where Re is based on the 
inside diameter of the dilution tunnel. Re# is defined in Sec.  
1065.640.
    (4) Flow measurement preconditioning. You may condition the diluted 
exhaust before measuring its flow rate, as long as this conditioning 
takes place downstream of any heated HC or PM sample probes, as 
follows:
    (i) You may use flow straighteners, pulsation dampeners, or both of 
these.
    (ii) You may use a filter.
    (iii) You may use a heat exchanger to control the temperature 
upstream of any flow meter, but you must take steps to prevent aqueous 
condensation as described in paragraph (c)(6) of this section.
    (5) Flow measurement. Section 1065.240 describes measurement 
instruments for diluted exhaust flow.
    (6) Aqueous condensation. To ensure that you measure a flow that 
corresponds to a measured concentration, you may either prevent aqueous 
condensation between the sample probe location and the flow meter inlet 
in the dilution tunnel or you may allow aqueous condensation to occur 
and then measure humidity at the flow meter inlet. You may heat or 
insulate the dilution tunnel walls, as well as the bulk stream tubing 
downstream of the tunnel to prevent aqueous condensation. Calculations 
in Sec.  1065.645 and Sec.  1065.650 account for either method of 
addressing humidity in the diluted exhaust. Note that preventing 
aqueous condensation involves more than keeping pure water in a vapor 
phase (see Sec.  1065.1001).
    (7) Flow compensation. Maintain nominally constant molar, 
volumetric or mass flow of diluted exhaust. You may maintain nominally 
constant flow by either maintaining the temperature and pressure at the 
flow meter or by directly controlling the flow of diluted exhaust. You 
may also directly control the flow of proportional samplers to maintain 
proportional sampling. For an individual test, validate proportional 
sampling as described in Sec.  1065.545.
    (d) Partial-flow dilution (PFD). Except as specified in this 
paragraph (d), you may dilute a partial flow of raw or previously 
diluted exhaust before measuring emissions. Sec.  1065.240 describes 
PFD-related flow measurement instruments. PFD may consist of constant 
or varying dilution ratios as described in paragraphs (d)(2) and (3) of 
this section. An example of a constant dilution ratio PFD is a 
``secondary dilution PM'' measurement system.
    (1) Applicability. (i) You may not use PFD if the standard-setting 
part prohibits it.
    (ii) You may use PFD to extract a proportional raw exhaust sample 
for any batch or continuous PM emission sampling over any transient 
duty cycle only if we have explicitly approved it according to Sec.  
1065.10 as an alternative procedure to the specified procedure for 
full-flow CVS.
    (iii) You may use PFD to extract a proportional raw exhaust sample 
for any batch or continuous gaseous emission sampling.
    (iv) You may use PFD to extract a proportional raw exhaust sample 
for any batch or continuous PM emission sampling over any steady-state 
duty cycle or its ramped-modal cycle (RMC) equivalent.
    (v) You may use PFD to extract a proportional raw exhaust sample 
for any batch or continuous field-testing.
    (vi) You may use PFD to extract a proportional diluted exhaust 
sample from a CVS for any batch or continuous emission sampling.
    (vii) You may use PFD to extract a constant raw or diluted exhaust 
sample for any continuous emission sampling.
    (2) Constant dilution-ratio PFD. Do one of the following for 
constant dilution-ratio PFD:
    (i) Dilute an already proportional flow. For example, you may do 
this as a way of performing secondary dilution from a CVS tunnel to 
achieve overall dilution ratio for PM sampling.
    (ii) Continuously measure constituent concentrations. For example, 
you might dilute to precondition a sample of raw exhaust to control its 
temperature, humidity, or constituent concentrations upstream of 
continuous analyzers. In this case, you must take into account the 
dilution ratio before multiplying the continuous concentration by the 
sampled exhaust flow rate.
    (iii) Extract a proportional sample from a separate constant 
dilution ratio PFD system. For example, you might use a variable-flow 
pump to proportionally fill a gaseous storage medium such as a bag from 
a PFD system. In this case, the proportional sampling must meet the 
same specifications as varying dilution ratio PFD in paragraph (d)(3) 
of this section.
    (iv) For each mode of a discrete-mode test (such as a locomotive 
notch setting or a specific setting for speed and torque), use a 
constant dilution ratio for any PM sampling. You must change the 
overall PM sampling system dilution ratio between modes so that the 
dilution ratio on the mode with the highest exhaust flow rate meets 
Sec.  1065.140(e)(2) and the dilution ratios on all other modes is 
higher than this (minimum) dilution ratio by the ratio of the maximum 
exhaust flow rate to the exhaust flow rate of the corresponding other 
mode. This is the same dilution ratio requirement for RMC or field 
transient testing. You must account for this change in dilution ratio 
in your emission calculations.

[[Page 37296]]

    (3) Varying dilution-ratio PFD. All the following provisions apply 
for varying dilution-ratio PFD:
    (i) Use a control system with sensors and actuators that can 
maintain proportional sampling over intervals as short as 200 ms (i.e., 
5 Hz control).
    (ii) For control input, you may use any sensor output from one or 
more measurements; for example, intake-air flow, fuel flow, exhaust 
flow, engine speed, and intake manifold temperature and pressure.
    (iii) Account for any emission transit time in the PFD system, as 
necessary.
    (iv) You may use preprogrammed data if they have been determined 
for the specific test site, duty cycle, and test engine from which you 
dilute emissions.
    (v) We recommend that you run practice cycles to meet the 
validation criteria in Sec.  1065.545. Note that you must validate 
every emission test by meeting the validation criteria with the data 
from that specific test. Data from previously validated practice cycles 
or other tests may not be used to validate a different emission test.
    (vi) You may not use a PFD system that requires preparatory tuning 
or calibration with a CVS or with the emission results from a CVS. 
Rather, you must be able to independently calibrate the PFD.
    (e) Dilution air temperature, dilution ratio, residence time, and 
temperature control of PM samples. Dilute PM samples at least once 
upstream of transfer lines. You may dilute PM samples upstream of a 
transfer line using full-flow dilution, or partial-flow dilution 
immediately downstream of a PM probe. In the case of partial-flow 
dilution, you may have up to 26 cm of insulated length between the end 
of the probe and the dilution stage, but we recommend that the length 
be as short as practical. Configure dilution systems as follows:
    (1) Set the diluent (i.e., dilution air) temperature to (25  5) [deg]C. Use good engineering judgment to select a location to 
measure this temperature. We recommend that you measure this 
temperature as close as practical upstream of the point where diluent 
mixes with raw exhaust.
    (2) For any PM dilution system (i.e., CVS or PFD), dilute raw 
exhaust with diluent such that the minimum overall ratio of diluted 
exhaust to raw exhaust is within the range of (5:1-7:1) and is at least 
2:1 for any primary dilution stage. Base this minimum value on the 
maximum engine exhaust flow rate for a given test interval. Either 
measure the maximum exhaust flow during a practice run of the test 
interval or estimate it based on good engineering judgment (for 
example, you might rely on manufacturer-published literature).
    (3) Configure any PM dilution system to have an overall residence 
time of (1 to 5) s, as measured from the location of initial diluent 
introduction to the location where PM is collected on the sample media. 
Also configure the system to have a residence time of at least 0.5 s, 
as measured from the location of final diluent introduction to the 
location where PM is collected on the sample media. When determining 
residence times within sampling system volumes, use an assumed flow 
temperature of 25 [deg]C and pressure of 101.325 kPa.
    (4) Control sample temperature to a (47  5) [deg]C 
tolerance, as measured anywhere within 20 cm upstream or downstream of 
the PM storage media (such as a filter). Measure this temperature with 
a bare-wire junction thermocouple with wires that are (0.500  0.025) mm diameter, or with another suitable instrument that has 
equivalent performance. The intent of these specifications is to 
minimize heat transfer to or from the emissions sample prior to the 
final stage of dilution. This is accomplished by initially cooling the 
sample through dilution.

0
60. Section 1065.145 is revised to read as follows:


Sec.  1065.145  Gaseous and PM probes, transfer lines, and sampling 
system components.

    (a) Continuous and batch sampling. Determine the total mass of each 
constituent with continuous or batch sampling, as described in Sec.  
1065.15(c)(2). Both types of sampling systems have probes, transfer 
lines, and other sampling system components that are described in this 
section.
    (b) Gaseous and PM sample probes. A probe is the first fitting in a 
sampling system. It protrudes into a raw or diluted exhaust stream to 
extract a sample, such that its inside and outside surfaces are in 
contact with the exhaust. A sample is transported out of a probe into a 
transfer line, as described in paragraph (c) of this section. The 
following provisions apply to sample probes:
    (1) Probe design and construction. Use sample probes with inside 
surfaces of 300 series stainless steel or, for raw exhaust sampling, 
use any nonreactive material capable of withstanding raw exhaust 
temperatures. Locate sample probes where constituents are mixed to 
their mean sample concentration. Take into account the mixing of any 
crankcase emissions that may be routed into the raw exhaust. Locate 
each probe to minimize interference with the flow to other probes. We 
recommend that all probes remain free from influences of boundary 
layers, wakes, and eddies--especially near the outlet of a raw-exhaust 
tailpipe where unintended dilution might occur. Make sure that purging 
or back-flushing of a probe does not influence another probe during 
testing. You may use a single probe to extract a sample of more than 
one constituent as long as the probe meets all the specifications for 
each constituent.
    (2) Probe installation on multi-stack engines. We recommend 
combining multiple exhaust streams from multi-stack engines before 
emission sampling as described in Sec.  1065.130(c)(6). If this is 
impractical, you may install symmetrical probes and transfer lines in 
each stack. In this case, each stack must be installed such that 
similar exhaust velocities are expected at each probe location. Use 
identical probe and transfer line diameters, lengths, and bends for 
each stack. Minimize the individual transfer line lengths, and manifold 
the individual transfer lines into a single transfer line to route the 
combined exhaust sample to analyzers and/or batch samplers. For PM 
sampling the manifold design must merge the individual sample streams 
with a maximum angle of 12.5[deg] relative to the single sample 
stream's flow. Note that the manifold must meet the same specifications 
as the transfer line according to paragraph (c) of this section. If you 
use this probe configuration and you determine your exhaust flow rates 
with a chemical balance of exhaust gas concentrations and either intake 
air flow or fuel flow, then show by prior testing that the 
concentration of O2 in each stack remains within 5% of the 
mean O2 concentration throughout the entire duty cycle.
    (3) Gaseous sample probes. Use either single-port or multi-port 
probes for sampling gaseous emissions. You may orient these probes in 
any direction relative to the raw or diluted exhaust flow. For some 
probes, you must control sample temperatures, as follows:
    (i) For probes that extract NOX from diluted exhaust, 
control the probe's wall temperature to prevent aqueous condensation.
    (ii) For probes that extract hydrocarbons for THC or NMHC analysis 
from the diluted exhaust of compression-ignition engines, 2-stroke 
spark-ignition engines, or 4-stroke spark-ignition engines below 19 kW, 
we recommend heating the probe to minimize hydrocarbon contamination 
consistent with good engineering

[[Page 37297]]

judgment. If you routinely fail the contamination check in the 1065.520 
pretest check, we recommend heating the probe section to approximately 
190 [deg]C to minimize contamination.
    (4) PM sample probes. Use PM probes with a single opening at the 
end. Orient PM probes to face directly upstream. If you shield a PM 
probe's opening with a PM pre-classifier such as a hat, you may not use 
the preclassifier we specify in paragraph (e)(1) of this section. We 
recommend sizing the inside diameter of PM probes to approximate 
isokinetic sampling at the expected mean flow rate.
    (c) Transfer lines. You may use transfer lines to transport an 
extracted sample from a probe to an analyzer, storage medium, or 
dilution system, noting certain restrictions for PM sampling in Sec.  
1065.140(e). Minimize the length of all transfer lines by locating 
analyzers, storage media, and dilution systems as close to probes as 
practical. We recommend that you minimize the number of bends in 
transfer lines and that you maximize the radius of any unavoidable 
bend. Avoid using 90[deg] elbows, tees, and cross-fittings in transfer 
lines. Where such connections and fittings are necessary, take steps, 
using good engineering judgment, to ensure that you meet the 
temperature tolerances in this paragraph (c). This may involve 
measuring temperature at various locations within transfer lines and 
fittings. You may use a single transfer line to transport a sample of 
more than one constituent, as long as the transfer line meets all the 
specifications for each constituent. The following construction and 
temperature tolerances apply to transfer lines:
    (1) Gaseous samples. Use transfer lines with inside surfaces of 300 
series stainless steel, PTFE, VitonTM, or any other material 
that you demonstrate has better properties for emission sampling. For 
raw exhaust sampling, use a non-reactive material capable of 
withstanding raw exhaust temperatures. You may use in-line filters if 
they do not react with exhaust constituents and if the filter and its 
housing meet the same temperature requirements as the transfer lines, 
as follows:
    (i) For NOX transfer lines upstream of either an 
NO2-to-NO converter that meets the specifications of Sec.  
1065.378 or a chiller that meets the specifications of Sec.  1065.376, 
maintain a sample temperature that prevents aqueous condensation.
    (ii) For THC transfer lines for testing compression-ignition 
engines, 2-stroke spark-ignition engines, or 4-stroke spark-ignition 
engines below 19 kW, maintain a wall temperature tolerance throughout 
the entire line of (191 11) [deg]C. If you sample from raw 
exhaust, you may connect an unheated, insulated transfer line directly 
to a probe. Design the length and insulation of the transfer line to 
cool the highest expected raw exhaust temperature to no lower than 191 
[deg]C, as measured at the transfer line's outlet. For dilute sampling, 
you may use a transition zone between the probe and transfer line of up 
to 92 cm to allow your wall temperature to transition to (191 11) [deg]C.
    (2) PM samples. We recommend heated transfer lines or a heated 
enclosure to minimize temperature differences between transfer lines 
and exhaust constituents. Use transfer lines that are inert with 
respect to PM and are electrically conductive on the inside surfaces. 
We recommend using PM transfer lines made of 300 series stainless 
steel. Electrically ground the inside surface of PM transfer lines.
    (d) Optional sample-conditioning components for gaseous sampling. 
You may use the following sample-conditioning components to prepare 
gaseous samples for analysis, as long as you do not install or use them 
in a way that adversely affects your ability to show that your engines 
comply with all applicable gaseous emission standards.
    (1) NO2-to-NO converter. You may use an NO2-to-NO 
converter that meets the efficiency-performance check specified in 
Sec.  1065.378 at any point upstream of a NOX analyzer, 
sample bag, or other storage medium.
    (2) Sample dryer. You may use either type of sample dryer described 
in this paragraph (d)(2) to decrease the effects of water on gaseous 
emission measurements. You may not use a chemical dryer, or use dryers 
upstream of PM sample filters.
    (i) Osmotic-membrane. You may use an osmotic-membrane dryer 
upstream of any gaseous analyzer or storage medium, as long as it meets 
the temperature specifications in paragraph (c)(1) of this section. 
Because osmotic-membrane dryers may deteriorate after prolonged 
exposure to certain exhaust constituents, consult with the membrane 
manufacturer regarding your application before incorporating an 
osmotic-membrane dryer. Monitor the dewpoint, Tdew, and 
absolute pressure, ptotal, downstream of an osmotic-membrane 
dryer. You may use continuously recorded values of Tdew and 
ptotal in the amount of water calculations specified in 
Sec.  1065.645. If you do not continuously record these values, you may 
use their peak values observed during a test or their alarm setpoints 
as constant values in the calculations specified in Sec.  1065.645. You 
may also use a nominal ptotal, which you may estimate as the 
dryer's lowest absolute pressure expected during testing.
    (ii) Thermal chiller. You may use a thermal chiller upstream of 
some gas analyzers and storage media. You may not use a thermal chiller 
upstream of a THC measurement system for compression-ignition engines, 
2-stroke spark-ignition engines, or 4-stroke spark-ignition engines 
below 19 kW. If you use a thermal chiller upstream of an 
NO2-to-NO converter or in a sampling system without an 
NO2-to-NO converter, the chiller must meet the 
NO2 loss-performance check specified in Sec.  1065.376. 
Monitor the dewpoint, Tdew, and absolute pressure, 
ptotal, downstream of a thermal chiller. You may use 
continuously recorded values of Tdew and ptotal 
in the emission calculations specified in Sec.  1065.650. If you do not 
continuously record these values, you may use the maximum temperature 
and minimum pressure values observed during a test or the high alarm 
temperature setpoint and the low alarm pressure setpoint as constant 
values in the amount of water calculations specified in Sec.  1065.645. 
You may also use a nominal ptotal, which you may estimate as 
the dryer's lowest absolute pressure expected during testing. If it is 
valid to assume the degree of saturation in the thermal chiller, you 
may calculate Tdew based on the known chiller performance 
and continuous monitoring of chiller temperature, Tchiller. 
If you do not continuously record values of Tchiller, you 
may use its peak value observed during a test, or its alarm setpoint, 
as a constant value to determine a constant amount of water according 
to Sec.  1065.645. If it is valid to assume that Tchiller is 
equal to Tdew, you may use Tchiller in lieu of 
Tdew according to Sec.  1065.645. If it is valid to assume a 
constant temperature offset between Tchiller and 
Tdew, due to a known and fixed amount of sample reheat 
between the chiller outlet and the temperature measurement location, 
you may factor in this assumed temperature offset value into emission 
calculations. If we ask for it, you must show by engineering analysis 
or by data the validity of any assumptions allowed by this paragraph 
(d)(2)(ii).
    (3) Sample pumps. You may use sample pumps upstream of an analyzer 
or storage medium for any gas. Use sample pumps with inside surfaces of 
300 series stainless steel, PTFE, or any other material that you 
demonstrate has better properties for emission sampling. For some 
sample pumps, you must control temperatures, as follows:

[[Page 37298]]

    (i) If you use a NOX sample pump upstream of either an 
NO2-to-NO converter that meets Sec.  1065.378 or a chiller 
that meets Sec.  1065.376, it must be heated to prevent aqueous 
condensation.
    (ii) For testing compression-ignition engines, 2-stroke spark-
ignition engines, or 4-stroke spark-ignition engines below 19 kW, if 
you use a THC sample pump upstream of a THC analyzer or storage medium, 
its inner surfaces must be heated to a tolerance of (191 11) [deg]C.
    (4) Ammonia Scrubber. You may use ammonia scrubbers for any or all 
gaseous sampling systems to prevent interference with NH3, 
poisoning of the NO2-to-NO converter, and deposits in the 
sampling system or analyzers. Follow the ammonia scrubber 
manufacturer's recommendations or use good engineering judgment in 
applying ammonia scrubbers.
    (e) Optional sample-conditioning components for PM sampling. You 
may use the following sample-conditioning components to prepare PM 
samples for analysis, as long as you do not install or use them in a 
way that adversely affects your ability to show that your engines 
comply with the applicable PM emission standards. You may condition PM 
samples to minimize positive and negative biases to PM results, as 
follows:
    (1) PM preclassifier. You may use a PM preclassifier to remove 
large-diameter particles. The PM preclassifier may be either an 
inertial impactor or a cyclonic separator. It must be constructed of 
300 series stainless steel. The preclassifier must be rated to remove 
at least 50% of PM at an aerodynamic diameter of 10 [mu]m and no more 
than 1% of PM at an aerodynamic diameter of 1 [mu]m over the range of 
flow rates for which you use it. Follow the preclassifier 
manufacturer's instructions for any periodic servicing that may be 
necessary to prevent a buildup of PM. Install the preclassifier in the 
dilution system downstream of the last dilution stage. Configure the 
preclassifier outlet with a means of bypassing any PM sample media so 
the preclassifier flow may be stabilized before starting a test. Locate 
PM sample media within 75 cm downstream of the preclassifier's exit. 
You may not use this preclassifier if you use a PM probe that already 
has a preclassifier. For example, if you use a hat-shaped preclassifier 
that is located immediately upstream of the probe in such a way that it 
forces the sample flow to change direction before entering the probe, 
you may not use any other preclassifier in your PM sampling system.
    (2) Other components. You may request to use other PM conditioning 
components upstream of a PM preclassifier, such as components that 
condition humidity or remove gaseous-phase hydrocarbons from the 
diluted exhaust stream. You may use such components only if we approve 
them under Sec.  1065.10.

0
61. Section 1065.170 is amended by revising the introductory text and 
paragraphs (a) and (c)(1) to read as follows:


Sec.  1065.170  Batch sampling for gaseous and PM constituents.

    Batch sampling involves collecting and storing emissions for later 
analysis. Examples of batch sampling include collecting and storing 
gaseous emissions in a bag or collecting and storing PM on a filter. 
You may use batch sampling to store emissions that have been diluted at 
least once in some way, such as with CVS, PFD, or BMD. You may use 
batch-sampling to store undiluted emissions.
    (a) Sampling methods. If you extract from a constant-volume flow 
rate, sample at a constant-volume flow rate as follows:
    (1) Validate proportional sampling after an emission test as 
described in Sec.  1065.545. Use good engineering judgment to select 
storage media that will not significantly change measured emission 
levels (either up or down). For example, do not use sample bags for 
storing emissions if the bags are permeable with respect to emissions 
or if they offgas emissions to the extent that it affects your ability 
to demonstrate compliance with the applicable gaseous emission 
standards. As another example, do not use PM filters that irreversibly 
absorb or adsorb gases to the extent that it affects your ability to 
demonstrate compliance with the applicable PM emission standard.
    (2) You must follow the requirements in Sec.  1065.140(e)(2) 
related to PM dilution ratios. For each filter, if you expect the net 
PM mass on the filter to exceed 400 [mu]g, assuming a 38 mm diameter 
filter stain area, you may take the following actions in sequence:
    (i) First, reduce filter face velocity as needed to target a filter 
loading of 400 [mu]g, down to 50 cm/s or less.
    (ii) Then, for discrete-mode testing only, you may reduce sample 
time as needed to target a filter loading of 400 [mu]g, but not below 
the minimum sample time specified in the standard-setting part.
    (iii) Then, increase overall dilution ratio above the values 
specified in Sec.  1065.140(e)(2) to target a filter loading of 400 
[mu]g.
* * * * *
    (c) * * *
    (1) If you use filter-based sampling media to extract and store PM 
for measurement, your procedure must meet the following specifications:
    (i) If you expect that a filter's total surface concentration of PM 
will exceed 400 [mu]g, assuming a 38 mm diameter filter stain area, for 
a given test interval, you may use filter media with a minimum initial 
collection efficiency of 98%; otherwise you must use a filter media 
with a minimum initial collection efficiency of 99.7%. Collection 
efficiency must be measured as described in ASTM D2986-95a 
(incorporated by reference in Sec.  1065.1010), though you may rely on 
the sample-media manufacturer's measurements reflected in their product 
ratings to show that you meet this requirement.
    (ii) The filter must be circular, with an overall diameter of 46.50 
 0.6 mm and an exposed diameter of at least 38 mm. See the 
cassette specifications in paragraph (c)(1)(vii) of this section.
    (iii) We highly recommend that you use a pure PTFE filter material 
that does not have any flow-through support bonded to the back and has 
an overall thickness of 40  20 [mu]m. An inert polymer ring 
may be bonded to the periphery of the filter material for support and 
for sealing between the filter cassette parts. We consider 
Polymethylpentene (PMP) and PTFE inert materials for a support ring, 
but other inert materials may be used. See the cassette specifications 
in paragraph (c)(1)(vii) of this section. We allow the use of PTFE-
coated glass fiber filter material, as long as this filter media 
selection does not affect your ability to demonstrate compliance with 
the applicable standards, which we base on a pure PTFE filter material. 
Note that we will use pure PTFE filter material for compliance testing, 
and we may require you to use pure PTFE filter material for any 
compliance testing we require, such as for selective enforcement 
audits.
    (iv) You may request to use other filter materials or sizes under 
the provisions of Sec.  1065.10.
    (v) To minimize turbulent deposition and to deposit PM evenly on a 
filter, use a 12.5[deg] (from center) divergent cone angle to 
transition from the transfer-line inside diameter to the exposed 
diameter of the filter face. Use 300 series stainless steel for this 
transition.
    (vi) Maintain a filter face velocity near 100 cm/s with less than 
5% of the recorded flow values exceeding 100 cm/s, unless you expect 
either the net PM mass on the filter to exceed 400 [mu]g, assuming a 38 
mm diameter filter stain area. Measure face velocity as the volumetric 
flow rate of the sample at the

[[Page 37299]]

pressure upstream of the filter and temperature of the filter face as 
measured in Sec.  1065.140(e), divided by the filter's exposed area. 
You may use the exhaust stack or CVS tunnel pressure for the upstream 
pressure if the pressure drop through the PM sampler up to the filter 
is less than 2 kPa.
    (vii) Use a clean cassette designed to the specifications of Figure 
1 of Sec.  1065.170 and made of any of the following materials: 
DelrinTM, 300 series stainless steel, polycarbonate, 
acrylonitrile-butadiene-styrene (ABS) resin, or conductive 
polypropylene. We recommend that you keep filter cassettes clean by 
periodically washing or wiping them with a compatible solvent applied 
using a lint-free cloth. Depending upon your cassette material, ethanol 
(C2H5OH) might be an acceptable solvent. Your 
cleaning frequency will depend on your engine's PM and HC emissions.
    (viii) If you store filters in cassettes in an automatic PM 
sampler, cover or seal individual filter cassettes after sampling to 
prevent communication of semi-volatile matter from one filter to 
another.
* * * * *

0
62. Section 1065.190 is amended by revising paragraphs (c), (e), (f) 
and (g) to read as follows:


Sec.  1065.190  PM-stabilization and weighing environments for 
gravimetric analysis.

* * * * *
    (c) Verify the cleanliness of the PM-stabilization environment 
using reference filters, as described in Sec.  1065.390(d).
* * * * *
    (e) Verify the following ambient conditions using measurement 
instruments that meet the specifications in subpart C of this part:
    (1) Continuously measure dewpoint and ambient temperature. Use 
these values to determine if the stabilization and weighing 
environments have remained within the tolerances specified in paragraph 
(d) of this section for at least 60 min. before weighing sample media 
(e.g., filters). We recommend that you use an interlock that 
automatically prevents the balance from reporting values if either of 
the environments have not been within the applicable tolerances for the 
past 60 min.
    (2) Continuously measure atmospheric pressure within the weighing 
environment. An acceptable alternative is to use a barometer that 
measures atmospheric pressure outside the weighing environment, as long 
as you can ensure that atmospheric pressure at the balance is always 
within 100 Pa of that outside environment during weighing 
operations. Record atmospheric pressure as you weigh filters, and use 
these pressure values to perform the buoyancy correction in Sec.  
1065.690.
    (f) We recommend that you install a balance as follows:
    (1) Install the balance on a vibration-isolation platform to 
isolate it from external noise and vibration.
    (2) Shield the balance from convective airflow with a static-
dissipating draft shield that is electrically grounded.
    (3) Follow the balance manufacturer's specifications for all 
preventive maintenance.
    (4) Operate the balance manually or as part of an automated 
weighing system.
    (g) Minimize static electric charge in the balance environment, as 
follows:
    (1) Electrically ground the balance.
    (2) Use 300 series stainless steel tweezers if PM sample media 
(e.g., filters) must be handled manually.
    (3) Ground tweezers with a grounding strap, or provide a grounding 
strap for the operator such that the grounding strap shares a common 
ground with the balance. Make sure grounding straps have an appropriate 
resistor to protect operators from accidental shock.
    (4) Provide a static-electricity neutralizer that is electrically 
grounded in common with the balance to remove static charge from PM 
sample media (e.g., filters), as follows:
    (i) You may use radioactive neutralizers such as a Polonium 
(210Po) source. Replace radioactive sources at the intervals 
recommended by the neutralizer manufacturer.
    (ii) You may use other neutralizers, such as corona-discharge 
ionizers. If you use a corona-discharge ionizer, we recommend that you 
monitor it for neutral net charge according to the ionizer 
manufacturer's recommendations.
    (5) We recommend that you use a device to monitor the static charge 
of PM sample media (e.g., filter) surface.
    (6) We recommend that you neutralize PM sample media (e.g., 
filters) to within 2.0 V of neutral. Measure static 
voltages as follows:
    (i) Measure static voltage of PM sample media (e.g., filters) 
according to the electrostatic voltmeter manufacturer's instructions.
    (ii) Measure static voltage of PM sample media (e.g., filters) 
while the media is at least 15 cm away from any grounded surfaces to 
avoid mirror image charge interference.

0
63. Section 1065.195 is amended by revising paragraphs (a) and (c)(4) 
to read as follows:


Sec.  1065.195  PM-stabilization environment for in-situ analyzers.

    (a) This section describes the environment required to determine PM 
in-situ. For in-situ analyzers, such as an inertial balance, this is 
the environment within a PM sampling system that surrounds the PM 
sample media (e.g., filters). This is typically a very small volume.
* * * * *
    (c) * * *
    (4) Absolute pressure. Use good engineering judgment to maintain a 
tolerance of absolute pressure if your PM measurement instrument 
requires it.
* * * * *

Subpart C--[Amended]

0
64. Section 1065.201 is amended by revising paragraphs (a) and (b) and 
adding paragraph (h) to read as follows:


Sec.  1065.201  Overview and general provisions.

    (a) Scope. This subpart specifies measurement instruments and 
associated system requirements related to emission testing in a 
laboratory or similar environment and in the field. This includes 
laboratory instruments and portable emission measurement systems (PEMS) 
for measuring engine parameters, ambient conditions, flow-related 
parameters, and emission concentrations.
    (b) Instrument types. You may use any of the specified instruments 
as described in this subpart to perform emission tests. If you want to 
use one of these instruments in a way that is not specified in this 
subpart, or if you want to use a different instrument, you must first 
get us to approve your alternate procedure under Sec.  1065.10. Where 
we specify more than one instrument for a particular measurement, we 
may identify which instrument serves as the reference for comparing 
with an alternate procedure.
* * * * *
    (h) Recommended practices. This subpart identifies a variety of 
recommended but not required practices for proper measurements. We 
believe in most cases it is necessary to follow these recommended 
practices for accurate and repeatable measurements and we intend to 
follow them as much as possible for our testing. However, we do not 
specifically require you to follow these recommended practices to 
perform a valid test, as long as you meet the required calibrations and 
verifications of measurement systems specified in subpart D of this 
part.

[[Page 37300]]


0
65. Section 1065.210 is amended by revising paragraph (a) before the 
figure to read as follows:


Sec.  1065.210  Work input and output sensors.

    (a) Application. Use instruments as specified in this section to 
measure work inputs and outputs during engine operation. We recommend 
that you use sensors, transducers, and meters that meet the 
specifications in Table 1 of Sec.  1065.205. Note that your overall 
systems for measuring work inputs and outputs must meet the linearity 
verifications in Sec.  1065.307. We recommend that you measure work 
inputs and outputs where they cross the system boundary as shown in 
Figure 1 of Sec.  1065.210. The system boundary is different for air-
cooled engines than for liquid-cooled engines. If you choose to measure 
work before or after a work conversion, relative to the system 
boundary, use good engineering judgment to estimate any work-conversion 
losses in a way that avoids overestimation of total work. For example, 
if it is impractical to instrument the shaft of an exhaust turbine 
generating electrical work, you may decide to measure its converted 
electrical work. As another example, you may decide to measure the 
tractive (i.e., electrical output) power of a locomotive, rather than 
the brake power of the locomotive engine. In these cases, divide the 
electrical work by accurate values of electrical generator efficiency 
([eta]<1), or assume an efficiency of 1 ([eta]=1), which would over-
estimate brake-specific emissions. For the example of using locomotive 
tractive power with a generator efficiency of 1 ([eta]=1), this means 
using the tractive power as the brake power in emission calculations. 
Do not underestimate any work conversion efficiencies for any 
components outside the system boundary that do not return work into the 
system boundary. And do not overestimate any work conversion 
efficiencies for components outside the system boundary that do return 
work into the system boundary. In all cases, ensure that you are able 
to accurately demonstrate compliance with the applicable standards.
* * * * *

0
66. Section 1065.215 is amended by revising paragraph (e) to read as 
follows:


Sec.  1065.215  Pressure transducers, temperature sensors, and dewpoint 
sensors.

* * * * *
    (e) Dewpoint. For PM-stabilization environments, we recommend 
chilled-surface hygrometers, which include chilled mirror detectors and 
chilled surface acoustic wave (SAW) detectors. For other applications, 
we recommend thin-film capacitance sensors. You may use other dewpoint 
sensors, such as a wet-bulb/dry-bulb psychrometer, where appropriate.

0
67. Section 1065.220 is amended by revising paragraph (d) to read as 
follows:


Sec.  1065.220  Fuel flow meter.

* * * * *
    (d) Flow conditioning. For any type of fuel flow meter, condition 
the flow as needed to prevent wakes, eddies, circulating flows, or flow 
pulsations from affecting the accuracy or repeatability of the meter. 
You may accomplish this by using a sufficient length of straight tubing 
(such as a length equal to at least 10 pipe diameters) or by using 
specially designed tubing bends, straightening fins, or pneumatic 
pulsation dampeners to establish a steady and predictable velocity 
profile upstream of the meter. Condition the flow as needed to prevent 
any gas bubbles in the fuel from affecting the fuel meter.

0
68. Section 1065.265 is amended by revising paragraph (c) to read as 
follows:


Sec.  1065.265  Nonmethane cutter.

* * * * *
    (c) Configuration. Configure the nonmethane cutter with a bypass 
line if it is needed for the verification described in Sec.  1065.365.
* * * * *

0
69. Section 1065.270 is amended by revising paragraphs (c) and (d) 
introductory text to read as follows:


Sec.  1065.270  Chemiluminescent detector.

* * * * *
    (c) NO2-to-NO converter. Place upstream of the CLD an internal or 
external NO2-to-NO converter that meets the verification in 
Sec.  1065.378. Configure the converter with a bypass line if it is 
needed to facilitate this verification.
    (d) Humidity effects. You must maintain all CLD temperatures to 
prevent aqueous condensation. If you remove humidity from a sample 
upstream of a CLD, use one of the following configurations:
* * * * *

0
70. Section 1065.280 is revised to read as follows:


Sec.  1065.280  Paramagnetic and magnetopneumatic O2 detection 
analyzers.

    (a) Application. You may use a paramagnetic detection (PMD) or 
magnetopneumatic detection (MPD) analyzer to measure O2 
concentration in raw or diluted exhaust for batch or continuous 
sampling. You may use O2 measurements with intake air or 
fuel flow measurements to calculate exhaust flow rate according to 
Sec.  1065.650.
    (b) Component requirements. We recommend that you use a PMD or MPD 
analyzer that meets the specifications in Table 1 of Sec.  1065.205. 
Note that it must meet the linearity verification in Sec.  1065.307. 
You may use a PMD or MPD that has compensation algorithms that are 
functions of other gaseous measurements and the engine's known or 
assumed fuel properties. The target value for any compensation 
algorithm is 0.0% (that is, no bias high and no bias low), regardless 
of the uncompensated signal's bias.

0
71. Section 1065.290 is amended by revising paragraph (c)(1) to read as 
follows:


Sec.  1065.290  PM gravimetric balance.

* * * * *
    (c) * * *
    (1) Use a pan that centers the PM sample media (such as a filter) 
on the weighing pan. For example, use a pan in the shape of a cross 
that has upswept tips that center the PM sample media on the pan.
* * * * *

Subpart D--[Amended]

0
72. Section 1065.303 is revised to read as follows:


Sec.  1065.303  Summary of required calibration and verifications.

    The following table summarizes the required and recommended 
calibrations and verifications described in this subpart and indicates 
when these have to be performed:

    Table 1 of Sec.   1065.303.--Summary of Required Calibration and
                              Verifications
------------------------------------------------------------------------
    Type of calibration or
         verification                     Minimum frequency a
------------------------------------------------------------------------
Sec.   1065.305: Accuracy,     Accuracy: Not required, but recommended
 repeatability and noise.       for initial installation.
                               Repeatability: Not required, but
                                recommended for initial installation.
                               Noise: Not required, but recommended for
                                initial installation.

[[Page 37301]]

 
Sec.   1065.307: Linearity...  Speed: Upon initial installation, within
                                370 days before testing and after major
                                maintenance.
                               Torque: Upon initial installation, within
                                370 days before testing and after major
                                maintenance.
                               Electrical power: Upon initial
                                installation, within 370 days before
                                testing and after major maintenance.
                               Clean gas and diluted exhaust flows: Upon
                                initial installation, within 370 days
                                before testing and after major
                                maintenance, unless flow is verified by
                                propane check or by carbon or oxygen
                                balance.
                               Raw exhaust flow: Upon initial
                                installation, within 185 days before
                                testing and after major maintenance,
                                unless flow is verified by propane check
                                or by carbon or oxygen balance.
                               Gas analyzers: Upon initial installation,
                                within 35 days before testing and after
                                major maintenance.
                               PM balance: Upon initial installation,
                                within 370 days before testing and after
                                major maintenance.
                               Stand-alone pressure and temperature:
                                Upon initial installation, within 370
                                days before testing and after major
                                maintenance.
Sec.   1065.308: Continuous    Upon initial installation, after system
 analyzer system response and   reconfiguration, and after major
 recording.                     maintenance.
Sec.   1065.309: Continuous    Upon initial installation, after system
 analyzer uniform response.     reconfiguration, and after major
                                maintenance.
Sec.   1065.310: Torque......  Upon initial installation and after major
                                maintenance.
Sec.   1065.315: Pressure,     Upon initial installation and after major
 temperature, dewpoint.         maintenance.
Sec.   1065.320: Fuel flow...  Upon initial installation and after major
                                maintenance.
Sec.   1065.325: Intake flow.  Upon initial installation and after major
                                maintenance.
Sec.   1065.330: Exhaust flow  Upon initial installation and after major
                                maintenance.
Sec.   1065.340: Diluted       Upon initial installation and after major
 exhaust flow (CVS).            maintenance.
Sec.   1065.341: CVS and       Upon initial installation, within 35 days
 batch sampler verification b.  before testing, and after major
                                maintenance.
Sec.   1065.345: Vacuum leak.  Before each laboratory test according to
                                subpart F of this part and before each
                                field test according to subpart J of
                                this part.
Sec.   1065.350: CO2 NDIR H2O  Upon initial installation and after major
 interference.                  maintenance.
Sec.   1065.355: CO NDIR CO2   Upon initial installation and after major
 and H2O interference.          maintenance.
Sec.   1065.360: FID           Calibrate all FID analyzers: Upon initial
 calibration THC FID            installation and after major
 optimization, and THC FID      maintenance.
 verification.                 Optimize and determine CH4 response for
                                THC FID analyzers: upon initial
                                installation and after major
                                maintenance.
                               Verify CH4 response for THC FID
                                analyzers: Upon initial installation,
                                within 185 days before testing, and
                                after major maintenance.
Sec.   1065.362: Raw exhaust   For all FID analyzers: Upon initial
 FID O2 interference.           installation, and after major
                                maintenance.
                               For THC FID analyzers: Upon initial
                                installation, after major maintenance,
                                and after FID optimization according to
                                Sec.   1065.360.
Sec.   1065.365: Nonmethane    Upon initial installation, within 185
 cutter penetration.            days before testing, and after major
                                maintenance.
Sec.   1065.370: CLD CO2 and   Upon initial installation and after major
 H2O quench.                    maintenance.
Sec.   1065.372: NDUV HC and   Upon initial installation and after major
 H2O interference.              maintenance.
Sec.   1065.376: Chiller NO2   Upon initial installation and after major
 penetration.                   maintenance.
Sec.   1065.378: NO2-to-NO     Upon initial installation, within 35 days
 converter conversion.          before testing, and after major
                                maintenance.
Sec.   1065.390: PM balance    Independent verification: Upon initial
 and weighing.                  installation, within 370 days before
                                testing, and after major maintenance.
                               Zero, span, and reference sample
                                verifications: Within 12 hours of
                                weighing, and after major maintenance.
Sec.   1065.395: Inertial PM   Independent verification: Upon initial
 balance and weighing.          installation, within 370 days before
                                testing, and after major maintenance.
                               Other verifications: Upon initial
                                installation and after major
                                maintenance.
------------------------------------------------------------------------
a Perform calibrations and verifications more frequently, according to
  measurement system manufacturer instructions and good engineering
  judgment.
b The CVS verification described in Sec.   1065.341 is not required for
  systems that agree within  2% based on a chemical balance
  of carbon or oxygen of the intake air, fuel, and diluted exhaust.


0
73. Section 1065.305 is amended by revising paragraphs (d)(4), (d)(8), 
and (d)(9)(iii) to read as follows:


Sec.  1065.305  Verifications for accuracy, repeatability, and noise.

* * * * *
    (d) * * *
    (4) Use the instrument to quantify a NIST-traceable reference 
quantity, yref. For gas analyzers the reference gas must 
meet the specifications of Sec.  1065.750. Select a reference quantity 
near the mean value expected during testing. For all gas analyzers, use 
a quantity near the flow-weighted mean concentration expected at the 
standard or expected during testing, whichever is greater. For noise 
verification, use the same zero gas from paragraph (e) of this section 
as the reference quantity. In all cases, allow time for the instrument 
to stabilize while it measures the reference quantity. Stabilization 
time may include time to purge an instrument and time to account for 
its response.
* * * * *
    (8) Repeat the steps specified in paragraphs (d)(2) through (7) of 
this section until you have ten arithmetic means (y1, 
y2, yi,...y10), ten standard 
deviations, ([sigma]1, [sigma]2, 
[sigma]i,...[sigma]10), and ten errors 
([egr]1, [egr]2, 
[egr]i,...[egr]10).
    (9) * * *
    (iii) Noise. Noise is two times the root-mean-square of the ten 
standard

[[Page 37302]]

deviations (that is, noise = 2[middot]rms[sigma]) when the reference 
signal is a zero-quantity signal. Refer to the example of a root-mean-
square calculation in Sec.  1065.602. We recommend that instrument 
noise be within the specifications in Table 1 of Sec.  1065.205.
* * * * *

0
74. Section 1065.307 is amended by revising paragraphs (b), (c)(6), 
(c)(13), and Table 1 and adding paragraphs (d)(8) and (e) before the 
newly revised table to read as follows:


Sec.  1065.307  Linearity verification.

* * * * *
    (b) Performance requirements. If a measurement system does not meet 
the applicable linearity criteria in Table 1 of this section, correct 
the deficiency by re-calibrating, servicing, or replacing components as 
needed. Repeat the linearity verification after correcting the 
deficiency to ensure that the measurement system meets the linearity 
criteria. Before you may use a measurement system that does not meet 
linearity criteria, you must demonstrate to us that the deficiency does 
not adversely affect your ability to demonstrate compliance with the 
applicable standards.
    (c) * * *
    (6) For all measured quantities, use instrument manufacturer 
recommendations and good engineering judgment to select reference 
values, yrefi, that cover a range of values that you expect 
would prevent extrapolation beyond these values during emission 
testing. We recommend selecting a zero reference signal as one of the 
reference values of the linearity verification. For stand-alone 
pressure and temperature linearity verifications, we recommend at least 
three reference values. For all other linearity verifications select at 
least ten reference values.
* * * * *
    (13) Use the arithmetic means, yi, and reference values, 
yrefi, to calculate least-squares linear regression 
parameters and statistical values to compare to the minimum performance 
criteria specified in Table 1 of this section. Use the calculations 
described in Sec.  1065.602. Using good engineering judgment, you may 
weight the results of individual data pairs (i.e., (yrefi, 
yi)), in the linear regression calculations.
    (d) * * *
    (8) Temperature. You may perform the linearity verification for 
temperature measurement systems with thermocouples, RTDs, and 
thermistors by removing the sensor from the system and using a 
simulator in its place. Use a NIST-traceable simulator that is 
independently calibrated and, as appropriate, cold-junction 
compensated. The simulator uncertainty scaled to temperature must be 
less than 0.5% of Tmax. If you use this option, you must use 
sensors that the supplier states are accurate to better than 0.5% of 
Tmax compared with their standard calibration curve.
    (e) Measurement systems that require linearity verification. Table 
1 of this section indicates measurement systems that require linearity 
verifications, subject to the following provisions:
    (1) Perform a linearity verification more frequently based on the 
instrument manufacturer's recommendation or good engineering judgment.
    (2) The expression ``min'' refers to the minimum reference value 
used during the linearity verification. Note that this value may be 
zero or a negative value depending on the signal.
    (3) The expression ``max'' generally refers to the maximum 
reference value used during the linearity verification. For example for 
gas dividers, xmax is the undivided, undiluted, span gas 
concentration. The following are special cases where ``max'' refers to 
a different value:
    (i) For linearity verification with a PM balance, mmax 
refers to the typical mass of a PM filter.
    (ii) For linearity verification of torque, Tmax refers 
to the manufacturer's specified engine torque peak value of the lowest 
torque engine to be tested.
    (4) The specified ranges are inclusive. For example, a specified 
range of 0.98-1.02 for a1 means 0.98<=a1<=1.02.
    (5) These linearity verifications are optional for systems that 
pass the flow-rate verification for diluted exhaust as described in 
Sec.  1065.341 (the propane check) or for systems that agree within 
2% based on a chemical balance of carbon or oxygen of the 
intake air, fuel, and exhaust.
    (6) You must meet the a1 criteria for these quantities 
only if the absolute value of the quantity is required, as opposed to a 
signal that is only linearly proportional to the actual value.
    (7) The following provisions apply for stand-alone temperature 
measurements:
    (i) The following temperature linearity checks are required:
    (A) Air intake.
    (B) Aftertreatment bed(s), for engines tested with aftertreatment 
devices subject to cold-start testing.
    (C) Dilution air for PM sampling, including CVS, double-dilution, 
and partial-flow systems.
    (D) PM sample, if applicable.
    (E) Chiller sample, for gaseous sampling systems that use chillers 
to dry samples.
    (ii) The following temperature linearity checks are required only 
if specified by the engine manufacturer:
    (A) Fuel inlet.
    (B) Air outlet to the test cell's charge air cooler air outlet, for 
engines tested with a laboratory heat exchanger that simulates an 
installed charge air cooler.
    (C) Coolant inlet to the test cell's charge air cooler, for engines 
tested with a laboratory heat exchanger that simulates an installed 
charge air cooler.
    (D) Oil in the sump/pan.
    (E) Coolant before the thermostat, for liquid-cooled engines.
    (8) The following provisions apply for stand-alone pressure 
measurements:
    (i) The following pressure linearity checks are required:
    (A) Air intake restriction.
    (B) Exhaust back pressure.
    (C) Barometer.
    (D) CVS inlet gage pressure.
    (E) Chiller sample, for gaseous sampling systems that use chillers 
to dry samples.
    (ii) The following pressure linearity checks are required only if 
specified by the engine manufacturer:
    (A) The test cell's charge air cooler and interconnecting pipe 
pressure drop, for turbo-charged engines tested with a laboratory heat 
exchanger that simulates an installed charge air cooler.
    (B) Fuel outlet.

                                  Table 1 of Sec.   1065.307.--Measurement Systems That Require Linearity Verifications
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                        Linearity criteria
                                                   Minimum verification  -------------------------------------------------------------------------------
       Measurement system           Quantity            frequency         [verbarlm]xmin(a1-1)+a0
                                                                                 [verbarlm]             a1                SEE                 r \2\
--------------------------------------------------------------------------------------------------------------------------------------------------------
Engine speed...................  fn............  Within 370 days before   <=0.05 % fnmax.........    0.98-1.02  <=2 % [middot] fnmax...  >=0.990
                                                  testing.
Engine torque..................  T.............  Within 370 days before   <=1 % [middot] Tmax....    0.98-1.02  <=2 % [middot] Tmax....  >=0.990
                                                  testing.
Electrical work................  W.............  Within 370 days before   <=1 % [middot] Tmax....    0.98-1.02  <=2 % [middot] Tmax....  >=0.990
                                                  testing.
Fuel flow rate.................  m.............  Within 370 days before   <=1 % [middot] mmax....    0.98-1.02  <=2 % [middot] mmax....  >=0.990
                                                  testing d.

[[Page 37303]]

 
Intake-air flow rate...........  n.............  Within 370 days before   <=1 % [middot] nmax....    0.98-1.02  <=2 % [middot] nmax....  >=0.990
                                                  testing.
Dilution air flow rate.........  n.............  Within 370 days before   <=1 % [middot] nmax....    0.98-1.02  <=2 % [middot] nmax....  >=0.990
                                                  testing.
Diluted exhaust flow rate......  n.............  Within 370 days before   <=1 % [middot] nmax....    0.98-1.02  <=2 % [middot] nmax....  >=0.990
                                                  testing.
Raw exhaust flow rate..........  n.............  Within 185 days before   <=1 % [middot] nmax....    0.98-1.02  <=2 % [middot] nmax....  >=0.990
                                                  testing.
Batch sampler flow rates.......  n.............  Within 370 days before   <=1 % [middot] nmax....    0.98-1.02  <=2 % [middot] nmax....  >=0.990
                                                  testing.
Gas dividers...................  x/xspan.......  Within 370 days before   <=0.5 % [middot] xmax..    0.98-1.02  <=2 % [middot] xmax....  >=0.990
                                                  testing.
Gas analyzers for laboratory     x.............  Within 35 days before    <=0.5 % [middot] xmax..    0.99-1.01  <=1 % [middot] xmax....  >=0.998
 testing.                                         testing.
Gas analyzers for field testing  x.............  Within 35 days before    <=1 % [middot] xmax....    0.99-1.01  <=1 % [middot] xmax....  >=0.998
                                                  testing.
PM balance.....................  m.............  Within 370 days before   <=1 % [middot] mmax....    0.99-1.01  <=1 % [middot] mmax....  >=0.998
                                                  testing.
Stand-alone pressures..........  p.............  Within 370 days before   <=1 % [middot] pmax....    0.99-1.01  <=1 % [middot] pmax....  >=0.998
                                                  testing.
Analog-to-digital conversion of  T.............  Within 370 days before   <=1 % [middot] Tmax....    0.99-1.01  <=1 % [middot] Tmax....  >=0.998
 stand-alone temperature                          testing.
 signals.
--------------------------------------------------------------------------------------------------------------------------------------------------------


0
75. Section 1065.308 is revised to read as follows:


Sec.  1065.308  Continuous gas analyzer system-response and updating-
recording verification--general.

    This section describes a general verification procedure for 
continuous gas analyzer system response and update recording. See Sec.  
1065.309 for verification procedures that apply for systems or 
components involving H2O correction.
    (a) Scope and frequency. Perform this verification after installing 
or replacing a gas analyzer that you use for continuous sampling. Also 
perform this verification if you reconfigure your system in a way that 
would change system response. For example, perform this verification if 
you add a significant volume to the transfer lines by increasing their 
length or adding a filter; or if you reduce the frequency at which you 
sample and record gas-analyzer concentrations. You do not have to 
perform this verification for gas analyzer systems used only for 
discrete-mode testing.
    (b) Measurement principles. This test verifies that the updating 
and recording frequencies match the overall system response to a rapid 
change in the value of concentrations at the sample probe. Gas analyzer 
systems must be optimized such that their overall response to a rapid 
change in concentration is updated and recorded at an appropriate 
frequency to prevent loss of information. This test also verifies that 
continuous gas analyzer systems meet a minimum response time.
    (c) System requirements. To demonstrate acceptable updating and 
recording with respect to the system's overall response, use good 
engineering judgment to select one of the following criteria that your 
system must meet:
    (1) The product of the mean rise time and the frequency at which 
the system records an updated concentration must be at least 5, and the 
product of the mean fall time and the frequency at which the system 
records an updated concentration must be at least 5. This criterion 
makes no assumption regarding the frequency content of changes in 
emission concentrations during emission testing; therefore, it is valid 
for any testing. In any case the mean rise time and the mean fall time 
must be no more than 10 seconds.
    (2) The frequency at which the system records an updated 
concentration must be at least 5 Hz. This criterion assumes that the 
frequency content of significant changes in emission concentrations 
during emission testing do not exceed 1 Hz. In any case the mean rise 
time and the mean fall time must be no more than 10 seconds.
    (3) You may use other criteria if we approve the criteria in 
advance.
    (4) You may meet the overall PEMS verification in Sec.  1065.920 
instead of the verification in this section for field testing with 
PEMS.
    (d) Procedure. Use the following procedure to verify the response 
of a continuous gas analyzer system:
    (1) Instrument setup. Follow the analyzer system manufacturer's 
start-up and operating instructions. Adjust the system as needed to 
optimize performance.
    (2) Equipment setup. We recommend using minimal lengths of gas 
transfer lines between all connections and fast-acting three-way valves 
(2 inlets, 1 outlet) to control the flow of zero and blended span gases 
to the analyzers. You may use a gas mixing or blending device to 
equally blend an NO-CO-CO2-C3H8-
CH4, balance N2 span gas with a span gas of 
NO2, balance purified synthetic air. Standard binary span 
gases may also be used, where applicable, in place of blended NO-CO-
CO2-C3H8-CH4, balance 
N2 span gas, but separate response tests must then be run 
for each analyzer. In designing your experimental setup, avoid pressure 
pulsations due to stopping the flow through the gas-blending device. 
Note that you may omit any of these gas constituents if they are not 
relevant to your analyzers for this verification.
    (3) Data collection. (i) Start the flow of zero gas.
    (ii) Allow for stabilization, accounting for transport delays and 
the slowest instrument's full response.
    (iii) Start recording data at the frequency used during emission 
testing. Each recorded value must be a unique updated concentration 
measured by the analyzer; you may not use interpolation to increase the 
number of recorded values.
    (iv) Switch the flow to allow the blended span gases to flow to the 
analyzer.
    (v) Allow for transport delays and the slowest instrument's full 
response.
    (vi) Repeat the steps in paragraphs (d)(3)(i) through (v) of this 
section to record seven full cycles, ending with zero gas flowing to 
the analyzers.
    (vii) Stop recording.
    (e) Performance evaluation. (1) If you chose to demonstrate 
compliance with paragraph (c)(1) of this section, use the data from 
paragraph (d)(3) of this section to calculate the mean rise time, 
t10-90, and mean fall time, t10-90, for each of 
the analyzers. Multiply these times (in seconds) by their respective 
recording frequencies in Hertz (1/second). The value for each result 
must be at least 5. If the value is less than 5, increase the recording 
frequency or adjust the flows or design of the sampling system to 
increase the rise time and fall time as needed. You may

[[Page 37304]]

also configure digital filters to increase rise and fall times. The 
mean rise time and mean fall time must be no greater than 10 seconds.
    (2) If a measurement system fails the criterion in paragraph (e)(1) 
of this section, ensure that signals from the system are updated and 
recorded at a frequency of at least 5 Hz. In any case, the mean rise 
time and mean fall time must be no greater than 10 seconds.
    (3) If a measurement system fails the criteria in paragraphs (e)(1) 
and (2) of this section, you may use the continuous analyzer system 
only if the deficiency does not adversely affect your ability to show 
compliance with the applicable standards.


0
76. Section 1065.309 is revised to read as follows:


Sec.  1065.309  Continuous gas analyzer system-response and updating-
recording verification--with humidified-response verification.

    This section describes a verification procedure for continuous gas 
analyzer system response and update recording for systems or components 
involving H2O correction. See Sec.  1065.308 for 
verification procedures that apply for systems not involving 
humidification.
    (a) Scope and frequency. Perform this verification to determine a 
continuous gas analyzer's response, where one analyzer's response is 
compensated by another's to quantify a gaseous emission. For this check 
we consider water vapor a gaseous constituent. You do not have to 
perform this verification for batch gas analyzer systems or for 
continuous analyzer systems that are only used for discrete-mode 
testing. Perform this verification after initial installation (i.e. 
test cell commissioning). The verification in this section is required 
for initial installation of systems or components involving 
H2O correction. For later verifications, you may use the 
procedures specified in Sec.  1065.308, as long as your system includes 
no replacement components involving H2O correction that have 
never been verified using the procedures in this section.
    (b) Measurement principles. This procedure verifies the time-
alignment and uniform response of continuously combined gas 
measurements. For this procedure, ensure that all compensation 
algorithms and humidity corrections are turned on.
    (c) System requirements. Demonstrate that continuously combined 
concentration measurements have a uniform rise and fall during a system 
response to a rapid change in multiple gas concentrations. You must 
meet one of the following criteria:
    (1) The product of the mean rise time and the frequency at which 
the system records an updated concentration must be at least 5, and the 
product of the mean fall time and the frequency at which the system 
records an updated concentration must be at least 5. This criterion 
makes no assumption regarding the frequency content of changes in 
emission concentrations during emission testing; therefore, it is valid 
for any testing. In no case may the mean rise time or the mean fall 
time be more than 10 seconds.
    (2) The frequency at which the system records an updated 
concentration must be at least 5 Hz. This criterion assumes that the 
frequency content of significant changes in emission concentrations 
during emission testing do not exceed 1 Hz. In no case may the mean 
rise time or the mean fall time be more than 10 seconds.
    (3) You may use other criteria if we approve them in advance.
    (4) You may meet the overall PEMS verification in Sec.  1065.920 
instead of the verification in this section for field testing with 
PEMS.
    (d) Procedure. Use the following procedure to verify the response 
of a continuous gas analyzer system:
    (1) Instrument setup. Follow the analyzer system manufacturer's 
start-up and operating instructions. Adjust the system as needed to 
optimize performance.
    (2) Equipment setup. We recommend using minimal lengths of gas 
transfer lines between all connections and fast-acting three-way valves 
(2 inlets, 1 outlet) to control the flow of zero and blended span gases 
to the analyzers. You may use a gas blending or mixing device to 
equally blend a span gas of NO-CO-CO2-
C3H8-CH4, balance N2, with 
a span gas of NO2, balance purified synthetic air. Standard 
binary span gases may be used, where applicable, in place of blended 
NO-CO-CO2-C3H8-CH4, balance 
N2 span gas, but separate response tests must then be run 
for each analyzer. In designing your experimental setup, avoid pressure 
pulsations due to stopping the flow through the gas blending device. 
Span gases must be humidified before entering the analyzer; however, 
you may not humidify NO2 span gas by passing it through a 
sealed humidification vessel that contains water. We recommend 
humidifying your NO-CO-CO2-C3H8-
CH4, balance N2 blended gas by flowing the gas 
mixture through a sealed vessel that humidifies the gas by bubbling it 
through distilled water and then mixing the gas with dry NO2 
gas, balance purified synthetic air. If your system does not use a 
sample dryer to remove water from the sample gas, you must humidify 
your span gas by flowing the gas mixture through a sealed vessel that 
humidifies the gas to the highest sample dewpoint that you estimate 
during emission sampling by bubbling it through distilled water. If 
your system uses a sample dryer during testing that has passed the 
sample dryer verification check in Sec.  1065.342, you may introduce 
the humidified gas mixture downstream of the sample dryer by bubbling 
it through distilled water in a sealed vessel at (25  10) 
[deg]C, or a temperature greater than the dewpoint determined in Sec.  
1065.145(d)(2). In all cases, maintain the humidified gas temperature 
downstream of the vessel at least 5 [deg]C above its local dewpoint in 
the line. We recommend that you heat all gas transfer lines and valves 
located downstream of the vessel as needed to avoid condensation. Note 
that you may omit any of these gas constituents if they are not 
relevant to your analyzers for this verification. If any of your gas 
constituents are not susceptible to water compensation, you may perform 
the response check for these analyzers without humidification.
    (3) Data collection. (i) Start the flow of zero gas.
    (ii) Allow for stabilization, accounting for transport delays and 
the slowest instrument's full response.
    (iii) Start recording data at the frequency used during emission 
testing. Each recorded value must be a unique updated concentration 
measured by the analyzer; you may not use interpolation to increase the 
number of recorded values.
    (iv) Switch the flow to allow the blended span gases to flow to the 
analyzers.
    (v) Allow for transport delays and the slowest instrument's full 
response.
    (vi) Repeat the steps in paragraphs (d)(3)(i) through (v) of this 
section to record seven full cycles, ending with zero gas flowing to 
the analyzers.
    (vii) Stop recording.
    (e) Performance evaluations. (1) If you chose to demonstrate 
compliance with paragraph (c)(1) of this section, use the data from 
paragraph (d)(3) of this section to calculate the mean rise time, 
t10-90, and mean fall time, tS90-10, for each of 
the analyzers. Multiply these times (in seconds) by their respective 
recording frequencies in Hz (1/second). The value for each result must 
be at least 5. If the value is less than 5, increase the recording 
frequency or adjust the flows or design of the sampling system to 
increase the rise time and fall time as needed. You may also configure 
digital filters to increase rise and fall times. In no case may the

[[Page 37305]]

mean rise time or mean fall time be greater than 10 seconds.
    (2) If a measurement system fails the criterion in paragraph (e)(1) 
of this section, ensure that signals from the system are updated and 
recorded at a frequency of at least 5 Hz. In no case may the mean rise 
time or mean fall time be greater than 10 seconds.
    (3) If a measurement system fails the criteria in paragraphs (e)(1) 
and (2) of this section, you may use the continuous analyzer system 
only if the deficiency does not adversely affect your ability to show 
compliance with the applicable standards.

0
77. Section 1065.310 is amended by revising paragraph (d) to read as 
follows:


Sec.  1065.310  Torque calibration.

* * * * *
    (d) Strain gage or proving ring calibration. This technique applies 
force either by hanging weights on a lever arm (these weights and their 
lever arm length are not used as part of the reference torque 
determination) or by operating the dynamometer at different torques. 
Apply at least six force combinations for each applicable torque-
measuring range, spacing the force quantities about equally over the 
range. Oscillate or rotate the dynamometer during calibration to reduce 
frictional static hysteresis. In this case, the reference torque is 
determined by multiplying the force output from the reference meter 
(such as a strain gage or proving ring) by its effective lever-arm 
length, which you measure from the point where the force measurement is 
made to the dynamometer's rotational axis. Make sure you measure this 
length perpendicular to the reference meter's measurement axis and 
perpendicular to the dynamometer's rotational axis.

0
78. Section 1065.315 is amended by revising paragraph (a)(2) to read as 
follows:


Sec.  1065.315  Pressure, temperature, and dewpoint calibration.

    (a) * * *
    (2) Temperature. We recommend digital dry-block or stirred-liquid 
temperature calibrators, with data logging capabilities to minimize 
transcription errors. We recommend using calibration reference 
quantities that are NIST-traceable within 0.5% uncertainty. You may 
perform the linearity verification for temperature measurement systems 
with thermocouples, RTDs, and thermistors by removing the sensor from 
the system and using a simulator in its place. Use a NIST-traceable 
simulator that is independently calibrated and, as appropriate, cold-
junction compensated. The simulator uncertainty scaled to temperature 
must be less than 0.5% of Tmax. If you use this option, you 
must use sensors that the supplier states are accurate to better than 
0.5% of Tmax compared with their standard calibration curve.
* * * * *

0
79. Section 1065.340 is amended by revising paragraphs (f)(5), 
(f)(6)(ii), (f)(7), (f)(9), (f)(10), (g)(6)(i), and Figure 1 to read as 
follows:


Sec.  1065.340  Diluted exhaust flow (CVS) calibration.

* * * * *
    (f) * * *
    (5) Set the variable restrictor to its wide-open position. Instead 
of a variable restrictor, you may alternately vary the pressure 
downstream of the CFV by varying blower speed or by introducing a 
controlled leak. Note that some blowers have limitations on nonloaded 
conditions.
    (6) * * *
    (ii) The mean dewpoint of the calibration air, Tdew. See 
Sec.  1065.640 for permissible assumptions during emission 
measurements.
* * * * *
    (7) Incrementally close the restrictor valve or decrease the 
downstream pressure to decrease the differential pressure across the 
CFV,[Delta]pCFV.
* * * * *
    (9) Determine Cd and the lowest allowable pressure 
ratio, r, according to Sec.  1065.640.
    (10) Use Cd to determine CFV flow during an emission 
test. Do not use the CFV below the lowest allowed r, as determined in 
Sec.  1065.640.
* * * * *
    (g) * * *
    (6) * * *
    (i) The mean flow rate of the reference flow meter,nref. 
This may include several measurements of different quantities, such as 
reference meter pressures and temperatures, for calculating 
nref.
* * * * *
BILLING CODE 1505-01-D

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[GRAPHIC] [TIFF OMITTED] TR06MY08.020

BILLING CODE 1505-01-C

[[Page 37307]]

0
80. Section 1065.341 is amended by revising paragraphs (d) introductory 
text, (d)(7), and (g) introductory text to read as follows:


Sec.  1065.341  CVS and batch sampler verification (propane check).

* * * * *
    (d) If you performed the vacuum-side leak verification of the HC 
sampling system as described in paragraph (c)(8) of this section, you 
may use the HC contamination procedure in Sec.  1065.520(g) to verify 
HC contamination. Otherwise, zero, span, and verify contamination of 
the HC sampling system, as follows:
* * * * *
    (7) When the overflow HC concentration does not exceed 2 [mu]mol/
mol, record this value as xTHCinit and use it to correct for 
HC contamination as described in Sec.  1065.660.
* * * * *
    (g) You may repeat the propane check to verify a batch sampler, 
such as a PM secondary dilution system.
* * * * *
0
81. A new Sec.  1065.342 is added to read as follows:


Sec.  1065.342  Sample dryer verification.

    (a) Scope and frequency. If you use a sample dryer as allowed in 
Sec.  1065.145(d)(2) to remove water from the sample gas, verify the 
performance upon installation, after major maintenance, for thermal 
chiller. For osmotic membrane dryers, verify the performance upon 
installation, after major maintenance, and within 35 days of testing.
    (b) Measurement principles. Water can inhibit an analyzer's ability 
to properly measure the exhaust component of interest and thus is 
sometimes removed before the sample gas reaches the analyzer. For 
example water can negatively interfere with a CLD's NOX 
response through collisional quenching and can positively interfere 
with an NDIR analyzer by causing a response similar to CO.
    (c) System requirements. The sample dryer must meet the 
specifications as determined in Sec.  1065.145(d)(2) for dewpoint, 
Tdew, and absolute pressure, ptotal, downstream 
of the osmotic-membrane dryer or thermal chiller.
    (d) Sample dryer verification procedure. Use the following method 
to determine sample dryer performance, or use good engineering judgment 
to develop a different protocol:
    (1) Use PTFE or stainless steel tubing to make necessary 
connections.
    (2) Humidify N2 or purified air by bubbling it through 
distilled water in a sealed vessel that humidifies the gas to the 
highest sample dewpoint that you estimate during emission sampling.
    (3) Introduce the humidified gas upstream of the sample dryer.
    (4) Downstream of the vessel, maintain the humidified gas 
temperature at least 5 [deg]C above its dewpoint.
    (5) Measure the humidified gas dewpoint, Tdew, and 
pressure, ptotal, as close as possible to the inlet of the 
sample dryer to verify the dewpoint is the highest that you estimated 
during emission sampling.
    (6) Measure the humidified gas dewpoint, Tdew, and 
pressure, ptotal, as close as possible to the outlet of the 
sample dryer.
    (7) The sample dryer meets the verification if the results of 
paragraph (d)(6) of this section are less than the dew point 
corresponding to the sample dryer specifications as determined in Sec.  
1065.145(d)(2) plus 2 [deg]C or if the mole fraction from (d)(6) is 
less than the corresponding sample dryer specifications plus 0.002 mol/
mol.
    (e) Alternate sample dryer verification procedure. The following 
method may be used in place of the sample dryer verification procedure 
in (d) of this section. If you use a humidity sensor for continuous 
monitoring of dewpoint at the sample dryer outlet you may skip the 
performance check in Sec.  1065.342(d), but you must make sure that the 
dryer outlet humidity is below the minimum values used for quench, 
interference, and compensation checks.

0
82. Section 1065.345 is revised to read as follows:


Sec.  1065.345  Vacuum-side leak verification.

    (a) Scope and frequency. Verify that there are no significant 
vacuum-side leaks using one of the leak tests described in this section 
upon initial sampling system installation, after maintenance such as 
pre-filter changes, and within eight hours before each duty-cycle 
sequence. This verification does not apply to any full-flow portion of 
a CVS dilution system.
    (b) Measurement principles. A leak may be detected either by 
measuring a small amount of flow when there should be zero flow, or by 
detecting the dilution of a known concentration of span gas when it 
flows through the vacuum side of a sampling system.
    (c) Low-flow leak test. Test a sampling system for low-flow leaks 
as follows:
    (1) Seal the probe end of the system by taking one of the following 
steps:
    (i) Cap or plug the end of the sample probe.
    (ii) Disconnect the transfer line at the probe and cap or plug the 
transfer line.
    (iii) Close a leak-tight valve located in the sample transfer line 
within 92 cm of the probe.
    (2) Operate all vacuum pumps. After stabilizing, verify that the 
flow through the vacuum-side of the sampling system is less than 0.5% 
of the system's normal in-use flow rate. You may estimate typical 
analyzer and bypass flows as an approximation of the system's normal 
in-use flow rate.
    (d) Dilution-of-span-gas leak test. You may use any gas analyzer 
for this test. If you use a FID for this test, correct for any HC 
contamination in the sampling system according to Sec.  1065.660. To 
avoid misleading results from this test, we recommend using only 
analyzers that have a repeatability of 0.5% or better at the span gas 
concentration used for this test. Perform a vacuum-side leak test as 
follows:
    (1) Prepare a gas analyzer as you would for emission testing.
    (2) Supply span gas to the analyzer port and verify that it 
measures the span gas concentration within its expected measurement 
accuracy and repeatability.
    (3) Route overflow span gas to one of the following locations in 
the sampling system:
    (i) The end of the sample probe.
    (ii) Disconnect the transfer line at the probe connection, and 
overflow the span gas at the open end of the transfer line.
    (iii) A three-way valve installed in-line between a probe and its 
transfer line, such as a system overflow zero and span port.
    (4) Verify that the measured overflow span gas concentration is 
within  0.5% of the span gas concentration. A measured 
value lower than expected indicates a leak, but a value higher than 
expected may indicate a problem with the span gas or the analyzer 
itself. A measured value higher than expected does not indicate a leak.
    (e) Vacuum-decay leak test. To perform this test you must apply a 
vacuum to the vacuum-side volume of your sampling system and then 
observe the leak rate of your system as a decay in the applied vacuum. 
To perform this test you must know the vacuum-side volume of your 
sampling system to within  10% of its true volume. For this 
test you must also use measurement instruments that meet the 
specifications of subpart C of this part and of this subpart D. Perform 
a vacuum-decay leak test as follows:
    (1) Seal the probe end of the system as close to the probe opening 
as possible by taking one of the following steps:
    (i) Cap or plug the end of the sample probe.

[[Page 37308]]

    (ii) Disconnect the transfer line at the probe and cap or plug the 
transfer line.
    (iii) Close a leak-tight valve in-line between a probe and transfer 
line.
    (2) Operate all vacuum pumps. Draw a vacuum that is representative 
of normal operating conditions. In the case of sample bags, we 
recommend that you repeat your normal sample bag pump-down procedure 
twice to minimize any trapped volumes.
    (3) Turn off the sample pumps and seal the system. Measure and 
record the absolute pressure of the trapped gas and optionally the 
system absolute temperature. Wait long enough for any transients to 
settle and long enough for a leak at 0.5% to have caused a pressure 
change of at least 10 times the resolution of the pressure transducer, 
then again record the pressure and optionally temperature.
    (4) Calculate the leak flow rate based on an assumed value of zero 
for pumped-down bag volumes and based on known values for the sample 
system volume, the initial and final pressures, optional temperatures, 
and elapsed time. Using the calculations specified in 1065.644, verify 
that the vacuum-decay leak flow rate is less than 0.5% of the system's 
normal in-use flow rate.

0
83. Section 1065.350 is amended by revising paragraphs (c) and (d) to 
read as follows:


Sec.  1065.350  H2O interference verification for CO2 NDIR analyzers.

* * * * *
    (c) System requirements. A CO2 NDIR analyzer must have 
an H2O interference that is within (0.0 0.4) 
mmol/mol, though we strongly recommend a lower interference that is 
within (0.0 0.2) mmol/mol.
    (d) Procedure. Perform the interference verification as follows:
    (1) Start, operate, zero, and span the CO2 NDIR analyzer 
as you would before an emission test.
    (2) Create a humidified test gas by bubbling zero air that meets 
the specifications in Sec.  1065.750 through distilled water in a 
sealed vessel. If the sample is not passed through a dryer, control the 
vessel temperature to generate an H2O level at least as high 
as the maximum expected during testing. If the sample is passed through 
a dryer during testing, control the vessel temperature to generate an 
H2O level at least as high as the level determined in Sec.  
1065.145(d)(2).
    (3) Introduce the humidified test gas into the sample system. You 
may introduce it downstream of any sample dryer, if one is used during 
testing.
    (4) Measure the humidified test gas dewpoint, Tdew, and 
pressure, ptotal, as close as possible to the inlet of the 
analyzer.
    (5) Downstream of the vessel, maintain the humidified test gas 
temperature at least 5 [deg]C above its dewpoint.
    (6) Allow time for the analyzer response to stabilize. 
Stabilization time may include time to purge the transfer line and to 
account for analyzer response.
    (7) While the analyzer measures the sample's concentration, record 
30 seconds of sampled data. Calculate the arithmetic mean of this data. 
The analyzer meets the interference verification if this value is 
within (0 0.4) mmol/mol.
* * * * *

0
84. Section 1065.355 is amended by revising paragraph (d) to read as 
follows:


Sec.  1065.355  H2O and CO2 interference verification for CO NDIR 
analyzers.

* * * * *
    (d) Procedure. Perform the interference verification as follows:
    (1) Start, operate, zero, and span the CO NDIR analyzer as you 
would before an emission test.
    (2) Create a humidified CO2 test gas by bubbling a 
CO2 span gas through distilled water in a sealed vessel. If 
the sample is not passed through a dryer, control the vessel 
temperature to generate an H2O level at least as high as the 
maximum expected during testing. If the sample is passed through a 
dryer during testing, control the vessel temperature to generate an 
H2O level at least as high as the level determined in Sec.  
1065.145(d)(2). Use a CO2 span gas concentration at least as 
high as the maximum expected during testing.
    (3) Introduce the humidified CO2 test gas into the 
sample system. You may introduce it downstream of any sample dryer, if 
one is used during testing.
    (4) Measure the humidified CO2 test gas dewpoint, 
Tdew, and pressure, ptotal, as close as possible 
to the inlet of the analyzer.
    (5) Downstream of the vessel, maintain the humidified gas 
temperature at least 5 [deg]C above its dewpoint.
    (6) Allow time for the analyzer response to stabilize. 
Stabilization time may include time to purge the transfer line and to 
account for analyzer response.
    (7) While the analyzer measures the sample's concentration, record 
its output for 30 seconds. Calculate the arithmetic mean of this data.
    (8) The analyzer meets the interference verification if the result 
of paragraph (d)(7) of this section meets the tolerance in paragraph 
(c) of this section.
    (9) You may also run interference procedures for CO2 and 
H2O separately. If the CO2 and H2O 
levels used are higher than the maximum levels expected during testing, 
you may scale down each observed interference value by multiplying the 
observed interference by the ratio of the maximum expected 
concentration value to the actual value used during this procedure. You 
may run the separate interference procedures concentrations of 
H2O (down to 0.025 mol/mol H2O content) that are 
lower than the maximum levels expected during testing, but you must 
scale up the observed H2O interference by multiplying the 
observed interference by the ratio of the maximum expected 
H2O concentration value to the actual value used during this 
procedure. The sum of the two scaled interference values must meet the 
tolerance in paragraph (c) of this section.
* * * * *

0
85. Section 1065.360 is revised to read as follows:


Sec.  1065.360  FID optimization and verification.

    (a) Scope and frequency. For all FID analyzers, calibrate the FID 
upon initial installation. Repeat the calibration as needed using good 
engineering judgment. For a FID that measures THC, perform the 
following steps:
    (1) Optimize the response to various hydrocarbons after initial 
analyzer installation and after major maintenance as described in 
paragraph (c) of this section.
    (2) Determine the methane (CH4) response factor after 
initial analyzer installation and after major maintenance as described 
in paragraph (d) of this section.
    (3) Verify the methane (CH4) response within 185 days 
before testing as described in paragraph (e) of this section.
    (b) Calibration. Use good engineering judgment to develop a 
calibration procedure, such as one based on the FID-analyzer 
manufacturer's instructions and recommended frequency for calibrating 
the FID. Alternately, you may remove system components for off-site 
calibration. For a FID that measures THC, calibrate using 
C3H8 calibration gases that meet the 
specifications of Sec.  1065.750. For a FID that measures 
CH4, calibrate using CH4 calibration gases that 
meet the specifications of Sec.  1065.750. We recommend FID analyzer 
zero and span gases that contain approximately the flow-weighted mean 
concentration of O2

[[Page 37309]]

expected during testing. If you use a FID to measure methane 
(CH4) downstream of a nonmethane cutter, you may calibrate 
that FID using CH4 calibration gases with the cutter. 
Regardless of the calibration gas composition, calibrate on a carbon 
number basis of one (C1). For example, if you use a 
C3H8 span gas of concentration 200 [mu]mol/mol, 
span the FID to respond with a value of 600 [mu]mol/mol. As another 
example, if you use a CH4 span gas with a concentration of 
200 [mu]mol/mol, span the FID to respond with a value of 200 [mu]mol/
mol.
    (c) THC FID response optimization. This procedure is only for FID 
analyzers that measure THC. Use good engineering judgment for initial 
instrument start-up and basic operating adjustment using FID fuel and 
zero air. Heated FIDs must be within their required operating 
temperature ranges. Optimize FID response at the most common analyzer 
range expected during emission testing. Optimization involves adjusting 
flows and pressures of FID fuel, burner air, and sample to minimize 
response variations to various hydrocarbon species in the exhaust. Use 
good engineering judgment to trade off peak FID response to propane 
calibration gases to achieve minimal response variations to different 
hydrocarbon species. For an example of trading off response to propane 
for relative responses to other hydrocarbon species, see SAE 770141 
(incorporated by reference in Sec.  1065.1010). Determine the optimum 
flow rates and/or pressures for FID fuel, burner air, and sample and 
record them for future reference.
    (d) THC FID CH4 response factor determination. This procedure is 
only for FID analyzers that measure THC. Since FID analyzers generally 
have a different response to CH4 versus 
C3H8, determine each THC FID analyzer's 
CH4 response factor, RFCH4[THC-FID], after FID 
optimization. Use the most recent RFCH4[THC-FID] measured 
according to this section in the calculations for HC determination 
described in Sec.  1065.660 to compensate for CH4 response. 
Determine RFCH4[THC-FID] as follows, noting that you do not 
determine RFCH4[THC-FID] for FIDs that are calibrated and 
spanned using CH4 with a nonmethane cutter:
    (1) Select a C3H8 span gas concentration that 
you use to span your analyzers before emission testing. Use only span 
gases that meet the specifications of Sec.  1065.750. Record the 
C3H8 concentration of the gas.
    (2) Select a CH4 span gas concentration that you use to 
span your analyzers before emission testing. Use only span gases that 
meet the specifications of Sec.  1065.750. Record the CH4 
concentration of the gas.
    (3) Start and operate the FID analyzer according to the 
manufacturer's instructions.
    (4) Confirm that the FID analyzer has been calibrated using 
C3H8. Calibrate on a carbon number basis of one 
(C1). For example, if you use a C3H8 
span gas of concentration 200 [mu]mol/mol, span the FID to respond with 
a value of 600 [mu]mol/mol.
    (5) Zero the FID with a zero gas that you use for emission testing.
    (6) Span the FID with the C3H8 span gas that 
you selected under paragraph (d)(1) of this section.
    (7) Introduce at the sample port of the FID analyzer, the 
CH4 span gas that you selected under paragraph (d)(2) of 
this section.
    (8) Allow time for the analyzer response to stabilize. 
Stabilization time may include time to purge the analyzer and to 
account for its response.
    (9) While the analyzer measures the CH4 concentration, 
record 30 seconds of sampled data. Calculate the arithmetic mean of 
these values.
    (10) Divide the mean measured concentration by the recorded span 
concentration of the CH4 calibration gas. The result is the 
FID analyzer's response factor for CH4, 
RFCH4[THC-FID].
    (e) THC FID methane (CH4) response verification. This procedure is 
only for FID analyzers that measure THC. If the value of 
RFCH4[THC-FID] from paragraph (d) of this section is within 
5.0% of its most recent previously determined value, the 
THC FID passes the methane response verification. For example, if the 
most recent previous value for RFCH4[THC-FID] was 1.05 and 
it changed by 0.05 to become 1.10 or it changed by -0.05 to 
become 1.00, either case would be acceptable because 4.8% 
is less than 5.0%. Verify RFCH4[THC-FID] as 
follows:
    (1) First verify that the flow rates and/or pressures of FID fuel, 
burner air, and sample are each within 0.5% of their most 
recent previously recorded values, as described in paragraph (c) of 
this section. You may adjust these flow rates as necessary. Then 
determine the RFCH4[THC-FID] as described in paragraph (d) 
of this section and verify that it is within the tolerance specified in 
this paragraph (e).
    (2) If RFCH4[THC-FID] is is not within the tolerance 
specified in this paragraph (e), re-optimize the FID response as 
described in paragraph (c) of this section.
    (3) Determine a new RFCH4[THC-FID] as described in 
paragraph (d) of this section. Use this new value of 
RFCH4[THC-FID] in the calculations for HC determination, as 
described in Sec.  1065.660.

0
86. Section 1065.362 is amended by revising paragraph (d) to read as 
follows:


Sec.  1065.362  Non-stoichiometric raw exhaust FID O2 interference 
verification.

* * * * *
    (d) Procedure. Determine FID O2 interference as follows, 
noting that you may use one or more gas dividers to create the 
reference gas concentrations that are required to perform this 
verification:
    (1) Select three span reference gases that contain a 
C3H8 concentration that you use to span your 
analyzers before emission testing. Use only span gases that meet the 
specifications of Sec.  1065.750. You may use CH4 span 
reference gases for FIDs calibrated on CH4 with a nonmethane 
cutter. Select the three balance gas concentrations such that the 
concentrations of O2 and N2 represent the 
minimum, maximum, and average O2 concentrations expected 
during testing. The requirement for using the average O2 
concentration can be removed if you choose to calibrate the FID with 
span gas balanced with the average expected oxygen concentration.
    (2) Confirm that the FID analyzer meets all the specifications of 
Sec.  1065.360.
    (3) Start and operate the FID analyzer as you would before an 
emission test. Regardless of the FID burner's air source during 
testing, use zero air as the FID burner's air source for this 
verification.
    (4) Zero the FID analyzer using the zero gas used during emission 
testing.
    (5) Span the FID analyzer using a span gas that you use during 
emission testing.
    (6) Check the zero response of the FID analyzer using the zero gas 
used during emission testing. If the mean zero response of 30 seconds 
of sampled data is within 0.5% of the span reference value 
used in paragraph (d)(5) of this section, then proceed to the next 
step; otherwise restart the procedure at paragraph (d)(4) of this 
section.
    (7) Check the analyzer response using the span gas that has the 
minimum concentration of O2 expected during testing. Record 
the mean response of 30 seconds of stabilized sample data as 
xO2minHC.
    (8) Check the zero response of the FID analyzer using the zero gas 
used during emission testing. If the mean zero response of 30 seconds 
of stabilized sample data is within 0.5% of the span 
reference value used in paragraph (d)(5) of this section, then proceed 
to the next step; otherwise restart the procedure at paragraph (d)(4) 
of this section.

[[Page 37310]]

    (9) Check the analyzer response using the span gas that has the 
average concentration of O2 expected during testing. Record 
the mean response of 30 seconds of stabilized sample data as 
xO2avgHC.
    (10) Check the zero response of the FID analyzer using the zero gas 
used during emission testing. If the mean zero response of 30 seconds 
of stabilized sample data is within 0.5% of the span 
reference value used in paragraph (d)(5) of this section, proceed to 
the next step; otherwise restart the procedure at paragraph (d)(4) of 
this section.
    (11) Check the analyzer response using the span gas that has the 
maximum concentration of O2 expected during testing. Record 
the mean response of 30 seconds of stabilized sample data as 
xO2maxHC.
    (12) Check the zero response of the FID analyzer using the zero gas 
used during emission testing. If the mean zero response of 30 seconds 
of stabilized sample data is within 0.5% of the span 
reference value used in paragraph (d)(5) of this section, then proceed 
to the next step; otherwise restart the procedure at paragraph (d)(4) 
of this section.
    (13) Calculate the percent difference between xO2maxHC 
and its reference gas concentration. Calculate the percent difference 
between xO2avgHC and its reference gas concentration. 
Calculate the percent difference between xO2minHC and its 
reference gas concentration. Determine the maximum percent difference 
of the three. This is the O2 interference.
    (14) If the O2 interference is within 2%, 
the FID passes the O2 interference verification; otherwise 
perform one or more of the following to address the deficiency:
    (i) Repeat the verification to determine if a mistake was made 
during the procedure.
    (ii) Select zero and span gases for emission testing that contain 
higher or lower O2 concentrations and repeat the 
verification.
    (iii) Adjust FID burner air, fuel, and sample flow rates. Note that 
if you adjust these flow rates on a THC FID to meet the O2 
interference verification, you have reset RFCH4 for the next 
RFCH4 verification according to Sec.  1065.360. Repeat the 
O2 interference verification after adjustment and determine 
RFCH4.
    (iv) Repair or replace the FID and repeat the O2 
interference verification.
    (v) Demonstrate that the deficiency does not adversely affect your 
ability to demonstrate compliance with the applicable emission 
standards.
0
87. Section 1065.365 is revised to read as follows:


Sec.  1065.365  Nonmethane cutter penetration fractions.

    (a) Scope and frequency. If you use a FID analyzer and a nonmethane 
cutter (NMC) to measure methane (CH4), determine the 
nonmethane cutter's penetration fractions of methane, PFCH4, 
and ethane, PFC2H6. As detailed in this section, these 
penetration fractions may be determined as a combination of NMC 
penetration fractions and FID analyzer response factors, depending on 
your particular NMC and FID analyzer configuration. Perform this 
verification after installing the nonmethane cutter. Repeat this 
verification within 185 days of testing to verify that the catalytic 
activity of the cutter has not deteriorated. Note that because 
nonmethane cutters can deteriorate rapidly and without warning if they 
are operated outside of certain ranges of gas concentrations and 
outside of certain temperature ranges, good engineering judgment may 
dictate that you determine a nonmethane cutter's penetration fractions 
more frequently.
    (b) Measurement principles. A nonmethane cutter is a heated 
catalyst that removes nonmethane hydrocarbons from an exhaust sample 
stream before the FID analyzer measures the remaining hydrocarbon 
concentration. An ideal nonmethane cutter would have a methane 
penetration fraction, PFCH4, of 1.000, and the penetration 
fraction for all other nonmethane hydrocarbons would be 0.000, as 
represented by PFC2H6. The emission calculations in Sec.  
1065.660 use the measured values from this verification to account for 
less than ideal NMC performance.
    (c) System requirements. We do not limit NMC penetration fractions 
to a certain range. However, we recommend that you optimize a 
nonmethane cutter by adjusting its temperature to achieve a 
PFCH4 >0.85 and a PFC2H6 <0.02, as determined by 
paragraphs (d), (e), or (f) of this section, as applicable. If we use a 
nonmethane cutter for testing, it will meet this recommendation. If 
adjusting NMC temperature does not result in achieving both of these 
specifications simultaneously, we recommend that you replace the 
catalyst material. Use the most recently determined penetration values 
from this section to calculate HC emissions according to Sec.  1065.660 
and Sec.  1065.665 as applicable.
    (d) Procedure for a FID calibrated with the NMC. The method 
described in this paragraph (d) is recommended over the procedures 
specified in paragraphs (e) and (f) of this section. If your FID 
arrangement is such that a FID is always calibrated to measure 
CH4 with the NMC, then span that FID with the NMC using a 
CH4 span gas, set the product of that FID's CH4 
response factor and CH4 penetration fraction, 
RFPFCH4[NMC-FID], equal to 1.0 for all emission 
calculations, and determine its combined ethane 
(C2H6) response factor and penetration fraction, 
RFPFC2H6[NMC-FID] as follows:
    (1) Select a CH4 gas mixture and a 
C2H6 analytical gas mixture and ensure that both 
mixtures meet the specifications of Sec.  1065.750. Select a 
CH4 concentration that you would use for spanning the FID 
during emission testing and select a C2H6 
concentration that is typical of the peak NMHC concentration expected 
at the hydrocarbon standard or equal to THC analyzer's span value.
    (2) Start, operate, and optimize the nonmethane cutter according to 
the manufacturer's instructions, including any temperature 
optimization.
    (3) Confirm that the FID analyzer meets all the specifications of 
Sec.  1065.360.
    (4) Start and operate the FID analyzer according to the 
manufacturer's instructions.
    (5) Zero and span the FID with the cutter and use CH4 
span gas to span the FID with the cutter. Note that you must span the 
FID on a C1 basis. For example, if your span gas has a 
CH4 reference value of 100 [mu]mol/mol, the correct FID 
response to that span gas is 100 [mu]mol/mol because there is one 
carbon atom per CH4 molecule.
    (6) Introduce the C2H6 analytical gas mixture 
upstream of the nonmethane cutter.
    (7) Allow time for the analyzer response to stabilize. 
Stabilization time may include time to purge the nonmethane cutter and 
to account for the analyzer's response.
    (8) While the analyzer measures a stable concentration, record 30 
seconds of sampled data. Calculate the arithmetic mean of these data 
points.
    (9) Divide the mean by the reference value of 
C2H6, converted to a C1 basis. The 
result is the C2H6 combined response factor and 
penetration fraction, RFPFC2H6[NMC-FID]. Use this combined 
response factor and penetration fraction and the product of the 
CH4 response factor and CH4 penetration fraction, 
RFPFCH4[NMC-FID], set to 1.0 in emission calculations 
according to Sec.  1065.660(b)(2)(i) or Sec.  1065.665, as applicable.
    (e) Procedure for a FID calibrated with propane, bypassing the NMC. 
If you use a FID with an NMC that is calibrated with propane, 
C3H8, by bypassing the NMC, determine its 
penetration fractions, PFC2H6[NMC-FID] and 
PFCH4[NMC-FID], as follows:

[[Page 37311]]

    (1) Select CH4 and C2H6 analytical 
gas mixtures that meet the specifications of Sec.  1065.750 with the 
CH4 concentration typical of its peak concentration expected 
at the hydrocarbon standard and the C2H6 
concentration typical of the peak total hydrocarbon (THC) concentration 
expected at the hydrocarbon standard or the THC analyzer span value.
    (2) Start and operate the nonmethane cutter according to the 
manufacturer's instructions, including any temperature optimization.
    (3) Confirm that the FID analyzer meets all the specifications of 
Sec.  1065.360.
    (4) Start and operate the FID analyzer according to the 
manufacturer's instructions.
    (5) Zero and span the FID as you would during emission testing. 
Span the FID by bypassing the cutter and by using 
C3H8 span gas to span the FID. Note that you must 
span the FID on a C1 basis. For example, if your span gas 
has a propane reference value of 100 [mu]mol/mol, the correct FID 
response to that span gas is 300 [mu]mol/mol because there are three 
carbon atoms per C3H8 molecule.
    (6) Introduce the C2H6 analytical gas mixture 
upstream of the nonmethane cutter at the same point the zero gas was 
introduced.
    (7) Allow time for the analyzer response to stabilize. 
Stabilization time may include time to purge the nonmethane cutter and 
to account for the analyzer's response.
    (8) While the analyzer measures a stable concentration, record 30 
seconds of sampled data. Calculate the arithmetic mean of these data 
points.
    (9) Reroute the flow path to bypass the nonmethane cutter, 
introduce the C2H6 analytical gas mixture to the 
bypass, and repeat the steps in paragraphs (e)(7) through (8) of this 
section.
    (10) Divide the mean C2H6 concentration 
measured through the nonmethane cutter by the mean concentration 
measured after bypassing the nonmethane cutter. The result is the 
C2H6 penetration fraction, 
PFC2H6[NMC-FID]. Use this penetration fraction according to 
Sec.  1065.660(b)(2)(ii) or Sec.  1065.665, as applicable.
    (11) Repeat the steps in paragraphs (e)(6) through (10) of this 
section, but with the CH4 analytical gas mixture instead of 
C2H6. The result will be the CH4 
penetration fraction, PFCH4[NMC-FID]. Use this penetration 
fraction according to Sec.  1065.660(b)(2)(ii) or Sec.  1065.665, as 
applicable.
    (f) Procedure for a FID calibrated with methane, bypassing the NMC. 
If you use a FID with an NMC that is calibrated with methane, 
CH4, by bypassing the NMC, determine its combined ethane 
(C2H6) response factor and penetration fraction, 
RFPFC2H6[NMC-FID], as well as its CH4 penetration 
fraction, PFCH4[NMC-FID], as follows:
    (1) Select CH4 and C2H6 analytical 
gas mixtures that meet the specifications of Sec.  1065.750, with the 
CH4 concentration typical of its peak concentration expected 
at the hydrocarbon standard and the C2H6 
concentration typical of the peak total hydrocarbon (THC) concentration 
expected at the hydrocarbon standard or the THC analyzer span value.
    (2) Start and operate the nonmethane cutter according to the 
manufacturer's instructions, including any temperature optimization.
    (3) Confirm that the FID analyzer meets all the specifications of 
Sec.  1065.360.
    (4) Start and operate the FID analyzer according to the 
manufacturer's instructions.
    (5) Zero and span the FID as you would during emission testing. 
Span the FID with CH4 span gas by bypassing the cutter. Note 
that you must span the FID on a C1 basis. For example, if 
your span gas has a methane reference value of 100 [mu]mol/mol, the 
correct FID response to that span gas is 100 [mu]mol/mol because there 
is one carbon atom per CH4 molecule.
    (6) Introduce the C2H6 analytical gas mixture 
upstream of the nonmethane cutter at the same point the zero gas was 
introduced.
    (7) Allow time for the analyzer response to stabilize. 
Stabilization time may include time to purge the nonmethane cutter and 
to account for the analyzer's response.
    (8) While the analyzer measures a stable concentration, record 30 
seconds of sampled data. Calculate the arithmetic mean of these data 
points.
    (9) Reroute the flow path to bypass the nonmethane cutter, 
introduce the C2H6 analytical gas mixture to the 
bypass, and repeat the steps in paragraphs (e)(7) and (8) of this 
section.
    (10) Divide the mean C2H6 concentration 
measured through the nonmethane cutter by the mean concentration 
measured after bypassing the nonmethane cutter. The result is the 
C2H6 combined response factor and penetration 
fraction, RFPFC2H6[NMC-FID]. Use this combined response 
factor and penetration fraction according to Sec.  1065.660(b)(2)(iii) 
or Sec.  1065.665, as applicable.
    (11) Repeat the steps in paragraphs (e)(6) through (10) of this 
section, but with the CH4 analytical gas mixture instead of 
C2H6. The result will be the CH4 
penetration fraction, PFCH4[NMC-FID]. Use this penetration 
fraction according to Sec.  1065.660(b)(2)(iii) or Sec.  1065.665, as 
applicable.

0
88. Section 1065.370 is amended by revising paragraphs (d), (e), and 
(g)(1) to read as follows:


Sec.  1065.370  CLD CO2 and H2O quench verification.

* * * * *
    (d) CO2 quench verification procedure. Use the following 
method to determine CO2 quench, or use good engineering 
judgment to develop a different protocol:
    (1) Use PTFE or stainless steel tubing to make necessary 
connections.
    (2) Connect a pressure-regulated CO2 span gas to the 
port of a gas divider that meets the specifications in Sec.  1065.248 
at the appropriate time. Use a CO2 span gas that meets the 
specifications of Sec.  1065.750 and attempt to use a concentration 
that is approximately twice the maximum CO2 concentration 
expected to enter the CLD sample port during testing, if available.
    (3) Connect a pressure-regulated purified N2 gas to the 
port of a gas divider that meets the specifications in Sec.  1065.248 
at the appropriate time. Use a purified N2 gas that meets 
the specifications of Sec.  1065.750.
    (4) Connect a pressure-regulated NO span gas to the port of the gas 
divider that meets the specifications in Sec.  1065.248. Use an NO span 
gas that meets the specifications of Sec.  1065.750. Attempt to use an 
NO concentration that is approximately twice the maximum NO 
concentration expected during testing, if available.
    (5) Configure the gas divider such that nearly equal amounts of the 
span gas and balance gas are blended with each other. Apply viscosity 
corrections as necessary to appropriately ensure correct gas division.
    (6) While flowing NO and CO2 through the gas divider, 
stabilize the CO2 concentration downstream of the gas 
divider and measure the CO2 concentration with an NDIR 
analyzer that has been prepared for emission testing. You may 
alternatively determine the CO2 concentration from the gas 
divider cut-point, applying viscosity correction as necessary to ensure 
accurate gas division. Record this concentration, xCO2meas, 
and use it in the quench verification calculations in Sec.  1065.675.
    (7) Measure the NO concentration downstream of the gas divider. If 
the CLD has an operating mode in which it detects NO-only, as opposed 
to total NOX, operate the CLD in the NO-only

[[Page 37312]]

operating mode. Record this concentration, xNO,CO2, and use 
it in the quench verification calculations in Sec.  1065.675.
    (8) Switch the flow of CO2 off and start the flow of 
100% purified N2 to the inlet port of the gas divider. 
Monitor the CO2 at the gas divider's outlet until its 
concentration stabilizes at zero.
    (9) Measure NO concentration at the gas divider's outlet. Record 
this value, xNO,N2, and use it in the quench verification 
calculations in Sec.  1065.675.
    (10) Use the values recorded according to this paragraph (d) of 
this section and paragraph (e) of this section to calculate quench as 
described in Sec.  1065.675.
    (e) H2O quench verification procedure. Use the following method to 
determine H2O quench, or use good engineering judgment to develop a 
different protocol:
    (1) Use PTFE or stainless steel tubing to make necessary 
connections.
    (2) If the CLD has an operating mode in which it detects NO-only, 
as opposed to total NOX, operate the CLD in the NO-only 
operating mode.
    (3) Measure an NO calibration span gas that meets the 
specifications of Sec.  1065.750 and is near the maximum concentration 
expected during testing. Record this concentration, xNOdry.
    (4) Humidify the NO span gas by bubbling it through distilled water 
in a sealed vessel. If the sample is not passed through a dryer, 
control the vessel temperature to generate an H2O level at least as 
high as the maximum expected during testing. If the sample is passed 
through a dryer during testing, control the vessel temperature to 
generate an H2O level at least as high as the level 
determined in Sec.  1065.145(d)(2). We recommend that you humidify the 
gas to the highest sample dewpoint that you estimate at the CLD inlet 
during emission sampling. Regardless of the humidity during this test, 
the quench verification calculations in Sec.  1065.675 scale the 
recorded quench to the highest dewpoint expected for flow entering the 
CLD sample port during emission sampling.
    (5) Introduce the humidified NO test gas into the sample system. 
You may introduce it downstream of any sample dryer, if one is used 
during testing.
    (6) Measure the humidified gas dewpoint, Tdew, and pressure, 
ptotal, as close as possible to the analyzer inlet.
    (7) Downstream of the vessel, maintain the humidified NO test gas 
temperature at least 5 [deg]C above its dewpoint.
    (8) Allow time for the analyzer response to stabilize. 
Stabilization time may include time to purge the transfer line and to 
account for analyzer response.
    (9) While the analyzer measures the sample's concentration, record 
the analyzer's output for 30 seconds. Calculate the arithmetic mean of 
these data. This mean is xNOmeas.
    (10) Set xNOwet equal to xNOmeas from paragraph (e)(9) of this 
section.
    (11) Use xNOwet to calculate the quench according to Sec.  
1065.675.
* * * * *
    (g) * * *
    (1) You may omit this verification if you can show by engineering 
analysis that for your NOX sampling system and your emission 
calculations procedures, the combined CO2 and H2O interference for your 
NOX CLD analyzer always affects your brake-specific 
NOX emission results within no more than 1.0% of 
the applicable NOX standard.
* * * * *

0
89. Section 1065.372 is amended by revising paragraphs (d)(7) and 
(e)(1) to read as follows:


Sec.  1065.372  NDUV analyzer HC and H2O interference 
verification.

* * * * *
    (d) * * *
    (7) Multiply this difference by the ratio of the flow-weighted mean 
HC concentration expected at the standard to the HC concentration 
measured during the verification. The analyzer meets the interference 
verification of this section if this result is within 2% of 
the NOX concentration expected at the standard.
    (e) * * *
    (1) You may omit this verification if you can show by engineering 
analysis that for your NOX sampling system and your emission 
calculations procedures, the combined HC and H2O 
interference for your NOX NDUV analyzer always affects your 
brake-specific NOX emission results by less than 0.5% of the 
applicable NOX standard.
* * * * *

0
90. Section 1065.376 is revised to read as follows:


Sec.  1065.376  Chiller NO2 penetration.

    (a) Scope and frequency. If you use a chiller to dry a sample 
upstream of a NOX measurement instrument, but you don't use 
an NO2-to-NO converter upstream of the chiller, you must perform this 
verification for chiller NO2 penetration. Perform this verification 
after initial installation and after major maintenance.
    (b) Measurement principles. A chiller removes water, which can 
otherwise interfere with a NOX measurement. However, liquid 
water remaining in an improperly designed chiller can remove NO2 from 
the sample. If a chiller is used without an NO2-to-NO converter 
upstream, it could remove NO2 from the sample prior NOX 
measurement.
    (c) System requirements. A chiller must allow for measuring at 
least 95% of the total NO2 at the maximum expected concentration of 
NO2.
    (d) Procedure. Use the following procedure to verify chiller 
performance:
    (1) Instrument setup. Follow the analyzer and chiller 
manufacturers' start-up and operating instructions. Adjust the analyzer 
and chiller as needed to optimize performance.
    (2) Equipment setup and data collection. (i) Zero and span the 
total NOX gas analyzer(s) as you would before emission 
testing.
    (ii) Select an NO2 calibration gas, balance gas of dry air, that 
has an NO2 concentration within 5% of the maximum NO2 
concentration expected during testing.
    (iii) Overflow this calibration gas at the gas sampling system's 
probe or overflow fitting. Allow for stabilization of the total 
NOX response, accounting only for transport delays and 
instrument response.
    (iv) Calculate the mean of 30 seconds of recorded total 
NOX data and record this value as xNOXref.
    (v) Stop flowing the NO2 calibration gas.
    (vi) Next saturate the sampling system by overflowing a dewpoint 
generator's output, set at a dewpoint of 50 [deg]C, to the gas sampling 
system's probe or overflow fitting. Sample the dewpoint generator's 
output through the sampling system and chiller for at least 10 minutes 
until the chiller is expected to be removing a constant rate of water.
    (vii) Immediately switch back to overflowing the NO2 calibration 
gas used to establish xNOxref. Allow for stabilization of 
the total NOX response, accounting only for transport delays 
and instrument response. Calculate the mean of 30 seconds of recorded 
total NOX data and record this value as xNOxmeas.
    (viii) Correct xNOxmeas to xNOxdry based upon 
the residual water vapor that passed through the chiller at the 
chiller's outlet temperature and pressure.
    (3) Performance evaluation. If xNOxdry is less than 95% 
of xNOxref, repair or replace the chiller.
    (e) Exceptions. The following exceptions apply:
    (1) You may omit this verification if you can show by engineering 
analysis that for your NOX sampling system and your emission 
calculations procedures, the chiller always affects your brake-

[[Page 37313]]

specific NOX emission results by less than 0.5% of the 
applicable NOX standard.
    (2) You may use a chiller that you determine does not meet this 
verification, as long as you try to correct the problem and the 
measurement deficiency does not adversely affect your ability to show 
that engines comply with all applicable emission standards.
0
91. Section 1065.378 is amended by revising paragraphs (d) and (e)(1) 
to read as follows:


Sec.  1065.378  NO2-to-NO converter conversion verification.

* * * * *
    (d) Procedure. Use the following procedure to verify the 
performance of a NO2-to-NO converter:
    (1) Instrument setup. Follow the analyzer and NO2-to-NO converter 
manufacturers' start-up and operating instructions. Adjust the analyzer 
and converter as needed to optimize performance.
    (2) Equipment setup. Connect an ozonator's inlet to a zero-air or 
oxygen source and connect its outlet to one port of a three-way tee 
fitting. Connect an NO span gas to another port, and connect the NO2-
to-NO converter inlet to the last port.
    (3) Adjustments and data collection. Perform this check as follows:
    (i) Set ozonator air off, turn ozonator power off, and set the 
analyzer to NO mode. Allow for stabilization, accounting only for 
transport delays and instrument response.
    (ii) Use an NO concentration that is representative of the peak 
total NOX concentration expected during testing. The NO2 
content of the gas mixture shall be less than 5% of the NO 
concentration. Record the concentration of NO by calculating the mean 
of 30 seconds of sampled data from the analyzer and record this value 
as xNOref.
    (iii) Turn on the ozonator O2 supply and adjust the 
O2 flow rate so the NO indicated by the analyzer is about 10 
percent less than xNOref. Record the concentration of NO by 
calculating the mean of 30 seconds of sampled data from the analyzer 
and record this value as xNO+O2mix.
    (iv) Switch the ozonator on and adjust the ozone generation rate so 
the NO measured by the analyzer is 20 percent of xNOref, 
while maintaining at least 10 percent unreacted NO. Record the 
concentration of NO by calculating the mean of 30 seconds of sampled 
data from the analyzer and record this value as xNOmeas.
    (v) Switch the NOX analyzer to NOX mode and 
measure total NOX. Record the concentration of 
NOX by calculating the mean of 30 seconds of sampled data 
from the analyzer and record this value as xNOxmeas.
    (vi) Switch off the ozonator but maintain gas flow through the 
system. The NOX analyzer will indicate the NOX in 
the NO + O2 mixture. Record the concentration of 
NOX by calculating the mean of 30 seconds of sampled data 
from the analyzer and record this value as xNOx+O2mix.
    (vii) Turn off the ozonator O2 supply. The 
NOX analyzer will indicate the NOX in the 
original NO-in-N2 mixture. Record the concentration of 
NOX by calculating the mean of 30 seconds of sampled data 
from the analyzer and record this value as xNOxref. This 
value should be no more than 5 percent above the xNOref 
value.
    (4) Performance evaluation. Calculate the efficiency of the 
NOX converter efficiency by substituting the concentrations 
obtained into the following equation:
[GRAPHIC] [TIFF OMITTED] TR06MY08.021

    (5) If the result is less than 95%, repair or replace the 
NO2-to-NO converter.
    (e) * * *
    (1) You may omit this verification if you can show by engineering 
analysis that for your NOX sampling system and your emission 
calculations procedures, the converter always affects your brake-
specific NOX emission results by less than 0.5% of the 
applicable NOX standard.
* * * * *

0
92. Section 1065.390 is revised to read as follows:


Sec.  1065.390  PM balance verifications and weighing process 
verification.

    (a) Scope and frequency. This section describes three 
verifications.
    (1) Independent verification of PM balance performance within 370 
days before weighing any filter.
    (2) Zero and span the balance within 12 h before weighing any 
filter.
    (3) Verify that the mass determination of reference filters before 
and after a filter weighing session are less than a specified 
tolerance.
    (b) Independent verification. Have the balance manufacturer (or a 
representative approved by the balance manufacturer) verify the balance 
performance within 370 days of testing.
    (c) Zeroing and spanning. You must verify balance performance by 
zeroing and spanning it with at least one calibration weight, and any 
weights you use must that meet the specifications in Sec.  1065.790 to 
perform this verification.
    (1) Use a manual procedure in which you zero the balance and span 
the balance with at least one calibration weight. If you normally use 
mean values by repeating the weighing process to improve the accuracy 
and precision of PM measurements, use the same process to verify 
balance performance.
    (2) You may use an automated procedure to verify balance 
performance. For example many balances have internal calibration 
weights that are used automatically to verify balance performance. Note 
that if you use internal balance weights, the weights must meet the 
specifications in Sec.  1065.790 to perform this verification.
    (d) Reference sample weighing. Verify all mass readings during a 
weighing session by weighing reference PM sample media (e.g., filters) 
before and after a weighing session. A weighing session may be as short 
as desired, but no longer than 80 hours, and may include both pre-test 
and post-test mass readings. We recommend that weighing sessions be 
eight hours or less. Successive mass determinations of each reference 
PM sample media (e.g., filter) must return the same value within 10 [mu]g or 10% of the net PM mass expected at the 
standard (if known), whichever is higher. If successive reference PM 
sample media (e.g., filter) weighing events fail this criterion, 
invalidate all individual test media (e.g., filter) mass readings 
occurring between the successive reference media (e.g., filter) mass 
determinations. You may reweigh these media (e.g., filter) in another 
weighing session. If you invalidate a pre-test media (e.g., filter) 
mass determination, that test interval is void. Perform this 
verification as follows:
    (1) Keep at least two samples of unused PM sample media (e.g., 
filters) in the PM-stabilization environment. Use these as references. 
If you collect

[[Page 37314]]

PM with filters, select unused filters of the same material and size 
for use as references. You may periodically replace references, using 
good engineering judgment.
    (2) Stabilize references in the PM stabilization environment. 
Consider references stabilized if they have been in the PM-
stabilization environment for a minimum of 30 min, and the PM-
stabilization environment has been within the specifications of Sec.  
1065.190(d) for at least the preceding 60 min.
    (3) Exercise the balance several times with a reference sample. We 
recommend weighing ten samples without recording the values.
    (4) Zero and span the balance. Using good engineering judgment, 
place a test mass such as a calibration weight on the balance, then 
remove it. After spanning, confirm that the balance returns to a zero 
reading within the normal stabilization time.
    (5) Weigh each of the reference media (e.g., filters) and record 
their masses. We recommend using substitution weighing as described in 
Sec.  1065.590(j). If you normally use mean values by repeating the 
weighing process to improve the accuracy and precision of the reference 
media (e.g., filter) mass, you must use mean values of sample media 
(e.g., filter) masses.
    (6) Record the balance environment dewpoint, ambient temperature, 
and atmospheric pressure.
    (7) Use the recorded ambient conditions to correct results for 
buoyancy as described in Sec.  1065.690. Record the buoyancy-corrected 
mass of each of the references.
    (8) Subtract each reference media's (e.g., filter's) buoyancy-
corrected reference mass from its previously measured and recorded 
buoyancy-corrected mass.
    (9) If any of the reference filters' observed mass changes by more 
than that allowed under this paragraph, you must invalidate all PM mass 
determinations made since the last successful reference media (e.g., 
filter) mass validation. You may discard reference PM media (e.g., 
filters) if only one one of the filter's mass changes by more than the 
allowable amount and you can positively identify a special cause for 
that filter's mass change that would not have affected other in-process 
filters. Thus, the validation can be considered a success. In this 
case, you do not have to include the contaminated reference media when 
determining compliance with paragraph (d)(10) of this section, but the 
affected reference filter must be immediately discarded and replaced 
prior to the next weighing session.
    (10) If any of the reference masses change by more than that 
allowed under this paragraph (d), invalidate all PM results that were 
determined between the two times that the reference masses were 
determined. If you discarded reference PM sample media according to 
paragraph (d)(9) of this section, you must still have at least one 
reference mass difference that meets the criteria in this paragraph 
(d). Otherwise, you must invalidate all PM results that were determined 
between the two times that the reference media (e.g., filters) masses 
were determined.

Subpart E--[Amended]

0
93. Section 1065.405 is revised to read as follows:


Sec.  1065.405  Test engine preparation and maintenance.

    This part 1065 describes how to test engines for a variety of 
purposes, including certification testing, production-line testing, and 
in-use testing. Depending on which type of testing is being conducted, 
different preparation and maintenance requirements apply for the test 
engine.
    (a) If you are testing an emission-data engine for certification, 
make sure it is built to represent production engines. This includes 
governors that you normally install on production engines. Production 
engines should also be tested with their installed governors. If you do 
not install governors on production engines, simulate a governor that 
is representative of a governor that others will install on your 
production engines.
    (b) Testing generally occurs only after the test engine has 
undergone a stabilization step (or in-use operation). If the engine has 
not already been stabilized, run the test engine, with all emission 
control systems operating, long enough to stabilize emission levels. 
Note that you must generally use the same stabilization procedures for 
emission-data engines for which you apply the same deterioration 
factors so low-hour emission-data engines are consistent with the low-
hour engine used to develop the deterioration factor.
    (1) Unless otherwise specified in the standard-setting part, you 
may consider emission levels stable without measurement after 50 h of 
operation. If the engine needs less operation to stabilize emission 
levels, record your reasons and the methods for doing this, and give us 
these records if we ask for them. If the engine will be tested for 
certification as a low-hour engine, see the standard-setting part for 
limits on testing engines to establish low-hour emission levels.
    (2) You may stabilize emissions from a catalytic exhaust 
aftertreatment device by operating it on a different engine, consistent 
with good engineering judgment. Note that good engineering judgment 
requires that you consider both the purpose of the test and how your 
stabilization method will affect the development and application of 
deterioration factors. For example, this method of stabilization is 
generally not appropriate for production engines. We may also allow you 
to stabilize emissions from a catalytic exhaust aftertreatment device 
by operating it on an engine-exhaust simulator.
    (c) Record any maintenance, modifications, parts changes, 
diagnostic or emissions testing and document the need for each event. 
You must provide this information if we request it.
    (d) For accumulating operating hours on your test engines, select 
engine operation that represents normal in-use operation for the engine 
family.
    (e) If your engine will be used in a vehicle equipped with a 
canister for storing evaporative hydrocarbons for eventual combustion 
in the engine and the test sequence involves a cold-start or hot-start 
duty cycle, attach a canister to the engine before running an emission 
test. You may omit using an evaporative canister for any hot-stabilized 
duty cycles. You may request to omit using an evaporative canister 
during testing if you can show that it would not affect your ability to 
show compliance with the applicable emission standards. You may operate 
the engine without an installed canister for service accumulation. 
Prior to an emission test, use the following steps to attach a canister 
to your engine:
    (1) Use a canister and plumbing arrangement that represents the in-
use configuration of the largest capacity canister in all expected 
applications.
    (2) Use a canister that is fully loaded with fuel vapors.
    (3) Connect the canister's purge port to the engine.
    (4) Plug the canister port that is normally connected to the fuel 
tank.

0
94. Section 1065.410 is amended by revising paragraphs (c) and (d) to 
read as follows:


Sec.  1065.410  Maintenance limits for stabilized test engines.

* * * * *
    (c) Keep a record of the inspection and update your application to 
document any changes as a result of the inspection. You may use 
equipment, instruments, or engineering grade tools

[[Page 37315]]

to identify bad engine components. Any equipment, instruments, or tools 
used for scheduled maintenance on emission data engines must be 
representative of what is planned to be available to dealerships and 
other service outlets.
    (d) If we determine that a part failure, system malfunction, or 
associated repairs have made the engine's emission controls 
unrepresentative of production engines, you may no longer use it as an 
emission-data engine. Also, if your test engine has a major mechanical 
failure that requires you to take it apart, you may no longer use it as 
an emission-data engine.
* * * * *

0
95. Section 1065.415 is amended by revising the introductory text and 
removing paragraph (a)(3) to read as follows:


Sec.  1065.415  Durability demonstration.

    If the standard-setting part requires durability testing, you must 
accumulate service in a way that represents how you expect the engine 
to operate in use. You may accumulate service hours using an 
accelerated schedule, such as through continuous operation or by using 
duty cycles that are more aggressive than in-use operation, subject to 
any pre-approval requirements established in the applicable standard-
setting part.
* * * * *

0
96. The heading to subpart F of part 1065 is revised to read as 
follows:

Subpart F--Performing an Emission Test Over Specified Duty Cycles

    97. Section 1065.501 is amended by revising paragraphs (a) 
introductory text, (a)(1), and (b) to read as follows:


Sec.  1065.501  Overview.

    (a) Use the procedures detailed in this subpart to measure engine 
emissions over a specified duty cycle. Refer to subpart J of this part 
for field test procedures that describe how to measure emissions during 
in-use engine operation. This section describes how to:
    (1) Map your engine, if applicable, by recording specified speed 
and torque data, as measured from the engine's primary output shaft.
* * * * *
    (b) An emission test generally consists of measuring emissions and 
other parameters while an engine follows one or more duty cycles that 
are specified in the standard-setting part. There are two general types 
of duty cycles:
    (1) Transient cycles. Transient duty cycles are typically specified 
in the standard-setting part as a second-by-second sequence of speed 
commands and normalized torque (or power) commands. Operate an engine 
over a transient cycle such that the speed and torque of the engine's 
primary output shaft follows the target values. Proportionally sample 
emissions and other parameters and use the calculations in subpart G of 
this part to calculate emissions. Start a transient test according to 
the standard-setting part, as follows:
    (i) A cold-start transient cycle where you start to measure 
emissions just before starting an engine that has not been warmed up.
    (ii) A hot-start transient cycle where you start to measure 
emissions just before starting a warmed-up engine.
    (iii) A hot running transient cycle where you start to measure 
emissions after an engine is started, warmed up, and running.
    (2) Steady-state cycles. Steady-state duty cycles are typically 
specified in the standard-setting part as a list of discrete operating 
points (modes or notches), where each operating point has one value of 
a normalized speed command and one value of a normalized torque (or 
power) command. Ramped-modal cycles for steady-state testing also list 
test times for each mode and transition times between modes where speed 
and torque are linearly ramped between modes, even for cycles with % 
power. Start a steady-state cycle as a hot running test, where you 
start to measure emissions after an engine is started, warmed up and 
running. You may run a steady-state duty cycle as a discrete-mode cycle 
or a ramped-modal cycle, as follows:
    (i) Discrete-mode cycles. Before emission sampling, stabilize an 
engine at the first discrete mode. Sample emissions and other 
parameters for that mode and then stop emission sampling. Record mean 
values for that mode, and then stabilize the engine at the next mode. 
Continue to sample each mode discretely and calculate weighted emission 
results according to the standard-setting part.
    (ii) Ramped-modal cycles. Perform ramped-modal cycles similar to 
the way you would perform transient cycles, except that ramped-modal 
cycles involve mostly steady-state engine operation. Generate a ramped-
modal duty cycle as a sequence of second-by-second (1 Hz) reference 
speed and torque points. Run the ramped-modal duty cycle in the same 
manner as a transient cycle and use the 1 Hz reference speed and torque 
values to validate the cycle, even for cycles with % power. 
Proportionally sample emissions and other parameters during the cycle 
and use the calculations in subpart G of this part to calculate 
emissions.
* * * * *

0
98. Section 1065.510 is revised to read as follows:


Sec.  1065.510  Engine mapping.

    (a) Applicability, scope, and frequency. An engine map is a data 
set that consists of a series of paired data points that represent the 
maximum brake torque versus engine speed, measured at the engine's 
primary output shaft. Map your engine if the standard-setting part 
requires engine mapping to generate a duty cycle for your engine 
configuration. Map your engine while it is connected to a dynamometer 
or other device that can absorb work output from the engine's primary 
output shaft according to Sec.  1065.110. Configure any auxiliary work 
inputs and outputs such as hybrid, turbo-compounding, or thermoelectric 
systems to represent their in-use configurations, and use the same 
configuration for emission testing. See Figure 1 of Sec.  1065.210. 
This may involve configuring initial states of charge and rates and 
times of auxiliary-work inputs and outputs. We recommend that you 
contact the Designated Compliance Officer before testing to determine 
how you should configure any auxiliary-work inputs and outputs. Use the 
most recent engine map to transform a normalized duty cycle from the 
standard-setting part to a reference duty cycle specific to your 
engine. Normalized duty cycles are specified in the standard-setting 
part. You may update an engine map at any time by repeating the engine-
mapping procedure. You must map or re-map an engine before a test if 
any of the following apply:
    (1) If you have not performed an initial engine map.
    (2) If the atmospheric pressure near the engine's air inlet is not 
within  5 kPa of the atmospheric pressure recorded at the 
time of the last engine map.
    (3) If the engine or emission-control system has undergone changes 
that might affect maximum torque performance. This includes changing 
the configuration of auxiliary work inputs and outputs.
    (4) If you capture an incomplete map on your first attempt or you 
do not complete a map within the specified time tolerance. You may 
repeat mapping as often as necessary to capture a complete map within 
the specified time.
    (b) Mapping variable-speed engines. Map variable-speed engines as 
follows:
    (1) Record the atmospheric pressure.

[[Page 37316]]

    (2) Warm up the engine by operating it. We recommend operating the 
engine at any speed and at approximately 75% of its expected maximum 
power. Continue the warm-up until the engine coolant, block, or head 
absolute temperature is within  2% of its mean value for at 
least 2 min or until the engine thermostat controls engine temperature.
    (3) Operate the engine at its warm idle speed.
    (i) For engines with a low-speed governor, set the operator demand 
to minimum, use the dynamometer or other loading device to target a 
torque of zero on the engine's primary output shaft, and allow the 
engine to govern the speed. Measure this warm idle speed; we recommend 
recording at least 30 values of speed and using the mean of those 
values.
    (ii) For engines without a low-speed governor, set the dynamometer 
to target a torque of zero on the engine's primary output shaft, and 
manipulate the operator demand to control the speed to target the 
manufacturer-declared value for the lowest engine speed possible with 
minimum load (also known as manufacturer-declared warm idle speed).
    (iii) For all variable-speed engines (with or without a low-speed 
governor), if a nonzero idle torque is representative of in-use 
operation, you may target the manufacturer-declared idle torque. If you 
measure the warm idle speed with the manufacturer-declared torque at 
this step, you may omit the speed measurement in paragraph (b)(6) of 
this section.
    (4) Set operator demand to maximum and control engine speed at (95 
 1) % of its warm idle speed determined above for at least 
15 seconds. For engines with reference duty cycles whose lowest speed 
is greater than warm idle speed, you may start the map at (95  1) % of the lowest reference speed.
    (5) Perform one of the following:
    (i) For any engine subject only to steady-state duty cycles (i.e., 
discrete-mode or ramped-modal), you may perform an engine map by using 
discrete speeds. Select at least 20 evenly spaced setpoints between 
warm idle and the highest speed above maximum mapped power at which (50 
to 75)% of maximum power occurs. If this highest speed is unsafe or 
unrepresentative (e.g., for ungoverned engines), use good engineering 
judgment to map up to the maximum safe speed or the maximum 
representative speed. At each setpoint, stabilize speed and allow 
torque to stabilize. Record the mean speed and torque at each setpoint. 
We recommend that you stabilize an engine for at least 15 seconds at 
each setpoint and record the mean feedback speed and torque of the last 
(4 to 6) seconds. Use linear interpolation to determine intermediate 
speeds and torques. Use this series of speeds and torques to generate 
the power map as described in paragraph (e) of this section.
    (ii) For any variable-speed engine, you may perform an engine map 
by using a continuous sweep of speed by continuing to record the mean 
feedback speed and torque at 1 Hz or more frequently and increasing 
speed at a constant rate such that it takes (4 to 6) min to sweep from 
95% of warm idle to the highest speed above maximum power at which (50 
to 75)% of maximum power occurs. If this highest speed is unsafe or 
unrepresentative (e.g., for ungoverned engines), use good engineering 
judgment to map up to the maximum safe speed or the maximum 
representative speed. Stop recording after you complete the sweep. From 
the series of mean speed and maximum torque values, use linear 
interpolation to determine intermediate values. Use this series of 
speeds and torques to generate the power map as described in paragraph 
(e) of this section.
    (6) For engines with a low-speed governor, if a nonzero idle torque 
is representative of in-use operation, operate the engine at warm idle 
with the manufacturer-declared idle torque. Set the operator demand to 
minimum, use the dynamometer to target the declared idle torque, and 
allow the engine to govern the speed. Measure this speed and use it as 
the warm idle speed for cycle generation in Sec.  1065.512. We 
recommend recording at least 30 values of speed and using the mean of 
those values. You may map the idle governor at multiple load levels and 
use this map to determine the measured warm idle speed at the declared 
idle torque.
    (c) Negative torque mapping. If your engine is subject to a 
reference duty cycle that specifies negative torque values (i.e., 
engine motoring), generate a motoring map by any of the following 
procedures:
    (1) Multiply the positive torques from your map by -40%. Use linear 
interpolation to determine intermediate values.
    (2) Map the amount of negative torque required to motor the engine 
by repeating paragraph (b) of this section with minimum operator 
demand.
    (3) Determine the amount of negative torque required to motor the 
engine at the following two points near the ends of the engine's speed 
range. Operate the engine at these two points at minimum operator 
demand. Use linear interpolation to determine intermediate values.
    (i) Low-speed point. For engines without a low-speed governor, 
determine the amount of negative torque at warm idle speed. For engines 
with a low-speed governor, motor the engine above warm idle speed so 
the governor is inactive and determine the amount of negative torque at 
that speed.
    (ii) High-speed point. For engines without a high-speed governor, 
determine the amount of negative torque at the maximum safe speed or 
the maximum representative speed. For engines with a high-speed 
governor, determine the amount of negative torque at a speed at or 
above nhi per Sec.  1065.610(c)(2).
    (d) Mapping constant-speed engines. For constant-speed engines, 
generate a map as follows:
    (1) Record the atmospheric pressure.
    (2) Warm up the engine by operating it. We recommend operating the 
engine at approximately 75% of the engine's expected maximum power. 
Continue the warm-up until the engine coolant, block, or head absolute 
temperature is within 2% of its mean value for at least 2 
min or until the engine thermostat controls engine temperature.
    (3) You may operate the engine with a production constant-speed 
governor or simulate a constant-speed governor by controlling engine 
speed with an operator demand control system described in Sec.  
1065.110. Use either isochronous or speed-droop governor operation, as 
appropriate.
    (4) With the governor or simulated governor controlling speed using 
operator demand, operate the engine at no-load governed speed (at high 
speed, not low idle) for at least 15 seconds.
    (5) Record at 1 Hz the mean of feedback speed and torque. Use the 
dynamometer to increase torque at a constant rate. Unless the standard-
setting part specifies otherwise, complete the map such that it takes 
(2 to 4) min to sweep from no-load governed speed to the lowest speed 
below maximum mapped power at which the engine develops (85-95)% of 
maximum mapped power. You may map your engine to lower speeds. Stop 
recording after you complete the sweep. Use this series of speeds and 
torques to generate the power map as described in paragraph (e) of this 
section.
    (e) Power mapping. For all engines, create a power-versus-speed map 
by transforming torque and speed values to corresponding power values. 
Use the mean values from the recorded map data. Do not use any 
interpolated values. Multiply each torque by its corresponding speed 
and apply the

[[Page 37317]]

appropriate conversion factors to arrive at units of power (kW). 
Interpolate intermediate power values between these power values, which 
were calculated from the recorded map data.
    (f) Measured and declared test speeds and torques. You must select 
test speeds and torques for cycle generation as required in this 
paragraph (f). ``Measured'' values are either directly measured during 
the engine mapping process or they are determined from the engine map. 
``Declared'' values are specified by the manufacturer. When both 
measured and declared values are available, you may use declared test 
speeds and torques instead of measured speeds and torques if they meet 
the criteria in this paragraph (f). Otherwise, you must use measured 
speeds and torques derived from the engine map.
    (1) Measured speeds and torques. Determine the applicable speeds 
and torques for the duty cycles you will run:
    (i) Measured maximum test speed for variable-speed engines 
according to Sec.  1065.610.
    (ii) Measured maximum test torque for constant-speed engines 
according to Sec.  1065.610.
    (iii) Measured ``A'', ``B'', and ``C'' speeds for variable-speed 
engines according to Sec.  1065.610.
    (iv) Measured intermediate speed for variable-speed engines 
according to Sec.  1065.610.
    (v) For variable-speed engines with a low-speed governor, measure 
warm idle speed according to Sec.  1065.510(b) and use this speed for 
cycle generation in Sec.  1065.512. For engines with no low-speed 
governor, instead use the manufacturer-declared warm idle speed.
    (2) Required declared speeds. You must declare the lowest engine 
speed possible with minimum load (i.e., manufacturer-declared warm idle 
speed). This is applicable only to variable-speed engines with no low-
speed governor. For engines with no low-speed governor, the declared 
warm idle speed is used for cycle generation in Sec.  1065.512. Declare 
this speed in a way that is representative of in-use operation. For 
example, if your engine is typically connected to an automatic 
transmission or a hydrostatic transmission, declare this speed at the 
idle speed at which your engine operates when the transmission is 
engaged.
    (3) Optional declared speeds. You may use declared speeds instead 
of measured speeds as follows:
    (i) You may use a declared value for maximum test speed for 
variable-speed engines if it is within (97.5 to 102.5)% of the 
corresponding measured value. You may use a higher declared speed if 
the length of the ``vector'' at the declared speed is within 2.0% of 
the length of the ``vector'' at the measured value. The term vector 
refers to the square root of the sum of normalized engine speed squared 
and the normalized full-load power (at that speed) squared, consistent 
with the calculations in Sec.  1065.610.
    (ii) You may use a declared value for intermediate, ``A'', ``B'', 
or ``C'' speeds for steady-state tests if the declared value is within 
(97.5 to 102.5)% of the corresponding measured value.
    (4) Required declared torques. If a nonzero idle or minimum torque 
is representative of in-use operation, you must declare the appropriate 
torque as follows:
    (i) For variable-speed engines, declare a warm idle torque that is 
representative of in-use operation. For example, if your engine is 
typically connected to an automatic transmission or a hydrostatic 
transmission, declare the torque that occurs at the idle speed at which 
your engine operates when the transmission is engaged. Use this value 
for cycle generation. You may use multiple warm idle torques and 
associated idle speeds in cycle generation for representative testing. 
For example, for cycles that start the engine and begin with idle, you 
may start a cycle in idle with the transmission in neutral with zero 
torque and later switch to a different idle with the transmission in 
drive with the Curb-Idle Transmission Torque (CITT). For variable-speed 
engines intended primarily for propulsion of a vehicle with an 
automatic transmission where that engine is subject to a transient duty 
cycle with idle operation, you must declare a CITT. You must specify a 
CITT based on typical applications at the mean of the range of idle 
speeds you specify at stabilized temperature conditions.
    (ii) For constant-speed engines, declare a warm minimum torque that 
is representative of in-use operation. For example, if your engine is 
typically connected to a machine that does not operate below a certain 
minimum torque, declare this torque and use it for cycle generation.
    (5) Optional declared torques. For constant-speed engines you may 
declare a maximum test torque. You may use the declared value for cycle 
generation if it is within (95 to 100)% of the measured value.
    (g) Other mapping procedures. You may use other mapping procedures 
if you believe the procedures specified in this section are unsafe or 
unrepresentative for your engine. Any alternate techniques you use must 
satisfy the intent of the specified mapping procedures, which is to 
determine the maximum available torque at all engine speeds that occur 
during a duty cycle. Identify any deviations from this section's 
mapping procedures when you submit data to us.

0
99. Section 1065.512 is revised to read as follows:


Sec.  1065.512  Duty cycle generation.

    (a) Generate duty cycles according to this section if the standard-
setting part requires engine mapping to generate a duty cycle for your 
engine configuration. The standard-setting part generally defines 
applicable duty cycles in a normalized format. A normalized duty cycle 
consists of a sequence of paired values for speed and torque or for 
speed and power.
    (b) Transform normalized values of speed, torque, and power using 
the following conventions:
    (1) Engine speed for variable-speed engines. For variable-speed 
engines, normalized speed may be expressed as a percentage between warm 
idle speed, fnidle, and maximum test speed, 
fntest, or speed may be expressed by referring to a defined 
speed by name, such as ``warm idle,'' ``intermediate speed,'' or ``A,'' 
``B,'' or ``C'' speed. Section 1065.610 describes how to transform 
these normalized values into a sequence of reference speeds, 
fnref. Running duty cycles with negative or small normalized 
speed values near warm idle speed may cause low-speed idle governors to 
activate and the engine torque to exceed the reference torque even 
though the operator demand is at a minimum. In such cases, we recommend 
controlling the dynamometer so it gives priority to follow the 
reference torque instead of the reference speed and let the engine 
govern the speed. Note that the cycle-validation criteria in Sec.  
1065.514 allow an engine to govern itself. This allowance permits you 
to test engines with enhanced-idle devices and to simulate the effects 
of transmissions such as automatic transmissions. For example, an 
enhanced-idle device might be an idle speed value that is normally 
commanded only under cold-start conditions to quickly warm up the 
engine and aftertreatment devices. In this case, negative and very low 
normalized speeds will generate reference speeds below this higher 
enhanced idle speed and we recommend controlling the dynamometer so it 
gives priority to follow the reference torque, controlling the operator 
demand so it gives priority to follow reference speed and let the 
engine govern the speed when the operator demand is at minimum.

[[Page 37318]]

    (2) Engine torque for variable-speed engines. For variable-speed 
engines, normalized torque is expressed as a percentage of the mapped 
torque at the corresponding reference speed. Section 1065.610 describes 
how to transform normalized torques into a sequence of reference 
torques, Tref. Section 1065.610 also describes special 
requirements for modifying transient duty cycles for variable-speed 
engines intended primarily for propulsion of a vehicle with an 
automatic transmission. Section 1065.610 also describes under what 
conditions you may command Tref greater than the reference 
torque you calculated from a normalized duty cycle. This provision 
permits you to command Tref values that are limited by a 
declared minimum torque. For any negative torque commands, command 
minimum operator demand and use the dynamometer to control engine speed 
to the reference speed, but if reference speed is so low that the idle 
governor activates, we recommend using the dynamometer to control 
torque to zero, CITT, or a declared minimum torque as appropriate. Note 
that you may omit power and torque points during motoring from the 
cycle-validation criteria in Sec.  1065.514. Also, use the maximum 
mapped torque at the minimum mapped speed as the maximum torque for any 
reference speed at or below the minimum mapped speed.
    (3) Engine torque for constant-speed engines. For constant-speed 
engines, normalized torque is expressed as a percentage of maximum test 
torque, Ttest. Section 1065.610 describes how to transform 
normalized torques into a sequence of reference torques, 
Tref. Section 1065.610 also describes under what conditions 
you may command Tref greater than the reference torque you 
calculated from the normalized duty cycle. This provision permits you 
to command Tref values that are limited by a declared 
minimum torque.
    (4) Engine power. For all engines, normalized power is expressed as 
a percentage of mapped power at maximum test speed, fntest, 
unless otherwise specified by the standard-setting part. Section 
1065.610 describes how to transform these normalized values into a 
sequence of reference powers, Pref. Convert these reference 
powers to corresponding torques for operator demand and dynamometer 
control. Use the reference speed associated with each reference power 
point for this conversion. As with cycles specified with % torque, 
issue torque commands more frequently and linearly interpolate between 
these reference torque values generated from cycles with % power.
    (5) Ramped-modal cycles. For ramped modal cycles, generate 
reference speed and torque values at 1 Hz and use this sequence of 
points to run the cycle and validate it in the same manner as with a 
transient cycle. During the transition between modes, linearly ramp the 
denormalized reference speed and torque values between modes to 
generate reference points at 1 Hz. Do not linearly ramp the normalized 
reference torque values between modes and then denormalize them. Do not 
linearly ramp normalized or denormalized reference power points. These 
cases will produce nonlinear torque ramps in the denormalized reference 
torques. If the speed and torque ramp runs through a point above the 
engine's torque curve, continue to command the reference torques and 
allow the operator demand to go to maximum. Note that you may omit 
power and either torque or speed points from the cycle-validation 
criteria under these conditions as specified in Sec.  1065.514.
    (c) For variable-speed engines, command reference speeds and 
torques sequentially to perform a duty cycle. Issue speed and torque 
commands at a frequency of at least 5 Hz for transient cycles and at 
least 1 Hz for steady-state cycles (i.e., discrete-mode and ramped-
modal). Linearly interpolate between the 1 Hz reference values 
specified in the standard-setting part to determine more frequently 
issued reference speeds and torques. During an emission test, record 
the feedback speeds and torques at a frequency of at least 5 Hz for 
transient cycles and at least 1 Hz for steady-state cycles. For 
transient cycles, you may record the feedback speeds and torques at 
lower frequencies (as low as 1 Hz) if you record the average value over 
the time interval between recorded values. Calculate the average values 
based on feedback values updated at a frequency of at least 5 Hz. Use 
these recorded values to calculate cycle-validation statistics and 
total work.
    (d) For constant-speed engines, operate the engine with the same 
production governor you used to map the engine in Sec.  1065.510 or 
simulate the in-use operation of a governor the same way you simulated 
it to map the engine in Sec.  1065.510. Command reference torque values 
sequentially to perform a duty cycle. Issue torque commands at a 
frequency of at least 5 Hz for transient cycles and at least 1 Hz for 
steady-state cycles (i.e., discrete-mode, ramped-modal). Linearly 
interpolate between the 1 Hz reference values specified in the 
standard-setting part to determine more frequently issued reference 
torque values. During an emission test, record the feedback speeds and 
torques at a frequency of at least 5 Hz for transient cycles and at 
least 1 Hz for steady-state cycles. For transient cycles, you may 
record the feedback speeds and torques at lower frequencies (as low as 
1 Hz) if you record the average value over the time interval between 
recorded values. Calculate the average values based on feedback values 
updated at a frequency of at least 5 Hz. Use these recorded values to 
calculate cycle-validation statistics and total work.
    (e) You may perform practice duty cycles with the test engine to 
optimize operator demand and dynamometer controls to meet the cycle-
validation criteria specified in Sec.  1065.514.

0
100. Section 1065.514 is revised to read as follows:


Sec.  1065.514  Cycle-validation criteria for operation over specified 
duty cycles.

    Validate the execution of your duty cycle according to this section 
unless the standard-setting part specifies otherwise. This section 
describes how to determine if the engine's operation during the test 
adequately matched the reference duty cycle. This section applies only 
to speed, torque, and power from the engine's primary output shaft. 
Other work inputs and outputs are not subject to cycle-validation 
criteria. You must compare the original reference duty cycle points 
generated as described in Sec.  1065.512 to the corresponding feedback 
values recorded during the test. You may compare reference duty cycle 
points recorded during the test to the corresponding feedback values 
recorded during the test as long as the recorded reference values match 
the original points generated in Sec.  1065.512. The number of points 
in the validation regression are based on the number of points in the 
original reference duty cycle generated in Sec.  1065.512. For example 
if the original cycle has 1199 reference points at 1 Hz, then the 
regression will have up to 1199 pairs of reference and feedback values 
at the corresponding moments in the test. The feedback speed and torque 
signals may be filtered--either in real-time while the test is run or 
afterward in the analysis program. Any filtering that is used on the 
feedback signals used for cycle validation must also be used for 
calculating work. Feedback signals for control loops may use different 
filtering.
    (a) Testing performed by EPA. Our tests must meet the 
specifications of paragraph (f) of this section, unless we determine 
that failing to meet the specifications is related to engine 
performance rather than to

[[Page 37319]]

shortcomings of the dynamometer or other laboratory equipment.
    (b) Testing performed by manufacturers. Emission tests that meet 
the specifications of paragraph (f) of this section satisfy the 
standard-setting part's requirements for duty cycles. You may ask to 
use a dynamometer or other laboratory equipment that cannot meet those 
specifications. We will approve your request as long as using the 
alternate equipment does not adversely affect your ability to show 
compliance with the applicable emission standards.
    (c) Time-alignment. Because time lag between feedback values and 
the reference values may bias cycle-validation results, you may advance 
or delay the entire sequence of feedback engine speed and torque pairs 
to synchronize them with the reference sequence. If you advance or 
delay feedback signals for cycle validation, you must make the same 
adjustment for calculating work. You may use linear interpolation 
between successive recorded feedback signals to time shift an amount 
that is a fraction of the recording period.
    (d) Omitting additional points. Besides engine cranking, you may 
omit additional points from cycle-validation statistics as described in 
the following table:

   Table 1 of Sec.   1065.514.--Permissible Criteria for Omitting Points From Duty-Cycle Regression Statistics
----------------------------------------------------------------------------------------------------------------
  When operator demand is at its . . .         you may omit . . .                       if . . .
----------------------------------------------------------------------------------------------------------------
For reference duty cycles that are specified in terms of speed and torque (fnref, Tref):
----------------------------------------------------------------------------------------------------------------
minimum.................................  power and torque...........  Tref < 0% (motoring).
minimum.................................  power and speed............  fnref = 0% (idle speed) and Tref = 0%
                                                                        (idle torque) and Tref-(2% [middot] Tmax
                                                                        mapped) < T < Tref + (2% [middot] Tmax
                                                                        mapped).
minimum.................................  power and either torque or   fn > fnref or T > Tref but not if fn >
                                           speed.                       (fnref [middot] 102%) and T > Tref + (2%
                                                                        [middot] Tmax, mapped).
maximum.................................  power and either torque or   fn < fnref or T < Tref but not if fn <
                                           speed.                       (fnref [middot] 98%) and T < Tref-(2%
                                                                        [middot] Tmax, mapped).
----------------------------------------------------------------------------------------------------------------
For reference duty cycles that are specified in terms of speed and power (fnref, Pref):
----------------------------------------------------------------------------------------------------------------
minimum.................................  power and torque...........  < Pref < 0% (motoring).
minimum.................................  power and speed............  fnref = 0% (idle speed) and Pref = 0%
                                                                        (idle power) and Pref-(2% [middot] Pmax
                                                                        mapped) fnref or P > Pref but not if fn >
                                           speed.                       (fnref [middot] 102%) and P > Pref + (2%
                                                                        [middot] Pmax mapped).
maximum.................................  power and either torque or   fn < fnref or P < Pref but not if fn <
                                           speed.                       (fnref [middot] 98%) and P < Pref-(2%
                                                                        [middot] Pmax mapped).
----------------------------------------------------------------------------------------------------------------

    (e) Statistical parameters. Use the remaining points to calculate 
regression statistics described in Sec.  1065.602. Round calculated 
regression statistics to the same number of significant digits as the 
criteria to which they are compared. Refer to Table 2 of Sec.  1065.514 
for the default criteria and refer to the standard-setting part to 
determine if there are other criteria for your engine. Calculate the 
following regression statistics:
    (1) Slopes for feedback speed, a1fn, feedback torque, 
a1T, and feedback power a1P.
    (2) Intercepts for feedback speed, a0fn, feedback 
torque, a0T, and feedback power a0P.
    (3) Standard estimates of error for feedback speed, 
SEEfn, feedback torque, SEET, and feedback power 
SEEP.
    (4) Coefficients of determination for feedback speed, 
r\2\fn, feedback torque, r\2\T, and feedback 
power r\2\P.
    (f) Cycle-validation criteria. Unless the standard-setting part 
specifies otherwise, use the following criteria to validate a duty 
cycle:
    (1) For variable-speed engines, apply all the statistical criteria 
in Table 2 of this section.
    (2) For constant-speed engines, apply only the statistical criteria 
for torque in Table 2 of this section.
    (3) For discrete-mode steady-state testing, apply cycle-validation 
criteria using one of the following approaches:
    (i) Treat the sampling periods from the series of test modes as a 
continuous sampling period, analogous to ramped-modal testing and apply 
statistical criteria as described in paragraph (f)(1) or (2) of this 
section.
    (ii) Evaluate each mode separately to validate the duty cycle. For 
variable-speed engines, all speed values measured during the sampling 
period for each mode would need to stay within a tolerance of 2 percent 
of the reference value, and all load values would need to stay within a 
tolerance of 2 percent or  0.27 N[middot]m of the reference 
value, whichever is greater. Also, the mean speed value during the 
sampling period for each mode would need to be within 1 percent of the 
reference value, and the mean load value would need to stay within 1 
percent or  0.12 N[middot]m of the reference value, 
whichever is greater. The same torque criteria apply for constant-speed 
engines but the speed criteria do not apply.

              Table 2 of Sec.   1065.514.--Default Statistical Criteria for Validating Duty Cycles
----------------------------------------------------------------------------------------------------------------
              Parameter                         Speed                    Torque                   Power
----------------------------------------------------------------------------------------------------------------
Slope, a1............................  0.950 <= a1 <= 1.030...  0.830 <= a1 <= 1.030...  0.830 <= a1 <= 1.030.
Absolute value of intercept,           <= 10% of warm idle....  <= 2.0% of maximum       <= 2.0% of maximum
 [verbarlm]a0[verbarlm].                                         mapped torque.           mapped power.
Standard error of estimate, SEE......  <= 5.0% of maximum test  <= 10% of maximum        <= 10% of maximum
                                        speed.                   mapped torque.           mapped power.
Coefficient of determination, r \2\..  >= 0.970...............  >= 0.850...............  >= 0.910.
----------------------------------------------------------------------------------------------------------------


[[Page 37320]]


0
101. Section 1065.520 is revised to read as follows:


Sec.  1065.520  Pre-test verification procedures and pre-test data 
collection.

    (a) If your engine must comply with a PM standard, follow the 
procedures for PM sample preconditioning and tare weighing according to 
Sec.  1065.590.
    (b) Unless the standard-setting part specifies different 
tolerances, verify that ambient conditions are within the following 
tolerances before the test:
    (1) Ambient temperature of (20 to 30) [deg]C.
    (2) Atmospheric pressure of (80.000 to 103.325) kPa and within 
 5 kPa of the value recorded at the time of the last engine 
map.
    (3) Dilution air conditions as specified in Sec.  1065.140, except 
in cases where you preheat your CVS before a cold start test.
    (c) You may test engines at any intake-air humidity, and we may 
test engines at any intake-air humidity.
    (d) Verify that auxiliary-work inputs and outputs are configured as 
they were during engine mapping, as described inSec.  1065.510(a).
    (e) You may perform a final calibration of the speed, torque, and 
proportional-flow control systems, which may include performing 
practice duty cycles.
    (f) You may perform the following recommended procedure to 
precondition sampling systems:
    (1) Start the engine and use good engineering judgment to bring it 
to one of the following:
    (i) 100% torque at any speed above its peak-torque speed.
    (ii) 100% operator demand.
    (2) Operate any dilution systems at their expected flow rates. 
Prevent aqueous condensation in the dilution systems.
    (3) Operate any PM sampling systems at their expected flow rates.
    (4) Sample PM for at least 10 min using any sample media. You may 
change sample media during preconditioning. You may discard 
preconditioning samples without weighing them.
    (5) You may purge any gaseous sampling systems during 
preconditioning.
    (6) You may conduct calibrations or verifications on any idle 
equipment or analyzers during preconditioning.
    (7) Proceed with the test sequence described in Sec.  
1065.530(a)(1).
    (g) Verify the amount of nonmethane contamination in the exhaust 
and background HC sampling systems within eight hours of starting each 
duty-cycle sequence for laboratory tests. You may verify the 
contamination of a background HC sampling system by reading the last 
bag fill and purge using zero gas. For any NMHC measurement system that 
involves separately measuring methane and subtracting it from a THC 
measurement, verify the amount of THC contamination using only the THC 
analyzer response. There is no need to operate any separate methane 
analyzer for this verification, however you may measure and correct for 
THC contamination in the CH4 sample train for the cases 
where NMHC is determined by subtracting CH4 from THC, using 
an NMC as configured in Sec.  1065.365(d), (e), and (f); and the 
calculations in Sec.  1065.660(b)(2). Perform this verification as 
follows:
    (1) Select the HC analyzer range for measuring the flow-weighted 
mean concentration expected at the HC standard.
    (2) Zero the HC analyzer at the analyzer zero or sample port. Note 
that FID zero and span balance gases may be any combination of purified 
air or purified nitrogen that meets the specifications of Sec.  
1065.750. We recommend FID analyzer zero and span gases that contain 
approximately the flow-weighted mean concentration of O2 expected 
during testing.
    (3) Span the HC analyzer using span gas introduced at the analyzer 
span or sample port. Span on a carbon number basis of one 
(C1). For example, if you use a C3H8 
span gas of concentration 200 [mu]mol/mol, span the FID to respond with 
a value of 600 [mu]mol/mol.
    (4) Overflow zero gas at the HC probe or into a fitting between the 
HC probe and its transfer line.
    (5) Measure the THC concentration in the sampling and background 
systems as follows:
    (i) For continuous sampling, record the mean THC concentration as 
overflow zero air flows.
    (ii) For batch sampling, fill the sample medium (e.g., filter) and 
record its mean THC concentration.
    (iii) For the background system, record the mean THC concentration 
of the last fill and purge.
    (6) Record this value as the initial THC concentration, 
xTHC[THC-FID]init, and use it to correct measured values as 
described in Sec.  1065.660.
    (7) If any of the xTHC[THC-FID]init values exceed the 
greatest of the following values, determine the source of the 
contamination and take corrective action, such as purging the system 
during an additional preconditioning cycle or replacing contaminated 
portions:
    (i) 2% of the flow-weighted mean wet, net concentration expected at 
the HC (THC or NMHC) standard.
    (ii) 2% of the flow-weighted mean wet, net concentration of HC (THC 
or NMHC) measured during testing.
    (iii) 2 [mu]mol/mol.
    (8) If corrective action does not resolve the deficiency, you may 
request to use the contaminated system as an alternate procedure under 
Sec.  1065.10.

0
102. Section 1065.525 is revised to read as follows:


Sec.  1065.525  Engine starting, restarting, shutdown, and optional 
repeating of void discrete modes.

    (a) Start the engine using one of the following methods:
    (1) Start the engine as recommended in the owners manual using a 
production starter motor or air-start system and either an adequately 
charged battery, a suitable power supply, or a suitable compressed air 
source.
    (2) Use the dynamometer to start the engine. To do this, motor the 
engine within 25% of its typical in-use cranking speed. 
Stop cranking within 1 second of starting the engine.
    (b) If the engine does not start after 15 seconds of cranking, stop 
cranking and determine why the engine failed to start, unless the 
owners manual or the service-repair manual describes the longer 
cranking time as normal.
    (c) Respond to engine stalling with the following steps:
    (1) If the engine stalls during warm-up before emission sampling 
begins, restart the engine and continue warm-up.
    (2) If the engine stalls during preconditioning before emission 
sampling begins, restart the engine and restart the preconditioning 
sequence.
    (3) If the engine stalls at any time after emission sampling begins 
for a transient test or ramped-modal cycle test, the test is void.
    (4) Except as described in paragraph (d) of this section, void the 
test if the engine stalls at any time after emission sampling begins.
    (d) If emission sampling is interrupted during one of the modes of 
a discrete-mode test, you may void the results only for that individual 
mode and perform the following steps to continue the test:
    (1) If the engine has stalled, restart the engine.
    (2) Use good engineering judgment to restart the test sequence 
using the appropriate steps in Sec.  1065.530(b).
    (3) Precondition the engine by operating at the previous mode for 
approximately the same amount of time it operated at that mode for the 
last emission measurement.

[[Page 37321]]

    (4) Advance to the mode at which the engine stalled and continue 
with the duty cycle as specified in the standard-setting part.
    (5) Complete the remainder of the test according to the 
requirements in this subpart.
    (e) Shut down the engine according to the manufacturer's 
specifications.

0
103. Section 1065.530 is revised to read as follows:


Sec.  1065.530  Emission test sequence.

    (a) Time the start of testing as follows:
    (1) Perform one of the following if you precondition sampling 
systems as described in Sec.  1065.520(f):
    (i) For cold-start duty cycles, shut down the engine. Unless the 
standard-setting part specifies that you may only perform a natural 
engine cooldown, you may perform a forced engine cooldown. Use good 
engineering judgment to set up systems to send cooling air across the 
engine, to send cool oil through the engine lubrication system, to 
remove heat from coolant through the engine cooling system, and to 
remove heat from any exhaust aftertreatment systems. In the case of a 
forced aftertreatment cooldown, good engineering judgment would 
indicate that you not start flowing cooling air until the 
aftertreatment system has cooled below its catalytic activation 
temperature. For platinum-group metal catalysts, this temperature is 
about 200 [deg]C. Once the aftertreatment system has naturally cooled 
below its catalytic activation temperature, good engineering judgment 
would indicate that you use clean air with a temperature of at least 15 
[deg]C, and direct the air through the aftertreatment system in the 
normal direction of exhaust flow. Do not use any cooling procedure that 
results in unrepresentative emissions (see Sec.  1065.10(c)(1)). You 
may start a cold-start duty cycle when the temperatures of an engine's 
lubricant, coolant, and aftertreatment systems are all between (20 and 
30) [deg]C.
    (ii) For hot-start emission measurements, shut down the engine. 
Start the hot-start duty cycle as specified in the standard-setting 
part.
    (iii) For testing that involves hot-stabilized emission 
measurements, such as any steady-state testing, you may continue to 
operate the engine at maximum test speed and 100% torque if that is the 
first operating point. Otherwise, operate the engine at warm idle or 
the first operating point of the duty cycle. In any case, start the 
emission test within 10 min after you complete the preconditioning 
procedure.
    (2) If you do not precondition sampling systems, perform one of the 
following:
    (i) For cold-start duty cycles, prepare the engine according to 
paragraph (a)(1)(i) of this section.
    (ii) For hot-start emission measurements, first operate the engine 
at any speed above peak-torque speed and at (65 to 85)% of maximum 
mapped power until either the engine coolant, block, or head absolute 
temperature is within 2% of its mean value for at least 2 
min or until the engine thermostat controls engine temperature. Shut 
down the engine. Start the duty cycle within 20 min of engine shutdown.
    (iii) For testing that involves hot-stabilized emission 
measurements, bring the engine either to warm idle or the first 
operating point of the duty cycle. Start the test within 10 min of 
achieving temperature stability. Determine temperature stability either 
as the point at which the engine coolant, block, or head absolute 
temperature is within 2% of its mean value for at least 2 
min, or as the point at which the engine thermostat controls engine 
temperature.
    (b) Take the following steps before emission sampling begins:
    (1) For batch sampling, connect clean storage media, such as 
evacuated bags or tare-weighed filters.
    (2) Start all measurement instruments according to the instrument 
manufacturer's instructions and using good engineering judgment.
    (3) Start dilution systems, sample pumps, cooling fans, and the 
data-collection system.
    (4) Pre-heat or pre-cool heat exchangers in the sampling system to 
within their operating temperature tolerances for a test.
    (5) Allow heated or cooled components such as sample lines, 
filters, chillers, and pumps to stabilize at their operating 
temperatures.
    (6) Verify that there are no significant vacuum-side leaks 
according to Sec.  1065.345.
    (7) Adjust the sample flow rates to desired levels, using bypass 
flow, if desired.
    (8) Zero or re-zero any electronic integrating devices, before the 
start of any test interval.
    (9) Select gas analyzer ranges. You may automatically or manually 
switch gas analyzer ranges during a test only if switching is performed 
by changing the span over which the digital resolution of the 
instrument is applied. During a test you may not switch the gains of an 
analyzer's analog operational amplifier(s).
    (10) Zero and span all continuous analyzers using NIST-traceable 
gases that meet the specifications of Sec.  1065.750. Span FID 
analyzers on a carbon number basis of one (1), C1. For 
example, if you use a C3H8 span gas of 
concentration 200 [mu]mol/mol, span the FID to respond with a value of 
600 [mu]mol/mol. Span FID analyzers consistent with the determination 
of their respective response factors, RF, and penetration fractions, 
PF, according to Sec.  1065.365.
    (11) We recommend that you verify gas analyzer responses after 
zeroing and spanning by sampling a calibration gas that has a 
concentration near one-half of the span gas concentration. Based on the 
results and good engineering judgment, you may decide whether or not to 
re-zero, re-span, or re-calibrate a gas analyzer before starting a 
test.
    (12) If you correct for dilution air background concentrations of 
engine exhaust constituents, start measuring and recording background 
concentrations.
    (13) Drain any condensate from the intake air system and close any 
intake air condensate drains that are not normally open during in-use 
operation.
    (c) Start testing as follows:
    (1) If an engine is already running and warmed up, and starting is 
not part of the duty cycle, perform the following for the various duty 
cycles:
    (i) Transient and steady-state ramped-modal cycles. Simultaneously 
start running the duty cycle, sampling exhaust gases, recording data, 
and integrating measured values.
    (ii) Steady-state discrete-mode cycles. Control the engine 
operation to match the first mode in the test cycle. This will require 
controlling engine speed and load, engine load, or other operator 
demand settings, as specified in the standard-setting part. Follow the 
instructions in the standard-setting part to determine how long to 
stabilize engine operation at each mode, how long to sample emissions 
at each mode, and how to transition between modes.
    (2) If engine starting is part of the duty cycle, initiate data 
logging, sampling of exhaust gases, and integrating measured values 
before attempting to start the engine. Initiate the duty cycle when the 
engine starts.
    (d) At the end of each test interval, continue to operate all 
sampling and dilution systems to allow the sampling system's response 
time to elapse. Then stop all sampling and recording, including the 
recording of background samples. Finally, stop any integrating devices 
and indicate the end of the duty cycle in the recorded data.
    (e) Shut down the engine if you have completed testing or if it is 
part of the duty cycle.

[[Page 37322]]

    (f) If testing involves another duty cycle after a soak period with 
the engine off, start a timer when the engine shuts down, and repeat 
the steps in paragraphs (b) through (e) of this section as needed.
    (g) Take the following steps after emission sampling is complete:
    (1) For any proportional batch sample, such as a bag sample or PM 
sample, verify that proportional sampling was maintained according to 
Sec.  1065.545. Void any samples that did not maintain proportional 
sampling according to Sec.  1065.545.
    (2) Place any used PM samples into covered or sealed containers and 
return them to the PM-stabilization environment. Follow the PM sample 
post-conditioning and total weighing procedures in Sec.  1065.595.
    (3) As soon as practical after the duty cycle is complete, or 
during the soak period if practical, perform the following:
    (i) Zero and span all batch gas analyzers no later than 30 minutes 
after the duty cycle is complete, or during the soak period if 
practical.
    (ii) Analyze any conventional gaseous batch samples no later than 
30 minutes after the duty cycle is complete, or during the soak period 
if practical.
    (iii) Analyze background samples no later than 60 minutes after the 
duty cycle is complete.
    (iv) Analyze non-conventional gaseous batch samples, such as 
ethanol (NMCHE) as soon as practical using good engineering judgment.
    (4) After quantifying exhaust gases, verify drift as follows:
    (i) For batch and continuous gas anlyzers, record the mean analyzer 
value after stabilizing a zero gas to the analyzer. Stabilization may 
include time to purge the analyzer of any sample gas, plus any 
additional time to account for analyzer response.
    (ii) Record the mean analyzer value after stabilizing the span gas 
to the analyzer. Stabilization may include time to purge the analyzer 
of any sample gas, plus any additional time to account for analyzer 
response.
    (iii) Use these data to validate and correct for drift as described 
in Sec.  1065.550.
    (h) Unless the standard-setting part specifies otherwise, determine 
whether or not the test meets the cycle-validation criteria in Sec.  
1065.514.
    (1) If the criteria void the test, you may retest using the same 
denormalized duty cycle, or you may re-map the engine, denormalize the 
reference duty cycle based on the new map and retest the engine using 
the new denormalized duty cycle.
    (2) If the criteria void the test for a constant-speed engine only 
during commands of maximum test torque, you may do the following:
    (i) Determine the first and last feedback speeds at which maximum 
test torque was commanded.
    (ii) If the last speed is greater than or equal to 90% of the first 
speed, the test is void. You may retest using the same denormalized 
duty cycle, or you may re-map the engine, denormalize the reference 
duty cycle based on the new map and retest the engine using the new 
denormalized duty cycle.
    (iii) If the last speed is less than 90% of the first speed, reduce 
maximum test torque by 5%, and proceed as follows:
    (A) Denormalize the entire duty cycle based on the reduced maximum 
test torque according to Sec.  1065.512.
    (B) Retest the engine using the denormalized test cycle that is 
based on the reduced maximum test torque.
    (C) If your engine still fails the cycle criteria, reduce the 
maximum test torque by another 5% of the original maximum test torque.
    (D) If your engine fails after repeating this procedure four times, 
such that your engine still fails after you have reduced the maximum 
test torque by 20% of the original maximum test torque, notify us and 
we will consider specifying a more appropriate duty cycle for your 
engine under the provisions of Sec.  1065.10(c).
    (i) [Reserved]
    (j) Measure and record ambient temperature, pressure, and humidity, 
as appropriate.

0
104. Section 1065.545 is revised to read as follows:


Sec.  1065.545  Validation of proportional flow control for batch 
sampling and minimum dilution ratio for PM batch sampling.

    For any proportional batch sample such as a bag or PM filter, 
demonstrate that proportional sampling was maintained using one of the 
following, noting that you may omit up to 5% of the total number of 
data points as outliers:
    (a) For any pair of flow meters, use recorded sample and total flow 
rates, where total flow rate means the raw exhaust flow rate for raw 
exhaust sampling and the dilute exhaust flow rate for CVS sampling, or 
their 1 Hz means with the statistical calculations in Sec.  1065.602. 
Determine the standard error of the estimate, SEE, of the sample flow 
rate versus the total flow rate. For each test interval, demonstrate 
that SEE was less than or equal to 3.5% of the mean sample flow rate.
    (b) For any pair of flow meters, use recorded sample and total flow 
rates, where total flow rate means the raw exhaust flow rate for raw 
exhaust sampling and the dilute exhaust flow rate for CVS sampling, or 
their 1 Hz means to demonstrate that each flow rate was constant within 
2.5% of its respective mean or target flow rate. You may 
use the following options instead of recording the respective flow rate 
of each type of meter:
    (1) Critical-flow venturi option. For critical-flow venturis, you 
may use recorded venturi-inlet conditions or their 1 Hz means. 
Demonstrate that the flow density at the venturi inlet was constant 
within 2.5% of the mean or target density over each test 
interval. For a CVS critical-flow venturi, you may demonstrate this by 
showing that the absolute temperature at the venturi inlet was constant 
within 4% of the mean or target absolute temperature over 
each test interval.
    (2) Positive-displacement pump option. You may use recorded pump-
inlet conditions or their 1 Hz means. Demonstrate that the flow density 
at the pump inlet was constant within 2.5% of the mean or 
target density over each test interval. For a CVS pump, you may 
demonstrate this by showing that the absolute temperature at the pump 
inlet was constant within 2% of the mean or target absolute 
temperature over each test interval.
    (c) Using good engineering judgment, demonstrate with an 
engineering analysis that the proportional-flow control system 
inherently ensures proportional sampling under all circumstances 
expected during testing. For example, you might use CFVs for both 
sample flow and total flow and demonstrate that they always have the 
same inlet pressures and temperatures and that they always operate 
under critical-flow conditions.
    (d) Use measured or calculated flows and/or tracer gas 
concentrations (e.g., CO2) to determine the minimum dilution ratio for 
PM batch sampling over the test interval.

0
105. Section 1065.550 is revised to read as follows:


Sec.  1065.550  Gas analyzer range validation, drift validation, and 
drift correction.

    (a) Range validation. If an analyzer operated above 100% of its 
range at any time during the test, perform the following steps:
    (1) For batch sampling, re-analyze the sample using the lowest 
analyzer range that results in a maximum instrument response below 
100%. Report the result from the lowest range from which the analyzer 
operates below 100% of its range.

[[Page 37323]]

    (2) For continuous sampling, repeat the entire test using the next 
higher analyzer range. If the analyzer again operates above 100% of its 
range, repeat the test using the next higher range. Continue to repeat 
the test until the analyzer always operates at less than 100% of its 
range.
    (b) Drift validation and drift correction. Calculate two sets of 
brake-specific emission results. Calculate one set using the data 
before drift correction and calculate the other set after correcting 
all the data for drift according to Sec.  1065.672. Use the two sets of 
brake-specific emission results as follows:
    (1) This test is validated for drift if, for each regulated 
pollutant, the difference between the uncorrected and the corrected 
brake-specific emission values is within 4% of the 
uncorrected results or applicable standard, whichever is greater. If 
not, the entire test is void.
    (2) If the test is validated for drift, you must use only the 
drift-corrected emission results when reporting emissions, unless you 
demonstrate to us that using the drift-corrected results adversely 
affects your ability to demonstrate that your engine complies with the 
applicable standards.

0
106. Section 1065.590 is revised to read as follows:


Sec.  1065.590  PM sampling media (e.g., filters) preconditioning and 
tare weighing.

    Before an emission test, take the following steps to prepare PM 
sampling media (e.g., filters) and equipment for PM measurements:
    (a) Make sure the balance and PM-stabilization environments meet 
the periodic verifications in Sec.  1065.390.
    (b) Visually inspect unused sample media (e.g., filters) for 
defects and discard defective media.
    (c) To handle PM sampling media (e.g., filters), use electrically 
grounded tweezers or a grounding strap, as described in Sec.  1065.190.
    (d) Place unused sample media (e.g., filters) in one or more 
containers that are open to the PM-stabilization environment. If you 
are using filters, you may place them in the bottom half of a filter 
cassette.
    (e) Stabilize sample media (e.g., filters) in the PM-stabilization 
environment. Consider an unused sample medium stabilized as long as it 
has been in the PM-stabilization environment for a minimum of 30 min, 
during which the PM-stabilization environment has been within the 
specifications of Sec.  1065.190.
    (f) Weigh the sample media (e.g., filters) automatically or 
manually, as follows:
    (1) For automatic weighing, follow the automation system 
manufacturer's instructions to prepare samples for weighing. This may 
include placing the samples in a special container.
    (2) For manual weighing, use good engineering judgment to determine 
if substitution weighing is necessary to show that an engine meets the 
applicable standard. You may follow the substitution weighing procedure 
in paragraph (j) of this section, or you may develop your own 
procedure.
    (g) Correct the measured mass of each sample medium (e.g., filter) 
for buoyancy as described in Sec.  1065.690. These buoyancy-corrected 
values are subsequently subtracted from the post-test mass of the 
corresponding sample media (e.g., filters) and collected PM to 
determine the mass of PM emitted during the test.
    (h) You may repeat measurements to determine the mean mass of each 
sample medium (e.g., filter). Use good engineering judgment to exclude 
outliers from the calculation of mean mass values.
    (i) If you use filters as sample media, load unused filters that 
have been tare-weighed into clean filter cassettes and place the loaded 
cassettes in a clean, covered or sealed container before removing them 
from the stabilization environment for transport to the test site for 
sampling. We recommend that you keep filter cassettes clean by 
periodically washing or wiping them with a compatible solvent applied 
using a lint-free cloth. Depending upon your cassette material, ethanol 
(C2H5OH) might be an acceptable solvent. Your cleaning frequency will 
depend on your engine's level of PM and HC emissions.
    (j) Substitution weighing involves measurement of a reference 
weight before and after each weighing of PM sampling media (e.g., 
filters). While substitution weighing requires more measurements, it 
corrects for a balance's zero-drift and it relies on balance linearity 
only over a small range. This is most advantageous when quantifying net 
PM masses that are less than 0.1% of the sample medium's mass. However, 
it may not be advantageous when net PM masses exceed 1% of the sample 
medium's mass. If you utilize substitution weighing, it must be used 
for both pre-test and post-test weighing. The same substitution weight 
must be used for both pre-test and post-test weighing. Correct the mass 
of the substitution weight for buoyancy if the density of the 
substitution weight is less than 2.0 g/cm3. The following 
steps are an example of substitution weighing:
    (1) Use electrically grounded tweezers or a grounding strap, as 
described in Sec.  1065.190.
    (2) Use a static neutralizer as described in Sec.  1065.190 to 
minimize static electric charge on any object before it is placed on 
the balance pan.
    (3) Select a substitution weight that meets the requirements for 
calibration weights found in Sec.  1065.790. The substitution weight 
must also have the same density as the weight you use to span the 
microbalance, and be similar in mass to an unused sample medium (e.g., 
filter). A 47 mm PTFE membrane filter will typically have a mass in the 
range of 80 to 100 mg.
    (4) Record the stable balance reading, then remove the calibration 
weight.
    (5) Weigh an unused sample medium (e.g., a new filter), record the 
stable balance reading and record the balance environment's dewpoint, 
ambient temperature, and atmospheric pressure.
    (6) Reweigh the calibration weight and record the stable balance 
reading.
    (7) Calculate the arithmetic mean of the two calibration-weight 
readings that you recorded immediately before and after weighing the 
unused sample. Subtract that mean value from the unused sample reading, 
then add the true mass of the calibration weight as stated on the 
calibration-weight certificate. Record this result. This is the unused 
sample's tare weight without correcting for buoyancy.
    (8) Repeat these substitution-weighing steps for the remainder of 
your unused sample media.
    (9) Once weighing is completed, follow the instructions given in 
paragraphs (g) through (i) of this section.


0
107. Section 1065.595 is revised to read as follows:


Sec.  1065.595  PM sample post-conditioning and total weighing.

    After testing is complete, return the sample media (e.g., filters) 
to the weighing and PM-stabilization environments.
    (a) Make sure the weighing and PM-stabilization environments meet 
the ambient condition specifications in Sec.  1065.190(e)(1). If those 
specifications are not met, leave the test sample media (e.g., filters) 
covered until proper conditions have been met.
    (b) In the PM-stabilization environment, remove PM samples from 
sealed containers. If you use filters, you may remove them from their 
cassettes before or after stabilization. We recommend always removing 
the top portion of the cassette before stabilization. When you remove a 
filter from a cassette, separate the top half of

[[Page 37324]]

the cassette from the bottom half using a cassette separator designed 
for this purpose.
    (c) To handle PM samples, use electrically grounded tweezers or a 
grounding strap, as described in Sec.  1065.190.
    (d) Visually inspect the sampling media (e.g., filters) and 
collected particulate. If either the sample media (e.g., filters) or 
particulate sample appear to have been compromised, or the particulate 
matter contacts any surface other than the filter, the sample may not 
be used to determine particulate emissions. In the case of contact with 
another surface, clean the affected surface before continuing.
    (e) To stabilize PM samples, place them in one or more containers 
that are open to the PM-stabilization environment, as described in 
Sec.  1065.190. If you expect that a sample medium's (e.g., filter's) 
total surface concentration of PM will be less than 400 [mu]g, assuming 
a 38 mm diameter filter stain area, expose the filter to a PM-
stabilization environment meeting the specifications of Sec.  1065.190 
for at least 30 minutes before weighing. If you expect a higher PM 
concentration or do not know what PM concentration to expect, expose 
the filter to the stabilization environment for at least 60 minutes 
before weighing. Note that 400 [mu]g on sample media (e.g., filters) is 
an approximate net mass of 0.07 g/kW[middot]hr for a hot-start test 
with compression-ignition engines tested according to 40 CFR part 86, 
subpart N, or 50 mg/mile for light-duty vehicles tested according to 40 
CFR part 86, subpart B.
    (f) Repeat the procedures in Sec.  1065.590(f) through (i) to 
determine post-test mass of the sample media (e.g., filters).
    (g) Subtract each buoyancy-corrected tare mass of the sample medium 
(e.g., filter) from its respective buoyancy-corrected mass. The result 
is the net PM mass, mPM. Use mPM in emission 
calculations in Sec.  1065.650.

Subpart G--[Amended]

0
108. Section 1065.601 is amended by revising paragraph (c)(1) to read 
as follows:


Sec.  1065.601  Overview.

* * * * *
    (c) * * *
    (1) Mass-based emission calculations prescribed by the 
International Organization for Standardization (ISO), according to ISO 
8178, except the following:
    (i) ISO 8178-1 Section 14.4, NOX Correction for Humidity 
and Temperature. See Sec.  1065.670 for approved methods for humidity 
corrections.
    (ii) ISO 8178-1 Section 15.1, Particulate Correction Factor for 
Humidity.
* * * * *
0
109. Section 1065.602 is amended by revising paragraphs (f)(3) before 
the table and (l) introductory text to read as follows:


Sec.  1065.602  Statistics.

* * * * *
    (f) * * *
    (3) Use Table 1 of this section to compare t to the 
tcrit values tabulated versus the number of degrees of 
freedom. If t is less than tcrit, then t passes the t-test. 
The Microsoft Excel software package contains a TINV function that 
returns results equivalent to Sec.  1065.602 Table 1 and may be used in 
place of Table 1.
* * * * *
    (l) Flow-weighted mean concentration. In some sections of this 
part, you may need to calculate a flow-weighted mean concentration to 
determine the applicability of certain provisions. A flow-weighted mean 
is the mean of a quantity after it is weighted proportional to a 
corresponding flow rate. For example, if a gas concentration is 
measured continuously from the raw exhaust of an engine, its flow-
weighted mean concentration is the sum of the products of each recorded 
concentration times its respective exhaust molar flow rate, divided by 
the sum of the recorded flow rate values. As another example, the bag 
concentration from a CVS system is the same as the flow-weighted mean 
concentration because the CVS system itself flow-weights the bag 
concentration. You might already expect a certain flow-weighted mean 
concentration of an emission at its standard based on previous testing 
with similar engines or testing with similar equipment and instruments. 
If you need to estimate your expected flow-weighted mean concentration 
of an emission at its standard, we recommend using the following 
examples as a guide for how to estimate the flow-weighted mean 
concentration expected at the standard. Note that these examples are 
not exact and that they contain assumptions that are not always valid. 
Use good engineering judgment to determine if you can use similar 
assumptions.
* * * * *

0
110. Section 1065.610 is revised to read as follows:


Sec.  1065.610  Duty cycle generation.

    This section describes how to generate duty cycles that are 
specific to your engine, based on the normalized duty cycles in the 
standard-setting part. During an emission test, use a duty cycle that 
is specific to your engine to command engine speed, torque, and power, 
as applicable, using an engine dynamometer and an engine operator 
demand. Paragraph (a) of this section describes how to ``normalize'' 
your engine's map to determine the maximum test speed and torque for 
your engine. The rest of this section describes how to use these values 
to ``denormalize'' the duty cycles in the standard-setting parts, which 
are all published on a normalized basis. Thus, the term ``normalized'' 
in paragraph (a) of this section refers to different values than it 
does in the rest of the section.
    (a) Maximum test speed, fntest. This section generally 
applies to duty cycles for variable-speed engines. For constant-speed 
engines subject to duty cycles that specify normalized speed commands, 
use the no-load governed speed as the measured fntest. This 
is the highest engine speed where an engine outputs zero torque. For 
variable-speed engines, determine the measured fntest from 
the power-versus-speed map, generated according to Sec.  1065.510, as 
follows:
    (1) Based on the map, determine maximum power, Pmax, and 
the speed at which maximum power occurred, fnPmax. Divide 
every recorded power by Pmax and divide every recorded speed 
by fnPmax. The result is a normalized power-versus-speed 
map. Your measured fntest is the speed at which the sum of 
the squares of normalized speed and power is maximum, as follows:

fntest = fni at the maximum of 
(fnnormi\2\ + Pnormi\2\)

Eq. 1065.610-1

Where:

fntest = maximum test speed.
i = an indexing variable that represents one recorded value of an 
engine map.
fnnormi = an engine speed normalized by dividing it by 
fnPmax.
Pnormi = an engine power normalized by dividing it by 
Pmax.

Example:

(fnnorm1 = 1.002, Pnorm1 = 0.978, 
fn1 = 2359.71)
(fnnorm2 = 1.004, Pnorm2 = 0.977, 
fn2 = 2364.42)
(fnnorm3 = 1.006, Pnorm3 = 0.974, 
fn3 = 2369.13)
(fnnorm12 + Pnorm1\2\) = (1.002\2\ 
+ 0.978\2\) = 1.960
(fnnorm2\2\ + Pnorm2\2\) = (1.004\2\ + 
0.977\2\) = 1.963
(fnnorm3\2\ + Pnorm3\2\) = (1.006\2\ + 
0.974\2\) = 1.961
maximum = 1.963 at i = 2
fntest = 2364.42 rev/min

    (2) For variable-speed engines, transform normalized speeds to 
reference speeds according to paragraph (c) of this section by using 
the measured maximum test speed determined according to paragraph 
(a)(1) of this section--or use your declared maximum test speed, as 
allowed in Sec.  1065.510.

[[Page 37325]]

    (3) For constant-speed engines, transform normalized speeds to 
reference speeds according to paragraph (c) of this section by using 
the measured no-load governed speed--or use your declared maximum test 
speed, as allowed in Sec.  1065.510.
    (b) Maximum test torque, Ttest. For constant-speed 
engines, determine the measured Ttest from the power-versus-
speed map, generated according to Sec.  1065.510, as follows:
    (1) Based on the map, determine maximum power, Pmax, and 
the speed at which maximum power occurs, fnPmax. Divide 
every recorded power by Pmax and divide every recorded speed 
by fnPmax. The result is a normalized power-versus-speed 
map. Your measured Ttest is the torque at which the sum of 
the squares of normalized speed and power is maximum, as follows:

Ttest = Ti at the maximum of 
(fnnormi\2\ + Pnormi\2\)

Eq. 1065.610-2

Where:

Ttest = maximum test torque.

Example:
(fnnorm1 = 1.002, Pnorm1 = 0.978, 
T1 = 722.62 N[middot]m)
(fnnorm2 = 1.004, Pnorm2 = 0.977, 
T2 = 720.44 N[middot]m)
(fnnorm3 = 1.006, Pnorm3 = 0.974, 
T3 = 716.80 N[middot]m)
(fnnorm1\2\ + Pnorm1\2\) = (1.002\2\ + 
0.978\2\) = 1.960
(fnnorm1\2\ + Pnorm1\2\) = (1.004\2\ + 
0.977\2\) = 1.963
(fnnorm1\2\ + Pnorm1\2\) = (1.006\2\ + 
0.974\2\) = 1.961
maximum = 1.963 at i = 2
Ttest = 720.44 N[middot]m

    (2) Transform normalized torques to reference torques according to 
paragraph (d) of this section by using the measured maximum test torque 
determined according to paragraph (b)(1) of this section--or use your 
declared maximum test torque, as allowed in Sec.  1065.510.
    (c) Generating reference speed values from normalized duty cycle 
speeds. Transform normalized speed values to reference values as 
follows:
    (1) % speed. If your normalized duty cycle specifies % speed 
values, use your warm idle speed and your maximum test speed to 
transform the duty cycle, as follows:

fnref = % speed [middot] (fntest - 
fnidle) + fnidle

Eq. 1065.610-3

Example:

% speed = 85%
fntest = 2364 rev/min
fnidle = 650 rev/min
fnref = 85% [middot] (2364-650 ) + 650
fnref = 2107 rev/min

    (2) A, B, and C speeds. If your normalized duty cycle specifies 
speeds as A, B, or C values, use your power-versus-speed curve to 
determine the lowest speed below maximum power at which 50% of maximum 
power occurs. Denote this value as nlo. Take nlo 
to be warm idle speed if all power points at speeds below the maximum 
power speed are higher than 50% of maximum power. Also determine the 
highest speed above maximum power at which 70% of maximum power occurs. 
Denote this value as nhi. If all power points at speeds 
above the maximum power speed are higher than 70% of maximum power, 
take nhi to be the declared maximum safe engine speed or the 
declared maximum representative engine speed, whichever is lower. Use 
nhi and nlo to calculate reference values for A, 
B, or C speeds as follows:
fnrefA = 0.25 [middot] (nhi - nlo) + 
nlo

Eq. 1065.610-4

fnrefB = 0.50 [middot] (nhi - nnlo) + 
nlo

Eq. 1065.610-5
fnrefC = 0.75 [middot] (nhi - nlo) + 
nlo
Eq. 1065.610-6

Example:

nlo = 1005 rev/min
nhi = 2385 rev/min
fnrefA = 0.25 [middot] (2385-1005) + 1005
fnrefB = 0.50 [middot] (2385-1005) + 1005
fnrefC = 0.75 [middot] (2385-1005) + 1005
fnrefA = 1350 rev/min
fnrefB = 1695 rev/min
fnrefC = 2040 rev/min

    (3) Intermediate speed. If your normalized duty cycle specifies a 
speed as ``intermediate speed,'' use your torque-versus-speed curve to 
determine the speed at which maximum torque occurs. This is peak torque 
speed. Identify your reference intermediate speed as one of the 
following values:
    (i) Peak torque speed if it is between (60 and 75)% of maximum test 
speed.
    (ii) 60% of maximum test speed if peak torque speed is less than 
60% of maximum test speed.
    (iii) 75% of maximum test speed if peak torque speed is greater 
than 75% of maximum test speed.
    (d) Generating reference torques from normalized duty-cycle 
torques. Transform normalized torques to reference torques using your 
map of maximum torque versus speed.
    (1) Reference torque for variable-speed engines. For a given speed 
point, multiply the corresponding % torque by the maximum torque at 
that speed, according to your map. If your engine is subject to a 
reference duty cycle that specifies negative torque values (i.e., 
engine motoring), use negative torque for those motoring points (i.e., 
the motoring torque). If you map negative torque as allowed under Sec.  
1065.510 (c)(2) and the low-speed governor activates, resulting in 
positive torques, you may replace those positive motoring mapped 
torques with negative values between zero and the largest negative 
motoring torque. For both maximum and motoring torque maps, linearly 
interpolate mapped torque values to determine torque between mapped 
speeds. If the reference speed is below the minimum mapped speed (i.e., 
95% of idle speed or 95% of lowest required speed, whichever is 
higher), use the mapped torque at the minimum mapped speed as the 
reference torque. The result is the reference torque for each speed 
point.
    (2) Reference torque for constant-speed engines. Multiply a % 
torque value by your maximum test torque. The result is the reference 
torque for each point.
    (3) Required deviations. We require the following deviations for 
variable-speed engines intended primarily for propulsion of a vehicle 
with an automatic transmission where that engine is subject to a 
transient duty cycle with idle operation. These deviations are intended 
to produce a more representative transient duty cycle for these 
applications. For steady-state duty cycles or transient duty cycles 
with no idle operation, these requirements do not apply. Idle points 
for steady state duty cycles of such engines are to be run at 
conditions simulating neutral or park on the transmission.
    (i) Zero-percent speed is the warm idle speed measured according to 
Sec.  1065.510(b)(6) with CITT applied, i.e., measured warm idle speed 
in drive.
    (ii) If the cycle begins with a set of contiguous idle points 
(zero-percent speed, and zero-percent torque), leave the reference 
torques set to zero for this initial contiguous idle segment. This is 
to represent free idle operation with the transmission in neutral or 
park at the start of the transient duty cycle, after the engine is 
started. If the initial idle segment is longer than 24 s, change the 
reference torques for the remaining idle points in the initial 
contiguous idle segment to CITT (i.e., change idle points corresponding 
to 25 s to the end of the initial idle segment to CITT). This is to 
represent shifting the transmission to drive.
    (iii) For all other idle points, change the reference torque to 
CITT. This is to represent the transmission operating in drive.
    (iv) If the engine is intended primarily for automatic 
transmissions with a Neutral-When-Stationary feature that automatically 
shifts the transmission to neutral after the vehicle is stopped for a 
designated time and automatically shifts back to drive when the 
operator increases demand (i.e., pushes the

[[Page 37326]]

accelerator pedal), change the reference torque back to zero for idle 
points in drive after the designated time.
    (v) For all points with normalized speed at or below zero percent 
and reference torque from zero to CITT, set the reference torque to 
CITT. This is to provide smoother torque references below idle speed.
    (vi) For motoring points, make no changes.
    (vii) For consecutive points with reference torques from zero to 
CITT that immediately follow idle points, change their reference 
torques to CITT. This is to provide smooth torque transition out of 
idle operation. This does not apply if the Neutral-When-Stationary 
feature is used and the transmission has shifted to neutral.
    (viii) For consecutive points with reference torque from zero to 
CITT that immediately precede idle points, change their reference 
torques to CITT. This is to provide smooth torque transition into idle 
operation.
    (4) Permissible deviations for any engine. If your engine does not 
operate below a certain minimum torque under normal in-use conditions, 
you may use a declared minimum torque as the reference value instead of 
any value denormalized to be less than the declared value. For example, 
if your engine is connected to a hydrostatic transmission and it has a 
minimum torque even when all the driven hydraulic actuators and motors 
are stationary and the engine is at idle, then you may use this 
declared minimum torque as a reference torque value instead of any 
reference torque value generated under paragraph (d)(1) or (2) of this 
section that is between zero and this declared minimum torque.
    (e) Generating reference power values from normalized duty cycle 
powers. Transform normalized power values to reference speed and power 
values using your map of maximum power versus speed.
    (1) First transform normalized speed values into reference speed 
values. For a given speed point, multiply the corresponding % power by 
the mapped power at maximum test speed, fntest, unless 
specified otherwise by the standard-setting part. The result is the 
reference power for each speed point, Pref. Convert these 
reference powers to corresponding torques for operator demand and 
dynamometer control and for duty cycle validation per 1065.514. Use the 
reference speed associated with each reference power point for this 
conversion. As with cycles specified with % torque, linearly 
interpolate between these reference torque values generated from cycles 
with % power.
    (2) Permissible deviations for any engine. If your engine does not 
operate below a certain power under normal in-use conditions, you may 
use a declared minimum power as the reference value instead of any 
value denormalized to be less than the declared value. For example, if 
your engine is directly connected to a propeller, it may have a minimum 
power called idle power. In this case, you may use this declared 
minimum power as a reference power value instead of any reference power 
value generated per paragraph (e)(1) of this section that is from zero 
to this declared minimum power.
0
111. Section 1065.640 is amended by revising paragraphs (a) and (e) and 
redesignating the second ``Table 3'' as ``Table 4'' to read as follows:


Sec.  1065.640  Flow meter calibration calculations.

* * * * *
    (a) Reference meter conversions. The calibration equations in this 
section use molar flow rate, nref, as a reference quantity. 
If your reference meter outputs a flow rate in a different quantity, 
such as standard volume rate, Vstdref, actual volume rate, 
Vactref, or mass rate, mref, convert your 
reference meter output to a molar flow rate using the following 
equations, noting that while values for volume rate, mass rate, 
pressure, temperature, and molar mass may change during an emission 
test, you should ensure that they are as constant as practical for each 
individual set point during a flow meter calibration:
[GRAPHIC] [TIFF OMITTED] TR06MY08.022

Where:
Nref = reference molar flow rate.
Vstdref = reference volume flow rate, corrected to a 
standard pressure and a standard temperature.
Vactref = reference volume flow rate at the actual 
pressure and temperature of the flow rate.
Nref = reference mass flow.
pstd = standard pressure.
pact = actual pressure of the flow rate.
Tstd = standard temperature.
Tact = actual temperature of the flow rate.
R = molar gas constant.
Mmix = molar mass of the flow rate.

Example 1:

Vstdref = 1000.00 ft3/min = 0.471948 
m3/s
p = 29.9213 in Hg @ 32 [deg]F = 101325 Pa
T = 68.0 [deg]F = 293.15 K
R = 8.314472 J/(mol [middot] K)
[GRAPHIC] [TIFF OMITTED] TR06MY08.023

Nref = 19.169 mol/s

Example 2:

Mref = 17.2683 kg/min = 287.805 g/s
Mmix = 28.7805 g/mol
[GRAPHIC] [TIFF OMITTED] TR06MY08.024

    nref = 10.0000 mol/s

    (e) CFV calibration. Some CFV flow meters consist of a single 
venturi and some consist of multiple venturis, where different 
combinations of venturis are used to meter different flow rates. For 
CFV flow meters that consist of multiple venturis, either calibrate 
each venturi independently to determine a separate discharge 
coefficient, Cd, for each venturi, or calibrate each combination of 
venturis as one venturi. In the case where you calibrate a combination 
of venturis, use the sum of the active venturi throat areas as At, the 
square root of the sum of the squares of the active venturi throat 
diameters as dt, and the ratio of the venturi throat to inlet diameters 
as the ratio of the square root of the sum of the active venturi throat 
diameters (dt) to the diameter of the common entrance to all of the 
venturis (D). To determine the Cd for a single venturi or a single 
combination of venturis, perform the following steps:
    (1) Use the data collected at each calibration set point to 
calculate an individual Cd for each point using Eq. 1065.640-4.
    (2) Calculate the mean and standard deviation of all the Cd values 
according to Eqs. 1065.602-1 and 1065.602-2.
    (3) If the standard deviation of all the Cd values is less than or 
equal to 0.3% of the mean Cd, use the mean Cd in Eq. 1065.642-6, and 
use the CFV only down to the lowest r measured during calibration using 
the following equation:
[GRAPHIC] [TIFF OMITTED] TR06MY08.025

    (4) If the standard deviation of all the Cd values exceeds 0.3% of 
the mean Cd,

[[Page 37327]]

omit the Cd values corresponding to the data point collected at the 
lowest r measured during calibration.
    (5) If the number of remaining data points is less than seven, take 
corrective action by checking your calibration data or repeating the 
calibration process. If you repeat the calibration process, we 
recommend checking for leaks, applying tighter tolerances to 
measurements and allowing more time for flows to stabilize.
    (6) If the number of remaining Cd values is seven or greater, 
recalculate the mean and standard deviation of the remaining Cd values.
    (7) If the standard deviation of the remaining Cd values is less 
than or equal to 0.3% of the mean of the remaining Cd, use that mean Cd 
in Eq. 1065.642-6, and use the CFV values only down to the lowest r 
associated with the remaining Cd.
    (8) If the standard deviation of the remaining Cd still exceeds 
0.3% of the mean of the remaining Cd values, repeat the steps in 
paragraph (e)(4) through (8) of this section.

0
112. Section 1065.642 is amended by revising paragraph (b) to read as 
follows:


Sec.  1065.642  SSV, CFV, and PDP molar flow rate calculations.

* * * * *
    (b) SSV molar flow rate. Based on the Cd versus 
Re equation you determined according to Sec.  
1065.640, calculate SSV molar flow rate, n during an emission test as 
follows:
[GRAPHIC] [TIFF OMITTED] TR06MY08.026

Example:

At = 0.01824 m\2\
pin = 99132 Pa
Z = 1
Mmix = 28.7805 g/mol = 0.0287805 kg/mol
R = 8.314472 J/(mol[middot]K)
Tin = 298.15 K
Re = 7.232[middot]10\\
y = 1.399
[beta] = 0.8
[Delta]p = 2.312 kPa
Using Eq. 1065.640-7,
rssv = 0.997
Using Eq. 1065.640-6,
Cf = 0.274
Using Eq. 1065.640-5,
Cd = 0.990
[GRAPHIC] [TIFF OMITTED] TR06MY08.027

n= 58.173 mol/s

* * * * *

0
113. A new Sec.  1065.644 is added to read as follows:


Sec.  1065.644  Vacuum-decay leak rate.

    This section describes how to calculate the leak rate of a vacuum-
decay leak verification, which is described in Sec.  1065.345(e). Use 
Eq. 1065.644-1 to calculate the leak rate, nleak, and compare it to the 
criterion specified in Sec.  1065.345(e).
[GRAPHIC] [TIFF OMITTED] TR06MY08.028

Where:

Vvac = geometric volume of the vacuum-side of the 
sampling system.
R = molar gas constant.
p2 = Vacuum-side absolute pressure at time t2.
T2 = Vacuum-side absolute temperature at time 
t2.
p1 = Vacuum-side absolute pressure at time t\1\.
T1 = Vacuum-side absolute temperature at time 
t1.
t2 = time at completion of vacuum-decay leak verification 
test.
t1 = time at start of vacuum-decay leak verification 
test.

Example:

Vvac = 2.0000 L = 0.00200 m3
R = 8.314472 J/(mol[middot]K)
p2 = 50.600 kPa = 50600 Pa
T2 = 293.15 K
p1 = 25.300 kPa = 25300 Pa
T1 = 293.15 K
t2 = 10:57:35 AM
t1 = 10:56:25 AM
[GRAPHIC] [TIFF OMITTED] TR06MY08.029



0
114. Section 1065.645 is revised to read as follows:


Sec.  1065.645  Amount of water in an ideal gas.

    This section describes how to determine the amount of water in an 
ideal gas, which you need for various performance verifications and 
emission calculations. Use the equation for the vapor pressure of water 
in paragraph (a) of this section or another appropriate equation and, 
depending on whether you measure dewpoint or relative humidity, perform 
one of the

[[Page 37328]]

calculations in paragraph (b) or (c) of this section.
    (a) Vapor pressure of water. Calculate the vapor pressure of water 
for a given saturation temperature condition, Tsat, as 
follows, or use good engineering judgment to use a different 
relationship of the vapor pressure of water to a given saturation 
temperature condition:
    (1) For humidity measurements made at ambient temperatures from (0 
to 100) [deg]C, or for humidity measurements made over super-cooled 
water at ambient temperatures from (-50 to 0) [deg]C, use the following 
equation:
[GRAPHIC] [TIFF OMITTED] TR06MY08.030

Where:

pH20 = vapor pressure of water at saturation temperature 
condition, kPa.
Tsat = saturation temperature of water at measured 
conditions, K.
Example:

Tsat = 9.5 [deg]C
Tdsat= 9.5 + 273.15 = 282.65 K
[GRAPHIC] [TIFF OMITTED] TR06MY08.112

-log10(pH20) = -0.073974
pH20 = 100.073974 = 1.18569 kPa

    (2) For humidity measurements over ice at ambient temperatures from 
(-100 to 0) [deg]C, use the following equation:
[GRAPHIC] [TIFF OMITTED] TR06MY08.031

Example:

Tice = -15.4 [deg]C
Tice = -15.4 + 273.15 = 257.75 K
[GRAPHIC] [TIFF OMITTED] TR06MY08.032

-log10(pH2O) =-0.79821
pH2O = 100.79821 = 0.15914 kPa

    (b) Dewpoint. If you measure humidity as a dewpoint, determine the 
amount of water in an ideal gas, xH2O, as follows:
[GRAPHIC] [TIFF OMITTED] TR06MY08.033

Where:

xH2O = amount of water in an ideal gas.
pH2O = water vapor pressure at the measured dewpoint, 
Tsat = Tdew.
pabs = wet static absolute pressure at the location of 
your dewpoint measurement.
Example:
pabs = 99.980 kPa
Tsat = Tdew = 9.5 [deg]C
Using Eq. 1065.645-2,
pH2O = 1.18489 kPa
xH2O = 1.18489/99.980
xH2O = 0.011851 mol/mol

    (c) Relative humidity. If you measure humidity as a relative 
humidity, RH %, determine the amount of water in an ideal gas, 
xH2O, as follows:
[GRAPHIC] [TIFF OMITTED] TR06MY08.034

Where:

xH2O = amount of water in an ideal gas.
RH % = relative humidity.
pH2O = water vapor pressure at 100% relative humidity at 
the location of your relative humidity measurement, Tsat 
= Tamb.
pabs = wet static absolute pressure at the location of 
your relative humidity measurement.
Example:
RH % = 50.77%
pabs = 99.980 kPa
Tsat = Tamb = 20 [deg]C
Using Eq. 1065.645-2,
pH2O = 2.3371 kPa
xH2O = (50.77% [middot]2.3371)/99.980
xH2O = 0.011868 mol/mol


0
115. Section 1065.650 is revised to read as follows:


Sec.  1065.650  Emission calculations.

    (a) General. Calculate brake-specific emissions over each test 
interval in a duty cycle. Refer to the standard-setting part for any 
calculations you might need to determine a composite result, such as a 
calculation that weights and sums the

[[Page 37329]]

results of individual test intervals in a duty cycle. For summations of 
continuous signals, each indexed value (i.e., ``i'') represents (or 
approximates) the mean value of the parameter for its respective time 
interval, delta-t.
    (b) We specify three alternative ways to calculate brake-specific 
emissions, as follows:
    (1) For any testing, you may calculate the total mass of emissions, 
as described in paragraph (c) of this section, and divide it by the 
total work generated over the test interval, as described in paragraph 
(d) of this section, using the following equation:

[GRAPHIC] [TIFF OMITTED] TR06MY08.035

Example:
mNOx = 64.975 g
W = 25.783 kW[middot]hr
eNOx = 64.975/25.783
eNOx = 2.520 g/(kW[middot]hr)

    (2) For discrete-mode steady-state testing, you may calculate the 
ratio of emission mass rate to power, as described in paragraph (e) of 
this section, using the following equation:
[GRAPHIC] [TIFF OMITTED] TR06MY08.036

    (3) For field testing, you may calculate the ratio of total mass to 
total work, where these individual values are determined as described 
in paragraph (f) of this section. You may also use this approach for 
laboratory testing, consistent with good engineering judgment. This is 
a special case in which you use a signal linearly proportional to raw 
exhaust molar flow rate to determine a value proportional to total 
emissions. You then use the same linearly proportional signal to 
determine total work using a chemical balance of fuel, intake air, and 
exhaust as described in Sec.  1065.655, plus information about your 
engine's brake-specific fuel consumption. Under this method, flow 
meters need not meet accuracy specifications, but they must meet the 
applicable linearity and repeatability specifications in subpart D or 
subpart J of this part. The result is a brake-specific emission value 
calculated as follows:
[GRAPHIC] [TIFF OMITTED] TR06MY08.037

Example:

m = 805.5 ~g
W = 52.102 ~kW[middot]hr
eCO = 805.5/52.102
eCO = 2.520 g/(kW[middot]hr)

    (c) Total mass of emissions. To calculate the total mass of an 
emission, multiply a concentration by its respective flow. For all 
systems, make preliminary calculations as described in paragraph (c)(1) 
of this section, then use the method in paragraphs (c)(2) through (4) 
of this section that is appropriate for your system. Calculate the 
total mass of emissions as follows:
    (1) Concentration corrections. Perform the following sequence of 
preliminary calculations on recorded concentrations:
    (i) Correct all THC and CH4 concentrations, including 
continuous readings, sample bags readings, and dilution air background 
readings, for initial contamination, as described in Sec.  1065.660(a).
    (ii) Correct all concentrations measured on a ``dry'' basis to a 
``wet'' basis, including dilution air background concentrations, as 
described in Sec.  1065.659.
    (iii) Calculate all THC and NMHC concentrations, including dilution 
air background concentrations, as described in Sec.  1065.660.
    (iv) For emission testing with an oxygenated fuel, calculate any HC 
concentrations, including dilution air background concentrations, as 
described in Sec.  1065.665. See subpart I of this part for testing 
with oxygenated fuels.
    (v) Correct all the NOX concentrations, including 
dilution air background concentrations, for intake-air humidity as 
described in Sec.  1065.670.
    (vi) Compare the background corrected mass of NMHC to background 
corrected mass of THC. If the background corrected mass of NMHC is 
greater than 0.98 times the background corrected mass of THC, take the 
background corrected mass of NMHC to be 0.98 times the background 
corrected mass of THC. If you omit the NMHC calculations as described 
in Sec.  1065.660(b)(1), take the background corrected mass of NMHC to 
be 0.98 times the background corrected mass of THC.
    (vii) Calculate brake-specific emissions before and after 
correcting for drift, including dilution air background concentrations, 
according to Sec.  1065.672.
    (2) Continuous sampling. For continuous sampling, you must 
frequently record a continuously updated concentration signal. You may 
measure this concentration from a changing flow rate or a constant flow 
rate (including discrete-mode steady-state testing), as follows:
    (i) Varying flow rate. If you continuously sample from a changing 
exhaust flow rate, time align and then multiply concentration 
measurements by the flow rate from which you extracted it. Use good 
engineering judgment to time align flow and concentration data to match 
t50 rise or fall times to within 1 s. We 
consider the following to be examples of changing flows that require a 
continuous multiplication of concentration times molar flow rate: raw 
exhaust, exhaust diluted with a constant flow rate of dilution air, and 
CVS dilution with a CVS flowmeter that does not have an upstream heat 
exchanger or electronic flow control. This multiplication results in 
the flow rate of the emission itself. Integrate the emission flow rate 
over a test interval to determine the total emission. If the total 
emission is a molar quantity, convert this quantity to a mass by 
multiplying it by its molar mass, M. The result is the mass of the 
emission, m. Calculate m for continuous sampling with variable flow 
using the following equations:
[GRAPHIC] [TIFF OMITTED] TR06MY08.038

Where:

[GRAPHIC] [TIFF OMITTED] TR06MY08.039

Example:

MNMHC = 13.875389 g/mol
N = 1200
xNMHC1 = 84.5 [mu]mol/mol = 84.5 [middot] 10-6 
mol/mol
xNMHC2 = 86.0 [mu]mol/mol = 86.0 [middot] 10-6 
mol/mol
nexh1 = 2.876 mol/s
nexh2 = 2.224 mol/s
frecord = 1 Hz
Using Eq. 1065.650-5,
[Delta]t = 1/1 =1 s
mNMHC = 13.875389 [middot] (84.5 [middot] 10-6 
[middot] 2.876 + 86.0 [middot] 10-6 [middot] 2.224 + ... 
+ xNMHC1200 [middot] nexh) [middot] 1
mNMHC = 25.53 g

    (ii) Constant flow rate. If you continuously sample from a constant 
exhaust flow rate, use the same emission calculations described in 
paragraph (c)(2)(i) of this section or calculate the mean or flow-
weighted concentration recorded over the test interval and treat the 
mean as a batch sample, as described in paragraph (c)(3)(ii) of this 
section. We consider the following to be examples of constant exhaust 
flows: CVS diluted exhaust with a CVS flowmeter that has either an 
upstream heat exchanger, electronic flow control, or both.
    (3) Batch sampling. For batch sampling, the concentration is a 
single value from a proportionally extracted batch sample (such as a 
bag, filter, impinger, or cartridge). In this case, multiply the mean 
concentration of the batch sample by the total flow from which the 
sample was extracted. You may calculate total flow by integrating a 
changing flow rate or by determining

[[Page 37330]]

the mean of a constant flow rate, as follows:
    (i) Varying flow rate. If you collect a batch sample from a 
changing exhaust flow rate, extract a sample proportional to the 
changing exhaust flow rate. We consider the following to be examples of 
changing flows that require proportional sampling: Raw exhaust, exhaust 
diluted with a constant flow rate of dilution air, and CVS dilution 
with a CVS flowmeter that does not have an upstream heat exchanger or 
electronic flow control. Integrate the flow rate over a test interval 
to determine the total flow from which you extracted the proportional 
sample. Multiply the mean concentration of the batch sample by the 
total flow from which the sample was extracted. If the total emission 
is a molar quantity, convert this quantity to a mass by multiplying it 
by its molar mass, M. The result is the mass of the emission, m. In the 
case of PM emissions, where the mean PM concentration is already in 
units of mass per mole of sample, MPM, simply multiply it by 
the total flow. The result is the total mass of PM, mPM. 
Calculate m for batch sampling with variable flow using the following 
equation:
[GRAPHIC] [TIFF OMITTED] TR06MY08.040

Example:

MNOx = 46.0055 g/mol
N = 9000
xNOx = 85.6 [mu]mol/mol = 85.6 [middot] 
10-6 mol/mol
ndexh1 = 25.534 mol/s
ndexh2 = 26.950 mol/s
frecord = 5 Hz
Using Eq. 1065.650-5,
[Delta]t = 1/5 = 0.2
mNOx = 46.0055 [middot] 85.6 [middot] 10-6 
[middot] (25.534 + 26.950 + ... + nexh9000) [middot] 0.2
mNOx = 4.201 g

    (ii) Constant flow rate. If you batch sample from a constant 
exhaust flow rate, extract a sample at a proportional or constant flow 
rate. We consider the following to be examples of constant exhaust 
flows: CVS diluted exhaust with a CVS flow meter that has either an 
upstream heat exchanger, electronic flow control, or both. Determine 
the mean molar flow rate from which you extracted the constant flow 
rate sample. Multiply the mean concentration of the batch sample by the 
mean molar flow rate of the exhaust from which the sample was 
extracted, and multiply the result by the time of the test interval. If 
the total emission is a molar quantity, convert this quantity to a mass 
by multiplying it by its molar mass, M. The result is the mass of the 
emission, m. In the case of PM emissions, where the mean PM 
concentration is already in units of mass per mole of sample, 
MPM, simply multiply it by the total flow, and the result is 
the total mass of PM, mPM. Calculate m for sampling with 
constant flow using the following equations:
[GRAPHIC] [TIFF OMITTED] TR06MY08.041


and for PM or any other analysis of a batch sample that yields a mass 
per mole of sample,
[GRAPHIC] [TIFF OMITTED] TR06MY08.042

Example:

MPM = 144.0 [mu]g/mol = 144.0 [middot] 10-6 g/
mol
ndexh = 57.692 mol/s
[Delta]t = 1200 s
mPM = 144.0 [middot] 10-6 [middot] 57.692 
[middot] 1200
mPM = 9.9692 g
    (4) Additional provisions for diluted exhaust sampling; continuous 
or batch. The following additional provisions apply for sampling 
emissions from diluted exhaust:
    (i) For sampling with a constant dilution ratio (DR) of diluted 
exhaust versus exhaust flow (e.g., secondary dilution for PM sampling), 
calculate m using the following equation:
[GRAPHIC] [TIFF OMITTED] TR06MY08.043

Example:

mPMdil = 6.853 g
DR = 6:1
mPM = 6.853 [middot] (6)
mPM = 41.118 g

    (ii) For continuous or batch sampling, you may measure background 
emissions in the dilution air. You may then subtract the measured 
background emissions, as described in Sec.  1065.667.
    (d) Total work. To calculate total work from the engine's primary 
output shaft, numerically integrate feedback power over a test 
interval. Before integrating, adjust the speed and torque data for the 
time alignment used in Sec.  1065.514(c). Any advance or delay used on 
the feedback signals for cycle validation must also be used for 
calculating work. Account for work of accessories according to Sec.  
1065.110. Exclude any work during cranking and starting. Exclude work 
during actual motoring operation (negative feedback torques), unless 
the engine was connected to one or more energy storage devices. 
Examples of such energy storage devices include hybrid powertrain 
batteries and hydraulic accumulators, like the ones illustrated in 
Figure 1 of Sec.  1065.210. Exclude any work during reference zero-load 
idle periods (0% speed or idle speed with 0 N[middot]m reference 
torque). Note, that there must be two consecutive reference zero load 
idle points to establish a period where this applies. Include work 
during idle points with simulated minimum torque such as Curb Idle 
Transmissions Torque (CITT) for automatic transmissions in ``drive''. 
The work calculation method described in paragraphs (b)(1) though (7) 
of this section meets these requirements using rectangular integration. 
You may use other logic that gives equivalent results. For example, you 
may use a trapezoidal integration method as described in paragraph 
(b)(8) of this section.
    (1) Time align the recorded feedback speed and torque values by the 
amount used in Sec.  1065.514(c).
    (2) Calculate shaft power at each point during the test interval by 
multiplying all the recorded feedback engine speeds by their respective 
feedback torques.
    (3) Adjust (reduce) the shaft power values for accessories 
according to Sec.  1065.110.
    (4) Set all power values during any cranking or starting period to 
zero. See Sec.  1065.525 for more information about engine cranking.
    (5) Set all negative power values to zero, unless the engine was 
connected to one or more energy storage devices. If the engine was 
tested with an energy storage device, leave negative power values 
unaltered.
    (6) Set all power values to zero during idle periods with a 
corresponding reference torque of 0 N[middot]m.
    (7) Integrate the resulting values for power over the test 
interval. Calculate total work as follows:
[GRAPHIC] [TIFF OMITTED] TR06MY08.044

[GRAPHIC] [TIFF OMITTED] TR06MY08.045

Example:

N = 9000
fn1 = 1800.2 rev/min
fn2 = 1805.8 rev/min
T1 = 177.23 N[middot]m
T2 = 175.00 N[middot]m
Crev = 2 [middot] [pi] rad/rev
Ct1 = 60 s/min
Cp = 1000 (N[middot]m[middot]rad/s)/kW
frecord = 5 Hz
Ct2 = 3600 s/hr
[GRAPHIC] [TIFF OMITTED] TR06MY08.046

P1 = 33.41 kW
P2 = 33.09 kW
Using Eq. 1065.650-5,
[Delta]t = \1/5\ = 0.2 s
[GRAPHIC] [TIFF OMITTED] TR06MY08.047

W = 16.875 kW[middot]hr

    (8) You may use a trapezoidal integration method instead of the

[[Page 37331]]

rectangular integration described in this paragraph (b). To do this, 
you must integrate the fraction of work between points where the torque 
is positive. You may assume that speed and torque are linear between 
data points. You may not set negative values to zero before running the 
integration.
    (e) Steady-state mass rate divided by power. To determine steady-
state brake-specific emissions for a test interval as described in 
paragraph (b)(2) of this section, calculate the mean steady-state mass 
rate of the emission, m, and the mean steady-state power, P as follows:
    (1) To calculate m, multiply its mean concentration, x, by its 
corresponding mean molar flow rate, n. If the result is a molar flow 
rate, convert this quantity to a mass rate by multiplying it by its 
molar mass, M. The result is the mean mass rate of the emission, m. In 
the case of PM emissions, where the mean PM concentration is already in 
units of mass per mole of sample, MPM, simply multiply it by 
the mean molar flow rate, n. The result is the mass rate of PM, 
mPM. Calculate m using the following equation:
[GRAPHIC] [TIFF OMITTED] TR06MY08.048

    (2) Calculate P using the following equation:
    [GRAPHIC] [TIFF OMITTED] TR06MY08.049
    
    (3) Divide emission mass rate by power to calculate a brake-
specific emission result as described in paragraph (b)(2) of this 
section.
    (4) The following example shows how to calculate mass of emissions 
using mean mass rate and mean power:


MCO = 28.0101 g/mol

xCO = 12.00 mmol/mol = 0.01200 mol/mol

n = 1.530 mol/s

fn = 3584.5 rev/min = 375.37 rad/s

T = 121.50 N[middot]m

m = 28.0101[middot]0.01200[middot]1.530

m = 0.514 g/s = 1850.4 g/hr

P = 121.5[middot]375.37

P = 45607

W = 45.607 kW

eCO = 1850.4/45.61

eCO = 40.57 g/(kW[middot]hr)

    (f) Ratio of total mass of emissions to total work. To determine 
brake-specific emissions for a test interval as described in paragraph 
(b)(3) of this section, calculate a value proportional to the total 
mass of each emission. Divide each proportional value by a value that 
is similarly proportional to total work.
    (1) Total mass. To determine a value proportional to the total mass 
of an emission, determine total mass as described in paragraph (c) of 
this section, except substitute for the molar flow rate, n, or the 
total flow, n, with a signal that is linearly proportional to molar 
flow rate, n, or linearly proportional to total flow, n as follows:
[GRAPHIC] [TIFF OMITTED] TR06MY08.050

    (2) Total work. To calculate a value proportional to total work 
over a test interval, integrate a value that is proportional to power. 
Use information about the brake-specific fuel consumption of your 
engine, efuel, to convert a signal proportional to fuel flow 
rate to a signal proportional to power. To determine a signal 
proportional to fuel flow rate, divide a signal that is proportional to 
the mass rate of carbon products by the fraction of carbon in your 
fuel, wc.. For your fuel, you may use a measured 
wc or you may use the default values in Table 1 of Sec.  
1065.655. Calculate the mass rate of carbon from the amount of carbon 
and water in the exhaust, which you determine with a chemical balance 
of fuel, intake air, and exhaust as described in Sec.  1065.655. In the 
chemical balance, you must use concentrations from the flow that 
generated the signal proportional to molar flow rate, n, in paragraph 
(e)(1) of this section. Calculate a value proportional to total work as 
follows:
[GRAPHIC] [TIFF OMITTED] TR06MY08.051

Where:
[GRAPHIC] [TIFF OMITTED] TR06MY08.052

    (3) Brake-specific emissions. Divide the value proportional to 
total mass by the value proportional to total work to determine brake-
specific emissions, as described in paragraph (b)(3) of this section.
    (4) Example. The following example shows how to calculate mass of 
emissions using proportional values:

N = 3000
frecord = 5 Hz
efuel = 285 g/(kW.hr)
wfuel = 0.869 g/g
Mc = 12.0107 g/mol
n1 = 3.922 ~mol/s = 14119.2 mol/hr
xCcombdry1 = 91.634 mmol/mol = 0.091634 mol/mol
xH2Oexh1 = 27.21 mmol/mol = 0.02721 mol/mol

Using Eq. 1065.650-5,
[Delta]t = 0.2 s

[GRAPHIC] [TIFF OMITTED] TR06MY08.053

W = 5.09 ~(kW[middot]hr)

    (g) Rounding. Round emission values only after all calculations are 
complete and the result is in g/(kW[middot]hr) or units equivalent to 
the units of the standard, such as g/(hp[middot]hr). See the definition 
of ``Round'' in Sec.  1065.1001.

0
116. Section 1065.655 is revised to read as follows:


Sec.  1065.655  Chemical balances of fuel, intake air, and exhaust.

    (a) General. Chemical balances of fuel, intake air, and exhaust may 
be used to calculate flows, the amount of water in their flows, and the 
wet concentration of constituents in their flows. With one flow rate of 
either fuel, intake air, or exhaust, you may use chemical balances to 
determine the flows of the other two. For example, you may use chemical 
balances along with either intake air or fuel flow to determine raw 
exhaust flow.

[[Page 37332]]

    (b) Procedures that require chemical balances. We require chemical 
balances when you determine the following:
    (1) A value proportional to total work, W, when you choose to 
determine brake-specific emissions as described in Sec.  1065.650(e).
    (2) The amount of water in a raw or diluted exhaust flow, 
xH2Oexh, when you do not measure the amount of water to 
correct for the amount of water removed by a sampling system. Correct 
for removed water according to Sec.  1065.659(c)(2).
    (3) The flow-weighted mean fraction of dilution air in diluted 
exhaust, xdil/exh, when you do not measure dilution air flow 
to correct for background emissions as described in Sec.  1065.667(c). 
Note that if you use chemical balances for this purpose, you are 
assuming that your exhaust is stoichiometric, even if it is not.
    (c) Chemical balance procedure. The calculations for a chemical 
balance involve a system of equations that require iteration. We 
recommend using a computer to solve this system of equations. You must 
guess the initial values of up to three quantities: The amount of water 
in the measured flow, xH2Oexh, fraction of dilution air in 
diluted exhaust, xdil/exh, and the amount of products on a 
C1 basis per dry mole of dry measured flow, 
xCcombdry. You may use time-weighted mean values of 
combustion air humidity and dilution air humidity in the chemical 
balance; as long as your combustion air and dilution air humidities 
remain within tolerances of  0.0025 mol/mol of their 
respective mean values over the test interval. For each emission 
concentration, x, and amount of water, xH2Oexh, you must 
determine their completely dry concentrations, xdry and 
xH2Oexhdry. You must also use your fuel's atomic hydrogen-
to-carbon ratio, [alpha], and oxygen-to-carbon ratio, [beta]. For your 
fuel, you may measure [alpha] and [beta] or you may use the default 
values in Table 1 of Sec.  1065.650. Use the following steps to 
complete a chemical balance:
    (1) Convert your measured concentrations such as, 
xCO2meas, xNOmeas, and xH2Oint, to dry 
concentrations by dividing them by one minus the amount of water 
present during their respective measurements; for example: 
xH2OxCO2meas, xH2OxNOmeas, and 
xH2Oint. If the amount of water present during a ``wet'' 
measurement is the same as the unknown amount of water in the exhaust 
flow, xH2Oexh, iteratively solve for that value in the 
system of equations. If you measure only total NOX and not 
NO and NO2 separately, use good engineering judgment to 
estimate a split in your total NOX concentration between NO 
and NO2 for the chemical balances. For example, if you 
measure emissions from a stoichiometric spark-ignition engine, you may 
assume all NOX is NO. For a compression-ignition engine, you 
may assume that your molar concentration of NOX, 
xNOx, is 75% NO and 25% NO2. For NO2 
storage aftertreatment systems, you may assume xNOx is 25% 
NO and 75% NO2. Note that for calculating the mass of 
NOX emissions, you must use the molar mass of NO2 
for the effective molar mass of all NOX species, regardless 
of the actual NO2 fraction of NOX.
    (2) Enter the equations in paragraph (c)(4) of this section into a 
computer program to iteratively solve for xH2Oexh, 
xCcombdry, and xdil/exh. Use good engineering 
judgment to guess initial values for xH2Oexh, 
xCcombdry, and xdil/exh. We recommend guessing an 
initial amount of water that is about twice the amount of water in your 
intake or dilution air. We recommend guessing an initial value of 
xCcombdry as the sum of your measured CO2, CO, 
and THC values. We also recommend guessing an initial 
xdil/exh between 0.75 and 0.95, such as 0.8. Iterate values 
in the system of equations until the most recently updated guesses are 
all within  1% of their respective most recently calculated 
values.
    (3) Use the following symbols and subscripts in the equations for 
this paragraph (c):

xdil/exh = Amount of dilution gas or excess air per mole 
of exhaust.
xH2Oexh = Amount of water in exhaust per mole of exhaust.
xCcombdry = Amount of carbon from fuel in the exhaust per 
mole of dry exhaust.
xH2Oexhdry = Amount of water in exhaust per dry mole of 
dry exhaust.
xprod/intdry = Amount of dry stoichiometric products per 
dry mole of intake air.
xdil/exhdry = Amount of dilution gas and/or 
excess air per mole of dry exhaust.
xint/exhdry = Amount of intake air required to produce 
actual combustion products per mole of dry (raw or diluted) exhaust.
xraw/exhdry = Amount of undiluted exhaust, without excess 
air, per mole of dry (raw or diluted) exhaust.
xO2int = Amount of intake air O2 per mole of 
intake air.
xCO2intdry = Amount of intake air CO2 per mole 
of dry intake air. You may use xCO2intdry = 375 [mu]mol/
mol, but we recommend measuring the actual concentration in the 
intake air.
xH2Ointdry = Amount of intake air H2O per mole 
of dry intake air.
xCO2int = Amount of intake air CO2 per mole of 
intake air.
xCO2dil = Amount of dilution gas CO2 per mole 
of dilution gas.
xCO2dildry = Amount of dilution gas CO2 per 
mole of dry dilution gas. If you use air as diluent, you may use 
xCO2dildry = 375 [mu]mol/mol, but we recommend measuring 
the actual concentration in the intake air.
xH2Odildry = Amount of dilution gas H2O per 
mole of dry dilution gas.
xH2Odil = Amount of dilution gas H2O per mole 
of dilution gas.
x[emission]meas = Amount of measured emission in the 
sample at the respective gas analyzer.
x[emission]dry = Amount of emission per dry mole of dry 
sample.
xH2O[emission]meas = Amount of water in sample at 
emission-detection location. Measure or estimate these values 
according to Sec.  1065.145(d)(2).
xH2Oint = Amount of water in the intake air, based on a 
humidity measurement of intake air.
[alpha] = Atomic hydrogen-to-carbon ratio in fuel.
[beta] = Atomic oxygen-to-carbon ratio in fuel.

    (4) Use the following equations to iteratively solve for 
xdil/exh, xH2Oexh, and xCcombdry:
[GRAPHIC] [TIFF OMITTED] TR06MY08.054

[GRAPHIC] [TIFF OMITTED] TR06MY08.055

[GRAPHIC] [TIFF OMITTED] TR06MY08.056

[GRAPHIC] [TIFF OMITTED] TR06MY08.057


[[Page 37333]]


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[GRAPHIC] [TIFF OMITTED] TR06MY08.069

[GRAPHIC] [TIFF OMITTED] TR06MY08.070


[[Page 37334]]


    (5) The following example is a solution for xdil/exh, 
xH2Oexh, and xCcombdry using the equations in 
paragraph (c)(4) of this section:
[GRAPHIC] [TIFF OMITTED] TR06MY08.071

[GRAPHIC] [TIFF OMITTED] TR06MY08.072

[GRAPHIC] [TIFF OMITTED] TR06MY08.073

[GRAPHIC] [TIFF OMITTED] TR06MY08.074

[GRAPHIC] [TIFF OMITTED] TR06MY08.075

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[GRAPHIC] [TIFF OMITTED] TR06MY08.078

[GRAPHIC] [TIFF OMITTED] TR06MY08.079

[GRAPHIC] [TIFF OMITTED] TR06MY08.080

[GRAPHIC] [TIFF OMITTED] TR06MY08.081

[GRAPHIC] [TIFF OMITTED] TR06MY08.082

[GRAPHIC] [TIFF OMITTED] TR06MY08.083

[GRAPHIC] [TIFF OMITTED] TR06MY08.084

[GRAPHIC] [TIFF OMITTED] TR06MY08.085

[GRAPHIC] [TIFF OMITTED] TR06MY08.086

[GRAPHIC] [TIFF OMITTED] TR06MY08.087

[alpha] = 1.8
[beta] = 0.05

[[Page 37335]]



Table 1 of Sec.   1065.655.--Default Values of Atomic Hydrogen-to-Carbon Ratio, [alpha], Atomic Oxygen-to-Carbon
                     Ratio, [beta], and Carbon Mass Fraction of Fuel, wC, for Various Fuels
----------------------------------------------------------------------------------------------------------------
                                                                                                   Carbon mass
                      Fuel                           Atomic  hydrogen and  oxygen-to-carbon      concentration,
                                                            ratios  CH[alpha]O[beta]                 wC  g/g
----------------------------------------------------------------------------------------------------------------
Gasoline........................................  CH1.85O0                                                 0.866
2 Diesel...............................  CH1.80O0                                                 0.869
1 Diesel...............................  CH1.93O0                                                 0.861
Liquified Petroleum Gas.........................  CH2.64O0                                                 0.819
Natural gas.....................................  CH3.78O0.016                                             0.747
Ethanol.........................................  CH3O0.5                                                  0.521
Methanol........................................  CH4O1                                                    0.375
----------------------------------------------------------------------------------------------------------------

    (d) Calculated raw exhaust molar flow rate from measured intake air 
molar flow rate or fuel mass flow rate. You may calculate the raw 
exhaust molar flow rate from which you sampled emissions, 
nexh, based on the measured intake air molar flow rate, 
nint, or the measured fuel mass flow rate, nfuel, 
and the values calculated using the chemical balance in paragraph (c) 
of this section. Note that the chemical balance must be based on raw 
exhaust gas concentrations. Solve for the chemical balance in paragraph 
(c) of this section at the same frequency that you update and record 
nintor nfuel.
    (1) Crankcase flow rate. If engines are not subject to crankcase 
controls under the standard-setting part, you may calculate raw exhaust 
flow based on nintor nfuel using one of the 
following:
    (i) You may measure flow rate through the crankcase vent and 
subtract it from the calculated exhaust flow.
    (ii) You may estimate flow rate through the crankcase vent by 
engineering analysis as long as the uncertainty in your calculation 
does not adversely affect your ability to show that your engines comply 
with applicable emission standards.
    (iii) You may assume your crankcase vent flow rate is zero.
    (2) Intake air molar flow rate calculation. Based on 
nint, calculate nexh as follows:
[GRAPHIC] [TIFF OMITTED] TR06MY08.088

Where:

nexh = raw exhaust molar flow rate from which you 
measured emissions.
nint = intake air molar flow rate including humidity in 
intake air.

Example:

nint = 3.780 mol/s
xint/exhdry = 0.69021 mol/mol
xraw/exhdry = 1.10764 mol/mol
xH20exhdry = 107.64 mmol/mol = 0.10764 mol/mol
[GRAPHIC] [TIFF OMITTED] TR06MY08.089

nexh = 6.066 mol/s

    (3) Fuel mass flow rate calculation. Based on mfuel, 
calculate nexh as follows:
[GRAPHIC] [TIFF OMITTED] TR06MY08.090

Where:

nexh = raw exhaust molar flow rate from which you 
measured emissions.
mfuel = fuel flow rate including humidity in intake air.

Example:

mfuel = 7.559 g/s
wC = 0.869 g/g
MC = 12.0107 g/mol
xCcombdry = 99.87 mmol/mol = 0.09987 mol/mol
xH20exhdry = 107.64 mmol/mol = 0.10764 mol/mol
[GRAPHIC] [TIFF OMITTED] TR06MY08.091

nexh = 6.066 mol/s

0
117. Section 1065.659 is revised to read as follows:


Sec.  1065.659  Removed water correction.

    (a) If you remove water upstream of a concentration measurement, x, 
or upstream of a flow measurement, n, correct for the removed water. 
Perform this correction based on the amount of water at the 
concentration measurement, xH2O[emission]meas, and at the 
flow meter, xH2Oexh, whose flow is used to determine the 
concentration's total mass over a test interval.
    (b) When using continuous analyzers downstream of a sample dryer 
for transient and ramped-modal testing, you must correct for removed 
water using signals from other continuous analyzers. When using batch 
analyzers downstream of a sample dryer, you must correct for removed 
water by using signals either from other batch analyzers or from the 
flow-weighted average concentrations from continuous analyzers. 
Downstream of where you removed water, you may determine the

[[Page 37336]]

amount of water remaining by any of the following:
    (1) Measure the dewpoint and absolute pressure downstream of the 
water removal location and calculate the amount of water remaining as 
described in Sec.  1065.645.
    (2) When saturated water vapor conditions exist at a given 
location, you may use the measured temperature at that location as the 
dewpoint for the downstream flow. If we ask, you must demonstrate how 
you know that saturated water vapor conditions exist. Use good 
engineering judgment to measure the temperature at the appropriate 
location to accurately reflect the dewpoint of the flow. Note that if 
you use this option and the water correction in paragraph (d) of this 
section results in a corrected value that is greater than the measured 
value, your saturation assumption is invalid and you must determine the 
water content according to paragraph (b)(1) of this section.
    (3) You may also use a nominal value of absolute pressure based on 
an alarm set point, a pressure regulator set point, or good engineering 
judgment.
    (4) Set xH2O[emission]meas equal to that of the measured 
upstream humidity condition if it is lower than the dryer saturation 
conditions.
    (c) For a corresponding concentration or flow measurement where you 
did not remove water, you may determine the amount of initial water by 
any of the following:
    (1) Use any of the techniques described in paragraph (b) of this 
section.
    (2) If the measurement comes from raw exhaust, you may determine 
the amount of water based on intake-air humidity, plus a chemical 
balance of fuel, intake air and exhaust as described in Sec.  1065.655.
    (3) If the measurement comes from diluted exhaust, you may 
determine the amount of water based on intake-air humidity, dilution 
air humidity, and a chemical balance of fuel, intake air, and exhaust 
as described in Sec.  1065.655.
    (d) Perform a removed water correction to the concentration 
measurement using the following equation:
[GRAPHIC] [TIFF OMITTED] TR06MY08.092

Example:

xCOmeas = 29.0 [mu]mol/mol
x H2OCOmeas = 8.601 mmol/mol = 0.008601 mol/mol
xH2Oexh = 34.04 mmol/mol = 0.03404 mol/mol
[GRAPHIC] [TIFF OMITTED] TR06MY08.093

xCO = 28.3 [mu]mol/mol

0
118. Section 1065.660 is revised to read as follows:


Sec.  1065.660  THC and NMHC determination.

    (a) THC determination and THC/CH4 initial contamination 
corrections. (1) If we require you to determine THC emissions, 
calculate xTHC[THC-FID] using the initial THC contamination 
concentration xTHC[THC-FID]init from Sec.  1065.520 as 
follows:
[GRAPHIC] [TIFF OMITTED] TR06MY08.094

Example:

xTHCuncor = 150.3 [mu]mol/mol
xTHCinit = 1.1 [mu]mol/mol
xTHCcor = 150.3 - 1.1
xTHCcor = 149.2 [mu]mol/mol

    (2) For the NMHC determination described in paragraph (b) of this 
section, correct xTHC[THC-FID] for initial HC contamination 
using Eq. 1065.660-1. You may correct for initial contamination of the 
CH4 sample train using Eq. 1065.660-1, substituting in 
CH4 concentrations for THC.
    (b) NMHC determination. Use one of the following to determine NMHC 
concentration, xNMHC:
    (1) If you do not measure CH4, you may determine NMHC 
concentrations as described in Sec.  1065.650(c)(1)(vi).
    (2) For nonmethane cutters, calculate xNMHC using the 
nonmethane cutter's penetration fractions (PF) of CH4 and 
C2H6 from Sec.  1065.365, and using the HC 
contamination and wet-to-dry corrected THC concentration 
xTHC[THC-FID]cor as determined in paragraph (a) of this 
section.
    (i) Use the following equation for penetration fractions determined 
using an NMC configuration as outlined in Sec.  1065.365(d):
[GRAPHIC] [TIFF OMITTED] TR06MY08.095

Where:

xNMHC = concentration of NMHC.
xTHC[THC-FID]cor = concentration of THC, HC contamination 
and dry-to-wet corrected, as measured by the THC FID during sampling 
while bypassing the NMC.
xTHC[NMC-FID] = concentration of THC, HC contamination 
(optional) and dry-to-wet corrected, as measured by the THC FID 
during sampling through the NMC.
RFCH4[THC-FID] = response factor of THC FID to 
CH4, according to Sec.  1065.360(d).
RFPFC2H6[NMC-FID] = nonmethane cutter combined ethane 
response factor and penetration fraction, according to Sec.  
1065.365(d).

Example:

xTHC[THC-FID]cor = 150.3 [mu]mol/mol
xTHC[NMC-FID] = 20.5 [mu]mol/mol
RFPFC2H6[NMC-FID] = 0.019
RFCH4[THC-FID] = 1.05
[GRAPHIC] [TIFF OMITTED] TR06MY08.096

xNMHC = 130.4 [mu]mol/mol

    (ii) For penetration fractions determined using an NMC 
configuration as outlined in Sec.  1065.365(e), use the following 
equation:

[[Page 37337]]

[GRAPHIC] [TIFF OMITTED] TR06MY08.097

Where:

xNMHC = concentration of NMHC.
xTHC[THC-FID]cor = concentration of THC, HC contamination 
and dry-to-wet corrected, as measured by the THC FID during sampling 
while bypassing the NMC.
PFCH4[NMC-FID] = nonmethane cutter CH4 
penetration fraction, according to Sec.  1065.365(e).
xTHC[NMC-FID] = concentration of THC, HC contamination 
(optional) and dry-to-wet corrected, as measured by the THC FID 
during sampling through the NMC.
PFC2H6[NMC-FID] = nonmethane cutter ethane penetration 
fraction, according to Sec.  1065.365(e).

Example:

xTHC[THC-FID]cor = 150.3 [mu]mol/mol
PFCH4[NMC-FID] = 0.990
xTHC[NMC-FID] = 20.5 [mu]mol/mol
PFC2H6[NMC-FID] = 0.020
[GRAPHIC] [TIFF OMITTED] TR06MY08.098

xNMHC = 132.3 [mu]mol/mol

    (iii) For penetration fractions determined using an NMC 
configuration as outlined in Sec.  1065.365(f), use the following 
equation:
[GRAPHIC] [TIFF OMITTED] TR06MY08.099

Where:

xNMHC = concentration of NMHC.
xTHC[THC-FID]cor = concentration of THC, HC contamination 
and dry-to-wet corrected, as measured by the THC FID during sampling 
while bypassing the NMC.
PFCH4[NMC-FID] = nonmethane cutter CH4 
penetration fraction, according to Sec.  1065.365(f).
xTHC[NMC-FID] = concentration of THC, HC contamination 
(optional) and dry-to-wet corrected, as measured by the THC FID 
during sampling through the NMC.
RFPFC2H6[NMC-FID] = nonmethane cutter CH4 
combined ethane response factor and penetration fraction, according 
to Sec.  1065.365(f).
RFCH4[THC-FID] = response factor of THC FID to 
CH4, according to Sec.  1065.360(d).

Example:

xTHC[THC-FID]cor = 150.3 [mu]mol/mol
PFCH4[NMC-FID] = 0.990
xTHC[NMC-FID] = 20.5 [mu]mol/mol
RFPFC2H6[NMC-FID] = 0.019
RFCH4[THC-FID] = 0.980
[GRAPHIC] [TIFF OMITTED] TR06MY08.100

xNMHC = 132.5 [mu]mol/mol

    (3) For a gas chromatograph, calculate xNMHC using the 
THC analyzer's response factor (RF) for CH4, from Sec.  
1065.360, and the HC contamination and wet-to-dry corrected initial THC 
concentration xTHC[THC-FID]cor as determined in section (a) 
above as follows:
[GRAPHIC] [TIFF OMITTED] TR06MY08.101

Where:

xNMHC = concentration of NMHC.
xTHC[THC-FID]cor = concentration of THC, HC contamination 
and dry-to-wet corrected, as measured by the THC FID.
xCH4 = concentration of CH4, HC contamination 
(optional) and dry-to-wet corrected, as measured by the gas 
chromatograph FID.
RFCH4[THC-FID] = response factor of THC-FID to 
CH4.

Example:

xTHC[THC-FID][cor = 145.6 [mu]mol/mol
RFCH4[THC-FID] = 0.970
xCH4 = 18.9 [mu]mol/mol
xNMHC = 145.6-0.970 [middot] 18.9
xNMHC = 127.3 [mu]mol/mol


0
119. Section 1065.665 is revised to read as follows:


Sec.  1065.665  THCE and NMHCE determination.

    (a) If you measured an oxygenated hydrocarbon's mass concentration, 
first calculate its molar concentration in the exhaust sample stream 
from which the sample was taken (raw or diluted exhaust), and convert 
this into a C1-equivalent molar concentration. Add these 
C1-equivalent molar concentrations to the molar 
concentration of NOTHC. The result is the molar concentration of THCE. 
Calculate THCE concentration using the following equations, noting that 
equation 1065.665-3 is only required if you need to convert your OHC 
concentration from mass to moles:
[GRAPHIC] [TIFF OMITTED] TR06MY08.102

[GRAPHIC] [TIFF OMITTED] TR06MY08.103


[[Page 37338]]


[GRAPHIC] [TIFF OMITTED] TR06MY08.104

Where:

xTHCE = The C1-equivalent sum of the 
concentration of carbon mass contributions of non-oxygenated 
hydrocarbons, alcohols, and aldehydes.
xNOTHC = The C1-equivalent sum of the 
concentration of nonoxygenated THC.
xOHCi = The C1-equivalent concentration of 
oxygenated species i in diluted exhaust, not corrected for initial 
contamination.
xOHCi-init = The C1-equivalent 
concentration of the initial system contamination (optional) of 
oxygenated species i, dry-to-wet corrected.
xTHC[THC-FID]cor = The C1-equivalent response 
to NOTHC and all OHC in diluted exhaust, HC contamination and dry-
to-wet corrected, as measured by the THC-FID.
RFOHCi[THC-FID] = The response factor of the 
FID to species i relative to propane on a C1-equivalent 
basis.
C = The mean number of carbon atoms in the 
particular compound.
Mdexh = The molar mass of diluted exhaust as determined 
in Sec.  1065.340.
mdexhOHCi = The mass of oxygenated species i in dilute 
exhaust.
MOHCi = The C1-equivalent molecular weight of 
oxygenated species i.
mdexh = The mass of diluted exhaust.
ndexhOHCi = The number of moles of oxygenated species i 
in total diluted exhaust flow.
ndexh = The total diluted exhaust flow.

    (b) If we require you to determine NMHCE, use the following 
equation:
[GRAPHIC] [TIFF OMITTED] TR06MY08.105

Where:

xNMHCE = The C1-equivalent sum of the 
concentration of carbon mass contributions of non-oxygenated NMHC, 
alcohols, and aldehydes.
RFCH4[THC-FID] = response factor of THC-FID to 
CH4.
xCH4 = concentration of CH4, HC contamination 
(optional) and dry-to-wet corrected, as measured by the gas 
chromatograph FID.

    (c) The following example shows how to determine NMHCE emissions 
based on ethanol (C2H5OH), methanol 
(CH3OH), acetaldehyde (C2H4O), and 
formaldehyde (HCHO) as C1-equivalent molar concentrations:

xTHC[THC-FID]cor = 145.6 [mu]mol/mol
xCH4 = 18.9 [mu]mol/mol
xC2H5OH = 100.8 [mu]mol/mol
xCH3OH = 1.1 [mu]mol/mol
xC2H4O = 19.1 [mu]mol/mol
xHCHO = 1.3 [mu]mol/mol
RFCH4[THC-FID] = 1.07
RFC2H5OH[THC-FID] = 0.76
RFCH3OH[THC-FID] = 0.74
RFH2H4O[THC-FID] = 0.50
RFHCHO[THC-FID] = 0.0
xNMHCE = xTHC[THC-FID]cor-(xC2H5OH 
[middot] RFC2H5OH[THC-FID] + xCH3OH [middot] 
RFCH3OH[THC-FID] + xC2H4O [middot] 
RFC2H4O[THC-FID] + xHCHO [middot] 
RFHCHO[THC-FID] + xC2H5OH + xCH3OH + 
xC2H4O + xHCHO-(RFCH4[THC-FID] 
[middot] xCH4)
xNMHCE = 145.6-(100.8 [middot] 0.76 + 1.1 [middot] 0.74 + 
19.1 [middot] 0.50 + 1.3 [middot] 0) + 100.8 + 1.1 + 19.1 + 1.3-(1.07 
[middot] 18.9)
xNMHCE = 160.71 [mu]mol/mol


0
120. Section 1065.667 is amended by revising paragraph (b) to read as 
follows:


Sec.  1065.667  Dilution air background emission correction.

* * * * *
    (b) You may determine the total flow of dilution air by a direct 
flow measurement. In this case, calculate the total mass of background 
as described in Sec.  1065.650(b), using the dilution air flow, 
ndil. Subtract the background mass from the total mass. Use 
the result in brake-specific emission calculations.
* * * * *


0
121. Section 1065.670 is amended by revising the introductory text to 
read as follows:


Sec.  1065.670  NOX intake-air humidity and temperature corrections.

    See the standard-setting part to determine if you may correct 
NOX emissions for the effects of intake-air humidity or 
temperature. Use the NOX intake-air humidity and temperature 
corrections specified in the standard-setting part instead of the 
NOX intake-air humidity correction specified in this part 
1065. If the standard-setting part does not prohibit correcting 
NOX emissions for intake-air humidity according to this part 
1065, first apply any NOX corrections for background 
emissions and water removal from the exhaust sample, then correct 
NOX concentrations for intake-air humidity. You may use a 
time-weighted mean combustion air humidity to calculate this correction 
if your combustion air humidity remains within a tolerance of  0.0025 mol/mol of the mean value over the test interval. For 
intake-air humidity correction, use one of the following approaches:
* * * * *


0
122. Section 1065.675 is revised to read as follows:


Sec.  1065.675  CLD quench verification calculations.

    Perform CLD quench-check calculations as follows:
    (a) Calculate the amount of water in the span gas, 
xH2Ospan, assuming complete saturation at the span-gas 
temperature.
    (b) Estimate the expected amount of water and CO2 in the 
exhaust you sample, xH2Oexp and xCO2exp, 
respectively, by considering the maximum expected amounts of water in 
combustion air, fuel combustion products, and dilution air 
concentrations (if applicable).
    (c) Set xH2Oexp equal to xH2Omeas if you are 
using a sample dryer that passes the sample dryer verification check in 
Sec.  1065.342.
    (d) Calculate water quench as follows:


[[Page 37339]]


[GRAPHIC] [TIFF OMITTED] TR06MY08.106

Where:

quench = amount of CLD quench.
xNOdry = measured concentration of NO upstream of a 
bubbler, according to Sec.  1065.370.
xNOwet = measured concentration of NO downstream of a 
bubbler, according to Sec.  1065.370.
xH2Oexp = expected maximum amount of water entering the 
CLD sample port during emission testing.
xH2Omeas = measured amount of water entering the CLD 
sample port during the quench verification specified in Sec.  
1065.370.
xNO,CO2 = measured concentration of NO when NO span gas 
is blended with CO2 span gas, according to Sec.  
1065.370.
xNO,N2 = measured concentration of NO when NO span gas is 
blended with N2 span gas, according to Sec.  1065.370.
xCO2exp = expected maximum amount of CO2 
entering the CLD sample port during emission testing.
xCO2meas = measured amount of CO2 entering the 
CLD sample port during the quench verification specified in Sec.  
1065.370.

Example:

xNOdry = 1800.0 [mu]mol/mol
xNOwet = 1760.5 [mu]mol/mol
xH2Oexp = 0.030 mol/mol
xH2Omeas = 0.017 mol/mol
xNO,CO2 = 1480.2 [mu]mol/mol
xNO,N2 = 1500.8 [mu]mol/mol
xCO2exp = 2.00%
xCO2meas = 3.00%
[GRAPHIC] [TIFF OMITTED] TR06MY08.107

quench = -0.00888-0.00915 = -1.80%



0
123. Section 1065.690 is amended by revising paragraph (e) to read as 
follows:


Sec.  1065.690  Buoyancy correction for PM sample media.

* * * * *
    (e) Correction calculation. Correct the PM sample media for 
buoyancy using the following equations:
[GRAPHIC] [TIFF OMITTED] TR06MY08.108


Where:
mcor = PM mass corrected for buoyancy.
muncor = PM mass uncorrected for buoyancy.
[rho]air = density of air in balance environment.
[rho]weight = density of calibration weight used to span 
balance.
[rho]media = density of PM sample media, such as a 
filter.

[GRAPHIC] [TIFF OMITTED] TR06MY08.109


Where:
pabs = absolute pressure in balance environment.
Mmix = molar mass of air in balance environment.
R = molar gas constant.
Tamb = absolute ambient temperature of balance 
environment.

Example:
pabs = 99.980 kPa
Tsat = Tdew = 9.5 [deg]C
Using Eq. 1065.645-2,
pH20 = 1.1866 kPa
Using Eq. 1065.645-3,
xH2O = 0.011868 mol/mol
Using Eq. 1065.640-9,
Mmix = 28.83563 g/mol
R = 8.314472 J/(mol [middot] K)
Tamb = 20 [deg]C
[GRAPHIC] [TIFF OMITTED] TR06MY08.110

[rho]air = 1.18282 kg/m3
muncorr = 100.0000 mg
[rho]weight = 8000 kg/m3
[rho]media = 920 kg/m3
[GRAPHIC] [TIFF OMITTED] TR06MY08.111

mcor 100.1139 mg


0
124. Section 1065.695 is amended by revising paragraph (c)(7)(ix) to 
read as follows:


Sec.  1065.695  Data requirements.

* * * * *
    (c) * * *
    (7) * * *
    (ix) Warm-idle speed value.
* * * * *

Subpart H--[Amended]

0
125. Section 1065.701 is amended by revising paragraphs (b), (c), and 
(e) to read as follows:


Sec.  1065.701  General requirements for test fuels.

* * * * *
    (b) Fuels meeting alternate specifications. We may allow you to use 
a different test fuel (such as California Phase 2 gasoline) if it does 
not affect your ability to show that your engines would comply with all 
applicable emission standards using the fuel specified in this subpart.
    (c) Fuels not specified in this subpart. If you produce engines 
that run on a type of fuel (or mixture of fuels) that we do not specify 
in this subpart, you must get our written approval to establish the 
appropriate test fuel. See the standard-setting part for provisions 
related to

[[Page 37340]]

fuels and fuel mixtures not specified in this subpart.
    (1) For engines designed to operate on a single fuel, we will 
generally allow you to use the fuel if you show us all the following 
things are true:
    (i) Show that your engines will use only the designated fuel in 
service.
    (ii) Show that this type of fuel is commercially available.
    (iii) Show that operating the engines on the fuel we specify would 
be inappropriate, as in the following examples:
    (A) The engine will not run on the specified fuel.
    (B) The engine or emission controls will not be durable or work 
properly when operating with the specified fuel.
    (C) The measured emission results would otherwise be substantially 
unrepresentative of in-use emissions.
    (2) For engines that are designed to operate on different fuel 
types, the provisions of paragraphs (c)(1)(ii) and (iii) of this 
section apply with respect to each fuel type.
    (3) For engines that are designed to operate on different fuel 
types as well as continuous mixtures of those fuels, we may require you 
to test with either the worst-case fuel mixture or the most 
representative fuel mixture, unless the standard-setting part specifies 
otherwise.
* * * * *
    (e) Service accumulation and field testing fuels. If we do not 
specify a service-accumulation or field-testing fuel in the standard-
setting part, use an appropriate commercially available fuel such as 
those meeting minimum specifications from the following table:

              Table 1 of Sec.   1065.701.--Examples of Service-Accumulation and Field-Testing Fuels
----------------------------------------------------------------------------------------------------------------
             Fuel category                        Subcategory                    Reference procedure \1\
----------------------------------------------------------------------------------------------------------------
                                        Light distillate and light      ASTM D975-07b.
                                         blends with residual.
Diesel................................  Middle distillate.............  ASTM D6751-07b.
                                        Biodiesel (B100)..............  ASTM D6985-04a.
Intermediate and residual fuel........  All...........................  See Sec.   1065.705.
Gasoline..............................  Motor vehicle gasoline........  ASTM D4814-07a.
                                        Minor oxygenated gasoline       ASTM D4814-07a.
                                         blends.
Alcohol...............................  Ethanol (Ed75-85).............  ASTM D5798-07.
                                        Methanol (M70-M85)............  ASTM D5797-07.
Aviation fuel.........................  Aviation gasoline.............  ASTM D910-07.
                                        Gas turbine...................  ASTM D1655-07e01.
                                        Jet B wide cut................  ASTM D6615-06.
Gas turbine fuel......................  General.......................  ASTM D2880-03.
----------------------------------------------------------------------------------------------------------------
\1\ ASTM specifications are incorporated by reference in Sec.   1065.1010.

0
126. Section 1065.703 is amended by revising Table 1 to read as 
follows:


Sec.  1065.703  Distillate diesel fuel.

* * * * *

                Table 1 of Sec.   1065.703.--Test Fuel Specifications for Distillate Diesel Fuel
----------------------------------------------------------------------------------------------------------------
                                                       Ultra low                             Reference procedure
               Item                      Units           sulfur     Low sulfur  High sulfur          \1\
----------------------------------------------------------------------------------------------------------------
Cetane Number....................  .................        40-50        40-50        40-50  ASTM D613-05.
Distillation range...............  [deg]C...........                                         ...................
    Initial boiling point........  .................      171-204      171-204      171-204  ASTM D86-07a.
    10 pct. point................  .................      204-238      204-238      204-238  ...................
    50 pct. point................  .................      243-282      243-282      243-282  ...................
    90 pct. point................  .................      293-332      293-332      293-332  ...................
    Endpoint.....................  .................      321-366      321-366      321-366  ...................
Gravity..........................  [deg] API........        32-37        32-37        32-37  ASTM D4052-96e01.
Total sulfur.....................  mg/kg............         7-15      300-500    2000-4000  ASTM D2622-07.
Aromatics, min. (Remainder shall   g/kg.............          100          100          100  ASTM D5186-03.
 be paraffins, naphthalenes, and
 olefins).
Flashpoint, min..................  [deg]C...........           54           54           54  ASTM D93-07.
Kinematic Viscosity..............  cSt..............      2.0-3.2      2.0-3.2      2.0-3.2  ASTM D445-06.
----------------------------------------------------------------------------------------------------------------
\1\ ASTM procedures are incorporated by reference in Sec.   1065.1010. See Sec.   1065.701(d) for other allowed
  procedures.

0
127. A new Sec.  1065.705 is added to read as follows:


Sec.  1065.705  Residual and intermediate residual fuel.

    This section describes the specifications for fuels meeting the 
definition of residual fuel in 40 CFR 80.2, including fuels marketed as 
intermediate fuel. Residual fuels for service accumulation and any 
testing must meet the following specifications:
    (a) The fuel must be a commercially available fuel that is 
representative of the fuel that will be used by the engine in actual 
use.
    (b) The fuel must meet the specifications for one of the categories 
in the following table:

[[Page 37341]]



                            Table 1 of Sec.   1065.705.--Service Accumulation and Test Fuel Specifications for Residual Fuel
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                    Category ISO-F-
        Characteristic              Unit      ------------------------------------------------------------------------------------------   Test method
                                                RMA 30   RMB 30   RMD 80  RME 180  RMF 180  RMG 380  RMH 380  RMK 380  RMH 700  RMK 700   reference \1\
--------------------------------------------------------------------------------------------------------------------------------------------------------
Density at 15 [deg]C, max....  kg/m 3........    960.0    975.0    980.0        991.0
                                        991.0            1010.0    991.0   1010.0      ISO
                                                                                   3675 or
                                                                                       ISO
                                                                                    12185:
                                                                                     1996/
                                                                                       Cor
                                                                                    1:2001
                                                                                      (see
                                                                                      also
                                                                                       ISO
                                                                                   8217:20
                                                                                     05(E)
                                                                                     7.1).
--------------------------------------------------------------------------------------------------------------------------------------------------------
Kinematic viscosity at 50      cSt...........        30.0           80.0        180.0
 [deg]C, max.
                                        380.0
                                             700.0                   ISO
                                                                 3104:19
                                                                  94/Cor
                                                                 1:1997.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Flash point, min.............  [deg]C........         60              60         60
                                          60
                                              60                     ISO
                                                                    2719
                                                                    (see
                                                                    also
                                                                     ISO
                                                                 8217:20
                                                                   05(E)
                                                                   7.2).
--------------------------------------------------------------------------------------------------------------------------------------------------------
Pour point (upper):
--------------------------------------------------------------------------------------------------------------------------------------------------------
    Winter quality, max......  [deg]C........        0       24       30         30
                                          30
                                              30                     ISO
                                                                   3016.
--------------------------------------------------------------------------------------------------------------------------------------------------------
    Summer quality, max......  ..............        6       24       30         30
                                          30
                                              30                     ISO
                                                                   3016.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Carbon residue, max..........  (kg/kg)%......         10              14       15       20       18       22              22             ISO 10370:1993/
                                                                                                                                          Cor 1:1996.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Ash, max.....................  (kg/kg)%......        0.10           0.10     0.10     0.15        0.15
                                             0.15                    ISO
                                                                   6245.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Water, max...................  (m3/m3)%......         0.5            0.5         0.5
                                         0.5
                                              0.5                    ISO
                                                                   3733.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Sulfur, max..................  (kg/kg)%......        3.50           4.00        4.50
                                         4.50
                                             4.50                    ISO
                                                                 8754 or
                                                                     ISO
                                                                  14596:
                                                                   1998/
                                                                     Cor
                                                                  1:1999
                                                                    (see
                                                                    also
                                                                     ISO
                                                                 8217:20
                                                                   05(E)
                                                                   7.3).
--------------------------------------------------------------------------------------------------------------------------------------------------------
Vanadium, max................  mg/kg.........         150            350      200      500      300      600             600             ISO 14597 or IP
                                                                                                                                          501 or IP 470
                                                                                                                                          (see also ISO
                                                                                                                                          8217:2005(E)
                                                                                                                                          7.8).
--------------------------------------------------------------------------------------------------------------------------------------------------------
Total sediment potential, max  (kg/kg)%......        0.10           0.10        0.10
                                         0.10
                                             0.10                    ISO
                                                                 10307-2
                                                                    (see
                                                                    also
                                                                     ISO
                                                                 8217:20
                                                                   05(E)
                                                                   7.6).
--------------------------------------------------------------------------------------------------------------------------------------------------------
Aluminium plus silicon, max..  mg/kg.........         80              80         80
                                          80
                                              80                     ISO
                                                                   10478
                                                                   or IP
                                                                  501 or
                                                                  IP 470
                                                                    (see
                                                                    also
                                                                     ISO
                                                                 8217:20
                                                                   05(E)
                                                                   7.9).
--------------------------------------------------------------------------------------------------------------------------------------------------------
Used lubricating oil (ULO),    ..............    Fuel shall be free of ULO. We consider a fuel to be free of ULO if one or more of the   IP 501 or IP
 max.                                          elements zinc, phosphorus, or calcium is at or below the specified limits. We consider a   470 (see ISO
                                                        fuel to contain ULO if all three elements exceed the specified limits.            8217:2005(E)
                                                                                                                                          7.7).
                                                                                                                                         IP 501 or IP
                                                                                                                                          500 (see ISO
                                                                                                                                          8217:2005(E)
                                                                                                                                          7.7).
                                                                                                                                         IP 501 or IP
                                                                                                                                          470 (see ISO
                                                                                                                                          8217:2005(E)
                                                                                                                                          7.7).
                               mg/kg.........                                             15
Zinc.........................  ..............                                             15
Phosphorus...................  ..............                                             15
Calcium......................  ..............                                             30
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ ISO procedures are incorporated by reference in Sec.   1065.1010. See Sec.   1065.701(d) for other allowed procedures.

0
128. Section 1065.710 is amended by revising Table 1 to read as 
follows:


Sec.  1065.710  Gasoline.

* * * * *

                        Table 1 of Sec.   1065.710.--Test Fuel Specifications for Gasoline
----------------------------------------------------------------------------------------------------------------
                                                                       Low-temperature     Reference  procedure
              Item                     Units        General testing        testing                 \1\
----------------------------------------------------------------------------------------------------------------
Distillation Range:
    Initial boiling point......  [deg]C..........  24-35 \2\........  24-36............
    10% point..................  [deg]C..........  49-57............  37-48............  ASTM D86-07a.
    50% point..................  [deg]C..........  93-110...........  82-101...........
    90% point..................  [deg]C..........  149-163..........  158-174..........
    End point..................  [deg]C..........  Maximum, 213.....  Maximum, 212.....
Hydrocarbon composition:
    Olefins....................  m\3\/m\3\.......  Maximum, 0.10....  Maximum, 0.175...  ASTM D1319-03.
    Aromatics..................  ................  Maximum, 0.35....  Maximum, 0.304...
    Saturates..................  ................  Remainder........  Remainder........
Lead (organic).................  g/liter.........  Maximum, 0.013...  Maximum, 0.013...  ASTM
                                                                                         D3237-06e01.
Phosphorous....................  g/liter.........  Maximum, 0.0013..  Maximum, 0.005...  ASTM D3231-07.
Total sulfur...................  mg/kg...........  Maximum, 80......  Maximum, 80......  ASTM D2622-07.

[[Page 37342]]

 
Volatility (Reid Vapor           kPa.............  60.0-63.4 2, 3...  77.2-81.4........  ASTM D5191-07.
 Pressure).
----------------------------------------------------------------------------------------------------------------
\1\ ASTM procedures are incorporated by reference in Sec.   1065.1010. See Sec.   1065.701(d) for other allowed
  procedures.
\2\ For testing at altitudes above 1,219 m, the specified volatility range is (52.0 to 55.2) kPa and the
  specified initial boiling point range is (23.9 to 40.6) [deg]C.
3 For testing unrelated to evaporative emissions, the specified range is (55.2 to 63.4) kPa.


0
129. Section 1065.715 is revised to read as follows:


Sec.  1065.715  Natural gas.

    (a) Except as specified in paragraph (b) of this section, natural 
gas for testing must meet the specifications in the following table:

  Table 1 of Sec.   1065.715.--Test Fuel Specifications for Natural Gas
------------------------------------------------------------------------
                  Item                              Value \1\
------------------------------------------------------------------------
Methane, CH4...........................  Minimum, 0.87 mol/mol.
Ethane, C2H6...........................  Maximum, 0.055 mol/mol.
Propane, C3H8..........................  Maximum, 0.012 mol/mol.
Butane, C4H10..........................  Maximum, 0.0035 mol/mol.
Pentane, C5H12.........................  Maximum, 0.0013 mol/mol.
C6 and higher..........................  Maximum, 0.001 mol/mol.
Oxygen.................................  Maximum, 0.001 mol/mol.
Inert gases (sum of CO2 and N2)........  Maximum, 0.051 mol/mol.
------------------------------------------------------------------------
\1\ All parameters are based on the reference procedures in ASTM D1945-
  03 (incorporated by reference in Sec.   1065.1010). See Sec.
  1065.701(d) for other allowed procedures.

    (b) In certain cases you may use test fuel not meeting the 
specifications in paragraph (a) of this section, as follows:
    (1) You may use fuel that your in-use engines normally use, such as 
pipeline natural gas.
    (2) You may use fuel meeting alternate specifications if the 
standard-setting part allows it.
    (3) You may ask for approval to use fuel that does not meet the 
specifications in paragraph (a) of this section, but only if using the 
fuel would not adversely affect your ability to demonstrate compliance 
with the applicable standards.
    (c) When we conduct testing using natural gas, we will use fuel 
that meets the specifications in paragraph (a) of this section.
    (d) At ambient conditions, natural gas must have a distinctive odor 
detectable down to a concentration in air not more than one-fifth the 
lower flammable limit.

0
130. Section 1065.720 is revised to read as follows:


Sec.  1065.720  Liquefied petroleum gas.

    (a) Except as specified in paragraph (b) of this section, liquefied 
petroleum gas for testing must meet the specifications in the following 
table:

   Table 1 of Sec.   1065.720.--Test Fuel Specifications for Liquefied
                              Petroleum Gas
------------------------------------------------------------------------
                                                           Reference
              Item                       Value           procedure \1\
------------------------------------------------------------------------
Propane, C3H8...................  Minimum, 0.85 m\3\/ ASTM D2163-05.
                                   m\3\.
Vapor pressure at 38 [deg]C.....  Maximum, 1400 kPa.  ASTM D1267-02 or
                                                       2598-02\2\.
Volatility residue (evaporated    Maximum, -38        ASTM D1837-02a.
 temperature, 35 [deg]C).          [deg]C.
Butanes.........................  Maximum, 0.05 m\3\/ ASTM D2163-05.
                                   m\3\.
Butenes.........................  Maximum, 0.02 m\3\/ ASTM D2163-05.
                                   m\3\.
Pentenes and heavier............  Maximum, 0.005      ASTM D2163-05.
                                   m\3\/m\3\.
Propene.........................  Maximum, 0.1 m\3\/  ASTM D2163-05.
                                   m\3\.
Residual matter (residue on       Maximum, 0.05 ml    ASTM D2158-05.
 evap. of 100 ml oil stain         pass\3\.
 observ.).
Corrosion, copper strip.........  Maximum, No. 1....  ASTM D1838-07.
Sulfur..........................  Maximum, 80 mg/kg.  ASTM D2784-06.
Moisture content................  pass..............  ASTM D2713-91.
------------------------------------------------------------------------
\1\ ASTM procedures are incorporated by reference in Sec.   1065.1010.
  See Sec.   1065.701(d) for other allowed procedures.
\2\ If these two test methods yield different results, use the results
  from ASTM D1267-02.
\3\ The test fuel must not yield a persistent oil ring when you add 0.3
  ml of solvent residue mixture to a filter paper in 0.1 ml increments
  and examine it in daylight after two minutes.

    (b) In certain cases you may use test fuel not meeting the 
specifications in paragraph (a) of this section, as follows:
    (1) You may use fuel that your in-use engines normally use, such as 
commercial-quality liquefied petroleum gas.
    (2) You may use fuel meeting alternate specifications if the 
standard-setting part allows it.
    (3) You may ask for approval to use fuel that does not meet the 
specifications in paragraph (a) of this section, but only if using the 
fuel would not adversely affect your ability to demonstrate compliance 
with the applicable standards.
    (c) When we conduct testing using liquefied petroleum gas, we will 
use fuel that meets the specifications in paragraph (a) of this 
section.

[[Page 37343]]

    (d) At ambient conditions, liquefied petroleum gas must have a 
distinctive odor detectable down to a concentration in air not more 
than one-fifth the lower flammable limit.

0
131. Section 1065.750 is amended by revising paragraph (a) to read as 
follows:


Sec.  1065.750  Analytical Gases.

* * * * *
    (a) Subparts C, D, F, and J of this part refer to the following gas 
specifications:
    (1) Use purified gases to zero measurement instruments and to blend 
with calibration gases. Use gases with contamination no higher than the 
highest of the following values in the gas cylinder or at the outlet of 
a zero-gas generator:
    (i) 2% contamination, measured relative to the flow-weighted mean 
concentration expected at the standard. For example, if you would 
expect a flow-weighted CO concentration of 100.0 [mu]mol/mol, then you 
would be allowed to use a zero gas with CO contamination less than or 
equal to 2.000 [mu]mol/mol.
    (ii) Contamination as specified in the following table:

                     Table 1 of Sec.   1065.750.--General Specifications for Purified Gases
----------------------------------------------------------------------------------------------------------------
           Constituent                   Purified synthetic air \1\                   Purified N2 \1\
----------------------------------------------------------------------------------------------------------------
THC (C1 equivalent)..............  < 0.05 [mu]mol/mol....................  < 0.05 [mu]mol/mol.
CO...............................  < 1 [mu]mol/mol.......................  < 1 [mu]mol/mol.
CO2..............................  < 10 [mu]mol/mol......................  < 10 [mu]mol/mol.
O2...............................  0.205 to 0.215 mol/mol................  < 2 [mu]mol/mol.
NOX..............................  < 0.02 [mu]mol/mol....................  < 0.02 [mu]mol/mol.
----------------------------------------------------------------------------------------------------------------
\1\ We do not require these levels of purity to be NIST-traceable.

    (2) Use the following gases with a FID analyzer:
    (i) FID fuel. Use FID fuel with a stated H2 
concentration of (0.39 to 0.41) mol/mol, balance He, and a stated total 
hydrocarbon concentration of 0.05 [mu]mol/mol or less.
    (ii) FID burner air. Use FID burner air that meets the 
specifications of purified air in paragraph (a)(1) of this section. For 
field testing, you may use ambient air.
    (iii) FID zero gas. Zero flame-ionization detectors with purified 
gas that meets the specifications in paragraph (a)(1) of this section, 
except that the purified gas O2 concentration may be any 
value. Note that FID zero balance gases may be any combination of 
purified air and purified nitrogen. We recommend FID analyzer zero 
gases that contain approximately the expected flow-weighted mean 
concentration of O2 in the exhaust sample during testing.
    (iv) FID propane span gas. Span and calibrate THC FID with span 
concentrations of propane, C3H8. Calibrate on a 
carbon number basis of one (C1). For example, if you use a 
C3H8 span gas of concentration 200 [mu]mol/mol, 
span a FID to respond with a value of 600 [mu]mol/mol. Note that FID 
span balance gases may be any combination of purified air and purified 
nitrogen. We recommend FID analyzer span gases that contain 
approximately the flow-weighted mean concentration of O2 
expected during testing. If the expected O2 concentration in 
the exhaust sample is zero, we recommend using a balance gas of 
purified nitrogen.
    (v) FID methane span gas. If you always span and calibrate a 
CH4 FID with a nonmethane cutter, then span and calibrate 
the FID with span concentrations of methane, CH4. Calibrate 
on a carbon number basis of one (C1). For example, if you 
use a CH4 span gas of concentration 200 [mu]mol/mol, span a 
FID to respond with a value of 200 [mu]mol/mol. Note that FID span 
balance gases may be any combination of purified air and purified 
nitrogen. We recommend FID analyzer span gases that contain 
approximately the expected flow-weighted mean concentration of 
O2 in the exhaust sample during testing. If the expected 
O2 concentration in the exhaust sample is zero, we recommend 
using a balance gas of purified nitrogen.
    (3) Use the following gas mixtures, with gases traceable within 
 1.0% of the NIST-accepted value or other gas standards we 
approve:
    (i) CH4, balance purified synthetic air and/or 
N2 (as applicable).
    (ii) C2H6, balance purified synthetic air 
and/or N2 (as applicable).
    (iii) C3H8, balance purified synthetic air 
and/or N2 (as applicable).
    (iv) CO, balance purified N2.
    (v) CO2, balance purified N2.
    (vi) NO, balance purified N2.
    (vii) NO2, balance purified synthetic air.
    (viii) O2, balance purified N2.
    (ix) C3H8, CO, CO2, NO, balance 
purified N2.
    (x) C3H8, CH4, CO, CO2, 
NO, balance purified N2.
    (4) You may use gases for species other than those listed in 
paragraph (a)(3) of this section (such as methanol in air, which you 
may use to determine response factors), as long as they are traceable 
to within  3.0% of the NIST-accepted value or other similar 
standards we approve, and meet the stability requirements of paragraph 
(b) of this section.
    (5) You may generate your own calibration gases using a precision 
blending device, such as a gas divider, to dilute gases with purified 
N2 or purified synthetic air. If your gas dividers meet the 
specifications in Sec.  1065.248, and the gases being blended meet the 
requirements of paragraphs (a)(1) and (3) of this section, the 
resulting blends are considered to meet the requirements of this 
paragraph (a).
* * * * *

Subpart I--[Amended]

0
132. Section 1065.805 is amended by revising paragraphs (a), (b), and 
(c) to read as follows:


Sec.  1065.805  Sampling system.

    (a) Dilute engine exhaust, and use batch sampling to collect 
proportional flow-weighted dilute samples of the applicable alcohols 
and carbonyls. You may not use raw sampling for alcohols and carbonyls.
    (b) You may collect background samples for correcting dilution air 
for background concentrations of alcohols and carbonyls.
    (c) Maintain sample temperatures within the dilution tunnel, 
probes, and sample lines high enough to prevent aqueous condensation up 
to the point where a sample is collected to prevent loss of the 
alcohols and carbonyls by dissolution in condensed water. Use good 
engineering judgment to ensure that surface reactions of alcohols and 
carbonyls do not occur, as surface decomposition of methanol has been 
shown to occur at temperatures greater than 120 [deg]C in exhaust from 
methanol-fueled engines.
* * * * *

0
133. Section 1065.845 is amended by revising the introductory text to 
read as follows:

[[Page 37344]]

Sec.  1065.845  Response factor determination.

    Since FID analyzers generally have an incomplete response to 
alcohols and carbonyls, determine each FID analyzer's alcohol/carbonyl 
response factor (such as RFMeOH) after FID optimization to 
subtract those responses from the FID reading. You are not required to 
determine the response factor for a compound unless you will subtract 
its response to compensate for a response. Formaldehyde response is 
assumed to be zero and does not need to be determined. Use the most 
recent alcohol/carbonyl response factors to compensate for alcohol/
carbonyl response.
* * * * *

Subpart J--[Amended]

0
134. Section 1065.901 is amended by revising paragraphs (b) 
introductory text and (b)(2) to read as follows:


Sec.  1065.901  Applicability.

* * * * *
    (b) Laboratory testing. You may use PEMS for any testing in a 
laboratory or similar environment without restriction or prior approval 
if the PEMS meets all applicable specifications for laboratory testing. 
You may also use PEMS for any testing in a laboratory or similar 
environment if we approve it in advance, subject to the following 
provisions: * * *
    (2) Do not apply any PEMS-related field-testing adjustments or 
measurement allowances to laboratory emission results or standards.
* * * * *

0
135. Section 1065.905 is amended by revising paragraphs (c)(14) and (e) 
introductory text to read as follows:


Sec.  1065.905  General provisions.

* * * * *
    (c) * * *
    (14) Does any special measurement allowance apply to field-test 
emission results or standards, based on using PEMS for field-testing 
versus using laboratory equipment and instruments for laboratory 
testing?
* * * * *
    (e) Laboratory testing using PEMS. You may use PEMS for testing in 
a laboratory as described in Sec.  1065.901(b). Use the following 
procedures and specifications when using PEMS for laboratory testing:
* * * * *

0
136. Section 1065.910 is revised to read as follows:


Sec.  1065.910  PEMS auxiliary equipment for field testing.

    For field testing you may use various types of auxiliary equipment 
to attach PEMS to a vehicle or engine and to power PEMS.
    (a) When you use PEMS, you may route engine intake air or exhaust 
through a flow meter. Route the engine intake air or exhaust as 
follows:
    (1) Flexible connections. Use short flexible connectors where 
necessary.
    (i) You may use flexible connectors to enlarge or reduce the pipe 
diameters to match that of your test equipment.
    (ii) We recommend that you use flexible connectors that do not 
exceed a length of three times their largest inside diameter.
    (iii) We recommend that you use four-ply silicone-fiberglass fabric 
with a temperature rating of at least 315 [deg]C for flexible 
connectors. You may use connectors with a spring-steel wire helix for 
support and you may use NomexTM coverings or linings for 
durability. You may also use any other nonreactive material with 
equivalent permeation-resistance and durability, as long as it seals 
tightly.
    (iv) Use stainless-steel hose clamps to seal flexible connectors, 
or use clamps that seal equivalently.
    (v) You may use additional flexible connectors to connect to flow 
meters.
    (2) Tubing. Use rigid 300 series stainless steel tubing to connect 
between flexible connectors. Tubing may be straight or bent to 
accommodate vehicle geometry. You may use ``T'' or ``Y'' fittings made 
of 300 series stainless steel tubing to join multiple connections, or 
you may cap or plug redundant flow paths if the engine manufacturer 
recommends it.
    (3) Flow restriction. Use flowmeters, connectors, and tubing that 
do not increase flow restriction so much that it exceeds the 
manufacturer's maximum specified value. You may verify this at the 
maximum exhaust flow rate by measuring pressure at the manufacturer-
specified location with your system connected. You may also perform an 
engineering analysis to verify an acceptable configuration, taking into 
account the maximum exhaust flow rate expected, the field test system's 
flexible connectors, and the tubing's characteristics for pressure 
drops versus flow.
    (b) For vehicles or other motive equipment, we recommend installing 
PEMS in the same location where a passenger might sit. Follow PEMS 
manufacturer instructions for installing PEMS in cargo spaces, engine 
spaces, or externally such that PEMS is directly exposed to the outside 
environment. We recommend locating PEMS where it will be subject to 
minimal sources of the following parameters:
    (1) Ambient temperature changes.
    (2) Ambient pressure changes.
    (3) Electromagnetic radiation.
    (4) Mechanical shock and vibration.
    (5) Ambient hydrocarbons--if using a FID analyzer that uses ambient 
air as FID burner air.
    (c) Use mounting hardware as required for securing flexible 
connectors, ambient sensors, and other equipment. Use structurally 
sound mounting points such as vehicle frames, trailer hitch receivers, 
walkspaces, and payload tie-down fittings. We recommend mounting 
hardware such as clamps, suction cups, and magnets that are 
specifically designed for your application. We also recommend 
considering mounting hardware such as commercially available bicycle 
racks, trailer hitches, and luggage racks where applicable.
    (d) Field testing may require portable electrical power to run your 
test equipment. Power your equipment, as follows:
    (1) You may use electrical power from the vehicle, equipment, or 
vessel, up to the highest power level, such that all the following are 
true:
    (i) The power system is capable of safely supplying power, such 
that the power demand for testing does not overload the power system.
    (ii) The engine emissions do not change significantly as a result 
of the power demand for testing.
    (iii) The power demand for testing does not increase output from 
the engine by more than 1% of its maximum power.
    (2) You may install your own portable power supply. For example, 
you may use batteries, fuel cells, a portable generator, or any other 
power supply to supplement or replace your use of vehicle power. You 
may connect an external power source directly to the vehicle's, 
vessel's, or equipment's power system; however, during a test interval 
(such as an NTE event) you must not supply power to the vehicle's power 
system in excess of 1% of the engine's maximum power.

0
137. Section 1065.915 is amended by revising paragraph (a) before the 
table and paragraphs (c), (d)(1), and (d)(5)(iii)(B) to read as 
follows:


Sec.  1065.915  PEMS instruments.

    (a) Instrument specifications. We recommend that you use PEMS that 
meet the specifications of subpart C of this part. For unrestricted use 
of PEMS in a laboratory or similar environment, use a PEMS that meets 
the same

[[Page 37345]]

specifications as each lab instrument it replaces. For field testing or 
for testing with PEMS in a laboratory or similar environment, under the 
provisions of Sec.  1065.905(b), the specifications in the following 
table apply instead of the specifications in Table 1 of Sec.  1065.205.
* * * * *
    (c) Field-testing ambient effects on PEMS. We recommend that you 
use PEMS that are only minimally affected by ambient conditions such as 
temperature, pressure, humidity, physical orientation, mechanical shock 
and vibration, electromagnetic radiation, and ambient hydrocarbons. 
Follow the PEMS manufacturer's instructions for proper installation to 
isolate PEMS from ambient conditions that affect their performance. If 
a PEMS is inherently affected by ambient conditions that you cannot 
control, you may monitor those conditions and adjust the PEMS signals 
to compensate for the ambient effect. The standard-setting part may 
also specify the use of one or more field-testing adjustments or 
measurement allowances that you apply to results or standards to 
account for ambient effects on PEMS.
    (d) * * *
    (1) Recording ECM signals. If your ECM updates a broadcast signal 
more or less frequently than 1 Hz, process data as follows:
    (i) If your ECM updates a broadcast signal more frequently than 1 
Hz, use PEMS to sample and record the signal's value more frequently. 
Calculate and record the 1 Hz mean of the more frequently updated data.
    (ii) If your ECM updates a broadcast signal less frequently than 1 
Hz, use PEMS to sample and record the signal's value at the most 
frequent rate. Linearly interpolate between recorded values and record 
the interpolated values at 1 Hz.
    (iii) Optionally, you may use PEMS to electronically filter the ECM 
signals to meet the rise time and fall time specifications in Table 1 
of this section. Record the filtered signal at 1 Hz.
* * * * *
    (5) * * *
    (iii) * * *
    (B) Use a single BSFC value that approximates the BSFC value over a 
test interval (as defined in subpart K of this part). This value may be 
a nominal BSFC value for all engine operation determined over one or 
more laboratory duty cycles, or it may be any other BSFC that you 
determine. If you use a nominal BSFC, we recommend that you select a 
value based on the BSFC measured over laboratory duty cycles that best 
represent the range of engine operation that defines a test interval 
for field-testing. You may use the methods of this paragraph 
(d)(5)(iii)(B) only if it does not adversely affect your ability to 
demonstrate compliance with applicable standards.
* * * * *

0
138. Section 1065.920 is amended by revising paragraphs (a), 
(b)(4)(iii), and (b)(7) introductory text to read as follows:


Sec.  1065.920  PEMS calibrations and verifications.

    (a) Subsystem calibrations and verifications. Use all the 
applicable calibrations and verifications in subpart D of this part, 
including the linearity verifications in Sec.  1065.307, to calibrate 
and verify PEMS. Note that a PEMS does not have to meet the system-
response specifications of Sec.  1065.308 if it meets the overall 
verification described in paragraph (b) of this section. This section 
does not apply to ECM signals.
    (b) * * *
    (4) * * *
    (iii) If the standard-setting part specifies the use of a 
measurement allowance for field testing, also apply the measurement 
allowance during calibration using good engineering judgment. If the 
measurement allowance is normally added to the standard, this means you 
must subtract the measurement allowance from the measured PEMS brake-
specific emission result.
* * * * *
    (7) The PEMS passes this verification if any one of the following 
are true for each constituent:
* * * * *
0
139. Section 1065.925 is amended by revising paragraph (h) to read as 
follows:


Sec.  1065.925  PEMS preparation for field testing.

* * * * *
    (h) Verify the amount of contamination in the PEMS HC sampling 
system as follows:
    (1) Select the HC analyzers' ranges for measuring the maximum 
concentration expected at the HC standard.
    (2) Zero the HC analyzers using a zero gas or ambient air 
introduced at the analyzer port. When zeroing the FIDs, use the FIDs' 
burner air that would be used for in-use measurements (generally either 
ambient air or a portable source of burner air).
    (3) Span the HC analyzers using span gas introduced at the analyzer 
port. When spanning the FIDs, use the FIDs' burner air that would be 
used in-use (for example, use ambient air or a portable source of 
burner air).
    (4) Overflow zero or ambient air at the HC probe or into a fitting 
between the HC probe and the transfer line.
    (5) Measure the HC concentration in the sampling system:
    (i) For continuous sampling, record the mean HC concentration as 
overflow zero air flows.
    (ii) For batch sampling, fill the sample medium and record its mean 
concentration.
    (6) Record this value as the initial HC concentration, 
xTHCinit, and use it to correct measured values as described 
in Sec.  1065.660.
    (7) If the initial HC concentration exceeds the greater of the 
following values, determine the source of the contamination and take 
corrective action, such as purging the system or replacing contaminated 
portions:
    (i) 2% of the flow-weighted mean concentration expected at the 
standard or measured during testing.
    (ii) 2 [mu]mol/mol.
    (8) If corrective action does not resolve the deficiency, you may 
use a contaminated HC system if it does not prevent you from 
demonstrating compliance with the applicable emission standards.

0
140. Section 1065.935 is amended by revising paragraphs (e)(1) and 
(g)(5) to read as follows:


Sec.  1065.935  Emission test sequence for field testing.

* * * * *
    (e) * * *
    (1) Continue sampling as needed to get an appropriate amount of 
emission measurement, according to the standard setting part. If the 
standard-setting part does not describe when to stop sampling, develop 
a written protocol before you start testing to establish how you will 
stop sampling. You may not determine when to stop testing based on 
emission results.
* * * * *
    (g) * * *
    (5) Invalidate any test intervals that do not meet the drift 
criterion in Sec.  1065.550. For NMHC, invalidate any test intervals if 
the difference between the uncorrected and the corrected brake-specific 
NMHC emission values are within 10% of the uncorrected 
results or the applicable standard, whichever is greater. For test 
intervals that do meet the drift criterion, correct those test 
intervals for drift according to Sec.  1065.672 and use the drift 
corrected results in emissions calculations.
* * * * *

[[Page 37346]]

Subpart K--[Amended]

0
141. Section 1065.1001 is amended by revising the definitions for 
``Designated Compliance Officer'', ``Regression statistics'' and 
``Tolerance'' and adding definitions in alphabetical order for 
``Dilution ratio'', ``Measurement allowance'', ``Mode'', ``NIST-
accepted'', ``Recommend'', ``Uncertainty'', and ``Work'' to read as 
follows:


Sec.  1065.1001  Definitions.

* * * * *
    Designated Compliance Officer means the Director, Compliance and 
Innovative Strategies Division (6405-J), U.S. Environmental Protection 
Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460.
* * * * *
    Dilution ratio (DR) means the amount of diluted exhaust per amount 
of undiluted exhaust.
* * * * *
    Measurement allowance means a specified adjustment in the 
applicable emission standard or a measured emission value to reflect 
the relative quality of the measurement. See the standard-setting part 
to determine whether any measurement allowances apply for your testing. 
Measurement allowances generally apply only for field testing and are 
intended to account for reduced accuracy or precision that result from 
using field-grade measurement systems.
    Mode means one of the following:
    (1) A distinct combination of engine speed and load for steady-
state testing.
    (2) A continuous combination of speeds and loads specifying a 
transition during a ramped-modal test.
    (3) A distinct operator demand setting, such as would occur when 
testing locomotives or constant-speed engines.
    NIST-accepted means relating to a value that has been assigned or 
named by NIST.
* * * * *
    Recommend has the meaning given in Sec.  1065.201.
    Regression statistics means any of the regression statistics 
specified in Sec.  1065.602.
* * * * *
    Tolerance means the interval in which at least 95% of a set of 
recorded values of a certain quantity must lie. Use the specified 
recording frequencies and time intervals to determine if a quantity is 
within the applicable tolerance. The concept of tolerance is intended 
to address random variability. You may not take advantage of the 
tolerance specification to incorporate a bias into a measurement.
* * * * *
    Uncertainty means uncertainty with respect to NIST-traceability. 
See the definition of NIST-traceable in this section.
* * * * *
    Work has the meaning given in Sec.  1065.110.
* * * * *

0
142. Section 1065.1005 is amended by revising paragraphs (a) and (g) to 
read as follows:


Sec.  1065.1005  Symbols, abbreviations, acronyms, and units of 
measure.

* * * * *
    (a) Symbols for quantities. This part uses the following symbols 
and units of measure for various quantities:

----------------------------------------------------------------------------------------------------------------
      Symbol              Quantity                  Unit                 Unit symbol           Base SI units
----------------------------------------------------------------------------------------------------------------
%................  percent...............  0.01..................  %.....................  10	2
[alpha]..........  atomic hydrogen to      mole per mole.........  mol/mol...............  1
                    carbon ratio.
A................  area..................  square meter..........  m2....................  m2
A0...............  intercept of least                                                      .....................
                    squares regression.
A1...............  slope of least squares                                                  .....................
                    regression.
[beta]...........  ratio of diameters....  meter per meter.......  m/m...................  1
[beta]...........  atomic oxygen to        mole per mole.........  mol/mol...............  1
                    carbon ratio.
C#...............  number of carbon atoms                                                  .....................
                    in a molecule.
d................  Diameter..............  meter.................  m.....................  m
DR...............  dilution ratio........  mole per mol..........  mol/mol...............  1
[egr]............  error between a                                                         .....................
                    quantity and its
                    reference.
e................  brake-specific basis..  gram per kilowatt hour  g/(kW [middot] h).....  g [middot] 3.6	1
                                                                                            [middot] 10\6\
                                                                                            [middot] m	2
                                                                                            [middot] kg [middot]
                                                                                            s\2\
F................  F-test statistic......                                                  .....................
f................  frequency.............  hertz.................  Hz....................  s	1
fn...............  rotational frequency    revolutions per minute  rev/min...............  2 [middot] pi
                    (shaft).                                                                [middot] 60	1
                                                                                            [middot] s	1
[gamma]..........  ratio of specific       (joule per kilogram     (J/(kg [middot] K))/(J/ 1
                    heats.                  kelvin) per (joule      (kg [middot] K)).
                                            per kilogram kelvin).
K................  correction factor.....  ......................  ......................  1
l................  length................  meter.................  m.....................  m
[mu].............  viscosity, dynamic....  pascal second.........  Pa[middot]s...........  m	1 [middot] kg
                                                                                            [middot] s	1
M................  molar mass\1\.........  gram per mole.........  g/mol.................  10	3 [middot] kg
                                                                                            [middot] mol	1
m................  mass..................  kilogram..............  kg....................  kg
m................  mass rate.............  kilogram per second...  kg/s..................  kg [middot] s	1
[nu].............  viscosity, kinematic..  meter squared per       m\2\/s................  m\2\ [middot] s	1
                                            second.
N................  total number in series                                                  .....................
n................  amount of substance...  mole..................  mol...................  mol
n................  amount of substance     mole per second.......  mol/s.................  mol [middot] s	1
                    rate.
P................  power.................  kilowatt..............  kW....................  103 [middot] m\2\
                                                                                            [middot] kg [middot]
                                                                                            s	3
PF...............  penetration fraction..                                                  .....................
p................  pressure..............  pascal................  Pa....................  m	1 [middot] kg
                                                                                            [middot] s	2
[rho]............  mass density..........  kilogram per cubic      kg/m3.................  kg [middot] m	3
                                            meter.
r................  ratio of pressures....  pascal per pascal.....  Pa/Pa.................  1
R\2\.............  coefficient of                                                          .....................
                    determination.
Ra...............  average surface         micrometer............  [mu]m.................  m	6
                    roughness.
Re#..............  Reynolds number.......                                                  .....................
RF...............  response factor.......                                                  .....................
RH%..............  relative humidity.....  0.01..................  %.....................  10	2
[sigma]..........  non-biased standard                                                     .....................
                    deviation.
S................  Sutherland constant...  kelvin................  K.....................  K

[[Page 37347]]

 
SEE..............  standard estimate of                                                    .....................
                    error.
T................  absolute temperature..  kelvin................  K.....................  K
T................  Celsius temperature...  degree Celsius........  [deg]C................  K-273.15
T................  torque (moment of       newton meter..........  N [middot] m..........  m\2\ [middot] kg
                    force).                                                                 [middot] s	2
t................  time..................  second................  s.....................  s
[Delta]t.........  time interval, period,  second................  s.....................  s
                    1/frequency.
V................  volume................  cubic meter...........  m3....................  m3
V................  volume rate...........  cubic meter per second  m3/s..................  m3 [middot] s	1
W................  work..................  kilowatt hour.........  kW [middot] h.........  3.6 [middot] 10	6
                                                                                            [middot] m\2\
                                                                                            [middot] kg [middot]
                                                                                            s	2
wc...............  carbon mass             gram per gram.........  g/g...................  1
                    concentration.
x................  amount of substance     mole per mole.........  mol/mol...............  (\1\)
                    mole fraction\2\.
x................  flow-weighted mean      mole per mole.........  mol/mol...............  1
                    concentration.
y................  generic variable......                                                  .....................
----------------------------------------------------------------------------------------------------------------
\1\ See paragraph (f)(2) of this section for the values to use for molar masses. Note that in the cases of NOX
  and HC, the regulations specify effective molar masses based on assumed speciation rather than actual
  speciation.
\2\ Note that mole fractions for THC, THCE, NMHC, NMHCE, and NOTHC are expressed on a C1 equivalent basis.

* * * * *
    (g) Other acronyms and abbreviations. This part uses the following 
additional abbreviations and acronyms:

ASTM American Society for Testing and Materials
BMD bag mini-diluter
BSFC brake-specific fuel consumption
CARB California Air Resources Board
CFR Code of Federal Regulations
CFV critical-flow venturi
CI compression-ignition
CITT Curb Idle Transmission Torque
CLD chemiluminescent detector
CVS constant-volume sampler
DF deterioration factor
ECM electronic control module
EFC electronic flow control
EGR exhaust gas recirculation
EPA Environmental Protection Agency
FEL Family Emission Limit
FID flame-ionization detector
IBP initial boiling point
ISO International Organization for Standardization
LPG liquefied petroleum gas
NDIR nondispersive infrared
NDUV nondispersive ultraviolet
NIST National Institute for Standards and Technology
PDP positive-displacement pump
PEMS portable emission measurement system
PFD partial-flow dilution
PMP Polymethylpentene
pt. a single point at the mean value expected at the standard
PTFE polytetrafluoroethylene (commonly known as TeflonTM)
RE rounding error
RMC ramped-modal cycle
RMS root-mean square
RTD resistive temperature detector
SSV subsonic venturi
SI spark-ignition
UCL upper confidence limit
UFM ultrasonic flow meter
U.S.C. United States Code

0
143. Section 1065.1010 is revised to read as follows:


Sec.  1065.1010  Reference materials.

    Documents listed in this section have been incorporated by 
reference into this part. The Director of the Federal Register approved 
the incorporation by reference as prescribed in 5 U.S.C. 552(a) and 1 
CFR part 51. Anyone may inspect copies at the U.S. EPA, Air and 
Radiation Docket and Information Center, 1301 Constitution Ave., NW., 
Room B102, EPA West Building, Washington, DC 20460 or at the National 
Archives and Records Administration (NARA). For information on the 
availability of this material at NARA, call 202-741-6030, or go to: 
http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.
    (a) ASTM material. Table 1 of this section lists material from the 
American Society for Testing and Materials that we have incorporated by 
reference. The first column lists the number and name of the material. 
The second column lists the sections of this part where we reference 
it. Anyone may purchase copies of these materials from the American 
Society for Testing and Materials, 100 Barr Harbor Dr., P.O. Box C700, 
West Conshohocken, PA 19428 or www.astm.com. Table 1 follows:

               Table 1 of Sec.   1065.1010.-ASTM Materials
------------------------------------------------------------------------
                                                              Part 1065
                   Document No. and name                      reference
------------------------------------------------------------------------
ASTM D86-07a, Standard Test Method for Distillation of         1065.703,
 Petroleum Products at Atmospheric Pressure................     1065.710
ASTM D93-07, Standard Test Methods for Flash Point by           1065.703
 Pensky-Martens Closed Cup Tester..........................
ASTM D445-06, Standard Test Method for Kinematic Viscosity      1065.703
 of Transparent and Opaque Liquids (and the Calculation of
 Dynamic Viscosity)........................................
ASTM D613-05, Standard Test Method for Cetane Number of         1065.703
 Diesel Fuel Oil...........................................
ASTM D910-07, Standard Specification for Aviation Gasolines     1065.701
ASTM D975-07b, Standard Specification for Diesel Fuel Oils.     1065.701
ASTM D1267-02 (Reapproved 2007), Standard Test Method for       1065.720
 Gage Vapor Pressure of Liquefied Petroleum (LP) Gases (LP-
 Gas Method)...............................................
ASTM D1319-03, Standard Test Method for Hydrocarbon Types       1065.710
 in Liquid Petroleum Products by Fluorescent Indicator
 Adsorption................................................
ASTM D1655-07e01, Standard Specification for Aviation           1065.701
 Turbine Fuels.............................................
ASTM D1837-02a (Reapproved 2007), Standard Test Method for      1065.720
 Volatility of Liquefied Petroleum (LP) Gases..............
ASTM D1838-07, Standard Test Method for Copper Strip            1065.720
 Corrosion by Liquefied Petroleum (LP) Gases...............
ASTM D1945-03, Standard Test Method for Analysis of Natural     1065.715
 Gas by Gas Chromatography.................................
ASTM D2158-05, Standard Test Method for Residues in             1065.720
 Liquefied Petroleum (LP) Gases............................

[[Page 37348]]

 
ASTM D2163-05, Standard Test Method for Analysis of             1065.720
 Liquefied Petroleum (LP) Gases and Propene Concentrates by
 Gas Chromatography........................................
ASTM D2598-02 (Reapproved 2007), Standard Practice for          1065.720
 Calculation of Certain Physical Properties of Liquefied
 Petroleum (LP) Gases from Compositional Analysis..........
ASTM D2622-07, Standard Test Method for Sulfur in Petroleum    1065.703,
 Products by Wavelength Dispersive X-ray Fluorescence           1065.710
 Spectrometry..............................................
ASTM D2713-91 (Reapproved 2001), Standard Test Method for       1065.720
 Dryness of Propane (Valve Freeze Method)..................
ASTM D2784-06, Standard Test Method for Sulfur in Liquefied     1065.720
 Petroleum Gases (Oxy-Hydrogen Burner or Lamp).............
ASTM D2880-03, Standard Specification for Gas Turbine Fuel      1065.701
 Oils......................................................
ASTM D2986-95a (Reapproved 1999), Standard Practice for         1065.170
 Evaluation of Air Assay Media by the Monodisperse DOP
 (Dioctyl Phthalate) Smoke Test............................
ASTM D3231-07, Standard Test Method for Phosphorus in           1065.710
 Gasoline..................................................
ASTM D3237-06e01, Standard Test Method for Lead in Gasoline     1065.710
 By Atomic Absorption Spectroscopy.........................
ASTM D4052-96e01 (Reapproved 2002), Standard Test Method        1065.703
 for Density and Relative Density of Liquids by Digital
 Density Meter.............................................
ASTM D4814-07a, Standard Specification for Automotive Spark-    1065.701
 Ignition Engine Fuel......................................
ASTM D5186-03, Standard Test Method for Determination of        1065.703
 the Aromatic Content and Polynuclear Aromatic Content of
 Diesel Fuels and Aviation Turbine Fuels By Supercritical
 Fluid Chromatography......................................
ASTM D5191-07, Standard Test Method for Vapor Pressure of       1065.710
 Petroleum Products (Mini Method)..........................
ASTM D5797-07, Standard Specification for Fuel Methanol         1065.701
 (M70-M85) for Automotive Spark-Ignition Engines...........
ASTM D5798-07, Standard Specification for Fuel Ethanol          1065.701
 (Ed75-Ed85) for Automotive Spark-Ignition Engines.........
ASTM D6615-06, Standard Specification for Jet B Wide-Cut        1065.701
 Aviation Turbine Fuel.....................................
ASTM D6751-07b, Standard Specification for Biodiesel Fuel       1065.701
 Blend Stock (B100) for Middle Distillate Fuels............
ASTM D6985-04a, Standard Specification for Middle               1065.701
 Distillate Fuel Oil--Military Marine Applications.........
ASTM F1471-93 (Reapproved 2001), Standard Test Method for      1065.1001
 Air Cleaning Performance of a High-Efficiency Particulate
 Air Filter System.........................................
------------------------------------------------------------------------

    (b) ISO material. Table 2 of this section lists material from the 
International Organization for Standardization that we have 
incorporated by reference. The first column lists the number and name 
of the material. The second column lists the section of this part where 
we reference it. Anyone may purchase copies of these materials from the 
International Organization for Standardization, Case Postale 56, CH-
1211 Geneva 20, Switzerland or www.iso.org. Table 2 follows:

               Table 2 of Sec.   1065.1010.--ISO Materials
------------------------------------------------------------------------
                                                              Part 1065
                   Document No. and name                      reference
------------------------------------------------------------------------
ISO 2719:2002, Determination of flash point--Pensky-Martens     1065.705
 closed cup method.........................................
ISO 3016:1994, Petroleum products--Determination of pour        1065.705
 point.....................................................
ISO 3104:1994/Cor 1:1997, Petroleum products--Transparent       1065.705
 and opaque liquids--Determination of kinematic viscosity
 and calculation of dynamic viscosity......................
ISO 3675:1998, Crude petroleum and liquid petroleum             1065.705
 products--Laboratory determination of density--Hydrometer
 method....................................................
ISO 3733:1999, Petroleum products and bituminous materials--    1065.705
 Determination of water--Distillation method...............
ISO 6245:2001, Petroleum products--Determination of ash....     1065.705
ISO 8217:2005, Petroleum products--Fuels (class F)--            1065.705
 Specifications of marine fuels............................
ISO 8754:2003, Petroleum products--Determination of sulfur      1065.705
 content--Energy-dispersive X-ray fluorescence spectrometry
ISO 10307-2:1993, Petroleum products--Total sediment in         1065.705
 residual fuel oils--Part 2: Determination using standard
 procedures for ageing.....................................
ISO 10370:1993/Cor 1:1996, Petroleum products--                 1065.705
 Determination of carbon residue--Micro method.............
ISO 10478:1994, Petroleum products--Determination of            1065.705
 aluminium and silicon in fuel oils--Inductively coupled
 plasma emission and atomic absorption spectroscopy methods
ISO 12185:1996/Cor 1:2001, Crude petroleum and petroleum        1065.705
 products--Determination of density--Oscillating U-tube
 method....................................................
ISO 14596:2007, Petroleum products--Determination of sulfur     1065.705
 content--Wavelength-dispersive X-ray fluorescence
 spectrometry..............................................
ISO 14597:1997, Petroleum products--Determination of            1065.705
 vanadium and nickel content--Wavelength-dispersive X-ray
 fluorescence spectrometry.................................
ISO 14644-1:1999, Cleanrooms and associated controlled          1065.190
 environments..............................................
------------------------------------------------------------------------

    (c) NIST material. Table 3 of this section lists material from the 
National Institute of Standards and Technology that we have 
incorporated by reference. The first column lists the number and name 
of the material. The second column lists the section of this part where 
we reference it. Anyone may purchase copies of these materials from the 
Government Printing Office, Washington, DC 20402 or download them free 
from the Internet at www.nist.gov. Table 3 follows:

[[Page 37349]]



              Table 3 of Sec.   1065.1010.--NIST Materials
------------------------------------------------------------------------
            Document No. and name                 Part 1065 reference
------------------------------------------------------------------------
ISONIST Special Publication 811, 1995          1065.20, 1065.1001,
 Edition, Guide for the Use of the              1065.1005
 International System of Units (SI), Barry N.
 Taylor, Physics Laboratory.
NIST Technical Note 1297, 1994 Edition,        1065.1001
 Guidelines for Evaluating and Expressing the
 Uncertainty of NIST Measurement Results,
 Barry N. Taylor and Chris E. Kuyatt.
------------------------------------------------------------------------

    (d) SAE material. Table 4 of this section lists material from the 
Society of Automotive Engineering that we have incorporated by 
reference. The first column lists the number and name of the material. 
The second column lists the sections of this part where we reference 
it. Anyone may purchase copies of these materials from the Society of 
Automotive Engineers, 400 Commonwealth Drive, Warrendale, PA 15096 or 
www.sae.org. Table 4 follows:

               Table 4 of Sec.   1065.1010.--SAE Materials
------------------------------------------------------------------------
                                                              Part 1065
                   Document No. and name                      reference
------------------------------------------------------------------------
``Optimization of Flame Ionization Detector for                 1065.360
 Determination of Hydrocarbon in Diluted Automotive
 Exhausts,'' Reschke Glen D., SAE 770141...................
``Relationships Between Instantaneous and Measured              1065.309
 Emissions in Heavy Duty Applications,'' Ganesan B. and
 Clark N. N., West Virginia University, SAE 2001-01-3536...
------------------------------------------------------------------------

    (e) California Air Resources Board material. Table 5 of this 
section lists material from the California Air Resources Board that we 
have incorporated by reference. The first column lists the number and 
name of the material. The second column lists the sections of this part 
where we reference it. Anyone may get copies of these materials from 
the California Air Resources Board, 9528 Telstar Ave., El Monte, 
California 91731. Table 5 follows:

 Table 5 of Sec.   1065.1010.--California Air Resources Board Materials
------------------------------------------------------------------------
                                                              Part 1065
                   Document No. and name                      reference
------------------------------------------------------------------------
``California Non-Methane Organic Gas Test Procedures,''         1065.805
 Amended July 30, 2002, Mobile Source Division, California
 Air Resources Board.......................................
------------------------------------------------------------------------

    (f) Institute of Petroleum material. Table 6 of this section lists 
the Institute of Petroleum standard test methods material from the 
Energy Institute that we have incorporated by reference. The first 
column lists the number and name of the material. The second column 
lists the section of this part where we reference it. Anyone may 
purchase copies of these materials from the Energy Institute, 61 New 
Cavendish Street , London, W1G 7AR, UK , +44 (0)20 7467 7100 or 
www.energyinst.org.uk. Table 6 follows:

     Table 6 of Sec.   1065.1010.--Institute of Petroleum Materials
------------------------------------------------------------------------
                                                              Part 1065
                   Document No. and name                      reference
------------------------------------------------------------------------
IP-470, Determination of aluminum, silicon, vanadium,           1065.705
 nickel, iron, calcium, zinc, and sodium in residual fuels
 by atomic absorption spectrometry.........................
IP-500, Determination of the phosphorus content of residual     1065.705
 fuels by ultra-violet spectrometry........................
IP-501, Determination of aluminum, silicon, vanadium,           1065.705
 nickel, iron, sodium, calcium, zinc and phosphorus in
 residual fuel oil by ashing, fusion and inductively
 coupled plasma emission spectrometry......................
------------------------------------------------------------------------

PART 1068--GENERAL COMPLIANCE PROVISIONS FOR NONROAD PROGRAMS

0
144. The authority citation for part 1068 continues to read as follows:

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

Subpart A--[Amended]

0
145. Section 1068.1 is revised by adding paragraphs (a)(6) and (a)(7) 
and revising paragraphs (b)(4) and (b)(6) to read as follows:


Sec.  1068.1   Does this part apply to me?

    (a) * * *
    (6) Locomotives and locomotive engines we regulate under 40 CFR 
part 1033.
    (7) Marine compression-ignition engines we regulate under 40 CFR 
part 1042.
    (b) * * *

[[Page 37350]]

    (4) Locomotives and locomotive engines we regulate under 40 CFR 
part 92.
* * * * *
    (6) Marine diesel engines we regulate under 40 CFR part 89 or 94.
* * * * *

[FR Doc. E8-7999 Filed 5-5-08; 8:45 am]

    Editorial Note: FR Doc. E8-7999 was originally published at 
pages 25098 to 25352 in the issue of Tuesday, May 6, 2008. This 
document included numerous typographical and other errors that were 
inadvertently introduced in the printing process. Because of the 
number of errors, this document is being republished in its 
entirety. This republication does not change the effective date of 
the original document.
[FR Doc. R8-7999 Filed 6-27-08; 8:45 am]
BILLING CODE 1505-01-D