[Federal Register: April 16, 1998 (Volume 63, Number 73)]
[Rules and Regulations]
[Page 18977-19026]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr16ap98-13]


[[Page 18977]]

_______________________________________________________________________

Part II

Environmental Protection Agency

_______________________________________________________________________

40 CFR Parts 85, 89 and 92

Emission Standards for Locomotives and Locomotive Engines; Final Rule

[[Page 18978]]

ENVIRONMENTAL PROTECTION AGENCY

40 CFR Parts 85, 89 and 92

[FRL-5939-7]
RIN 2060-AD33


Emission Standards for Locomotives and Locomotive Engines

AGENCY: Environmental Protection Agency (EPA).

ACTION: Final rulemaking.

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SUMMARY: EPA is promulgating emission standards and associated
regulatory requirements for the control of emissions from locomotives
and locomotive engines as required by the Clean Air Act section
213(a)(5). The primary focus of this rule is the reduction of emissions
of oxides of nitrogen (NO<INF>X</INF>). The standards will take effect
in 2000 and will ultimately result in a more than 60 percent reduction
in NO<INF>X</INF> from locomotives. NO<INF>X</INF> is a precursor to
the formation of ground level ozone, which causes health problems such
as damage to lung tissue, reduction of lung function, and sensitization
of lungs to other irritants, as well as damage to terrestrial and
aquatic ecosystems. EPA is also promulgating standards for emissions of
hydrocarbons (HC), carbon monoxide (CO), particulate matter (PM), and
smoke. The overall cost-effectiveness of today's emissions standards is
158 dollars per ton of NO<INF>X</INF>, PM and HC reduced. Today's rule
also includes a variety of provisions to implement the standards and to
ensure that the standards are met in-use. These provisions include
certification test procedures, and assembly line and in-use compliance
testing programs. Also included in today's rule is an emissions
averaging, banking and trading program to improve feasibility and
provide flexibility in achieving compliance with the proposed
standards. Finally, EPA is promulgating regulations that preempt
certain state and local requirements relating to the control of
emissions from new locomotives and new locomotive engines, pursuant to
Clean Air Act section 209(e).

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

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

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

SUPPLEMENTARY INFORMATION:

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

I. Introduction

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

II. Regulated Entities

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

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

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

[[Page 18979]]

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

III. Statutory Authority

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

    This section contains a description of each provision of today's
rule. This rule contains emission standards not only for locomotives
originally manufactured after the effective date of the standards, but
also for existing locomotives originally manufactured after 1972, when
remanufactured after the applicable effective date of today's action.
Today EPA is adopting the first national emission regulations
applicable to locomotives. In addition to emission standards, this rule
contains a variety of compliance and enforcement provisions, as well as
regulations concerning the preemption of certain state and local
controls over locomotives. Each of these items is discussed in detail
in this section and in the Summary and Analysis of Comments document
(SAC) accompanying this rule. For complete information on the new
program requirements the reader is referred to the accompanying
regulations appearing at the end of today's document. The reader is
also referred to the complete Title 40 , parts 85 and 89 of the Code of
Federal Regulations, which this rulemaking amends.<SUP>2</SUP>
---------------------------------------------------------------------------

    \2\ The regulations published at the end of this document do not
include a paragraph that was inadvertently included in the
regulations signed by the Administrator on December 17, 1997 and
released to the public electronically on December 18, 1997. The
final rule, as signed by the Administrator and released
electronically, contained a regulatory provision that was included
in a staff-level draft, but was intended to be deleted from the
final version prior to signature. However, due to a mistake, EPA
staff inadvertently failed to delete this particular provision prior
to signature. In this action, the Administrator removed the
following paragraph from the final locomotive emissions regulations:
    ``(2) Where the manufacturer or remanufacturer identifies the
reason(s) that the failing locomotives failed to comply with the
applicable emission standards, and demonstrates, to the
Administrator's satisfaction, that such reason(s) was (were) beyond
the control of the manufacturer or remanufacturer (or its suppliers,
or other entities contracted by the manufacturer or remanufacturer
to provide goods or services for the manufacture or remanufacture of
the locomotive), EPA will not pursue remedial action against the
manufacturer or remanufacturer.''
    To the extent that the rule signed on December 17, 1997 may be
deemed to have been promulgated, EPA finds good cause for removing
this paragraph without prior notice and comment, since such
procedure is unnecessary, and contrary to the public interest.
Public notice and comment is unnecessary because EPA is simply
removing from the regulatory text a paragraph that the Agency did
not intend to include in the final locomotive regulations. Moreover,
public notice and comment in this instance is contrary to the public
interest because it would delay publication and effectiveness of
these emission standards, which would result in delaying the
emission benefits that will be achieved through implementation of
these standards.

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[[Page 18980]]

A. Applicability

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

[[Page 18981]]

B. Timing

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

C. Emission Standards

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

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

C.2. Emission Standards
    As proposed, today's rule contains three sets of exhaust gaseous
and particulate emission standards for locomotives (Tier 0, Tier 1 and
Tier 2), with the applicability of each dependent on the date of
original manufacture of a locomotive, as discussed in the previous
section on timing. Standards are included for NO<INF>X</INF>, PM, HC,
CO and smoke. EPA is not finalizing the proposed aldehydes standards
for alcohol locomotives because aldehydes are specifically measured,
and thus regulated, in the context of the THCE standards. Each set of
standards includes requirements that locomotives comply with duty-cycle
standards when using notch weighting factors representative of
operation in both line-haul and switch duty-cycles. In general,
locomotives covered by these standards must meet both sets of duty-
cycle

[[Page 18982]]

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

        Table IV-2.--Exhaust Emission Standards for Locomotives <SUP>1
------------------------------------------------------------------------
                               Gaseous and particulate emissions (g/bhp-
                                                  hr)
     Tier and duty-cycle     -------------------------------------------
                                 HC<SUP>2         CO        NO<INF>X         PM
------------------------------------------------------------------------
Tier 0 line-haul duty-cycle.       1.00        5.0        9.5       0.60
Tier 0 switch duty-cycle....       2.10        8.0       14.0       0.72
Tier 1 line-haul duty-cycle.       0.55        2.2        7.4       0.45
Tier 1 switch duty-cycle....       1.20        2.5       11.0       0.54
Tier 2 line-haul duty-cycle.       0.30        1.5        5.5       0.20
Tier 2 switch duty-cycle....       0.60        2.4        8.1       0.24
------------------------------------------------------------------------
\1\ For the applicability of these standards by locomotive model year
  see the discussion on timing.
\2\ HC standards are in the form of THC for diesel, bio-diesel, or any
  combination of fuels with diesel as the primary fuel; NMHC for natural
  gas, or any combination of fuels where natural gas is the primary
  fuel; and THCE for alcohol, or any combination of fuels where alcohol
  is the primary fuel.

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

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

    \2\ In the event that EPA receives and grants a petition for
reconsideration of the Tier 2 NO<INF>X</INF> emission standard, the
Agency will begin to work on development of options for the federal
backstop of the South Coast Locomotive Fleet Average Agreement
discussed in footnote 1.
---------------------------------------------------------------------------

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

[[Page 18983]]

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

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

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

D. Other Nonroad Engines

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

[[Page 18984]]

testing, or certification requirements if rebuilt to their original
configuration, or a different configuration certified according to 40
CFR Part 89. However, the tampering prohibitions apply when these
engines are rebuilt. EPA does not believe that this repowering
provision will be used to circumvent the intent of today's regulations,
and has included appropriate safeguards to assure that this will not be
the case. For example, this exemption is subject to EPA approval, and
if the Agency has reason to believe that this provision is being used
in such a manner it will not grant the exemption.
    Engines used to repower existing locomotives but not eligible to
use the 40 CFR Part 89 provisions just discussed because they exceed
the sales limit must be certified according to the provisions of 40 CFR
Part 92 contained in this action. Engines which are used to repower
existing locomotives and which are identical to the original engine
(i.e., replacement engines) are considered repowers. As with all
locomotives and locomotive engines certified according to the
provisions of 40 CFR Part 92, in-use testing will be done on
locomotives, rather than engines. In-use nonconformities will be
determined based on such locomotive testing. Manufacturers of
repowering engines certified according to the provisions of 40 CFR Part
92 will be allowed to petition EPA for a shorter useful life than the
minimum useful life value of 7.5 megawatt-hours per horsepower (MW-hr/
hp) discussed in the next section.
    In addition to the repowering provisions just discussed, EPA is
allowing locomotive manufacturers to use a small number of engines
certified to the standards in 40 CFR Part 89 in freshly manufactured
switch locomotives. The purpose of this provision is to reduce the
certification burden associated with the occasional locomotive
manufacturer practice of building very small numbers of switch
locomotives using nonroad engines not normally used in locomotives. For
a given locomotive manufacturer, this provision will be limited to 15
locomotives over any three year period. This limit will apply to the
locomotive manufacturer, rather than the engine manufacturer, in cases
where the engine manufacturer and locomotive manufacturer are
different. Engines sold by an engine manufacturer for use in freshly
manufactured locomotives under this provision will not be included in
the sales limit for engines used for the repowering of existing
locomotives discussed previously.
    EPA is providing an exemption from the Tier 0 requirements in 40
CFR Part 92 for existing nonroad engines (i.e., engines which would
likely have fallen under the exemption for repowers previously
discussed if they were freshly manufactured) provided they use Tier 0
compliance kits which are certified on engines using the 40 CFR Part 89
test protocols. Such retrofit kits will be required under this
exemption to demonstrate a NO<INF>X</INF> reduction of 40 percent from
baseline levels to be considered to have met the Tier 0 requirements.
This 40 percent reduction is intended as a conservative approach to
address uncertainties associated with a lack of data correlating the 40
CFR Part 89 and Part 92 test procedures, and will assure that, given
the differences in engine operating test points between the locomotive
test procedures and those contained in 40 CFR Part 89, these Tier 0
locomotives will have emission reductions at least as great as Tier 0
locomotives certified according to the locomotive compliance provisions
contained in this rule. Alternately, such existing ``nonroad'' engines
can be exempted from the Tier 0 requirements in 40 CFR Part 92 provided
they are remanufactured into a configuration previously certified
according to 40 CFR Part 89.

E. Useful Life

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

F. Averaging, Banking and Trading

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

[[Page 18985]]

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

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

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

[[Page 18986]]

proposed. For early generation of credits for both freshly manufactured
locomotives, and existing locomotives when remanufactured, the
NO<INF>X</INF> line-haul duty-cycle standard from which credits would
be calculated is 10.5 g/bhp-hr. Similarly, the NO<INF>X</INF> switch
duty-cycle standard from which credits would be calculated is 14.0 g/
bhp-hr. This value is a default, and in the case of existing
locomotives a remanufacturer can choose to develop a model-specific
baseline value based on actual test data for a particular Tier 0
locomotive model. Credits for early compliance will only be calculated
for a single useful life period, as opposed to the remaining service
life used for most credit and debit calculation, and such locomotives
would have to be brought into compliance with the actual Tier 0
emission standards at their next remanufacture. EPA did not propose any
restrictions on who could hold credits generated prior to the effective
date of the standards. However, EPA will require that any credits from
a remanufactured locomotive which are generated and banked prior to
2002 can only be used for Tier 1 and later freshly manufactured
locomotives after 2001, in order to address competitiveness concerns
raised by locomotive aftermarket suppliers, as detailed in the SAC
accompanying this rule. Alternately, EPA is allowing such credits to be
used in an unrestricted fashion if they are transferred to the
locomotive owner.
    EPA did not propose to give any form of credit for the purchase or
use of electric locomotives. Amtrak, whose locomotive fleet contains a
sizeable number of electric locomotives, commented that EPA should give
some form of credit for electric locomotives. While EPA is not
including any such provision in this rule, it intends to consider if it
is appropriate to give credit for actual emission reductions inherent
in the use of electric locomotives as compared to diesel locomotives.
Thus, the Agency intends to work with the Department of Transportation,
Amtrak, and the concerned commuter authorities to investigate and
develop such credits.

G. Compliance Assurance

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

[[Page 18987]]

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

[[Page 18988]]

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

[[Page 18989]]

Administrator's finding of nonconformity. If a determination of
nonconformity with the requirements of section 207(c) of the Act is
made, the manufacturer or remanufacturer will not have the option of an
alternate remedial action, and an actual recall will be required.
    EPA recognizes the unique nature of locomotives and railroad
operations relative to highway vehicles such as passenger cars used in
personal transportation. Furthermore, the Agency recognizes that in
some cases, the actual recall and repair of locomotives could impose
severe financial hardship on a manufacturer or remanufacturer if the
necessary repair was extremely complex and expensive, and could also
adversely impact railroads and other businesses when locomotives are
required to be taken out of service for those repairs. In these
particular cases and, assuming that the Administrator had not yet made
a determination of nonconformity, alternatives to traditional recall
will be strongly considered. These alternatives are required to have
the same or greater environmental benefit as conventional recall and to
provide at least equivalent incentives to manufacturers and
remanufacturers to produce locomotives which durably and reliably
control emissions.
    The second component of the in-use testing program is the railroad
in-use testing program adopted pursuant to EPA's authority under
section 114 of the Act to require ``any person who owns or operates any
emission source to establish and maintain records, sample emissions
according to EPA specifications, and provide such other information as
the Administrator may reasonably require.'' The railroad in-use testing
program is being finalized for the reasons stated in the proposal. Each
Class I freight railroad is required to annually test a portion of its
total locomotive fleet beginning January 1, 2005. This start date is
appropriate because EPA does not expect that a significant number of
certified locomotives will have reached the end of their useful lives
prior to 2005. EPA proposed a railroad in-use testing program which
would have required that ten percent of a railroad's locomotives be
tested annually using a simple short test procedure, but also
considered and solicited comment on a program that would require
testing a much smaller number of locomotives in accordance with the FTP
for locomotives. Based on comments received and the lack of a suitable
short test, EPA is finalizing the FTP-based testing program. Testing
must therefore be done according to the FTP for locomotives contained
in this rule. The number of tests that each Class I freight railroad
must perform annually is at least 0.15 percent of that railroad's total
average locomotive fleet size the previous year. The tests shall be
done on locomotives which have reached the end of their useful lives
for reasons stated in the proposal. If the number of locomotives in a
given railroad's fleet which have reached the end of their useful lives
is not large enough to fulfill the testing requirement, railroads are
to test locomotives late in their useful lives, as specified in the
regulatory text. The test locomotives will be randomly selected by the
railroad, unless otherwise specified by the Administrator, and must
proportionally represent the railroad's fleet mix of locomotive models.
    The railroads are required to submit annual reports summarizing all
emissions testing performed. If a particular engine family has
consistent emissions problems in all the railroads' fleets, then there
may be a problem with the design or manufacture of the locomotives. The
locomotives tested under this program will generally be past their
useful lives. No recall action can be taken against the manufacturer or
remanufacturer in the event of a failure of a locomotive tested beyond
the end of its useful life. However, EPA could use this information to
target engine families to be tested in the manufacturer/remanufacturer
in-use testing program, to target in-use testing by EPA, or to evaluate
the deterioration factors submitted with certification applications. If
the failures are limited to one railroad's fleet, then it may indicate
that tampering or malmaintenance has occurred, which may constitute a
violation of tampering prohibition discussed later in this notice.
    Given the current size of the Class I locomotive fleet, EPA
estimates that there will be approximately 30 in-use locomotive tests
performed annually under the railroad in-use program initially. Today's
program also gives EPA authority to waive, in whole or in part, the
amount of testing required in future years, as described in section
92.1003 of the attached regulatory text. Also included in the railroad
in-use testing program is a provision which allows a railroad to
petition EPA for approval of alternative in-use testing programs that
provide information equivalent to EPA's in-use testing requirements
based on criteria such as test procedure accuracy compared to the FTP
for locomotives, and how any differences in accuracy are addressed in
the locomotive sample size. EPA is finalizing this option for
alternative programs in order to allow for the potential of less costly
but equally effective programs based on test procedures that may be
developed in the future.
G.4. Phase-In Provisions for Small Businesses
    A large portion of the locomotive remanufacturing and aftermarket
parts industries is made up of small businesses. As such, these
industries do not tend to have the financial resources or technical
expertise to quickly respond to the Tier 0 requirements contained in
today's rule. As fully discussed in Chapter 5 of the SAC document
(docket item A-94-31-V-C-1), accompanying this rule, the Small Business
Regulatory Enforcement Fairness Act of 1996 and the Regulatory
Flexibility Act require EPA to take steps to identify and mitigate the
regulatory burden of regulations on small business entities. EPA has
taken a number of steps to mitigate any potential impact on the small
remanufacturers and component suppliers that are affected by this rule.
    The delay the application of Tier 0 standards to locomotives
originally manufactured before 1990 until January 1, 2002, is not
specifically targeted at small businesses since it applies to all pre-
1990 locomotives regardless of who remanufactures them. EPA chose 1990
as a cut point for the phase-in of the Tier 0 standards because pre-
1990 locomotives represent the vast majority of locomotives for which
the above small business entities supply parts and remanufacturing
services. Also, a cut point of 1990 will allow manufacturers and
remanufacturers to target their resources more efficiently than if they
were required to comply with the Tier 0 standards for all locomotive
and locomotive engine models at the same time. This measure should
therefore address any feasibility concerns for these small business
entities.
    The second measure establishes a streamlined certification program
for small businesses, applicable through the 2006 model year that will
reduce the financial burden of compliance. Under these provisions,
certification testing requirements will be phased-in, beginning in
2002. Remanufacturers have the option of testing locomotives (or
locomotive engines) using a modified version of the FTP, or of testing
using a less rigorous alternate procedure, subject to sales
restrictions set by EPA. The modified FTP requires measurement of
NO<INF>X</INF>, CO<INF>2</INF>, smoke, power output, and fuel
consumption over the full throttle notch schedule.

[[Page 18990]]

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

H. Test Procedures

    Due to the fundamental similarity between the emissions components
of locomotive engines and on-highway heavy-duty diesel engines, the
test procedures contained in today's regulation are based on the test
procedures previously established for on-highway heavy-duty diesel
engines in 40 CFR part 86, Subparts D and N. Specifically, the raw
sampling procedures and many of the instrument calibration procedures
are based on subpart D, and the dilute particulate sampling procedures
and general test procedures are based on subpart N. The most
significant aspects of the test procedures are described below. Also,
as with EPA's test procedures for other mobile sources, the regulations
will allow, with advance EPA approval, use of alternate test procedures
demonstrated to yield equivalent or superior results.
    EPA is using a nominally steady-state test procedure to measure
gaseous and particulate emissions from locomotives; that is, a
procedure wherein measurements of gaseous and particulate emissions are
performed with the engine at a series of steady-state speed and load
conditions. Measurement of smoke would be performed during both steady-
state operations and during periods of engine accelerations between
notches (i.e., set speed and load operating points). For locomotive
testing, the engine would remain in the locomotive chassis, and the
power output would be dissipated as heat from resistive load banks
(internal or external). Measurement of exhaust emissions, fuel
consumption, inlet and cooling air temperature, power output, etc.
would begin after the engine has been warmed up, and would continue
through each higher notch to maximum power. The minimum duration of the
initial test point (idle or low idle), and each test point when power
is being increased is 6 minutes, with the exception of the maximum
power point, where the minimum duration of operation is 15 minutes.
    Concentrations of gaseous exhaust pollutants are to be measured by
drawing samples of the raw exhaust to chemical analyzers; a
chemiluminescence analyzer for NO<INF>X</INF>, a heated flame
ionization detector (HFID) for HC, and nondispersive infrared (NDIR)
detector for CO and CO<INF>2</INF>. Smoke is to be measured with a
smoke opacity meter, and particulate measured by drawing a diluted
sample of the exhaust through a filter and weighing the mass of
particulate collected. The Agency is including NMHC, alcohol and
aldehyde measurement procedures similar to those that are currently
applicable to on-highway natural gas- and methanol-fueled engines (40
CFR part 86) be used for natural gas- and alcohol-fueled locomotives.
    EPA is establishing test conditions that are representative of in-
use conditions. Specifically, the Agency is requiring that locomotives
comply with emission standards when tested at temperatures from 45
deg.F to 105  deg.F and at both sea level and altitude conditions up to
about 4,000 feet above sea level. While EPA is only requiring that
locomotives comply with emission standards when tested at altitudes up
to 4000 feet for purposes of certification and in-use liability, it is
requiring that manufacturers and remanufacturers submit evidence with
their certification applications, in the form of an engineering
analysis, that shows that their locomotives are designed to comply with
emission standards at altitudes up to 7000 feet. The Agency is
finalizing correction factors that will be used to account for the
effects of ambient temperature and humidity on NO<INF>X</INF> emission
rates.
    The Agency is establishing test fuel specifications for compliance
testing (certification, PLT and manufacturer/remanufacturer in-use
testing) which are generally consistent with test fuel specifications
for on-highway heavy-duty engine certification testing, including the
provisions that fuels other than those specified can be used under
certain circumstances. The only exception is for the fuel sulfur level.
In the case of the sulfur specification, EPA is specifying a lower
limit of 0.2 weight percent, and an upper limit of 0.4. These limits
are intended to approximate worst case in-use conditions; in those
cases where in-use locomotives are operated on low sulfur on-highway
fuel, particulate emissions entering the atmosphere can be expected to
be lower than levels measured when using the certification test fuel.
EPA is taking this approach because there is no reason to believe that
in-use locomotives will use only low sulfur on-highway fuel, especially
given the higher price of low sulfur diesel fuels, and the difficulty
of obtaining low sulfur diesel fuel in some areas of the country. Since
the railroad in-use testing program is intended to provide EPA
information regarding compliance with emission standards near the end,
and beyond, a locomotive's useful life, and the results of such in-use
testing would not by themselves be the basis for an EPA recall action,
EPA does not believe it is necessary to require simulation of worst-
case conditions in railroad in-use testing. For this reason, and given
the cost and inconvenience of using a specific fuel for in-use testing
by railroads, EPA is not establishing any fuel specifications for in-
use railroad testing, and will allow the railroad testing to be done
whatever fuel is in the locomotive's tank at the time of testing.
    The Agency recognizes that the potential exists for future
locomotives to include additional power notches, or even continuously
variable throttles, and is allowing alternate testing requirements for
such locomotives. Using the same procedures for such locomotives as are
specified for conventional locomotives would result in an emissions
measurement that does not accurately reflect their in-use emissions
performance because it would not be a reasonable representation of
their in-use operation. Thus, locomotives having additional notches are
required to be tested at each notch, and the mass emission rates for
the additional notches will be averaged with the nearest ``standard''
notch. Locomotives having continuously variable throttles will be
required to be tested at idle, dynamic brake, and 15

[[Page 18991]]

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

I. Railroad Requirements

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

J. Miscellaneous

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

[[Page 18992]]

component or element of design installed on or in a locomotive or
locomotive engine. Locomotive tampering provisions will help ensure
that in-use locomotives remain in certified configurations and continue
to comply with emission requirements. The Agency is applying the
existing policies developed for on-highway tampering to locomotives and
locomotive engines included in this rule.<SUP>4</SUP> In addition, EPA
considers knowingly failing to properly maintain a locomotive or
locomotive engine to be tampering, as was previously discussed in the
section on railroad requirements.
---------------------------------------------------------------------------

    \4\ See Office of Enforcement and General Counsel; Mobile Source
Enforcement Memorandum No. 1A, June 25, 1974 (public docket A-94-31,
item II-B-5). EPA is not revising Memorandum No. 1A in today's
action.
---------------------------------------------------------------------------

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

    \5\ Ibid.

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

[[Page 18993]]

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

K. Preemption

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

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

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

[[Page 18994]]

preemption. With limited state testing, it is not clear what impact
state testing would have on the design of new locomotives, or whether
it would constitute the kind of effect that would warrant preemption of
state testing, especially because manufacturers and remanufacturers
will already be basing their compliance on the federal standards and
test procedure. Therefore, since EPA cannot conclude that state testing
using the FTP would have an effect on locomotive design, EPA is not
including state testing programs using the FTP in the list of preempted
provisions. Although EPA is not aware at this time of any state's
intent to adopt locomotive testing requirements, EPA will monitor state
actions in this area. If it turns out that state emission testing
requirements identical to the FTP do in fact affect the design and
manufacture of new locomotives and engines such that preemption is

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

V. Public Participation

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

VI. Environmental Effects

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

[[Page 18995]]

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

    \8\ For information on the impacts of NO<INF>X</INF> emissions
see, ``Nitrogen Oxides: Impacts on Public Health and the
Environment,'' EPA 452/R-97-002, August 1997.
---------------------------------------------------------------------------

    The benefits analysis was performed in several steps. First, the
baseline locomotive fleet composition, emissions rates and total
inventory were determined. Second, future fleet composition was
projected, from which the emission factors for the fleet were
calculated for NO<INF>X</INF>, PM and HC. Future emission inventories
were then calculated by multiplying these emission factors by fuel
consumption to give total tons of emissions per year. Finally, those
controlled emission inventories were compared to the baseline fleet
emission inventories to arrive at mass NO<INF>X</INF>, PM and HC
emission reductions for the fleet. Table VI-1 contains a summary of
both the fleet percentage and mass reductions for NO<INF>X</INF>, PM
and HC. It should be noted that both the total emissions and the
projected reductions are larger than the corresponding numbers in the
proposal. This is because this final analysis includes small freight
and passenger railroads that were omitted in the draft analysis. While
EPA expects some emission reductions to occur in 2000 and 2001 under
today's action, Table VI-1 begins with 2002 because that is the first
year that the locomotive emission standards are fully phased in.

         Table VI-1.--Nationwide Emission Reductions of NO<INF>X, PM and HC Compared to 1995 Baseline Levels
                                    [Mass reduction in metric tons per year]
----------------------------------------------------------------------------------------------------------------
                                             NO<INF>X                        PM                         HC
                                 -------------------------------------------------------------------------------
              Year                  Percent        Mass        Percent        Mass        Percent        Mass
                                   reduction    reduction     reduction    reduction     reduction    reduction
----------------------------------------------------------------------------------------------------------------
2002............................           10      110,000           0.0            0           0.1           44
2005............................           28      304,000           3            928           3          1,430
2010............................           41      449,000          16          4,350          15          6,280
2020............................           49      538,000          28          7,640          26         11,020
2040............................           59      648,000          46         12,390          43         18,070
----------------------------------------------------------------------------------------------------------------

VII. Economic Impacts

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

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

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

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

VIII. Cost-effectiveness

    The costs for NO<INF>X</INF>, PM and HC reductions are difficult to
assign to a single pollutant due to the relationship between
NO<INF>X</INF>, PM and HC emission generation. Thus, costs presented
below are for all reductions. The following table (Table VIII-1)
summarizes the costs and emission benefits of today's action. Costs and
emission benefits were

[[Page 18996]]

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

                    Table VIII-1.--Cost-Effectiveness
------------------------------------------------------------------------
                                                               NO<INF>X + PM
                                                    NO<INF>X          +HC
------------------------------------------------------------------------
Total Emission Reduction (millions metric
 tons)........................................        20.05        20.76
Total Costs (million $).......................        3,273        3,273
Annual Emission Reduction (metric tons).......      489,087      506,271
Annual Costs (million $)......................        79.83        79.83
Cost Effectiveness ($/ton)....................          163          158
------------------------------------------------------------------------

IX. Administrative Designation and Regulatory Assessment
Requirements

A. Executive Order 12866

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

B. Regulatory Flexibility

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

C. Paperwork Reduction Act

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

[[Page 18997]]

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

D. Unfunded Mandates Reform Act

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

E. Submission to Congress and the General Accounting Office

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

X. Copies of Rulemaking Documents

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

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

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

XI. Judicial Review

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

List of Subjects

40 CFR Part 85

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

[[Page 18998]]

and recordkeeping requirements, Research, Warranties.

40 CFR Part 89

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

40 CFR Part 92

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

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

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

PART 85--[AMENDED]

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

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

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

Sec. 85.1602  Definitions.

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

Sec. 85.1603  Application of definitions; scope of preemption.

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

PART 89--[AMENDED]

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

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

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

Sec. 89.1  Applicability.

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

Sec. 89.2   [Amended]

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

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

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

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

Subpart B--Test Procedures

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

Subpart C--Certification Provisions

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

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

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

[[Page 18999]]

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

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

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

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

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

Subpart G--In-Use Testing Program

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

Subpart H--Recall Regulations

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

Subpart I--Importation of Nonconforming Locomotives and Locomotive
Engines

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

Subpart J--Exclusion and Exemption Provisions

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

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

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

Subpart L--General Enforcement Provisions and Prohibited Acts

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

Appendices to Part 92

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

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

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

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

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

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

Sec. 92.1  Applicability.

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

Sec. 92.2  Definitions.

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

[[Page 19000]]

horsepower, alternator/generator input horsepower does not include any
power used to circulate engine coolant, circulate engine lubricant, or
to supply fuel to the engine.
    Applicable standard means a standard to which a locomotive or
locomotive engine is subject; or, where a locomotive or locomotive
engine is certified another standard or FEL, applicable standard means
the other standard or FEL to which the locomotive or locomotive engine
is certified, as allowed by Sec. 92.8. This definition does not apply
to subpart D of this part.
    Auxiliary emission control device (AECD) means any element of
design which senses temperature, locomotive speed, engine RPM,
atmospheric pressure, manifold pressure or vacuum, or any other
parameter for the purpose of activating, modulating, delaying, or
deactivating the operation of any part of the emission control system
(including, but not limited to injection timing); or any other feature
that causes in-use emissions to be higher than those measured under
test conditions, except as allowed by this part.
    Auxiliary engine means a locomotive engine that provides hotel
power, but does not provide power to propel the locomotive.
    Auxiliary power means the power provided by the main propulsion
engine to operate accessories such as cooling fans.
    Averaging for locomotives and locomotive engines means the exchange
of emission credits among engine families within a given
manufacturer's, or remanufacturer's, product line.
    Banking means the retention of emission credits by a credit holder
for use in future calendar year averaging or trading as permitted by
the regulations in this part.
    Brake horsepower means the sum of the alternator/generator input
horsepower and the mechanical accessory horsepower, excluding any power
used to circulate engine coolant, circulate engine lubricant, or to
supply fuel to the engine.
    Calibration means the set of specifications, including tolerances,
unique to a particular design, version, or application of a component,
or components, or assembly capable of functionally describing its
operation over its working range. This definition does apply to subpart
B of this part.
    Class I freight railroad means a Class I railroad that primarily
transports freight rather than passengers.
    Class I railroad means a railroad that has been classified as a
Class I railroad by the Surface Transportation Board.
    Class II railroad means a railroad that has been classified as a
Class II railroad by the Surface Transportation Board.
    Class III railroad means a railroad that has been classified as a
Class III railroad by the Surface Transportation Board.
    Configuration means any subclassification of an engine family which
can be described on the basis of gross power, emission control system,
governed speed, injector size, engine calibration, and other parameters
as designated by the Administrator.
    Crankcase emissions means emissions to the atmosphere from any
portion of the crankcase ventilation or engine lubrication systems.
    Defeat device means an AECD or other control feature that reduces
the effectiveness of the emission control system under conditions which
may reasonably be expected to be encountered in normal locomotive
operation and use, unless the AECD or other control feature has been
identified by the certifying manufacturer or remanufacturer in the
application for certification, and:
    (1) Such conditions are substantially represented by the portion of
the federal test procedure during which the applicable emission rates
are measured;
    (2) The need for the AECD is justified in terms of protecting the
locomotive or locomotive engine against damage or accident; or
    (3) The AECD does not go beyond the requirements of engine
starting.
    Deterioration factor means the difference between exhaust emissions
at the end of useful life and exhaust emissions at the low mileage test
point expressed as either: the ratio of exhaust emissions at the end of
useful life to exhaust emissions at the low mileage test point (for
multiplicative deterioration factors); or the difference between
exhaust emissions at the end of useful life exhaust emissions at the
low mileage test point (for additive deterioration factors).
    Diesel fuel means any fuel suitable for use in diesel engines, and
which is commonly or commercially known or sold as diesel fuel.
    Emission control system means those devices, systems or elements of
design which control or reduce the emission of substances from an
engine. This includes, but is not limited to, mechanical and electronic
components and controls, and computer software.
    Emission credits represent the amount of emission reduction or
exceedance, by a locomotive engine family, below or above the emission
standard, respectively. Emission reductions below the standard are
considered as ``positive credits,'' while emission exceedances above
the standard are considered as ``negative credits.'' In addition,
``projected credits'' refer to emission credits based on the projected
applicable production/sales volume of the engine family. ``Reserved
credits'' are emission credits generated within a calendar year waiting
to be reported to EPA at the end of the calendar year. ``Actual
credits'' refer to emission credits based on actual applicable
production/sales volume as contained in the end-of-year reports
submitted to EPA.
    Emission-data engine means an engine which is tested for purposes
of emission certification or production line testing.
    Emission-data locomotive means a locomotive which is tested for
purposes of emission certification or production line testing.
    Emission-related defect means a defect in design, materials, or
workmanship in a device, system, or assembly described in the approved
Application for certification which affects any parameter or
specification enumerated in Appendix I of this part.
    Emission-related maintenance means that maintenance which
substantially affects emissions or which is likely to affect the
deterioration of the locomotive or engine with respect to emissions, as
described in an approved Application for certification.
    Engine family means a group of locomotive or locomotive engine
configurations which are expected to have similar emission
characteristics throughout the useful lives of the locomotives and
engines (see Sec. 92.204), and which are (or were) covered (or
requested to be covered) by a specific certificate of conformity.
    Engine used in a locomotive means an engine incorporated into a
locomotive or intended for incorporation into a locomotive.
    Engineering analysis means a summary of scientific and/or
engineering principles and facts that support a conclusion made by a
manufacturer or remanufacturer, with respect to compliance with the
provisions of this part.
    EPA Enforcement Officer means any officer or employee of the
Environmental Protection Agency so designated in writing by the
Administrator or his/her designee.
    Ethanol means a fuel that contains at least 50 percent ethanol
(ethyl alcohol, (C<INF>2</INF>H<INF>5</INF>OH)) by volume.
    Exhaust emissions means substances (i.e., gases and particles)
emitted to the atmosphere from any opening downstream from the exhaust
port or exhaust valve of a locomotive engine.

[[Page 19001]]

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

[[Page 19002]]

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

[[Page 19003]]

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

Sec. 92.3  Abbreviations.

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

ANSI--American National Standards Institute
API--American Petroleum Institute
ASTM--American Society for Testing and Materials
BHP--Brake horsepower
BSCO--Brake specific carbon monoxide
BSHC--Brake specific hydrocarbons
BSNO<INF>X</INF>--Brake specific oxides of nitrogen
 deg.C--Celsius
cfh--cubic feet per hour
cfm--cubic feet per minute
CFV--Critical flow venturi
CL--Chemiluminescence
CO--Carbon monoxide
CO<INF>2</INF>--Carbon dioxide
cu in--cubic inch(es)
CVS--Constant volume sampler
EP--End point
EPA--Environmental Protection Agency
 deg.F--Fahrenheit
FEL--Family emission limit
FID--Flame ionization detector
ft--foot or feet
g--gram(s)
gal--U.S. gallon
GC--Gas Chromatograph
h--hour(s)
H<INF>2</INF>O--water
HC--hydrocarbon
HFID--Heated flame ionization detector
Hg--Mercury
hp--horsepower
IBP--Initial boiling point
in--inch(es)
K--Kelvin
kg--kilogram(s)
km--kilometer(s)
kPa--kilopascal(s)
lb--pound(s)
LPG--Liquified Petroleum Gas
m--meter(s)
max--maximum
mg--milligram(s)
mi--mile(s)
min--minute
ml--milliliter(s)
mm--millimeter
mph--miles per hour
mv--millivolt(s)
N<INF>2</INF>--nitrogen
NDIR--Nondispersive infrared
NMHC--Non-methane hydrocarbons
NO--nitric oxide
NO<INF>2</INF>--nitrogen dioxide
NO<INF>X</INF>--oxides of nitrogen
No.--number
O<INF>2</INF>--oxygen
pct--percent
PM--particulate matter
ppm--parts per million by volume
ppmC--parts per million, carbon
psi--pounds per square inch
psig--pounds per square inch gauge
 deg.R--Rankin
rpm--revolutions per minute
s--second(s)
SAE--Society of Automotive Engineers
SI--International system of units (i.e., metric)
THCE--Total hydrocarbon equivalent
U.S.--United States
V--volt(s)
vs--versus
W--watt(s)
wt--weight

Sec. 92.4  Treatment of confidential information.

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

[[Page 19004]]

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

Sec. 92.5  Reference materials.

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

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

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

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

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

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

Sec. 92.6  Regulatory structure.

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

[[Page 19005]]

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

Sec. 92.7  General standards.

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

Sec. 92.8  Emission standards.

    (a) Exhaust standards. Exhaust emissions from locomotives and
locomotive engines, when measured in accordance with the provisions of
Subpart B of this part, shall comply with both the applicable line-haul
duty-cycle standards, and the applicable switch duty-cycle standards of
paragraph (a)(1) (and/or the standards of paragraphs (a)(3) and (a)(4)
of this section, as applicable) of this section, and the smoke
standards of paragraph (a)(2) of this section. Emissions that do not
exceed the standards comply with the standards.
    (1) Gaseous and particulate standards. Gaseous and particulate
emission standards are expressed as gram per brake horsepower hour (g/
bhp-hr). Non-methane hydrocarbon standards apply to locomotives and
locomotive engines fueled with natural gas, and any combination of
natural gas and other fuels where natural gas is the primary fuel;
total hydrocarbon equivalent standards apply to locomotives and
locomotive engines fueled with an alcohol, and any combination of
alcohol and other fuels where alcohol is the primary fuel. Total
hydrocarbon standards apply to all other locomotives and locomotive
engines; that is, those not fueled by natural gas or alcohol. The line-
haul duty-cycle standards and switch duty-cycle standards apply to the
respective cycle-weighted emission rates as calculated in subpart B of
this part.
    (i) Tier 0. The following locomotives (and the engines used in the
following locomotives) are subject to the Tier 0 emission standards
listed in Table A8-1 of this section: Locomotives manufactured on, or
after, January 1, 1973, and before January 1, 2002; and upgraded
locomotives manufactured prior to January 1, 1973. The standards apply
when such a locomotive or locomotive engine is manufactured,
remanufactured, or imported on or after January 1, 2002; except where
the locomotive was previously certified to one or more FELs under
subpart D of this part instead of the applicable standards, in which
case, the applicable standards are replaced at each subsequent
remanufacture by the FELs specified by the previous certificate.
Example: a locomotive that is certified to a NO<INF>X</INF> FEL of 8.0
g/bhp-hr must be recertified to a NO<INF>X</INF> FEL of 8.0 g/bhp-hr at
each subsequent remanufacture, except as allowed by paragraph
(a)(4)(iii) of this section.
    (ii) Tier 1. Locomotives and engines used in locomotives
manufactured on, or after, January 1, 2002, and before January 1, 2005
are subject to the Tier 1 standards listed in Table A8-2 of this
section. The standards apply when such a locomotive or locomotive
engine is manufactured or imported, and each time it is remanufactured;
except where the locomotive was previously certified to one or more
FELs under subpart D of this part instead of the applicable standard,
in which case, the standards are replaced at each subsequent
remanufacture by the FELs specified by the previous certificate.
    (iii) Tier 2. Locomotives and engines used in locomotives
manufactured on, or after, January 1, 2005 are subject to the Tier 2
standards listed in Table A8-3 of this section. The standards apply
when such a locomotive or locomotive engine is manufactured or
imported, and each time it is remanufactured except where the
locomotive was previously certified to one or more FELs under subpart D
of this part instead of the applicable standard, in which case, the
standards are replaced at each subsequent remanufacture by the FELs
specified by the previous certificate.
    (2) Smoke standards. The smoke opacity standards listed in Table
A8-4 of this section apply, as specified in the table, to locomotives
and locomotive engines subject to the Tier 0, Tier 1, or Tier 2
standards. Smoke emissions, when measured in accordance with the
provisions of Subpart B of this part, shall not exceed the standards of
Table A8-4 of this section.
    (3) Alternate standards. In lieu of the CO and PM standards
specified in paragraph (a)(1) of this section, manufacturers and
remanufacturers may elect to comply with the alternate CO and PM
standards listed in Table A8-5 of this section. Manufacturers and
remanufacturers electing to comply with these alternate standards must
comply with both the CO and PM standards listed in Table A8-5 of this
section.
    (4) Averaging, banking and trading. (i) In lieu of the
NO<INF>X</INF> and/or PM standards specified in paragraph (a)(1) of
this section, manufacturers and remanufacturers may elect to include
engine families in the averaging, banking, and trading program, the
provisions of which are specified in subpart D of this part. The
manufacturer or remanufacturer must set family emission limits (FEL)
for the applicable duty-cycle. This FEL serves as the standard for that
family.
    (ii) When a locomotive is certified to an FEL other than the
applicable standard, it must be recertified to that same FEL at all
subsequent remanufactures, except as specified otherwise in paragraph
(a)(4)(iii) of this section.
    (iii) After a locomotive has been certified to any given FEL other
than the applicable standard, it may be recertified to a different FEL
at a subsequent remanufacture, as allowed by subpart D of this part.
For subsequent remanufactures (i.e. those remanufactures that occur
after the recertification to a different FEL), the

[[Page 19006]]

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

                      Table A8-1.--Tier 0 Standards
                               [g/bhp-hr]
------------------------------------------------------------------------
                                                   Line-haul
                                                   \1\ cycle    Switch
                                                   standard      cycle
                                                               standard
------------------------------------------------------------------------
NO<INF>X.............................................         9.5        14.0
PM..............................................        0.60        0.72
CO..............................................         5.0         8.0
THC.............................................        1.00        2.10
NMHC............................................        1.00        2.10
THCE............................................        1.00       2.10
------------------------------------------------------------------------
\1\ Line-haul standards do not apply to Tier 0 switch locomotives.

                      Table A8-2.--Tier 1 Standards
                               [g/bhp-hr]
------------------------------------------------------------------------
                                                   Line-haul    Switch
                                                     cycle       cycle
                                                   standard    standard
------------------------------------------------------------------------
NO<INF>X.............................................         7.4        11.0
PM..............................................        0.45        0.54
CO..............................................         2.2         2.5
THC.............................................        0.55        1.20
NMHC............................................        0.55        1.20
THCE............................................        0.55        1.20
------------------------------------------------------------------------

                      Table A8-3.--Tier 2 Standards
                               [g/bhp-hr]
------------------------------------------------------------------------
                                                   Line-haul    Switch
                                                     cycle       cycle
                                                   standard    standard
------------------------------------------------------------------------
NO<INF>X.............................................         5.5         8.1
PM..............................................        0.20        0.24
CO..............................................         1.5         2.4
THC.............................................        0.30        0.60
NMHC............................................        0.30        0.60
THCE............................................        0.30        0.60
------------------------------------------------------------------------

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

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

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

Notch standard=(E<INF>x</INF>) x (1.1+(1-E<INF>LHx</INF>/std))

Where:

E<INF>x</INF>=The deteriorated brake-specific emission rate (for
pollutant x) for the notch (i.e., the brake-specific emission rate
calculated under subpart B of this part, multplied by the
deterioration factor in the application for certification expressed
as a multiplicative deterioration factor); where x is
NO<INF>X</INF>, HC (or NMHC or THCE, as applicable), CO or PM.
E<INF>LHx</INF>=The deteriorated line-haul duty-cycle weighted
brake-specific emission rate for pollutant x, as reported in the
application for certification.
std=The applicable line-haul duty-cycle standard, or the certified
line-haul duty-cycle FEL for locomotives or locomotive engines
participating in the averaging, banking and trading program for NOx
or PM.

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

Sec. 92.9  Compliance with emission standards.

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

[[Page 19007]]

manufacturer or remanufacturer before a certificate of conformity may
be issued under Sec. 92.208.
    (A) Manufacturers shall demonstrate compliance using emission data,
measured using the procedures specified in subpart B of this part, from
a low mileage locomotive, or a development engine (that is equivalent
in design to the locomotive engines being certified), or another low
hour engine.
    (B) Remanufacturers shall demonstrate compliance using emission
data, measured using the procedures specified in subpart B of this
part, from a low mileage remanufactured locomotive, or a development
engine (that is equivalent in design to the locomotive engines being
certified), or another low hour remanufactured engine that was
remanufactured in the manner specified in the application for
certification.
    (ii) The emission values to compare with the standards shall be the
emission values of a low mileage locomotive, or development engine, or
low hour locomotive engine, adjusted by the deterioration factors
developed in accordance with the provisions of paragraph (b)(2) of this
section. Before any emission value is compared with the standard, it
shall be rounded, in accordance with ASTM E 29-93a (incorporated by
reference at Sec. 92.5), to the same number of significant figures as
contained in the applicable standard.
    (2) Exhaust emission deterioration factors shall be determined by
the certifying manufacturer or remanufacturer for each engine family.
The manufacturer's or remanufacturer's determination is subject to the
requirements of paragraph (b)(2)(iv) of this section. The deterioration
factor relates emissions from low mileage or low hour data to emissions
at the end of useful life. If certification data is obtained from a
development engine, and the emissions performance of that engine is
significantly different from a typical low hour engine, then the
deterioration factors may be adjusted for the purpose of certification.
    (i) A separate exhaust emission deterioration factor shall be
established, as required, for compliance with applicable emission
standards for HC, THCE, NMHC, CO, NO<INF>X</INF>, particulate and smoke
for each engine family.
    (ii)(A) For locomotives or locomotive engines not utilizing
aftertreatment technology (e.g., catalyst). For HC, THCE, NMHC, CO,
NO<INF>X</INF>, and PM, additive deterioration factors shall be used;
that is, a deterioration factor that when added to the low mileage
emission rate equals the emission rate at the end of useful life.
However, if the deterioration factor supplied by the manufacturer or
remanufacturer is less than zero, it shall be zero for the purposes of
this section.
    (B) For locomotives or locomotive engines utilizing aftertreatment
technology (e.g., catalyst). For HC, THCE, NMHC, CO, NO<INF>X</INF>,
and PM, Multiplicative deterioration factors shall be used; that is
deterioration factors that when multiplied by the low mileage emission
rate equal the emission rate at the end of useful life. However, if the
deterioration factor supplied by the manufacturer or remanufacturer is
less than one, it shall be one for the purposes of this paragraph (b).
    (C) For all locomotives and locomotive engines. For smoke, additive
deterioration factors shall be used. However, if the deterioration
factor supplied by the manufacturer or remanufacturer is less than
zero, it shall be zero for the purposes of this paragraph (b).
    (iii) In the case of a multiplicative exhaust emission
deterioration factor, the factor shall be rounded to three places to
the right of the decimal point in accordance with ASTM E 29-93a
(incorporated by reference at Sec. 92.5). In the case of an additive
exhaust emission deterioration factor, the factor shall be established
to a minimum of two places to the right of the decimal in accordance
with ASTM E 29-93a (incorporated by reference at Sec. 92.5).
    (iv) Every deterioration factor must be, in the Administrator's
judgement, consistent with emissions increases observed in-use based on
emission testing of similar locomotives or locomotive engines.
Deterioration factors that predict emission increases over the useful
life of a locomotive or locomotive engine that are significantly less
than the emission increases over the useful life observed from in-use
testing of similar locomotives or locomotive engines shall not be used.

Sec. 92.10  Warranty period.

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

Sec. 92.11  Compliance with emission standards in extraordinary
circumstances.

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

[[Page 19008]]

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

Sec. 92.12  Interim provisions.

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

[[Page 19009]]

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

Notch standard=(E<INF>X</INF>) x (1.2+(1-E<INF>LHx</INF>/std)).

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

Subpart B--Test Procedures

Sec. 92.101  Applicability.

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

Sec. 92.102  Definitions and abbreviations.

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

[[Page 19010]]

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

Sec. 92.103  Test procedures; overview.

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

Sec. 92.104  Locomotive and engine testing; overview.

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

Sec. 92.105  General equipment specifications.

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

[[Page 19011]]

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

Sec. 92.106  Equipment for loading the engine.

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

Sec. 92.107  Fuel flow measurement.

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

[[Page 19012]]

Sec. 92.108  Intake and cooling air measurements.

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

Sec. 92.109  Analyzer specifications.

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

[[Page 19013]]

    (3) Alcohols and Aldehydes. The sampling and analysis procedures
for alcohols and aldehydes, where applicable, shall be approved by the
Administrator prior to the start of testing. Procedures consistent with
the general requirements of 40 CFR Part 86 for sampling and analysis of
alcohols and aldehydes emitted by on-highway alcohol-fueled engines,
and consistent with good engineering practice are allowed.
    (4) Other methods of measuring organics that are shown to yield
equivalent results can be used upon approval of the Administrator prior
to the start of testing.
    (d) Oxides of nitrogen analyzer specifications. (1) Oxides of
nitrogen are to be measured with a chemiluminescence (CL) analyzer.
    (i) The NO<INF>X</INF> sample must be heated per Sec. 92.114 up to
the NO<INF>2</INF> to NO converter.
    (ii) For high vacuum CL analyzers with heated capillary modules,
supplying a heated sample to the capillary module is sufficient.
    (iii) The NO<INF>2</INF> to NO converter efficiency shall be at
least 90 percent.
    (iv) The CO<INF>2</INF> quench interference must be less than 3.0
percent as measured in Sec. 92.121(a).

Sec. 92.110  Weighing chamber and micro-balance.

    (a) Ambient conditions.--(1) Temperature. The temperature of the
chamber (or room) in which the particulate filters are conditioned and
weighed shall be maintained at a measured temperature between 19 deg.C
and 25 deg.C during all filter conditioning and weighing.
    (2) Humidity. The relative humidity of the chamber (or room) in
which the particulate filters are conditioned and weighed shall be
45<plus-minus>8 percent during all filter conditioning and weighing.
The dew point shall be 6.4 to 12.4 deg.C.
    (b) Weighing balance specifications. The microbalance used to
determine the weights of all filters shall have a precision (standard
deviation) of no more than 20 micrograms and readability down to 10
micrograms or lower.
    (c) Reference filters. The chamber (or room) environment shall be
free of any ambient contaminants (such as dust) that would settle on
the particulate filters during their stabilization. It is required that
at least two unused reference filters remain in the weighing room at
all times in covered (to reduce dust contamination) but unsealed (to
permit humidity exchange) petri dishes.
    (1) These reference filters shall be placed in the same general
area as the sample filters. These reference filters shall be weighed
within 4 hours of, but preferably at the same time as, the sample
filter weighings.
    (2) If the average weight of the reference filters changes between
sample filter weighings by <plus-minus>5.0 percent (<plus-minus>7.5 if
the filters are weighed in pairs) or more of the target nominal filter
loading (the recommended nominal loading is 0.5 milligrams per 1075
square millimeters of stain area), then all sample filters in the
process of stabilization shall be discarded and the emissions tests
repeated.
    (3) If the average weight of the reference filters decreases
between sample filter weighings by more than 1.0 percent but less than
5.0 percent of the nominal filter loading then the manufacturer or
remanufacturer has the option of either repeating the emissions test or
adding the average amount of weight loss to the net weight of the
sample.
    (4) If the average weight of the reference filters increases
between sample filter weighing by more than 1.0 percent but less than
5.0 percent of the nominal filter loading, then the manufacturer or
remanufacturer has the option of either repeating the emissions test or
accepting the measured sample filter weight values.
    (5) If the average weight of the reference filters changes between
sample filter weighings by not more than <plus-minus>1.0 percent, then
the measured sample filter weights shall be used.
    (6) The reference filters shall be changed at least once a month,
but never between clean and used weighings of a given sample filter.
More than one set of reference filters may be used. The reference
filters shall be the same size and material as the sample filters.

Sec. 92.111  Smoke measurement system.

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

BILLING CODE 6560-50-P

[[Page 19014]]

[GRAPHIC] [TIFF OMITTED] TR16AP98.000

BILLING CODE 6560-50-C

[[Page 19015]]

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

Sec. 92.112  Analytical gases.

    (a) Gases for the CO and CO<INF>2</INF> analyzers shall be single
blends of CO and CO<INF>2</INF>, respectively, using zero grade
nitrogen as the diluent.
    (b) Gases for the hydrocarbon analyzer shall be single blends of
propane using zero grade air as the diluent.
    (c) Gases for the methane analyzer shall be single blends of
methane using air as the diluent.
    (d) Gases for the NO<INF>X</INF> analyzer shall be single blends of
NO named as NO<INF>X</INF> with a maximum NO<INF>2</INF> concentration
of 5 percent of the nominal value using zero grade nitrogen as the
diluent.
    (e) Fuel for the HFID (or FID, as applicable) and the methane
analyzer shall be a blend of 40<plus-minus>2 percent hydrogen with the
balance being helium. The mixture shall contain less than 1 ppm
equivalent carbon response; 98 to 100 percent hydrogen fuel may be used
with advance approval of the Administrator.
    (f) Hydrocarbon analyzer burner air. The concentration of oxygen
must be within 1 mole percent of the oxygen concentration of the burner
air used in the latest oxygen interference check (%O<INF>2</INF>I). If
the difference in oxygen concentration is greater than 1 mole percent,
then the oxygen interference must be checked and the analyzer adjusted
if necessary, to meet the %O<INF>2</INF>I requirements. The burner air
must contain less than 2 ppmC hydrocarbon.
    (g) The allowable zero gas (air or nitrogen) impurity
concentrations shall not exceed 1 ppm equivalent carbon response, 1 ppm
carbon monoxide, 0.04

[[Page 19016]]

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

Sec. 92.113  Fuel specifications.

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

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

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

[[Page 19017]]

                              Table B113-2
------------------------------------------------------------------------
                                                    ASTM test
               Item                  Mole pct.     method No.     Value
------------------------------------------------------------------------
Methane..........................  Min.........  D1945.........     89.0
Ethane...........................  Max.........  D1945.........      4.5
C<INF>3 and higher....................  Max.........  D1945.........      2.3
C<INF>6 and higher....................  Max.........  D1945.........      0.2
Oxygen...........................  Max.........  D1945.........      0.6
Inert gases: Sum of CO<INF>2 and N<INF>2--   Max.........  D1945.........     4.0
 Odorant \1\.
------------------------------------------------------------------------
\1\ The natural gas at ambient conditions must have a distinctive odor
  potent enough for its presence to be detected down to a concentration
  in air of not over \1/5\ (one-fifth) of the lower limit of
  flammability.

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

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

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

[[Page 19018]]

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

[[Page 19019]]

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

[[Page 19020]]

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

[[Page 19021]]

Figures to Sec. 92.114
[GRAPHIC] [TIFF OMITTED] TR16AP98.001

[[Page 19022]]

[GRAPHIC] [TIFF OMITTED] TR16AP98.002

[[Page 19023]]

[GRAPHIC] [TIFF OMITTED] TR16AP98.003

[[Page 19024]]

[GRAPHIC] [TIFF OMITTED] TR16AP98.004

BILLING CODE 6560-50-C

[[Page 19025]]

Sec. 92.115  Calibrations; frequency and overview.

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

Sec. 92.116  Engine output measurement system calibrations.

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

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

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

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

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

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

Sec. 92.118  Analyzer checks and calibrations.

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

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