18978 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

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.

SUMMARY: EPA is promulgating emission

standards and associated regulatory

requirements for the control of

emissions from locomotives and

locomotive engines as required by the

Clean Air Act section 213(a)(5). The

primary focus of this rule is the

reduction of emissions of oxides of

nitrogen (NOX). The standards will take

effect in 2000 and will ultimately result

in a more than 60 percent reduction in

NOX from locomotives. NOX is a

precursor to the formation of ground

level ozone, which causes health

problems such as damage to lung tissue,

reduction of lung function, and

sensitization of lungs to other irritants,

as well as damage to terrestrial and

aquatic ecosystems. EPA is also

promulgating standards for emissions of

hydrocarbons (HC), carbon monoxide

(CO), particulate matter (PM), and

smoke. The overall cost-effectiveness of

today’s emissions standards is 158

dollars per ton of NOX, PM and HC

reduced. Today’s rule also includes a

variety of provisions to implement the

standards and to ensure that the

standards are met in-use. These

provisions include certification test

procedures, and assembly line and inuse 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 §§ 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:

Category Examples of regulated

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
Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations 18979

1EPA, 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.

2The 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.

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 enforcementrelated prohibitions, including a

prohibition against introducing a new

vehicle or engine that is not covered by

a valid certificate of conformity into

commerce, a prohibition against

tampering, and a prohibition on

importing a vehicle or engine into the

United States without a valid,

applicable certificate of conformity. In

addition, EPA is promulgating emission

defect regulations that require

manufacturers to report to EPA

emissions-related defects that affect a

given class or category of locomotives or

locomotive engines.

EPA is also promulgating regulations

to clarify the scope of the Act’s

preemption of state regulation. Section

209(e) prohibits states from adopting

and enforcing standards and other

requirements relating to the control of

emissions from new locomotives and

new engines used in locomotives. This

provision also grants EPA authority to

adopt regulations to implement section

209(e). Pursuant to this authority, EPA

is promulgating regulations to

implement the express preemption of

state emissions standards for new

locomotives and new engines used in

locomotives, for the purpose of

clarifying the scope of preemption for

states and industry.1

IV. Description of Action

This section contains a description of

each provision of today’s rule. This rule

contains emission standards not only for

locomotives originally manufactured

after the effective date of the standards,

but also for existing locomotives

originally manufactured after 1972,

when remanufactured after the

applicable effective date of today’s

action. Today EPA is adopting the first

national emission regulations applicable

to locomotives. In addition to emission

standards, this rule contains a variety of

compliance and enforcement

provisions, as well as regulations

concerning the preemption of certain

state and local controls over

locomotives. Each of these items is

discussed in detail in this section and

in the Summary and Analysis of

Comments document (SAC)

accompanying this rule. For complete

information on the new program

requirements the reader is referred to

the accompanying regulations appearing

at the end of today’s document. The

reader is also referred to the complete

Title 40 , parts 85 and 89 of the Code

of Federal Regulations, which this

rulemaking amends.2
18980 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

A. Applicability

Section 213(a)(5) of the Act specified

that EPA establish emission standards

for ‘‘new locomotives and new engines

used in locomotives.’’ Thus, the general

applicability of this action is

determined by the definition of ‘‘new

locomotive’’ and ‘‘new locomotive

engine’’. The Act does not define ‘‘new

locomotive’’ or ‘‘new locomotive

engine.’’ EPA is today exercising its

discretion to interpret the terms in the

Act that Congress did not expressly

define, and is adopting a regulatory

definition of ‘‘new locomotive’’ and

‘‘new locomotive engine’’ consistent

with the Act’s definition of ‘‘new motor

vehicle’’ and with EPA’s previously

adopted definition of ‘‘new’’ for other

nonroad vehicles and engines. EPA is

defining ‘‘new locomotive’’ and ‘‘new

locomotive engine’’ to mean a

locomotive or locomotive engine the

equitable or legal title to which has

never been transferred to an ultimate

purchaser; and a locomotive or

locomotive engine that has been

remanufactured, until it is placed back

into service. Where the equitable or

legal title to a locomotive or locomotive

engine is not transferred before the

engine or vehicle is placed into service,

then the locomotive or locomotive

engine will be new until it is placed into

service. EPA is also defining imported

locomotives and locomotive engines to

be new unless they are covered by a

certificate of conformity at the time of

importation. Finally, EPA is limiting the

applicability of the definition of new

locomotive and new locomotive engine

to locomotives and locomotive engines

originally manufactured after 1972. As

is described in the RSD, the

applicability is limited in this manner to

eliminate the unwarranted burden of

bringing very old locomotives into

compliance.

The definition of ‘‘new locomotive’’

and ‘‘new locomotive engine’’ is

consistent with, but not identical to, the

definition of ‘‘new nonroad engine’’ and

‘‘new nonroad vehicle’’ that EPA

promulgated on July 20, 1994 (59 FR

36969), and revised on October 24, 1996

(61 FR 52102). The definition of ‘‘new

nonroad engine’’ includes only freshly

manufactured engines, while today’s

definition of ‘‘new locomotive’’ and

‘‘new locomotive engine’’ includes both

freshly manufactured and

remanufactured locomotives and

engines, for the reasons described

below.

The Agency is defining

‘‘remanufacture’’ of a locomotive as a

process in which all of the power

assemblies of a locomotive engine are

replaced with freshly manufactured

(containing no previously used parts) or

refurbished power assemblies, or are

inspected and qualified. Inspecting and

qualifying previously used parts can be

done in several ways, including such

things as cleaning, measuring physical

dimensions for proper size and

tolerance, and running performance

tests to assure that the parts are

functioning properly and according to

specifications. The refurbished power

assemblies could include some

combination of freshly manufactured

parts, reconditioned parts from other

previously used power assemblies, and

reconditioned parts from the power

assemblies that were replaced. In cases

where all of the power assemblies are

not replaced at a single time, a

locomotive will be considered to be

‘‘remanufactured’’ (and therefore

‘‘new’’) if all of the power assemblies

from the previously new engine had

been replaced within a five year period.

EPA’s determination that

remanufactured locomotives and

engines are new is based on the

remanufacturing practices of Class I

railroads, which use more than 90

percent of the fuel used in the current

locomotive fleet, and thus create more

than 90 percent of total locomotive fleet

emissions. EPA is exempting from the

definition of ‘‘new locomotive’’ and

‘‘new locomotive engine’’

remanufactured locomotives and

engines owned and operated by small

railroads (as defined by the Small

Business Administration), pursuant to

the Agency’s authority to adopt de

minimis exemptions from statutory

requirements where the benefit of

regulation is trivial or nonexistent.

Alabama Power v. EPA, 636 F.2d. 323

(D.C.Cir. 1979).

EPA believes that the emissions

impacts of this exemption are trivial,

because the emissions from small

railroad-owned and operated post-1972

locomotives and engines that are in fact

remanufactured are trivial. EPA’s

analysis in the RSD demonstrates that

the total NOX emissions benefit that

could be achieved from requiring such

locomotives and engines to meet Tier 0

standards when remanufactured

constitutes less than one percent of the

total NOX emissions inventory from the

locomotive fleet. Because these

locomotives and engines will not be

considered new when remanufactured,

the preemption provision adopted today

does not apply to them at the time of

remanufacture. Many small railroads do

not actually remanufacture their

locomotives and engine, as defined by

the regulations adopted today, but

instead rebuild them periodically in a

manner that does not result in a new

locomotive or engine. While

remanufacturing practices are generally

consistent among Class I railroads, there

is a wide variety of practices among

non-Class I railroads. For example, nonClass 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.
Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations 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 dutycycle 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]

Throttle notch

Line-haul

(high

power)

Switch

(low

power)

Idle ........................ 38.0 59.8

Dynamic brake ...... 12.5 0.0

1 ............................ 6.5 12.4

2 ............................ 6.5 12.3

3 ............................ 5.2 5.8

4 ............................ 4.4 3.6

5 ............................ 3.8 3.6

6 ............................ 3.9 1.5

7 ............................ 3.0 0.2

8 ............................ 16.2 0.8

C.2. Emission Standards

As proposed, today’s rule contains

three sets of exhaust gaseous and

particulate emission standards for

locomotives (Tier 0, Tier 1 and Tier 2),

with the applicability of each dependent

on the date of original manufacture of a

locomotive, as discussed in the previous

section on timing. Standards are

included for NOX, PM, HC, CO and

smoke. EPA is not finalizing the

proposed aldehydes standards for

alcohol locomotives because aldehydes

are specifically measured, and thus

regulated, in the context of the THCE

standards. Each set of standards

includes requirements that locomotives

comply with duty-cycle standards when

using notch weighting factors

representative of operation in both linehaul and switch duty-cycles. In general,

locomotives covered by these standards

must meet both sets of duty-cycle
18982 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

2 In the event that EPA receives and grants a

petition for reconsideration of the Tier 2 NOX

emission standard, the Agency will begin to work

on development of options for the federal backstop

of the South Coast Locomotive Fleet Average

Agreement discussed in footnote 1.

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 linehaul operations, and because of the

potential difficulty in bringing such

locomotives into compliance with the

line-haul duty-cycle standards. EPA

requested comment on this provision

based on its applicability to switch

locomotives rated at or under 2000 hp,

but is revising the hp rating based on

new information that a significant

number of existing switch locomotives

are between 2000 and 2300 hp. No

individual certification throttle notch

standards are being promulgated,

although in-use notch standards based

on notch emission levels measured at

certification are included, as discussed

in the later section on defeat devices.

The standards are summarized in Table

IV–2. In addition to the exhaust

emission standards, there are smoke

opacity standards for all locomotives

and locomotive engines covered by

today’s action. These standards are

shown in Table IV–3.

TABLE IV–2.—EXHAUST EMISSION STANDARDS FOR LOCOMOTIVES 1

Tier and duty-cycle

Gaseous and particulate emissions (g/bhp-hr)

HC2 CO NOX PM

Tier 0 line-haul duty-cycle ................................................................................................................ 1.00 5.0 9.5 0.60

Tier 0 switch duty-cycle .................................................................................................................... 2.10 8.0 14.0 0.72

Tier 1 line-haul duty-cycle ................................................................................................................ 0.55 2.2 7.4 0.45

Tier 1 switch duty-cycle .................................................................................................................... 1.20 2.5 11.0 0.54

Tier 2 line-haul duty-cycle ................................................................................................................ 0.30 1.5 5.5 0.20

Tier 2 switch duty-cycle .................................................................................................................... 0.60 2.4 8.1 0.24

1For the applicability of these standards by locomotive model year see the discussion on timing.

2 HC standards are in the form of THC for diesel, bio-diesel, or any combination of fuels with diesel as the primary fuel; NMHC for natural gas,

or any combination of fuels where natural gas is the primary fuel; and THCE for alcohol, or any combination of fuels where alcohol is the primary

fuel.

TABLE IV–3.—SMOKE STANDARDS FOR LOCOMOTIVES

[Percent Opacity—Normalized]

Steady-state 30-sec peak 3-sec peak

Tier 0 ............................................................................................................................................ 30 40 50

Tier 1 ............................................................................................................................................ 25 40 50

Tier 2 ............................................................................................................................................ 20 40 50

As described in this notice, and in the

Regulatory Support Document (RSD),

EPA has determined that the Tier 2

emissions standards for new

locomotives and new engines used in

locomotives achieve the greatest degree

of emissions reductions achievable

through the use of technology that EPA

has determined will be available for

application in 2005, taking into

consideration cost and other factors.

Comments from engine manufacturers

expressed strong concern about the

technology forcing nature of the

standards and about their ability to

identify, develop, and apply the

technologies that will be needed to

locomotive engines by 2005. EPA’s

detailed response to the engine

manufacturers’ comments can be found

in the SAC for this rule.

EPA is confident that manufacturers

will be able to comply with the Tier 2

standards in a cost-effective manner by

2005, but recognizes that these are

technology forcing standards which will

require significant effort to achieve. The

technology that the manufacturers are

likely to use to achieve the 2005

standards is not being used on

locomotives being manufactured today,

but is being applied to various degrees

on other compression-ignition engine

transportation sources. Between the date

of the promulgation of this rule and

2005, EPA expects that manufacturers

will make a strong comprehensive effort

to comply with the 2005 and later

model year emission standards and later

provisions. Nonetheless, as with all

technology forcing standards, there is

some uncertainty in predicting the

successful development and application

of the expected emission control

technologies. EPA recognizes that

industry experience over the next seven

years will demonstrate whether EPA’s

technical projections are accurate and

valid. If, with the full investment of

resources expected, the data developed

by the manufacturers indicates that the

standards or some portions of them will

not be achievable, then as is the case for

all rules, the manufacturer(s) may

petition the Administrator to reconsider

the Tier 2 standards, or any other aspect

of this rulemaking.2 In responding to

any such petition, EPA will conduct an

in-depth review of all test data and

information presented by the petitioner

or otherwise obtained by EPA, and will

decide on the basis of that information

whether the Agency believes it is

appropriate to reconsider the Tier 2

standards.

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

cycle

Switch

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
18984 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

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, inuse testing will be done on locomotives,

rather than engines. In-use

nonconformities will be determined

based on such locomotive testing.

Manufacturers of repowering engines

certified according to the provisions of

40 CFR Part 92 will be allowed to

petition EPA for a shorter useful life

than the minimum useful life value of

7.5 megawatt-hours per horsepower

(MW-hr/hp) discussed in the next

section.

In addition to the repowering

provisions just discussed, EPA is

allowing locomotive manufacturers to

use a small number of engines certified

to the standards in 40 CFR Part 89 in

freshly manufactured switch

locomotives. The purpose of this

provision is to reduce the certification

burden associated with the occasional

locomotive manufacturer practice of

building very small numbers of switch

locomotives using nonroad engines not

normally used in locomotives. For a

given locomotive manufacturer, this

provision will be limited to 15

locomotives over any three year period.

This limit will apply to the locomotive

manufacturer, rather than the engine

manufacturer, in cases where the engine

manufacturer and locomotive

manufacturer are different. Engines sold

by an engine manufacturer for use in

freshly manufactured locomotives under

this provision will not be included in

the sales limit for engines used for the

repowering of existing locomotives

discussed previously.

EPA is providing an exemption from

the Tier 0 requirements in 40 CFR Part

92 for existing nonroad engines (i.e.,

engines which would likely have fallen

under the exemption for repowers

previously discussed if they were

freshly manufactured) provided they

use Tier 0 compliance kits which are

certified on engines using the 40 CFR

Part 89 test protocols. Such retrofit kits

will be required under this exemption to

demonstrate a NOX reduction of 40

percent from baseline levels to be

considered to have met the Tier 0

requirements. This 40 percent reduction

is intended as a conservative approach

to address uncertainties associated with

a lack of data correlating the 40 CFR

Part 89 and Part 92 test procedures, and

will assure that, given the differences in

engine operating test points between the

locomotive test procedures and those

contained in 40 CFR Part 89, these Tier

0 locomotives will have emission

reductions at least as great as Tier 0

locomotives certified according to the

locomotive compliance provisions

contained in this rule. Alternately, such

existing ‘‘nonroad’’ engines can be

exempted from the Tier 0 requirements

in 40 CFR Part 92 provided they are

remanufactured into a configuration

previously certified according to 40 CFR

Part 89.

E. Useful Life

A locomotive or locomotive engine

covered by the standards contained in

this action will be required to comply

with the standards throughout its useful

life. The minimum, or default, useful

life period for all locomotives certified

in compliance with the standards is, in

MW-hrs, 7.5 times the rated

horsepower, or ten years, whichever

occurs first. For Tier 0 locomotives not

equipped with MW-hr meters, the

minimum useful life value is 750,000

miles or 10 years, whichever occurs

first. The minimum useful life value is

intended to represent the expected

median remanufacture interval for the

Class I railroad locomotive fleet during

the early part of the next century.

Information supporting these useful life

values can be found in the RSD. Since

it is expected that future locomotives

may well be designed to be operated

significantly beyond the minimum

useful life values, manufacturers and

remanufacturers will be required to

specify a longer useful life where

appropriate. In general, EPA expects

that a locomotive model’s useful life be

at least as long as its median

remanufacture interval, and will require

manufacturers and remanufacturers to

specify a longer useful life if EPA

believes that the median remanufacture

interval will be, in practice, longer than

the manufacturer’s or remanufacturer’s

specified useful life. However, EPA

would take into account special cases

where a railroad is operating

locomotives beyond their legitimate

design life, as evidenced by significant

increases in fuel consumption and/or

decreases in reliability or power output

before the locomotives are

remanufactured.

F. Averaging, Banking and Trading

Today’s action includes an emissions

averaging, banking and trading (ABT)

program. This voluntary program allows

the certification of one or more

locomotive engine families within a

given manufacturer’s or

remanufacturer’s product line at levels

above the emission standards, provided

the increased emissions are offset by

one or more families certified below the

emission standards, such that the

average of all emissions for a particular

manufacturer’s or remanufacturer’s fleet

of new locomotives and new locomotive

engines (weighted by horsepower,

production volume and estimated

remaining service life) is at or below the

level of the emission standards. In

addition to the averaging program just

described, the ABT program contains a

banking and trading provision which

allows a manufacturer or

remanufacturer to generate emission

credits and bank them for future use in

its own averaging program or sell them

to another entity. The ABT program is

limited to NOX and PM emissions, and

compliance is determined on a total

mass emissions basis to account for

differences in the production volume,

horsepower and expected remaining

service life of different locomotives, and

to ensure credits have equivalent values.

When a manufacturer or a

remanufacturer uses ABT, it will be

required to certify each participating

engine family to a family emission limit

(FEL) which is determined by the

manufacturer or remanufacturer during

certification testing. Further, every

configuration within that engine family

must also comply with the FEL for that

family. A separate FEL will be

determined for each pollutant which the

manufacturer or remanufacturer is

including in the ABT program. FEL

ceilings are included for Tier 1 and Tier

2 locomotives, such that no Tier 1 or

Tier 2 engine family can be certified at

an emission level higher than the level

of the previously applicable standard. In

other words, locomotives subject to the

Tier 1 standards cannot be certified at

FELs above the Tier 0 standards.

Likewise, locomotives subject to the

Tier 2 standards cannot be certified at
Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations 18985

3See 40 CFR Part 92, subpart D, of the regulations

in this document.

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 linehaul 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 dutycycle) 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 linehaul ABT programs. However, line-haul

credits will not be allowed to be used

to meet the switch standards, and vice

versa.

EPA proposed that ABT credits have

a three year life, and requested comment

on both the proposed three year life and

infinite life. In response to comments

received stating that a three year credit

life provides incentive to use the credits

to prevent losing them, which does not

help the environment, EPA is finalizing

an infinite credit life. As proposed,

there will be no credit discounting. EPA

proposed to restrict the exchange of

credits between different tiers. However,

in order to improve the feasibility of the

standards and encourage compliance

with the standards at the lowest cost,

credit exchanges will be allowed

between Tier 0, Tier 1 and Tier 2

locomotive engine families, and credits

will be allowed to be exchanged to a

limited extent immediately upon their

generation. However, to ensure that

progress is made toward compliance

with the technology-forcing Tier 2

standards, EPA is placing some limits

on the use of credits to comply with the

Tier 2 emission standards. This will

encourage manufacturers to make

serious efforts toward meeting the Tier

2 standards, while allowing some use of

banked credits so manufacturers do not

have to ensure that each engine family

it manufactures complies with the Tier

2 standards by 2005, allowing them to

focus research and development funds.

In order to assure that the ABT program

is not used to delay the implementation

of the Tier 2 technology, only 75 percent

of a manufacturer’s Tier 2 production

will be allowed to be certified at a NOX

FEL greater than the applicable Tier 2

NOX standards in 2005 and 2006. Only

50 percent of a manufacturer’s Tier 2

production will be allowed to be

certified at a NOX FEL greater than the

applicable Tier 2 NOX standards in 2007

and later.

In cases where credits are generated

and traded in the same model year EPA

will hold both the buyers and sellers of

those credits potentially liable for any

credit shortfall at the end of the year,

except in cases where fraud is involved

or a buyer of credits does not buy

enough credits to cover its needs. A

buyer of credits which are shown later

to be invalid will only be required to

make up the credit shortfall. There will

be no penalty associated with the

unknowing purchase of invalid credits.

Finally, emission credits will be

allowed to be held by entities other than

the certificate holder (e.g., the

locomotive owner or operator, or any

other entity with the approval of the

Administrator).

When a locomotive is remanufactured

in compliance with the standards

contained in today’s action, it is

required, as a default, to be certified as

complying with the standards and/or

FELs it was originally certified as

meeting before being re-introduced into

service following subsequent

remanufactures. Any credits generated

or used will be calculated based on the

estimated remaining service life of the

locomotive. For freshly manufactured

locomotives it will be assumed for

calculation of credits or debits that the

remaining service life is 40 years, or

seven useful life periods. For Tier 0

locomotives, the age of the locomotive

at the time of the initial complying

remanufacture will determine its

remaining service life to be used in

credit calculation. The reader is referred

to the regulatory text at the end of this

notice and the RSD for the exact

schedule to be used in determining the

remaining service life.3 EPA is requiring

that locomotives be remanufactured at

any subsequent remanufactures in

compliance with the standards and/or

FELs that they are originally certified as

meeting. However, remanufacturers can

generate or use credits at the time of

subsequent remanufactures by certifying

the remanufactured locomotives to

different FELs than they were originally

certified as meeting. In such cases

credits generated or used will be

calculated relative to the previous

certification levels (either standards or

FELs) rather than just the standards, and

will be based on the remaining service

life of the locomotive.

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
18986 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

proposed. For early generation of credits

for both freshly manufactured

locomotives, and existing locomotives

when remanufactured, the NOX linehaul duty-cycle standard from which

credits would be calculated is 10.5 g/

bhp-hr. Similarly, the NOX switch dutycycle 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
Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations 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 enginebased 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 preproduction 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
18988 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

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 caseby-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 inuse 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
Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations 18989

Administrator’s finding of

nonconformity. If a determination of

nonconformity with the requirements of

section 207(c) of the Act is made, the

manufacturer or remanufacturer will not

have the option of an alternate remedial

action, and an actual recall will be

required.

EPA recognizes the unique nature of

locomotives and railroad operations

relative to highway vehicles such as

passenger cars used in personal

transportation. Furthermore, the Agency

recognizes that in some cases, the actual

recall and repair of locomotives could

impose severe financial hardship on a

manufacturer or remanufacturer if the

necessary repair was extremely complex

and expensive, and could also adversely

impact railroads and other businesses

when locomotives are required to be

taken out of service for those repairs. In

these particular cases and, assuming

that the Administrator had not yet made

a determination of nonconformity,

alternatives to traditional recall will be

strongly considered. These alternatives

are required to have the same or greater

environmental benefit as conventional

recall and to provide at least equivalent

incentives to manufacturers and

remanufacturers to produce locomotives

which durably and reliably control

emissions.

The second component of the in-use

testing program is the railroad in-use

testing program adopted pursuant to

EPA’s authority under section 114 of the

Act to require ‘‘any person who owns or

operates any emission source to

establish and maintain records, sample

emissions according to EPA

specifications, and provide such other

information as the Administrator may

reasonably require.’’ The railroad in-use

testing program is being finalized for the

reasons stated in the proposal. Each

Class I freight railroad is required to

annually test a portion of its total

locomotive fleet beginning January 1,

2005. This start date is appropriate

because EPA does not expect that a

significant number of certified

locomotives will have reached the end

of their useful lives prior to 2005. EPA

proposed a railroad in-use testing

program which would have required

that ten percent of a railroad’s

locomotives be tested annually using a

simple short test procedure, but also

considered and solicited comment on a

program that would require testing a

much smaller number of locomotives in

accordance with the FTP for

locomotives. Based on comments

received and the lack of a suitable short

test, EPA is finalizing the FTP-based

testing program. Testing must therefore

be done according to the FTP for

locomotives contained in this rule. The

number of tests that each Class I freight

railroad must perform annually is at

least 0.15 percent of that railroad’s total

average locomotive fleet size the

previous year. The tests shall be done

on locomotives which have reached the

end of their useful lives for reasons

stated in the proposal. If the number of

locomotives in a given railroad’s fleet

which have reached the end of their

useful lives is not large enough to fulfill

the testing requirement, railroads are to

test locomotives late in their useful

lives, as specified in the regulatory text.

The test locomotives will be randomly

selected by the railroad, unless

otherwise specified by the

Administrator, and must proportionally

represent the railroad’s fleet mix of

locomotive models.

The railroads are required to submit

annual reports summarizing all

emissions testing performed. If a

particular engine family has consistent

emissions problems in all the railroads’

fleets, then there may be a problem with

the design or manufacture of the

locomotives. The locomotives tested

under this program will generally be

past their useful lives. No recall action

can be taken against the manufacturer or

remanufacturer in the event of a failure

of a locomotive tested beyond the end

of its useful life. However, EPA could

use this information to target engine

families to be tested in the

manufacturer/remanufacturer in-use

testing program, to target in-use testing

by EPA, or to evaluate the deterioration

factors submitted with certification

applications. If the failures are limited

to one railroad’s fleet, then it may

indicate that tampering or

malmaintenance has occurred, which

may constitute a violation of tampering

prohibition discussed later in this

notice.

Given the current size of the Class I

locomotive fleet, EPA estimates that

there will be approximately 30 in-use

locomotive tests performed annually

under the railroad in-use program

initially. Today’s program also gives

EPA authority to waive, in whole or in

part, the amount of testing required in

future years, as described in section

92.1003 of the attached regulatory text.

Also included in the railroad in-use

testing program is a provision which

allows a railroad to petition EPA for

approval of alternative in-use testing

programs that provide information

equivalent to EPA’s in-use testing

requirements based on criteria such as

test procedure accuracy compared to the

FTP for locomotives, and how any

differences in accuracy are addressed in

the locomotive sample size. EPA is

finalizing this option for alternative

programs in order to allow for the

potential of less costly but equally

effective programs based on test

procedures that may be developed in

the future.

G.4. Phase-In Provisions for Small

Businesses

A large portion of the locomotive

remanufacturing and aftermarket parts

industries is made up of small

businesses. As such, these industries do

not tend to have the financial resources

or technical expertise to quickly

respond to the Tier 0 requirements

contained in today’s rule. As fully

discussed in Chapter 5 of the SAC

document (docket item A–94–31–V–C–

1), accompanying this rule, the Small

Business Regulatory Enforcement

Fairness Act of 1996 and the Regulatory

Flexibility Act require EPA to take steps

to identify and mitigate the regulatory

burden of regulations on small business

entities. EPA has taken a number of

steps to mitigate any potential impact

on the small remanufacturers and

component suppliers that are affected

by this rule.

The delay the application of Tier 0

standards to locomotives originally

manufactured before 1990 until January

1, 2002, is not specifically targeted at

small businesses since it applies to all

pre-1990 locomotives regardless of who

remanufactures them. EPA chose 1990

as a cut point for the phase-in of the Tier

0 standards because pre-1990

locomotives represent the vast majority

of locomotives for which the above

small business entities supply parts and

remanufacturing services. Also, a cut

point of 1990 will allow manufacturers

and remanufacturers to target their

resources more efficiently than if they

were required to comply with the Tier

0 standards for all locomotive and

locomotive engine models at the same

time. This measure should therefore

address any feasibility concerns for

these small business entities.

The second measure establishes a

streamlined certification program for

small businesses, applicable through the

2006 model year that will reduce the

financial burden of compliance. Under

these provisions, certification testing

requirements will be phased-in,

beginning in 2002. Remanufacturers

have the option of testing locomotives

(or locomotive engines) using a

modified version of the FTP, or of

testing using a less rigorous alternate

procedure, subject to sales restrictions

set by EPA. The modified FTP requires

measurement of NOX, CO2, smoke,

power output, and fuel consumption

over the full throttle notch schedule.
18990 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

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 steadystate speed and load conditions.

Measurement of smoke would be

performed during both steady-state

operations and during periods of engine

accelerations between notches (i.e., set

speed and load operating points). For

locomotive testing, the engine would

remain in the locomotive chassis, and

the power output would be dissipated

as heat from resistive load banks

(internal or external). Measurement of

exhaust emissions, fuel consumption,

inlet and cooling air temperature, power

output, etc. would begin after the engine

has been warmed up, and would

continue through each higher notch to

maximum power. The minimum

duration of the initial test point (idle or

low idle), and each test point when

power is being increased is 6 minutes,

with the exception of the maximum

power point, where the minimum

duration of operation is 15 minutes.

Concentrations of gaseous exhaust

pollutants are to be measured by

drawing samples of the raw exhaust to

chemical analyzers; a

chemiluminescence analyzer for NOX, a

heated flame ionization detector (HFID)

for HC, and nondispersive infrared

(NDIR) detector for CO and CO2. Smoke

is to be measured with a smoke opacity

meter, and particulate measured by

drawing a diluted sample of the exhaust

through a filter and weighing the mass

of particulate collected. The Agency is

including NMHC, alcohol and aldehyde

measurement procedures similar to

those that are currently applicable to onhighway natural gas- and methanolfueled 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 °F to 105 °F and

at both sea level and altitude conditions

up to about 4,000 feet above sea level.

While EPA is only requiring that

locomotives comply with emission

standards when tested at altitudes up to

4000 feet for purposes of certification

and in-use liability, it is requiring that

manufacturers and remanufacturers

submit evidence with their certification

applications, in the form of an

engineering analysis, that shows that

their locomotives are designed to

comply with emission standards at

altitudes up to 7000 feet. The Agency is

finalizing correction factors that will be

used to account for the effects of

ambient temperature and humidity on

NOX emission rates.

The Agency is establishing test fuel

specifications for compliance testing

(certification, PLT and manufacturer/

remanufacturer in-use testing) which are

generally consistent with test fuel

specifications for on-highway heavyduty 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
Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations 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 inuse 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 inuse 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 inuse 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
18992 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

4See 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. 5 Ibid.

component or element of design

installed on or in a locomotive or

locomotive engine. Locomotive

tampering provisions will help ensure

that in-use locomotives remain in

certified configurations and continue to

comply with emission requirements.

The Agency is applying the existing

policies developed for on-highway

tampering to locomotives and

locomotive engines included in this

rule.4 In addition, EPA considers

knowingly failing to properly maintain

a locomotive or locomotive engine to be

tampering, as was previously discussed

in the section on railroad requirements.

J.4. Emission Warranty

In accordance with section 207(a) of

the Act, manufacturers and

remanufacturers must warrant to the

ultimate purchaser and any subsequent

purchaser, for a specified warranty

period set by EPA, that the emission

related components and systems of

locomotives and locomotive engines are

free from defects in material or

workmanship which would cause such

locomotives or locomotive engines to

fail to conform with applicable

regulations. The statute also requires

manufacturers to provide a ‘‘time of

sale’’ warranty that the vehicle or engine

is designed, built, and equipped so as to

conform at the time of sale with

applicable emission regulations. See 42

U.S.C. 7541(a)(1).

EPA proposed an emission warranty

period for the full useful life of a

locomotive. However, for reasons fully

discussed in the SAC, the Agency is

finalizing an emission warranty period

for locomotives that parallels that for

the heaviest heavy-duty on-highway

engines. For those engines, the current

warranty period is roughly one-third of

useful life. Thus, for locomotives the

warranty period will be one-third of

useful life, as based on the minimum

useful life value of 7.5 MW-hr. This

period is the minimum warranty period.

As for heavy-duty diesel engines, if a

locomotive is covered by a mechanical

warranty for a period longer than the

minimum warranty period, then the

regulations require the emission

warranty to be at least as long as the

mechanical warranty.

J.5. Defeat Devices

As is the case for other regulated

nonroad and on-highway vehicles and

engines, these regulations for

locomotives make it illegal for any

manufacturer, remanufacturer, or any

other person to use a device on a

locomotive or locomotive engine which

reduces the effectiveness of the

emission control system under

conditions that would not be reflected

in measurements made using the normal

emission test procedures and

conditions, especially where the feature

had the effect of optimizing fuel

economy at the expense of emissions

performance. Such ‘‘defeat’’ devices are

specifically prohibited for motor

vehicles under section 203 of the Act.

Section 213(d) of the Act directs the

Agency to enforce the locomotive

standards in the same manner as it

enforces motor vehicle standards.

Therefore, EPA is establishing an

explicit prohibition against the use of

defeat devices with locomotives or

locomotive engines subject to the

federal standards. Examples of some of

the types of design features that EPA

classifies as defeat devices are contained

in the RSD.

Since the use of defeat devices

effectively renders the specified test

procedures for certification, production

line, and in-use testing inadequate to

predict in-use emissions, EPA reserves

the right to test a certification test

locomotive or engine, or require the

manufacturer or remanufacturer to

perform such testing over a modified

test procedure if EPA has reason to

believe a defeat device is being used by

a manufacturer or remanufacturer on a

particular locomotive or locomotive

engine. In addition, EPA is also

establishing notch caps for in-use

testing that prohibit any unreasonable

deviation from certification emission

rates under any test conditions.

J.6. Exclusions and Exemptions

EPA is adopting regulations which

allow exemptions from today’s

regulations for certain purposes. These

purposes include research,

investigations, studies, demonstrations,

training, or for reasons of national

security. Export exemptions,

manufacturer-owned locomotive

exemptions, and some national security

exemptions are automatic, and

manufacturers and remanufacturers

need not apply to EPA to obtain such an

exemption. Other exemptions must be

obtained by application to EPA.

J.7. Nonconformance Penalties

EPA is not including any provisions

for nonconformance penalties (NCPs) in

today’s action, for the reasons described

in the proposal. However, the Agency

will monitor efforts to develop

technology to comply with these

regulations. Should the need for NCPs

become evident in the future, EPA will

undertake a rulemaking action at that

time to develop appropriate NCPs.

J.8. Aftermarket Parts

In the proposal, EPA stated its intent

to follow the approach to aftermarket

parts it currently uses for on-highway

vehicles. Specifically, EPA proposed to

allow the certification of aftermarket

parts according to the provisions of 40

CFR part 85, subpart V. For those

aftermarket parts not certified according

to those voluntary provisions, EPA

proposed to apply the policies described

in EPA Mobile Source Enforcement

Memorandum No. 1A (‘‘Memo 1A’’),

which outlines the Agency’s position on

tampering with respect to the use of

replacement components on certified

vehicles and engines.5 In general, Memo

1A states that EPA will not consider the

use of aftermarket parts to be tampering

if those parts can be shown to be

identical in all material respects to the

original parts they are replacing.

Conversely, Memo 1A also states that

the use of an aftermarket part would be

considered tampering if it causes or

contributes to an increase in emissions

of a regulated pollutant. In general, EPA

is finalizing the approach it proposed.

However, the Agency does not believe

that the provisions of 40 CFR part 85,

subpart V are appropriate for the

locomotive industry since those

provisions are intended to apply to onhighway 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.
Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations 18993

6EPA 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.

J.9. Importation of Nonconforming

Locomotives

Nonconforming locomotive engines

originally manufactured after the

effective date of this rule will not be

permitted to be imported for purposes of

resale, except under certain limited

exemptions. This rule finalizes most of

the proposed exemptions, including

temporary exemptions for repairs and

alterations, testing and display, and

permanent importation exemptions for

national security. For reasons discussed

in the SAC, EPA is not finalizing the

proposed provision to allow the

importation of certain locomotives and

locomotive engines proven to be

identical, in all material respects, to

their corresponding EPA certified

versions. While the U.S. Customs

Service may consider typical current

cross-border traffic between the U.S.

and Canada or Mexico to constitute the

importation of locomotives, EPA is

providing an exemption for such traffic

if its use in the U.S. is incidental to its

primary operation. Such cross-border

traffic is not currently extensive.

EPA is not taking any specific actions,

such as limiting export exemptions, in

order to assure that nonconforming

locomotives from Canada or Mexico do

not operate extensively in the U.S.

However, the Act does give EPA the

authority to regulate new locomotives

and locomotive engines manufactured

(or remanufactured) for introduction

into U.S. commerce. A locomotive

which is exported for use primarily

outside of the U.S. and whose operation

within the U.S. would be incidental to

its primary operation is not considered

to have been introduced into U.S.

commerce for the purposes of these

emission standards. Should the Agency

determine in the future that emissions

from uncontrolled Canadian or Mexican

locomotives operating in the U.S. have

become a significant problem because

they are operated in such a way that

they should be considered to have been

introduced into U.S. commerce, then it

will exercise its authority under the Act,

consistent with the restrictions of any

relevant trade agreements, to control

such emissions.

J.10. Passenger Locomotives

The EPA recognizes Amtrak’s

comments to the docket on the proposed

rule. In the comments Amtrak noted

that passenger railroads face a variety of

challenges both fiscally and otherwise

in complying with the remanufacturing

aspects of the rule. EPA is thus delaying

the effective date of the Tier 0

requirements until January 1, 2007 for

passenger locomotives.

In order to address the concerns of

Amtrak and to prevent substantial

negative impacts from the rule on

passenger rail providers, both intercity

and commuter, the EPA will undertake

to work with the Department of

Transportation, Amtrak, and concerned

commuter authorities to ensure that the

cost of remanufacturing systems,

including all associated development

and testing costs, do not create an

unreasonable economic burden. EPA

will also develop a mechanism for

providing alternative compliance

options such as ABT or NCPs for

locomotives for which compliance

systems would present an unreasonable

economic burden or force a locomotive

into noncompliance with Federal safety

standards, or other standards that

govern the use of that locomotive in

revenue service (e.g., axle weight

restrictions).

The EPA recognizes that no passenger

service, either commuter or intercity,

covers its operating expenses; that these

entities are largely funded through tax

transfers and other subsidies, and that

passenger rail represents a benefit,

current and developing, to the

environment through modal

displacement.

K. Preemption

EPA is adopting the proposed

regulatory provision clarifying the scope

of federal preemption of state standards

and requirements relating to the control

of emissions from new locomotives and

new engines used in locomotives,

pursuant to the Agency’s authority

under Section 209(e) to promulgate

regulations to implement this section,

for the reasons stated in the NPRM. The

provision adopted today codifies in

federal regulations the statutory

preemption of such state standards and

requirements, and lists categories of

state regulations that EPA has

determined are preempted for a period

exceeding the useful life of the

locomotive or engine. These categories

of state regulations are preempted under

Section 209(e)(1), even when applied to

in-use locomotives and engines for a

period equivalent to 1.33 times the

useful life period, because of the

significant effect such standards and

requirements would have on the design

and manufacture of new locomotives

and new locomotive engines. EPA’s

analysis of each standard listed in the

preemption regulation provision is

described in the NPRM.

EPA’s detailed response to comments

received on the proposed preemption

provision are contained in Chapter 1 of

the SAC document in the docket for this

rulemaking. EPA solicited comment on

the issue of whether state in-use testing

programs that utilize the FTP are

preempted by CAA Section 209(e)(1),

and whether they should be included in

the list of preempted provisions in the

regulations clarifying the scope of

federal preemption of state standards

and requirements relating to the control

of emissions from new locomotives and

new locomotive engines. EPA received

comments arguing that such state testing

requirements are preempted, and

comments opposing that position. Based

on the available information, EPA is not

currently including such programs in

the regulations specifying those state

requirements that are categorically

preempted by Section 209(e)(1) because

EPA cannot conclude that a state’s

requirement that in-use locomotives be

tested using the FTP to determine

compliance with the federal standards

would necessarily affect how

manufacturers and remanufacturers

design new locomotives and new

locomotive engines.6

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 inuse 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
18994 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

8For information on the impacts of NOX

emissions see, ‘‘Nitrogen Oxides: Impacts on Public

Health and the Environment,’’ EPA 452/R–97–002,

August 1997.

preemption. With limited state testing,

it is not clear what impact state testing

would have on the design of new

locomotives, or whether it would

constitute the kind of effect that would

warrant preemption of state testing,

especially because manufacturers and

remanufacturers will already be basing

their compliance on the federal

standards and test procedure. Therefore,

since EPA cannot conclude that state

testing using the FTP would have an

effect on locomotive design, EPA is not

including state testing programs using

the FTP in the list of preempted

provisions. Although EPA is not aware

at this time of any state’s intent to adopt

locomotive testing requirements, EPA

will monitor state actions in this area.

If it turns out that state emission testing

requirements identical to the FTP do in

fact affect the design and manufacture of

new locomotives and engines such that

preemption is warranted, EPA will

reconsider the regulation adopted today,

with a view to including such state

testing programs in its regulatory list of

preempted state controls.

EPA also received comment on the

length of the preemption period. EPA

proposed a preemption period

equivalent to 1.25 times the useful life

period. As is described in the SAC, EPA

has determined that the available

information supports a preemption

period of 1.33 times useful life. This

information shows that, because of the

distribution of remanufacturing

intervals, a small but significant number

of locomotives will remain in use after

the proposed preemption. EPA has

concluded that manufacturers and

remanufacturers would be required by

the railroads to address any state

requirements listed in the regulation

that applied to locomotives between

1.25 and 1.33 times the useful life

period.

The list of state controls that are

explicitly preempted under today’s

regulation is not intended to be

exclusive. Any state control that would

affect how a manufacturer designs or

produces new (including

remanufactured) locomotives or

locomotive engines is preempted by

section 209(e)(1). It is also important to

note that certain categories of potential

state requirements, while not expressly

preempted by section 209(e)(1) or EPA’s

regulations implementing section

209(e)(1), are preempted because they

would directly conflict with federal

regulations. Under section 203(a)(3) of

the Act, tampering includes actions that

can reasonably be expected to

contribute to an increase in emissions of

a regulated pollutant. For example, a

state requirement to alter the fuel

injection system or air intake system of

a locomotive to achieve NOX reductions

is likely to cause increased PM and

smoke emissions. Therefore, a railroad

operator could not comply with the

state requirement without making an

adjustment to its locomotive that can

reasonably be expected to result in an

increase in emissions of a regulated

pollutant, and would therefore be

violating the federal prohibition against

tampering. In such cases where it would

be impossible to comply with the state

requirement without violating a federal

prohibition, the federal law preempts

the state law. For this reason, such state

requirements would be prohibited

under the national rule. Finally, state

emission controls that are not

preempted may violate the Commerce

Clause of the U.S. Constitution by

imposing an undue burden on interstate

commerce. Neither today’s regulations,

nor section 209 of the Act, address the

scope of any limitations on state action

under the U.S. Constitution.

It should be noted that EPA has

previously promulgated regulations that

implement the provision of section

209(e)(2) of the Act that requires that

states obtain a waiver prior to regulating

nonroad sources. Under this provision,

all state requirements relating to the

control of emissions from in-use

locomotives and locomotive engines,

including state requirements not listed

as preempted in 40 CFR 85.1603(c)(1),

are subject to section 209(e)(2)’s waiver

requirement. The regulations state that

EPA will authorize California to adopt

and enforce such standards and

requirements, unless EPA makes certain

findings. For example, a waiver will not

be granted if EPA finds that California

does not need such requirements to

‘‘meet compelling and extraordinary

conditions,’’ or if EPA finds that the

requirements are not consistent with

section 209 of the Act. By including

new locomotives and new locomotive

engines in section 209(e)(1) of the Act,

Congress recognized the unique factual

circumstances relating to this industry,

and provided broader preemption for

locomotives than for most other

nonroad vehicles and engines. EPA

would not grant California a waiver for

any requirements if it finds that such

California provisions are inconsistent

with section 209(e)(1). In determining

whether to grant a waiver, EPA would

consider the unique circumstances

applicable to locomotives and railroads

at that time, such as the effect on engine

design and on EPA’s comprehensive

program.

Unless EPA authorizes California to

adopt and enforce its own requirements

relating to the control of emissions from

locomotives, no other state may adopt or

enforce any such requirements.

However, once such authorization is

granted, other states with state

implementation plan provisions

approved under part D of Title I of the

Act may adopt and enforce, after notice

to the Administrator, requirements

identical to those authorized for

California. The significance of this

provision is that no state can adopt

testing or other requirements relating to

the control of emissions from in-use

locomotives unless California does so,

pursuant to EPA’s authorization under

section 209(e)(2). Thus, the provisions

of section 209(e) of the Act effectively

limit California and other states to

adopting and enforcing testing programs

utilizing the FTP that would achieve the

intended emission benefit without

having a real and concrete effect on the

design or production of new (including

remanufactured) locomotives and

engines. Since EPA’s authorization

under section 209(e)(2) may only be

granted after notice and opportunity for

public comment, railroads and other

interested parties will have an

opportunity to provide comments to

EPA on any proposed authorization of

California testing requirements.

V. Public Participation

A number of interested parties

commented on EPA’s February 11, 1997

NPRM. The comments included written

submittals to the rulemaking docket and

those presented orally at the May 15,

1997 public hearing. The Agency fully

considered these comments in

developing today’s final rule. Where

today’s action includes notable changes

from the proposal, those changes are

noted in the previous description of the

action. A complete summary of all

comments and EPA’s analysis and

response to those comments is

contained in the SAC accompanying

this rule.

VI. Environmental Effects

This section contains a brief summary

of the emission benefits expected from

the national locomotive emission

standards contained in this action. The

complete analysis of the expected

benefits is contained in the RSD. The

primary focus of this regulation is on

reducing NOX and PM, but reductions

in HC will also be achieved.8 Because

the emission standards for CO adopted

today are intended as caps to prevent

increases in CO emissions, no CO
Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations 18995

reductions are expected to result from

today’s action.

The benefits analysis was performed

in several steps. First, the baseline

locomotive fleet composition, emissions

rates and total inventory were

determined. Second, future fleet

composition was projected, from which

the emission factors for the fleet were

calculated for NOX, PM and HC. Future

emission inventories were then

calculated by multiplying these

emission factors by fuel consumption to

give total tons of emissions per year.

Finally, those controlled emission

inventories were compared to the

baseline fleet emission inventories to

arrive at mass NOX, PM and HC

emission reductions for the fleet. Table

VI–1 contains a summary of both the

fleet percentage and mass reductions for

NOX, PM and HC. It should be noted

that both the total emissions and the

projected reductions are larger than the

corresponding numbers in the proposal.

This is because this final analysis

includes small freight and passenger

railroads that were omitted in the draft

analysis. While EPA expects some

emission reductions to occur in 2000

and 2001 under today’s action, Table

VI–1 begins with 2002 because that is

the first year that the locomotive

emission standards are fully phased in.

TABLE VI–1.—NATIONWIDE EMISSION REDUCTIONS OF NOX, PM AND HC COMPARED TO 1995 BASELINE LEVELS

[Mass reduction in metric tons per year]

Year

NOX PM HC

Percent reductionMass reductionPercent reductionMass reductionPercent reductionMass reduction

2002 .............................................................................. 10 110,000 0.0 0 0.1 44

2005 .............................................................................. 28 304,000 3 928 3 1,430

2010 .............................................................................. 41 449,000 16 4,350 15 6,280

2020 .............................................................................. 49 538,000 28 7,640 26 11,020

2040 .............................................................................. 59 648,000 46 12,390 43 18,070

VII. Economic Impacts

This section contains a summary of EPA’s estimate of costs associated with today’s action. Costs are presented

in Table VII–1 for Tier 0, Tier 1 and Tier 2 locomotives on a per locomotive basis. The initial compliance costs

include research and development costs, initial equipment costs (i.e., hardware costs for components needed to comply

with the standards initially, but which are not typically replaced at remanufacture), and the costs of compliance such

as certification and testing costs. The remanufacture costs include all costs associated with keeping the locomotive

in compliance with the standards through subsequent remanufactures. The fuel cost includes the cost of any fuel economy

penalties associated with compliance. The costs presented here are EPA’s best estimates of the actual expected costs

of this rule. EPA also estimated a worst-case scenario in the RSD. The total and NPV costs under the worst case

scenario are $5,076 million and $1,901 million, respectively.

TABLE VII–1.—LIFETIME COST PER LOCOMOTIVE

Cost component Tier 0 Tier 1 Tier 2

Initial compliance ...................................................................................................................................... 27,673 71,451 39,589

Remanufacture and maintenance ............................................................................................................ 8,526 25,420 9,840

Fuel ........................................................................................................................................................... 30,589 92,865 200,900

Total ............................................................................................................................................... 66,785 189,736 250,329

Average annual ........................................................................................................................................ 3,838 4,627 6,106

Overall program costs and average annual program costs were calculated over a forty-one year time period based

on the per locomotive costs and projections of future locomotive fleet composition. These costs are shown in Table

VII–2. Where applicable, costs are presented in actual and discounted format. A complete discussion of the methodology

EPA used to calculate these costs is contained in the RSD.

TABLE VII–2.—SUMMARY OF 41 YEAR TOTAL LOCOMOTIVE PROGRAM COSTS

[Million $]

Actual NPV

Tier 0 ................................................................................................................................................................................ 1,123.35 584.93

Tier 1 ................................................................................................................................................................................ 214.66 132.57

Tier 2 ................................................................................................................................................................................ 1,935.04 613.54

Average Annual ................................................................................................................................................................ 79.83 32.46

Total ....................................................................................................................................................................... 3,273.05 1,331.04

VIII. Cost-effectiveness

The costs for NOX, PM and HC reductions are difficult to assign to a single pollutant due to the relationship

between NOX, PM and HC emission generation. Thus, costs presented below are for all reductions. The following

table (Table VIII–1) summarizes the costs and emission benefits of today’s action. Costs and emission benefits were
18996 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

calculated over a 41 year program run to reflect the lifetime costs associated with locomotives and locomotive engines,

which typically have lives of 40 years or more.

TABLE VIII–1.—COST-EFFECTIVENESS

NOX NOX + PM

+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 post1972 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
Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations 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 costeffective 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/EPAAIR/ (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
18998 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

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:

§ 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:

§ 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:

§ 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

* * * * *

§ 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 microbalance.

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

§ 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

§ 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 § 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

§ 92.209 for guidance.

§ 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
19000 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

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 § 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 § 92.204),

and which are (or were) covered (or

requested to be covered) by a specific

certificate of conformity.

Engine used in a locomotive means an

engine incorporated into a locomotive

or intended for incorporation into a

locomotive.

Engineering analysis means a

summary of scientific and/or

engineering principles and facts that

support a conclusion made by a

manufacturer or remanufacturer, with

respect to compliance with the

provisions of this part.

EPA Enforcement Officer means any

officer or employee of the

Environmental Protection Agency so

designated in writing by the

Administrator or his/her designee.

Ethanol means a fuel that contains at

least 50 percent ethanol (ethyl alcohol,

(C2H5OH)) by volume.

Exhaust emissions means substances

(i.e., gases and particles) emitted to the

atmosphere from any opening

downstream from the exhaust port or

exhaust valve of a locomotive engine.
Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations 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 §§ 92.1(c) and

92.209 for applicability of this term.)

Maximum rated horsepower means

the maximum brake horsepower output

of an engine.

Mechanical accessory horsepower

means the sum of mechanical

horsepower generated by an engine to

supply accessories. Mechanical

accessory horsepower does not include

power supplied to the main alternator or

generator, power used to circulate

engine coolant or engine lubricant, or

power used to supply fuel to the engine.

Methanol means a fuel that contains

at least 50 percent methanol (methyl

alcohol, (CH3OH)) by volume.

Method of aspiration means the

method whereby air for fuel combustion

enters the engine (e.g., natural or

turbocharged).

Model year means a calendar year;

except where the Administrator

determines a different production

period which includes January 1 of such

calendar year.

Natural gas means the commercial

product marketed as natural gas whose

primary constituent is methane.

New locomotive or new locomotive

engine means:

(1)(i) A locomotive or locomotive

engine the equitable or legal title to

which has never been transferred to an

ultimate purchaser; or

(ii) A locomotive or locomotive

engine which has been remanufactured,

but has not been placed back into

service.

(2) Where the equitable or legal title

to a locomotive or locomotive engine is

not transferred prior to its being placed

into service, the locomotive or

locomotive engine ceases to be new

when it is placed into service.

(3) With respect to imported

locomotives or locomotive engines, the

term ‘‘new locomotive’’ or ‘‘new

locomotive engine’’ means a locomotive

or locomotive engine that is not covered

by a certificate of conformity under this

part at the time of importation, and that

was manufactured or remanufactured

after the effective date of the emission

standards in this part which is

applicable to such locomotive or engine

(or which would be applicable to such

locomotive or engine had it been

manufactured or remanufactured for

importation into the United States).

(4) Notwithstanding paragraphs (1)

through (3) of this definition,

locomotives and locomotive engines
19002 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

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 § 92.11.

Where a locomotive or locomotive

engine is manufactured under § 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 emissionrelated 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 §§ 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.
Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations 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-tocarbon 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 emissionrelated defect for which notification of

locomotive or locomotive engine owners

has been provided.

§ 92.3 Abbreviations.

The abbreviations of this section

apply to all subparts of this part and

have the following meanings:

ANSI—American National Standards

Institute

API—American Petroleum Institute

ASTM—American Society for Testing and

Materials

BHP—Brake horsepower

BSCO—Brake specific carbon monoxide

BSHC—Brake specific hydrocarbons

BSNOX—Brake specific oxides of nitrogen

°C—Celsius

cfh—cubic feet per hour

cfm—cubic feet per minute

CFV—Critical flow venturi

CL—Chemiluminescence

CO—Carbon monoxide

CO2—Carbon dioxide

cu in—cubic inch(es)

CVS—Constant volume sampler

EP—End point

EPA—Environmental Protection Agency

°F—Fahrenheit

FEL—Family emission limit

FID—Flame ionization detector

ft—foot or feet

g—gram(s)

gal—U.S. gallon

GC—Gas Chromatograph

h—hour(s)

H2O—water

HC—hydrocarbon

HFID—Heated flame ionization detector

Hg—Mercury

hp—horsepower

IBP—Initial boiling point

in—inch(es)

K—Kelvin

kg—kilogram(s)

km—kilometer(s)

kPa—kilopascal(s)

lb—pound(s)

LPG—Liquified Petroleum Gas

m—meter(s)

max—maximum

mg—milligram(s)

mi—mile(s)

min—minute

ml—milliliter(s)

mm—millimeter

mph—miles per hour

mv—millivolt(s)

N2—nitrogen

NDIR—Nondispersive infrared

NMHC—Non-methane hydrocarbons

NO—nitric oxide

NO2—nitrogen dioxide

NOX—oxides of nitrogen

No.—number

O2—oxygen

pct—percent

PM—particulate matter

ppm—parts per million by volume

ppmC—parts per million, carbon

psi—pounds per square inch

psig—pounds per square inch gauge

°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

§ 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
19004 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

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).

§ 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 Distillation of Petroleum Products ........................................................................ § 92.113

ASTM D 93–94, Standard Test Methods for Flash-Point by Pensky-Martens Closed Cup Tester .......................................... § 92.113

ASTM D 287–92, Standard Test Method for API Gravity of Crude Petroleum and Petroleum Products (Hydrometer Method).§ 92.113

ASTM D 445–94, Standard Test Method for Kinematic Viscosity of Transparent and Opaque Liquids (the Calculation of

Dynamic Viscosity).

§ 92.113

ASTM D 613–95, Standard Test Method for Cetane Number of Diesel Fuel Oil ..................................................................... § 92.113

ASTM D 976–91, Standard Test Method for Calculated Cetane Index of Distillate Fuels ....................................................... § 92.113

ASTM D 1319–95, Standard Test Method for Hydrocarbon Types in Liquid Petroleum Products by Fluorescent Indicator

Adsorption.

§ 92.113

ASTM D 1945–91, Standard Test Method for Analysis of Natural Gas by Gas Chromatography ........................................... § 92.113

ASTM D 2622–94, Standard Test Method for Sulfur in Petroleum Products by X-Ray Spectrometry .................................... § 92.113

ASTM D 5186–91, Standard Test Method for Determination of Aromatic Content of Diesel Fuels by Supercritical Fluid

Chromatography.

§ 92.113

ASTM E 29–93a, Standard Practice for Using Significant Digits in Test Data to Determine Conformance with Specifications.§§ 92.9, 92.305,

92.509

(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 Ionization Detector

for Determination of Hydrocarbon in Diluted Automotive

Exhausts, by Glenn D. Reschke.

§ 92.119

SAE Recommended Practice

J244, Measurement of Intake

Air or Exhaust Gas Flow of Diesel Engines.

§ 92.108

(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 Displacment Meters.

§ 92.117

§ 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 inuse 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 § 92.1, and by the

definitions of § 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 § 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

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

§ 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 gaseousfueled 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.

§ 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 dutycycle 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/bhphr). 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 dutycycle standards apply to the respective

cycle-weighted emission rates as

calculated in subpart B of this part.

(i) Tier 0. The following locomotives

(and the engines used in the following

locomotives) are subject to the Tier 0

emission standards listed in Table A8–

1 of this section: Locomotives

manufactured on, or after, January 1,

1973, and before January 1, 2002; and

upgraded locomotives manufactured

prior to January 1, 1973. The standards

apply when such a locomotive or

locomotive engine is manufactured,

remanufactured, or imported on or after

January 1, 2002; except where the

locomotive was previously certified to

one or more FELs under subpart D of

this part instead of the applicable

standards, in which case, the applicable

standards are replaced at each

subsequent remanufacture by the FELs

specified by the previous certificate.

Example: a locomotive that is certified

to a NOX FEL of 8.0 g/bhp-hr must be

recertified to a NOX FEL of 8.0 g/bhphr at each subsequent remanufacture,

except as allowed by paragraph

(a)(4)(iii) of this section.

(ii) Tier 1. Locomotives and engines

used in locomotives manufactured on,

or after, January 1, 2002, and before

January 1, 2005 are subject to the Tier

1 standards listed in Table A8–2 of this

section. The standards apply when such

a locomotive or locomotive engine is

manufactured or imported, and each

time it is remanufactured; except where

the locomotive was previously certified

to one or more FELs under subpart D of

this part instead of the applicable

standard, in which case, the standards

are replaced at each subsequent

remanufacture by the FELs specified by

the previous certificate.

(iii) Tier 2. Locomotives and engines

used in locomotives manufactured on,

or after, January 1, 2005 are subject to

the Tier 2 standards listed in Table A8–

3 of this section. The standards apply

when such a locomotive or locomotive

engine is manufactured or imported,

and each time it is remanufactured

except where the locomotive was

previously certified to one or more FELs

under subpart D of this part instead of

the applicable standard, in which case,

the standards are replaced at each

subsequent remanufacture by the FELs

specified by the previous certificate.

(2) Smoke standards. The smoke

opacity standards listed in Table A8–4

of this section apply, as specified in the

table, to locomotives and locomotive

engines subject to the Tier 0, Tier 1, or

Tier 2 standards. Smoke emissions,

when measured in accordance with the

provisions of Subpart B of this part,

shall not exceed the standards of Table

A8–4 of this section.

(3) Alternate standards. In lieu of the

CO and PM standards specified in

paragraph (a)(1) of this section,

manufacturers and remanufacturers may

elect to comply with the alternate CO

and PM standards listed in Table A8–5

of this section. Manufacturers and

remanufacturers electing to comply with

these alternate standards must comply

with both the CO and PM standards

listed in Table A8–5 of this section.

(4) Averaging, banking and trading. (i)

In lieu of the NOX and/or PM standards

specified in paragraph (a)(1) of this

section, manufacturers and

remanufacturers may elect to include

engine families in the averaging,

banking, and trading program, the

provisions of which are specified in

subpart D of this part. The manufacturer

or remanufacturer must set family

emission limits (FEL) for the applicable

duty-cycle. This FEL serves as the

standard for that family.

(ii) When a locomotive is certified to

an FEL other than the applicable

standard, it must be recertified to that

same FEL at all subsequent

remanufactures, except as specified

otherwise in paragraph (a)(4)(iii) of this

section.

(iii) After a locomotive has been

certified to any given FEL other than the

applicable standard, it may be

recertified to a different FEL at a

subsequent remanufacture, as allowed

by subpart D of this part. For subsequent

remanufactures (i.e. those

remanufactures that occur after the

recertification to a different FEL), the
19006 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

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

standard

Switch

cycle

standard

NOX ....................... 9.5 14.0

PM ......................... 0.60 0.72

CO ......................... 5.0 8.0

THC ....................... 1.00 2.10

NMHC ................... 1.00 2.10

THCE .................... 1.00 2.10

1 Line-haul standards do not apply to Tier 0

switch locomotives.

TABLE A8–2.—TIER 1 STANDARDS

[g/bhp-hr]

Line-haul

cycle

standard

Switch

cycle

standard

NOX ....................... 7.4 11.0

PM ......................... 0.45 0.54

CO ......................... 2.2 2.5

THC ....................... 0.55 1.20

NMHC ................... 0.55 1.20

THCE .................... 0.55 1.20

TABLE A8–3.—TIER 2 STANDARDS

[g/bhp-hr]

Line-haul

cycle

standard

Switch

cycle

standard

NOX ....................... 5.5 8.1

PM ......................... 0.20 0.24

CO ......................... 1.5 2.4

THC ....................... 0.30 0.60

NMHC ................... 0.30 0.60

THCE .................... 0.30 0.60

TABLE A8–4.—SMOKE STANDARDS

FOR LOCOMOTIVES

[Percent Opacity]

Steadystate30-sec

peak

3-sec

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

cycle

Switch

cycle

CO PM CO PM

Tier 0 ................. 10.0 0.30 12.0 0.36

Tier 1 ................. 10.0 0.22 12.0 0.27

Tier 2 ................. 10.0 0.10 12.0 0.12

(b) No crankcase emissions shall be

discharged directly into the ambient

atmosphere from any new locomotive or

new locomotive engine. Discharge of

crankcase emissions into the engine

exhaust complies with this prohibition,

provided crankcase emissions are

measured and included with exhaust

emissions. Compliance with this

standard is required throughout the

entire service life of the locomotive or

locomotive engine.

(c) Notch standards. (1) Exhaust

emissions from locomotives and

locomotive engines shall not exceed the

notch standards set forth in paragraph

(c)(2) of this section, except as allowed

in paragraph (c)(3) of this section, when

measured using any test procedures

under any test conditions.

(2) Notch standards for each pollutant

for each notch are calculated from the

certified notch emission rate as follows:

Notch standard=(Ex)×(1.1+(1¥ELHx/std))

Where:

Ex=The deteriorated brake-specific emission

rate (for pollutant x) for the notch (i.e.,

the brake-specific emission rate

calculated under subpart B of this part,

multplied by the deterioration factor in

the application for certification

expressed as a multiplicative

deterioration factor); where x is NOX, HC

(or NMHC or THCE, as applicable), CO

or PM.

ELHx=The deteriorated line-haul duty-cycle

weighted brake-specific emission rate for

pollutant x, as reported in the

application for certification.

std=The applicable line-haul duty-cycle

standard, or the certified line-haul dutycycle 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.

§ 92.9 Compliance with emission

standards.

(a) The general standards in § 92.7

and the emission standards in § 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-locomotivespecific engines (as defined in § 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
Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations 19007

manufacturer or remanufacturer before a

certificate of conformity may be issued

under § 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 § 92.5), to

the same number of significant figures

as contained in the applicable standard.

(2) Exhaust emission deterioration

factors shall be determined by the

certifying manufacturer or

remanufacturer for each engine family.

The manufacturer’s or remanufacturer’s

determination is subject to the

requirements of paragraph (b)(2)(iv) of

this section. The deterioration factor

relates emissions from low mileage or

low hour data to emissions at the end

of useful life. If certification data is

obtained from a development engine,

and the emissions performance of that

engine is significantly different from a

typical low hour engine, then the

deterioration factors may be adjusted for

the purpose of certification.

(i) A separate exhaust emission

deterioration factor shall be established,

as required, for compliance with

applicable emission standards for HC,

THCE, NMHC, CO, NOX, particulate and

smoke for each engine family.

(ii)(A) For locomotives or locomotive

engines not utilizing aftertreatment

technology (e.g., catalyst). For HC,

THCE, NMHC, CO, NOX, and PM,

additive deterioration factors shall be

used; that is, a deterioration factor that

when added to the low mileage

emission rate equals the emission rate at

the end of useful life. However, if the

deterioration factor supplied by the

manufacturer or remanufacturer is less

than zero, it shall be zero for the

purposes of this section.

(B) For locomotives or locomotive

engines utilizing aftertreatment

technology (e.g., catalyst). For HC,

THCE, NMHC, CO, NOX, and PM,

Multiplicative deterioration factors shall

be used; that is deterioration factors that

when multiplied by the low mileage

emission rate equal the emission rate at

the end of useful life. However, if the

deterioration factor supplied by the

manufacturer or remanufacturer is less

than one, it shall be one for the

purposes of this paragraph (b).

(C) For all locomotives and

locomotive engines. For smoke, additive

deterioration factors shall be used.

However, if the deterioration factor

supplied by the manufacturer or

remanufacturer is less than zero, it shall

be zero for the purposes of this

paragraph (b).

(iii) In the case of a multiplicative

exhaust emission deterioration factor,

the factor shall be rounded to three

places to the right of the decimal point

in accordance with ASTM E 29–93a

(incorporated by reference at § 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 § 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.

§ 92.10 Warranty period.

Warranties imposed by § 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.

§ 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.
19008 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

(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.

§ 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 § 92.8(a)(1)(i), the

following new locomotives and new

locomotive engines are subject to the

Tier 0 emission standards of § 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 § 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 § 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 § 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 § 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

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

§ 92.8(a)(1)(i) or the effective

compliance dates of paragraph (a) of this

section, as applicable), relative to

baseline emission rates.

(2)(i) Credits generated under this

paragraph (d) that are granted or

transferred to the owner or primary

operator of the locomotives or

locomotive engines generating credits

may be used without restriction.

(ii) Credits generated under this

paragraph (d) that are not granted or

transferred to the owner or primary

operator of the locomotives or

locomotive engines generating credits

may not be used for compliance with

the Tier 0 standards for 2002 or later

model years.

(3)(i) Prior to January 1, 2000, the

provisions of this paragraph (d) apply to

all locomotives and locomotive engines.

(ii) During the period January 1, 2000

through December 31, 2001, the

provisions of this paragraph (d) apply

only to engine families that include only

locomotives and/or locomotive engines

originally manufactured prior to January

1, 1990.

(iii) The provisions of this paragraph

(d) other than the provisions of

paragraph (d)(2) of this section do not

apply to any locomotives and

locomotive engines manufactured or

remanufactured on or after January 1,

2002.

(4)(i) NOX credits generated under

this paragraph (d) shall be calculated as

specified in § 92.305, except that the

applicable standard shall be replaced

by:

(A) 10.5 g/bhp-hr for the line-haul

cycle standards, and 14.0 g/bhp-hr for

the switch standards; or

(B) For remanufactured locomotives, a

measured baseline emission rate for the

configuration with the lowest NOX

emission rate in the applicable engine

family that is approved in advance by

the Administrator.

(ii) PM credits generated under this

paragraph (d) shall be calculated as

specified in § 92.305, except that the

applicable standard shall be replaced

by:

(A) 0.20 g/bhp-hr for the line-haul

cycle standards, and 0.24 g/bhp-hr for

the switch standards; or

(B) For remanufactured locomotives, a

measured baseline emission rate for the

configuration with the lowest NOX

emission rate in the applicable engine

family that is approved in advance by

the Administrator.

(iii) The proration factor for all credits

generated under this paragraph (d) shall

be 0.143.

(5) Locomotives and locomotive

engines generating credits under this

paragraph (d) must meet all applicable

requirements of this part.

(e) Particulate notch standards. For

model year 2006 and earlier

locomotives, the particulate notch

standard shall be calculated as:

Notch standard=(EX)×(1.2+(1¥ELHx/

std)).

(f) Passenger locomotives. Passenger

locomotives originally manufactured

before January 1, 2002 are exempt from

the requirements and prohibitions of

this part for model years through 2006.

New passenger locomotives and

locomotive engines produced on or after

January 1, 2007 shall comply with all

applicable requirements of this part.

Subpart B—Test Procedures

§ 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.

§ 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

§ 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.
19010 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

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 °F

(20 °C) and 29.92 in Hg. (101.3 kPa).

§ 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 biodieselfueled 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 §§ 92.105

through 92.111.

(3) Fuel specifications for emission

testing are specified in § 92.113.

Analytical gases are specified in

§ 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

§ 92.107.

(e) Locomotives and locomotive

engines are tested using the test

sequence as detailed in §§ 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.

§ 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 °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

§§ 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).

§ 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 °F (0.6 °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 °F (1.7 °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.
Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations 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

§ 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.

§ 92.106 Equipment for loading the engine.

For purposes of placing the required

load on the engine during an emissions

test, either the equipment specified in

paragraph (a) of this section, or the

equipment specified in paragraph (b) of

this section may be used.

(a) Locomotive testing. (1) The

equipment required for loading the

locomotive engine-alternator/generator

assembly electrically, and for

measurement of the electrical power

output from the alternator/generator

consists of the following, either in total

or in part: electrical resistance load

bank; fans or other means for cooling of

the load bank; wattmeter, including

phase angle compensation; meter(s) for

measurement of the current through the

load bank (a calibrated electrical shunt

and voltmeter is allowed for current

measurement); meter(s) to measure the

voltage across the load bank; and

electrical cable to connect the

alternator/generator to the load bank.

Many locomotives are equipped with an

internal electrical resistance load bank

and fans for cooling of the load bank;

when so equipped, the locomotive load

bank may be used for purposes of

loading the engine during emissions

tests.

(2) The combination of instruments

(meters) used to measure engine or

alternator/generator power output

(wattmeter, ammeter, voltmeter) shall

have accuracy and precision such that

the accuracy of the measured alternator/

generator power out is better than:

(i) 2 percent of point at all power

settings except idle and dynamic brake;

and

(ii) Less accuracy and precision is

allowed at idle and dynamic brake,

consistent with good engineering

practice. Equipment with accuracy or

precision worse than 20 percent of point

is not allowed.

(3) The efficiency curve for the

alternator/generator, shall specify the

efficiency at each test point. The

manufacturer or remanufacturer shall

provide EPA with a detailed description

of the procedures used to establish the

alternator/generator efficiency.

(b) Engine testing. (1) For engine

testing using a dynamometer, the engine

dynamometer system must be capable of

controlling engine torque and speed

simultaneously under steady speed

operation, during accelerations where

the rate of change in torque and speed

is representative of those changes which

occur when the engine is operating in a

locomotive. It must also be capable of

performing the test sequence described

in this subpart. In addition to these

general requirements, the engine or

dynamometer readout signals for speed

and torque shall meet the following

accuracy specifications:

(i) Engine speed readout shall be

accurate to within ±2 percent of the

absolute standard value, as defined in

§ 92.116 of this part.

(ii) Engine flywheel torque readout

shall be accurate to either within ±3

percent of the NIST ‘‘true’’ value torque,

or the following accuracies, whichever

provides the most accurate readout:

(A) ±20 ft.-lbs. of the NIST ‘‘true’’

value if the full scale value is 9000 ft.-

lbs. or less.

(B) ±30 ft.-lbs., of the NIST ‘‘true’’

value if the full scale value is greater

than 9000 ft.-lbs.

(C) Option. Internal dynamometer

signals (i.e., armature current, etc.) may

be used for torque measurement

provided that it can be shown that the

engine flywheel torque during the test

sequence conforms to the accuracy

specifications in paragraph (b)(1)(ii)(A)

or (b)(1)(ii)(B) of this section. Such a

measurement system must include

compensation for increased or

decreased flywheel torque due to the

armature inertia during accelerations

between throttle notch (test mode)

settings in the test.

(2) For engine testing using a

locomotive alternator/generator instead

of a dynamometer, the equipment used

shall comply with the requirements of

paragraph (a) of this section.

§ 92.107 Fuel flow measurement.

(a) Fuel flow measurement for

locomotive and engine testing. The rate

of fuel consumption by the engine must

be measured with equipment

conforming to the following:

(1) The fuel flow rate measurement

instrument must have a minimum

accuracy of ±2 percent of measurement

flow rate for each measurement range

used. An exception is allowed at idle

where the minimum accuracy is ±10

percent of measured flow rate for each

measurement range used. The

measurement instrument must be able

to comply with this requirement with an

averaging time of one minute or less,

except for idle, dynamic brake, and

notches 1 and 2 where the instrument

must be able to comply with this

requirement with an averaging time of

three minutes or less.

(2) The controlling parameters are the

elapsed time measurement of the event

and the weight or volume measurement.

Restrictions on these parameters are:

(i) The error in the elapsed time

measurement of the event must not be

greater than 1 percent of the absolute

event time. This includes errors in

starting and stopping the clock as well

as the period of the clock.

(ii) If the mass of fuel consumed is

measured by discrete weights, then the

error in the actual weight of the fuel

consumed must not be greater than ±1

percent of the measuring weight. An

exception is allowed at idle, where the

error in the actual weight of the fuel

consumed must not be greater than ±2

percent of the measuring weight.

(iii) If the mass of fuel consumed is

measured electronically (load cell, load

beam, etc.), the error in the actual

weight of fuel consumed must not be

greater than ±1 percent of the full-scale

value of the electronic device.

(iv) If the mass of fuel consumed is

measured by volume flow and density,

the error in the actual volume consumed

must not be greater than ±1 percent of

the full-scale value of the volume

measuring device.

(3) For devices that have varying mass

scales (electronic weight, volume,

density, etc.), compliance with the

requirements of paragraph (a)(1) of this

section may require a separate flow

measurement system for low flow rates.

(b) Calibration. Fuel flow rate

measurement devices shall be calibrated

against an independent measurement of

the total mass of fuel dispensed during

a fixed amount of time in accordance

with the following provisions:

(1) Measurement of the total mass

shall have an accuracy and precision of

1 percent of point, or better.

(2) Fuel measurements shall be

performed for at least 10 flow rates

evenly distributed over the entire range

of fuel flow rates used during testing.

(3) For each flow rate, either the total

mass of fuel dispense must exceed 5.0

kilograms (11.0 pounds), or the length of

time during which the fuel is dispensed

must exceed 30 minutes. In all cases,

the length of time during which fuel is

dispensed must be at least 180 seconds.
19012 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

§ 92.108 Intake and cooling air

measurements.

(a) Intake air flow measurement.

Measurement of the flow rate of intake

air into the engine is allowed for engine

testing, but not required. When it is

measured, the measurement technique

shall conform to the following:

(1) The air flow measurement method

used must have a range large enough to

accurately measure the air flow over the

engine operating range during the test.

Overall measurement accuracy must be

±2 percent of full-scale value of the

measurement device for all modes

except idle. For idle, the measurement

accuracy shall be ±5 percent or less of

the full-scale value. The Administrator

must be advised of the method used

prior to testing.

(2) Corrections to the measured air

mass flowrate shall be made when an

engine system incorporates devices that

add or subtract air mass (air injection,

bleed air, etc.). The method used to

determine the air mass from these

devices shall be approved by the

Administrator.

(3) Measurements made in accordance

with SAE recommended practice J244

(incorporated by reference at § 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 nonconditioned 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

§ 92.105(c).

(5) Humidity measurements shall be

accurate within 2 percent of the

measured absolute humidity.

§ 92.109 Analyzer specifications.

(a) General analyzer specifications.—

(1) Analyzer response time. Analyzers

for THC, CO2, CO, and NOX must

respond to an instantaneous step change

at the entrance to the analyzer with a

response equal to 95 percent of that step

change in 6.0 seconds or less on all

ranges used. The step change shall be at

least 60 percent of full-scale chart

deflection. For NOX analyzers using a

water trap, the response time increase

due to the water trap and associated

plumbing need not be included in the

analyzer response time.

(2) Precision. The precision of the

analyzers for THC, CO2, CO, and NOX

must be no greater than ±1 percent of

full-scale concentration for each range

used above 155 ppm (or ppmC), or ±2

percent for each range used below 155

ppm (or ppmC). The precision is

defined as 2.5 times the standard

deviation(s) of 10 repetitive responses to

a given calibration or span gas.

(3) Noise. The analyzer peak-to-peak

response to zero and calibration or span

gases over any 10-second period shall

not exceed 2 percent of full/scale chart

deflection on all ranges used.

(4) Zero drift. For THC, CO2, CO, and

NOX analyzers, the zero-response drift

during a 1-hour period shall be less than

2 percent of full-scale chart deflection

on the lowest range used. The zeroresponse is defined as the mean

response including noise to a zero-gas

during a 30-second time interval.

(5) Span drift. For THC, CO2, CO, and

NOX analyzers, the span drift during a

1-hour period shall be less than 2

percent of full-scale chart deflection on

the lowest range used. The analyzer

span is defined as the difference

between the span-response and the zeroresponse. The span-response is defined

as the mean response including noise to

a span gas during a 30-second time

interval.

(b) Carbon monoxide and carbon

dioxide analyzer specifications. (1)

Carbon monoxide and carbon dioxide

measurements are to be made with

nondispersive infrared (NDIR)

analyzers.

(2) The use of linearizing circuits is

permitted.

(3) The minimum water rejection ratio

(maximum CO2 interference) as

measured in § 92.120(a) shall be:

(i) For CO analyzers, 1000:1.

(ii) For CO2 analyzers, 100:1.

(4) The minimum CO2 rejection ratio

(maximum CO2 interference) as

measured in § 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 °F (2 °C) of the set

point. The detector, oven, and samplehandling components within the oven

shall be suitable for continuous

operation at temperatures to 395°F (200

°C).

(iii) Fuel and burner air shall conform

to the specifications in § 92.112(e).

(iv) The percent of oxygen

interference must be less than 3 percent,

as specified in § 92.119(3).

(v) Premixed burner air. (A) For diesel

and biodiesel fueled engines, premixing

a small amount of air with the HFID fuel

prior to combustion within the HFID

burner is not recommended as a means

of improving oxygen interference

(%O2I). However, this procedure may be

used if the engine manufacturer

demonstrates on each basic combustion

system (i.e., four-cycle direct injection,

two-cycle direct injection, four-cycle

indirect injection, etc.) that an HFID

using this procedure produces

comparable results to an HFID not using

this procedure. These data must be

submitted to the Administrator for his/

her approval prior to testing.

(B) For engines operating on fuels

other than diesel or biodiesel, premixing

burner air with the HFID fuel is not

allowed.

(2) Methane analyzer. The analytical

system for methane consists of a gas

chromatograph (GC) combined with a

flame ionization detector (FID).
Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations 19013

(3) Alcohols and Aldehydes. The

sampling and analysis procedures for

alcohols and aldehydes, where

applicable, shall be approved by the

Administrator prior to the start of

testing. Procedures consistent with the

general requirements of 40 CFR Part 86

for sampling and analysis of alcohols

and aldehydes emitted by on-highway

alcohol-fueled engines, and consistent

with good engineering practice are

allowed.

(4) Other methods of measuring

organics that are shown to yield

equivalent results can be used upon

approval of the Administrator prior to

the start of testing.

(d) Oxides of nitrogen analyzer

specifications. (1) Oxides of nitrogen are

to be measured with a

chemiluminescence (CL) analyzer.

(i) The NOX sample must be heated

per § 92.114 up to the NO2 to NO

converter.

(ii) For high vacuum CL analyzers

with heated capillary modules,

supplying a heated sample to the

capillary module is sufficient.

(iii) The NO2 to NO converter

efficiency shall be at least 90 percent.

(iv) The CO2 quench interference

must be less than 3.0 percent as

measured in § 92.121(a).

§ 92.110 Weighing chamber and microbalance.

(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°C

and 25°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±8 percent during

all filter conditioning and weighing. The

dew point shall be 6.4 to 12.4°C.

(b) Weighing balance specifications.

The microbalance used to determine the

weights of all filters shall have a

precision (standard deviation) of no

more than 20 micrograms and

readability down to 10 micrograms or

lower.

(c) Reference filters. The chamber (or

room) environment shall be free of any

ambient contaminants (such as dust)

that would settle on the particulate

filters during their stabilization. It is

required that at least two unused

reference filters remain in the weighing

room at all times in covered (to reduce

dust contamination) but unsealed (to

permit humidity exchange) petri dishes.

(1) These reference filters shall be

placed in the same general area as the

sample filters. These reference filters

shall be weighed within 4 hours of, but

preferably at the same time as, the

sample filter weighings.

(2) If the average weight of the

reference filters changes between

sample filter weighings by ±5.0 percent

(±7.5 if the filters are weighed in pairs)

or more of the target nominal filter

loading (the recommended nominal

loading is 0.5 milligrams per 1075

square millimeters of stain area), then

all sample filters in the process of

stabilization shall be discarded and the

emissions tests repeated.

(3) If the average weight of the

reference filters decreases between

sample filter weighings by more than

1.0 percent but less than 5.0 percent of

the nominal filter loading then the

manufacturer or remanufacturer has the

option of either repeating the emissions

test or adding the average amount of

weight loss to the net weight of the

sample.

(4) If the average weight of the

reference filters increases between

sample filter weighing by more than 1.0

percent but less than 5.0 percent of the

nominal filter loading, then the

manufacturer or remanufacturer has the

option of either repeating the emissions

test or accepting the measured sample

filter weight values.

(5) If the average weight of the

reference filters changes between

sample filter weighings by not more

than ±1.0 percent, then the measured

sample filter weights shall be used.

(6) The reference filters shall be

changed at least once a month, but

never between clean and used

weighings of a given sample filter. More

than one set of reference filters may be

used. The reference filters shall be the

same size and material as the sample

filters.

§ 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
19014 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

BILLING CODE 6560–50–C
Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations 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 § 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, fullflow 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 fullscale 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 lowpass electronic filter with the following

performance characteristics may be

installed between the smokemeter and

the recorder to achieve the highfrequency attenuation:

(i) Three decibel point: 10 cycles per

second.

(ii) Insertion loss: 0 ±0.5 decibel.

(iii) Selectivity: 12 decibels down at

40 cycles per second minimum.

(iv) Attenuation: 27 decibels down at

40 cycles per second minimum.

(6) Automatic data collection

equipment may be used, provided it is

capable of collecting data equivalent to

or better than the data required by

paragraphs (b)(4) and (5) of this section.

(c)(1) Assembling equipment for

locomotive testing. The optical unit of

the smokemeter shall be mounted

radially to the exhaust duct so that the

measurement will be made at right

angles to the axis of the exhaust plume.

The distance from the optical centerline

to the exhaust outlet shall be

minimized; in all cases it shall be less

than 10 feet. The maximum allowable

distance of unducted space upstream of

the optical centerline is 18 inches. The

full flow of the exhaust stream shall be

centered between the source and

detector apertures (or windows and

lenses) and on the axis of the light

beam.

(2) Assembling equipment for engine

testing. The optical unit of the

smokemeter shall be mounted radially

to the exhaust duct so that the

measurement will be made at right

angles to the axis of the exhaust plume.

The distance from the optical centerline

to the exhaust outlet shall be less than

25 feet. The maximum allowable

distance of unducted space upstream of

the optical centerline is 18 inches. Inline 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.

§ 92.112 Analytical gases.

(a) Gases for the CO and CO2

analyzers shall be single blends of CO

and CO2, respectively, using zero grade

nitrogen as the diluent.

(b) Gases for the hydrocarbon analyzer

shall be single blends of propane using

zero grade air as the diluent.

(c) Gases for the methane analyzer

shall be single blends of methane using

air as the diluent.

(d) Gases for the NOX analyzer shall

be single blends of NO named as NOX

with a maximum NO2 concentration of

5 percent of the nominal value using

zero grade nitrogen as the diluent.

(e) Fuel for the HFID (or FID, as

applicable) and the methane analyzer

shall be a blend of 40±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

(%O2I). If the difference in oxygen

concentration is greater than 1 mole

percent, then the oxygen interference

must be checked and the analyzer

adjusted if necessary, to meet the %O2I

requirements. The burner air must

contain less than 2 ppmC hydrocarbon.

(g) The allowable zero gas (air or

nitrogen) impurity concentrations shall

not exceed 1 ppm equivalent carbon

response, 1 ppm carbon monoxide, 0.04
19016 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

percent (400 ppm) carbon dioxide and

0.1 ppm nitric oxide.

(h)(1) ‘‘Zero-grade air’’ includes

artificial ‘‘air’’ consisting of a blend of

nitrogen and oxygen with oxygen

concentrations between 18 and 21 mole

percent.

(2) Calibration gases shall be accurate

to within ±1 percent of NIST gas

standards, or other gas standards which

have been approved by the

Administrator.

(3) Span gases shall be accurate to

within ±2 percent of NIST gas

standards, or other gas standards which

have been approved by the

Administrator.

(i) Oxygen interference check gases

shall contain propane at a concentration

greater than 50 percent of range. The

concentration value shall be determined

to calibration gas tolerances by

chromatographic analysis of total

hydrocarbons plus impurities or by

dynamic blending. Nitrogen shall be the

predominant diluent with the balance

being oxygen. Oxygen concentration in

the diluent shall be between 20 and 22

percent.

(j) The use of precision blending

devices (gas dividers) to obtain the

required calibration gas concentrations

is acceptable, provided that the blended

gases are accurate to within ±1.5 percent

of NIST gas standards, or other gas

standards which have been approved by

the Administrator. This accuracy

implies that primary gases used for

blending must be ‘‘named’’ to an

accuracy of at least ±1 percent, traceable

to NIST or other approved gas

standards.

§ 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

§ 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,

°F .............................................................................................................................................. D86 ................... 340–400

(°C) ........................................................................................................................................... ........................... (171.1–204.4)

10 pct. point,

°F .............................................................................................................................................. D86 ................... 400–460

(°C) ........................................................................................................................................... ........................... (204.4–237.8)

50 pct. point,

°F .............................................................................................................................................. D86 ................... 470–540

(°C) ........................................................................................................................................... ........................... (243.3–282.2)

90 pct. point,

°F .............................................................................................................................................. D86 ................... 560–630

(°C) ........................................................................................................................................... ........................... (293.3–332.2)

EP,

°F .............................................................................................................................................. D86 ................... 610–690

(°C) ........................................................................................................................................... ........................... (321.1–365.6)

Gravity, °API .................................................................................................................................... D287 ................. 32–37

Total sulfur, pct ............................................................................................................................... D2622 ............... 0.2–0.4

Hydrocarbon composition, pct:

Aromatics, .................................................................................................................................... D5186 ............... 1 27

Paraffins, Naphthenes, Olefins .................................................................................................... D1319 ............... (2)

Flashpoint, min.,

°F ................................................................................................................................................. D93 ................... 130

°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 § 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

§ 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:
Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations 19017

TABLE B113–2

Item Mole

pct.

ASTM

test

method

No.

Value

Methane ............ Min. .. D1945 89.0

Ethane ............... Max. D1945 4.5

C3 and higher .... Max. D1945 2.3

C6 and higher .... Max. D1945 0.2

Oxygen .............. Max. D1945 0.6

Inert gases: Sum

of CO2 and

N2—Odorant 1.

Max. D1945 4.0

1The 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 § 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 § 92.133.

§ 92.114 Exhaust gas and particulate

sampling and analytical system.

(a) General. (1) During emission

testing, the engine exhaust is routed

through an exhaust duct connected to,

or otherwise adjacent to the outlet of the

locomotive exhaust system. Emission

samples are collected as specified in

paragraphs (b) and (c) of this section.

Exhaust duct requirements are specified

in paragraph (d) of this section.

(2) The systems described in this

section are appropriate for use with

locomotives or engines employing a

single exhaust.

(i) For testing where the locomotive or

engine has multiple exhausts all exhaust

streams shall be combined into a single

stream prior to sampling, except as

allowed by paragraph (a)(2)(ii) of this

section.

(ii) For locomotive testing where the

locomotive has multiple exhaust stacks,

proportional samples may be collected

from each exhaust outlet instead of

ducting the exhaust stacks together,

provided that the CO2 concentrations in

each exhaust stream are shown (either

prior to testing or during testing) to be

within 5 percent of each other for each

test mode.

(3) All vents, including analyzer

vents, bypass flow, and pressure relief

vents of regulators, should be vented in

such a manner to avoid endangering

personnel in the immediate area.

(4) Additional components, not

specified here, such as instruments,

valves, solenoids, pumps, switches, and

so forth, may be employed to provide

additional information and coordinate

the functions of the component systems,

provided that their use is consistent

with good engineering practice. Any

variation from the specifications in this

subpart including performance

specifications and emission detection

methods may be used only with prior

approval by the Administrator.

(b) Raw exhaust sampling for gaseous

emissions. (1)(i) An example of the type

of sampling and analytical system

which is to be used for gaseous

emissions testing under this subpart is

shown in Figure B114–1 of this section.

All components or parts of components

that are wetted by the sample or

corrosive calibration gases shall be

either chemically cleaned stainless steel

or other inert material, for example,

polytetrafluoroethylene resin. The use

of ‘‘gauge savers’’ or ‘‘protectors’’ with

nonreactive diaphragms to reduce dead

volumes is permitted. Additional

components such as instruments,

valves, solenoids, pumps, switches, etc.

may be employed to provide additional

information and coordinate the

functions of the component systems.

(ii) System components list. The

following is a list of components shown

in Figure B114–1 of this section by

numeric identifier.

(A) Filters. Glass fiber filter paper is

permitted for the fine particulate filters

(F1, F2, and F3). Optional filter F4 is a

coarse filter for large particulates. Filters

F3 and F4 are heated filters

(B) Flowmeters. Flowmeters FL1 and

FL2 indicate sample flow rates through

the CO and CO2 analyzers. Flowmeters

FL3, FL4, FL5, and FL6 indicate bypass

flow rates.

(C) Gauges. Downstream gauges are

required for any system used for testing

under this subpart. Upstream gauges

may be required under this subpart.

Upstream gauges G1 and G2 measure

the input to the CO and CO2 analyzers.

Downstream gauges G3 and G4 measure

the exit pressure of the CO and CO2

analyzers. If the normal operating range

of the downstream gauges is less than 3

inches of water, then the downstream

gauges must be capable of reading both

pressure and vacuum. Gauges G3 and

G4 are not necessary if the analyzers are

vented directly to atmospheric pressure.

(D) Pressure gauges. P1 is a bypass

pressure gauge; P2, P3, P4, and P5 are

for sample or span pressure at inlet to

flow control valves.

(E) Water traps. Water traps WT1 and

WT2 to remove water from the sample.

A water trap performing the function of

WT1 is required for any system used for

testing under this subpart. Chemical

dryers are not an acceptable method of

removing the water. Water removal by

condensation is acceptable. If water is

removed by condensation, the sample

gas temperature or sample dew point

must be monitored either within the

water trap or downstream; it may not

exceed 45 °F (7 °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
19018 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

perform hang-up checks; V3 and V5 are

selector valves to select sample or span

gases; V4, V6, and V15 are flow control

valves; V9 and V13—heated selector

valve to select sample or span gases;

V10 and V12—heated flow control

valves; V11—Selector valve to select

NOX or bypass mode in the

chemiluminescence analyzer; V16—

heated selector valve to perform leak

checks.

(H) Pump. Sample transfer pump to

transport sample to analyzers.

(I) Temperature sensor. A temperature

sensor (T1) to measure the NO2 to NO

converter temperature is required for

any system used for testing under this

subpart.

(J) Dryer. Dryers D1 and D2 to remove

the water from the bypass flows to

prevent condensation in flowmeters

FL3, FL4, and FL6.

(2) The following requirements must

be incorporated in each gaseous

sampling system used for testing under

this subpart:

(i) The exhaust is analyzed for

gaseous emissions using analyzers

meeting the specifications of § 92.109,

and all analyzers must obtain the

sample to be analyzed from the same

sample probe, and internally split to the

different analyzers.

(ii) Sample transfer lines must be

heated as specified in paragraph (b)(4)

of this section.

(iii) Carbon monoxide and carbon

dioxide measurements must be made on

a dry basis. Specific requirements for

the means of drying the sample can be

found in paragraph (b)(1)(ii)(E) of this

section.

(iv) All NDIR analyzers must have a

pressure gauge immediately

downstream of the analyzer. The gauge

tap must be within 2 inches of the

analyzer exit port. Gauge specifications

can be found in paragraph (b)(1)(ii)(C) of

this section.

(v) All bypass and analyzer flows

exiting the analysis system must be

measured. Capillary flows such as in

HFID and CL analyzers are excluded.

For each NDIR analyzer with a flow

meter located upstream of the analyzer,

an upstream pressure gauge must be

used. The gauge tap must be within 2

inches of the analyzer entrance port.

(vi) Calibration or span gases for the

NOX measurement system must pass

through the NO2 to NO converter.

(vii) The temperature of the NO2 to

NO converter must be displayed

continuously.

(3) Gaseous sample probe. (i) The

gaseous emissions sample probe shall be

a straight, closed end, stainless steel,

multi-hole probe. The inside diameter

shall not be greater than the inside

diameter of the sample line by more

than 0.01 inches (0.03 cm). The wall

thickness of the probe shall not be

greater than 0.04 inches (0.10 cm). The

fitting that attaches the probe to the

exhaust duct shall be as small as

practical in order to minimize heat loss

from the probe.

(ii) The gaseous emissions sample

probe shall have a minimum of three

holes in each 3 inch segment of length

of the probe. The spacing of the radial

planes for each hole in the probe must

be such that they cover approximately

equal cross-sectional areas of the

exhaust duct. The angular spacing of the

holes must be approximately equal. The

angular spacing of any two holes in one

plane may not be 180°±20° (see section

view C–C of Figure B114–2 of this

section). The holes should be sized such

that each has approximately the same

flow. If only three holes are used in each

3 inch segment of probe length, they

may not all be in the same radial plane.

(iii) The sample probe shall be so

located in the center of the exhaust duct

to minimize stratification, with respect

to both concentration and velocity,

present in the exhaust stream. The

probe shall be located between two feet

and five feet downstream of the

locomotive exhaust outlet (or nearest

practical equivalent during engine

testing), and at least 1 foot upstream of

the outlet of the exhaust duct to the

atmosphere.

(iv) If the exhaust duct is circular in

cross section, the sample probe should

extend approximately radially across

the exhaust duct, and approximately

through the center of the duct. The

sample probe must extend across at

least 80 percent of the diameter of the

duct.

(v) If the exhaust duct is not circular

in cross section, the sample probe

should extend across the exhaust duct

approximately parallel to the longest

sides of the duct, or along the longest

axis of the duct which is not a diagonal,

and through the approximate center of

the duct. The sample probe must extend

across at least 80 percent of the longest

axis of the duct which is not a diagonal,

and be approximately parallel to the

longest sides of the duct.

(vi) Other sample probe designs and/

or locations may be used only if

demonstrated (to the Administrator’s

satisfaction) to provides a more

representative sample.

(4) Sample transfer line(s).

(i) The maximum inside diameter of

the gaseous emissions sample line shall

not exceed 0.52 inches (1.32 cm).

(ii) If valve V2 is used, the sample

probe must connect directly to valve V2.

The location of optional valve V2 may

not be greater than 4 feet (1.22 m) from

the exhaust duct.

(iii) The sample transport system from

the engine exhaust duct to the HC

analyzer and the NOX analyzer must be

heated as is indicated in Figure B114–

1 of this section.

(A) For diesel fueled and biodiesel

fueled locomotives and engines, the

wall temperature of the HC sample line

must be maintained at 375 ± 20 °F (191

± 11 °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 °F

(230 °C).

(C) For all fuels, wall temperature of

the NOX sample line must be

maintained between 140 °F (60 °C) and

446 °F (230 °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.
Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations 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°F to

395°F (191°C to 202°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°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

°F (51.7 °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 °F

(20 °C) or greater.

(B) May be filtered at the dilution air

inlet.

(C) May be sampled to determine

background particulate levels, which

can then be subtracted from the values

measured in the exhaust stream.

(D) Shall be sampled to determine the

background concentration of CO2.

(iii) Dilute sample probe and

collection system.

(A) The particulate sample probe in

the dilution tunnel shall be:

(1) Installed facing upstream at a

point where the dilution air and exhaust

are well mixed (i.e., on the tunnel

centerline, approximately 10 tunnel

diameters downstream of the point

where the exhaust enters the dilution

tunnel).

(2) Sufficiently distant (radially) from

other sampling probes so as to be free

from the influence of wakes or eddies

produced by the other probes.

(3) 0.5 in. (1.3 cm) minimum inside

diameter.

(4) The distance from the sampling tip

to the filter holder shall not be more

than 40 inches (102 cm).

(5) Designed to minimize the

deposition of particulate during transfer

(i.e., bends should be as gradual as

possible, protrusions (due to sensors,

etc.) should be smooth and not sudden,

etc.).

(B) The gas meters or flow

instrumentation shall be located

sufficiently distant from the tunnel so

that the inlet gas temperature remains

constant (±5 °F (±2.8 °C)). Alternately,

the temperature of the sample may be

monitored at the gas meter, and the

measured volume corrected to standard

conditions.

(C) Particulate sampling filters.

(1) Fluorocarbon-coated glass fiber

filters or fluorocarbon-based

(membrane) filters are required.

(2) Particulate filters must have a

diameter to maintain the average face

velocity of the sample across the filter

between 35 and 80 cm/s.

(3) The dilute exhaust will be

simultaneously sampled by a pair of

filters (one primary and one back-up

filter) during each phase of the test. The

back-up filter shall be located no more

than 4 inches (10 cm) downstream of

the primary filter. The primary and

back-up filters shall not be in contact

with each other.

(4) The recommended target loading

on a primary 70-mm filter (60 mm

diameter stain area) is 1.3 milligrams.

Equivalent loadings (0.5 mg/1075 mm2

stain area) shall be used as target

loadings when other filter sizes are

used.
19020 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

(D) Diluted CO2 sample collection

system.

(1) The concentrations of CO2 in the

dilution air and diluted exhaust are

determined by pumping a sample into a

sample bag (made of a nonreactive

material) or directly to the analyzer, as

shown in Figure B114–3 of this section.

(2) The sample probe for the diluted

exhaust shall be installed facing

upstream at a point where the dilution

air and exhaust are well mixed (i.e., on

the tunnel centerline, approximately 10

tunnel diameters downstream of the

point where the exhaust enters the

dilution tunnel). It shall also be

sufficiently distant (radially) from other

sampling probes so as to be free from

the influence of any wakes or eddies

produced by the other probes.

(iv) Other sample flow handling and/

or measurement systems may be used if

shown to yield equivalent results and if

approved in advance by the

Administrator. (See Appendix IV of this

part for guidance.)

(d) Exhaust system. The exhaust

system shall meet the following

requirements:

(1) For locomotive testing, the engine

exhaust shall be routed through an

exhaust duct with dimensions equal to

or slightly larger than the dimensions of

the locomotive exhaust outlet. The

exhaust duct shall be designed so as to

not significantly affect exhaust

backpressure.

(2) For engine testing, either a

locomotive-type or a facility-type

exhaust system (or a combination

system) may be used. The exhaust

backpressure for engine testing shall be

set between 90 and 100 percent of the

maximum backpressure that will result

with the exhaust systems of the

locomotives in which the engine will be

used. The facility-type exhaust system

shall meet the following requirements:

(i) It must be composed of smooth

ducting made of typical in-use steel or

stainless steel.

(ii) If an aftertreatment system is

employed, the distance from the exhaust

manifold flange(s), or turbocharger

outlet to any exhaust aftertreatment

device shall be the same as in the

locomotive configuration unless the

manufacturer is able to demonstrate

equivalent performance at another

location.

(iii) If the exhaust system ducting

from the exit of the engine exhaust

manifold or turbocharger outlet to

smoke meter exceeds 12 feet (3.7 m) in

length, then all ducting shall be

insulated consistent with good

engineering practice.

(iv) For engines designed for more

than one exhaust outlet to the

atmosphere, a specially fabricated

collection duct may be used. The

collection duct should be located

downstream of the in-locomotive exits

to the atmosphere. Any potential

increase in backpressure due to the use

of a single exhaust instead of multiple

exhausts may be compensated for by

using larger than standard exhaust

system components in the construction

of the collection duct.

(e) Dilute exhaust sampling for

gaseous and particulate emissions. (1)

Dilution of the exhaust prior to

sampling is allowed for gaseous

emissions. The equipment and methods

used for dilution, sampling and analysis

shall comply with the requirements of

subpart N of part 86 of this chapter,

with the following exceptions and

additional requirements:

(i) Proportional sampling and heat

exchangers are not required;

(ii) Larger minimum dimensions for

the dilution tunnel(s) shall be specified

by the Administrator;

(iii) Other modifications may be made

with written approval from the

Administrator.

(2) Dilution of only a portion of the

exhaust is allowed, provided that:

(i) The fraction of the total exhaust

that is diluted is determined for systems

that determine mass emission rates (g/

hr) from the total volume of the diluted

sample; or

(ii) The ratio of raw sample volume to

diluted sample volume is determined

for systems that determine mass

emission rates (g/hr) from measured fuel

flow rates.

BILLING CODE 6560–50–P
Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations 19021

Figures to § 92.114
19022 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations
Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations 19023
19024 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

BILLING CODE 6560–50–C
Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations 19025

§ 92.115 Calibrations; frequency and

overview.

(a) Calibrations shall be performed as

specified in §§ 92.116 through 92.122.

(b) At least monthly or after any

maintenance which could alter

calibration, perform the periodic

calibrations required by § 92.118(a)(2)

(certain analyzers may require more

frequent calibration depending on the

equipment and use). Exception: the

water rejection ratio and the CO2

rejection ratio on all NDIR analyzers is

only required to be performed quarterly.

(c) At least monthly or after any

maintenance which could alter

calibration, calibrate the engine

dynamometer flywheel torque and

speed measurement transducers, as

specified in § 92.116.

(d) At least monthly or after any

maintenance which could alter

calibration, check the oxides of nitrogen

converter efficiency, as specified in

§ 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

§ 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

§ 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

§§ 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.

§ 92.116 Engine output measurement

system calibrations.

(a) General requirements for

dynamometer calibration. (1) The

engine flywheel torque and engine

speed measurement transducers shall be

calibrated with the calibration

equipment described in this section.

(2) The engine flywheel torque

feedback signals to the cycle verification

equipment shall be electronically

checked before each test, and adjusted

as necessary.

(3) Other engine dynamometer system

calibrations shall be performed as

dictated by good engineering practice.

(4) When calibrating the engine

flywheel torque transducer, any lever

arm used to convert a weight or a force

through a distance into a torque shall be

used in a horizontal position (±5

degrees).

(5) Calibrated resistors may not be

used for engine flywheel torque

transducer calibration, but may be used

to span the transducer prior to engine

testing.

(b) Dynamometer calibration

equipment—(1) Torque calibration

equipment. Two techniques are allowed

for torque calibration. Alternate

techniques may be used if shown to

yield equivalent accuracies. The NIST

‘‘true’’ value torque is defined as the

torque calculated by taking the product

of an NIST traceable weight or force and

a sufficiently accurate horizontal lever

arm distance, corrected for the hanging

torque of the lever arm.

(i) The lever-arm dead-weight

technique involves the placement of

known weights at a known horizontal

distance from the center of rotation of

the torque measuring device. The

equipment required is:

(A) Calibration weights. A minimum

of six calibration weights for each range

of torque measuring device used are

required. The weights must be

approximately equally spaced and each

must be traceable to NIST weights

within 0.1 percent. Laboratories located

in foreign countries may certify

calibration weights to local government

bureau standards. Certification of

weight by state government Bureau of

Weights and Measures is acceptable.

Effects of changes in gravitational

constant at the test site may be

accounted for if desired.

(B) Lever arm. A lever arm with a

minimum length of 24 inches is

required. The horizontal distance from

the centerline of the engine torque

measurement device to the point of

weight application shall be accurate to

within ±0.10 inches. The arm must be

balanced, or the hanging torque of the

arm must be known to within ±0.1 ftlbs.

(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

§ 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.
19026 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

(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)×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 loadcell 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 warmup.

(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 § 92.115, using a

calibration procedure that is consistent

with good engineering practice and

approved by the Administrator.

§ 92.117 Gas meter or flow

instrumentation calibration, particulate

measurement.

(a) Sampling for particulate emissions

requires the use of gas meters or flow

instrumentation to determine flow

through the particulate filters. These

instruments shall receive initial and

monthly calibrations as follows:

(1)(i) Install a calibration device in

series with the instrument. A critical

flow orifice, a bellmouth nozzle, or a

laminar flow element or an NIST

traceable flow calibration device is

required as the standard device.

(ii) The flow system should be

checked for leaks between the

calibration and sampling meters,

including any pumps that may be part

of the system, using good engineering

practice.

(2) Flow air through the calibration

system at the sample flow rate used for

particulate testing and at the

backpressure which occurs during the

sample test.

(3) When the temperature and

pressure in the system have stabilized,

measure the indicated gas volume over

a time period of at least five minutes or

until a gas volume of at least ±1 percent

accuracy can be determined by the

standard device. Record the stabilized

air temperature and pressure upstream

of the instrument and as required for the

standard device.

(4) Calculate air flow at standard

conditions as measured by both the

standard device and the instrument(s).

(5) Repeat the procedures of

paragraphs (a)(2) through (4) of this

section using at least two flow rates

which bracket the typical operating

range.

(6) If the air flow at standard

conditions measured by the instrument

differs by ±1.0 percent of the maximum

operating range or ±2.0 percent of the

point (whichever is smaller), then a

correction shall be made by either of the

following two methods:

(i) Mechanically adjust the instrument

so that it agrees with the calibration

measurement at the specified flow rates

using the criteria of paragraph (a)(6) of

this section; or

(ii) Develop a continuous best fit

calibration curve for the instrument (as

a function of the calibration device flow

measurement) from the calibration

points to determine corrected flow. The

points on the calibration curve relative

to the calibration device measurements

must be within ±1.0 percent of the

maximum operating range of ±2.0

percent of the point through the filter.

(b) Other systems. A bell prover may

be used to calibrate the instrument if the

procedure outlined in ANSI B109.1–

1992 (incorporated by reference at

§ 92.5) is used. Prior approval by the

Administrator is not required to use the

bell prover.

§ 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 § 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

§§ 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
Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations 19027

concentration used, stop the time

measurement.

(iv) If the elapsed time is more than

20.0 seconds, make necessary

adjustments.

(v) Repeat with the CO, CO2, and NOX

instruments and span gases.

(2) Option. If the following parameters

are determined, the initial system

response time may be generally applied

to future checks:

(i) Analyzer and bypass flow rates. (A)

Determine by experimentation the

minimum analyzer and bypass flow

rates individually and in combination

that will produce a response time as

close as possible to 20.0 seconds per

paragraph (c)(1) of this section.

(B) Record the highest minimum flow

rate for each flow meter as determined

in paragraph (c)(2)(i)(A) of this section.

(ii) Capillary flow analyzers. This

procedure is applicable only to

analyzers that have sample capillaries

such as the HFID and CL analyzers. It

is also assumed that the system has

sample/span valves that perform the

function of valves V9 and V13 in.

(A) Operate the analyzer(s) at the inuse capillary pressure.

(B) Adjust the bypass flow rate to the

flow rate recorded in paragraph

(c)(2)(i)(B) of this section.

(C) Measure and record the response

time from the sample/span valve(s) per

paragraph (c)(1) of this section.

(D) The response time required by

paragraph (c)(2)(ii)(C) of this section can

be determined by switching from the

‘‘sample’’ position to the ‘‘span’’

position of the sample/span valve and

observing the analyzer response on a

chart recorder. Normally, the ‘‘sample’’

position would select a ‘‘room air’’

sample and the ‘‘span’’ position would

select a span gas.

(E) Adjust the bypass flow rate to the

normal in-use value.

(F) Measure and record the response

time from the sample/span valve(s) per

paragraph (c)(1) of this section.

(G) Determine the slowest response

time (step in paragraph (c)(2)(ii)(C) of

this section or step in paragraph

(c)(2)(ii)(D) of this section) and add 2

seconds to it.

§ 92.119 Hydrocarbon analyzer calibration.

The HFID hydrocarbon analyzer shall

receive the following initial and

periodic calibration:

(a) Initial and periodic optimization of

detector response. Prior to introduction

into service and at least annually

thereafter, the HFID hydrocarbon

analyzer shall be adjusted for optimum

hydrocarbon response. Alternate

methods yielding equivalent results may

be used, if approved in advance by the

Administrator.

(1) Follow good engineering practices

for initial instrument start-up and basic

operating adjustment using the

appropriate fuel (see § 92.112) and zerograde air.

(2) Optimize on the most common

operating range. Introduce into the

analyzer a propane-in-air mixture with

a propane concentration equal to

approximately 90 percent of the most

common operating range.

(3) HFID optimization is performed:

(i) According to the procedures

outlined in Society of Automotive

Engineers (SAE) paper No. 770141,

‘‘Optimization of Flame Ionization

Detector for Determination of

Hydrocarbons in Diluted Automobile

Exhaust’’, author, Glenn D. Reschke

(incorporated by reference at § 92.5); or

(ii) According to the following

procedures:

(A) If necessary, follow

manufacturer’s instructions for

instrument start-up and basic operating

adjustments.

(B) Set the oven temperature 5 °C

hotter than the required sample-line

temperature. Allow at least one-half

hour after the oven has reached

temperature for the system to

equilibrate.

(C) Initial fuel flow adjustment. With

the fuel and air-flow rates set at the

manufacturer’s recommendations,

introduce a 350 ppmC ±75 ppmC span

gas to the detector. Determine the

response at a given fuel flow from the

difference between the span-gas

response and the zero-gas response.

Incrementally adjust the fuel flow above

and below the manufacturer’s

specification. Record the span and zero

response at these fuel flows. A plot of

the difference between the span and

zero response versus fuel flow will be

similar to the one shown in Figure

B119–1 of this section. Adjust the fuelflow rate to the rich side of the curve,

as shown. This is initial flow-rate

setting and may not be the final

optimized flow rate.

(D) Oxygen interference optimization.

Choose a range where the oxygen

interference check gases (see § 92.112)

will fall in the upper 50 percent.

Conduct this test with the oven

temperature set as required. Oxygen

interference check gas specifications are

found in § 92.112.

(1) Zero the analyzer.

(2) Span the analyzer with the 21-

percent oxygen blend.

(3) Recheck zero response. If it has

changed more than 0.5 percent of full

scale repeat paragraphs (a)(3)(ii)(D) (1)

and (2) of this section.

(4) Introduce the 5 percent and 10

percent oxygen interference check gases.

(5) Recheck the zero response. If it has

changed more ±1 percent of full scale,

repeat the test.

(6) Calculate the percent of oxygen

interference (%O2I) for each mixture in

step in paragraph (a)(3)(ii)(D)(4) of this

section.

Percent O2I=((B-Analyzer response

(ppmC))/B)×(100)

Analyzer response=((A)/(Percent of fullscale analyzer response due to

A))×(Percent of full-scale analyzer

response due to B)

Where:

A=hydrocarbon concentration (ppmC) of the

span gas used in step in paragraph

(a)(3)(ii)(D)(2) of this section.

B=hydrocarbon concentration (ppmC) of the

oxygen interference check gases used in

step in paragraph (a)(3)(ii)(D)(4) of this

section.

(7) The percent of oxygen interference

(%O2I) must be less than ±3.0 percent

for all required oxygen interference

check gases prior to testing.

(8) If the oxygen interference is greater

than the specifications, incrementally

adjust the air flow above and below the

manufacturer’s specifications, repeating

paragraphs (a)(3)(ii)(D) (1) through (7) of

this section for each flow.

(9) If the oxygen interference is greater

than the specification after adjusting the

air flow, vary the fuel flow and

thereafter the sample flow, repeating

paragraphs (a)(3)(ii)(D) (1) through (7) of

this section for each new setting.

(10) If the oxygen interference is still

greater than the specifications, repair or

replace the analyzer, FID fuel, or burner

air prior to testing. Repeat this section

with the repaired or replaced equipment

or gases.

(E) Linearity check. For each range

used, check linearity as follows:

(1) With the fuel flow, air flow and

sample flow adjust to meet the oxygen

interference specification, zero the

analyzer.

(2) Span the analyzer using a

calibration gas that will provide a

response of approximately 90 percent of

full-scale concentration.

(3) Recheck the zero response. If it has

changed more than 0.5 percent of full

scale, repeat steps in paragraphs

(a)(3)(ii)(E) (1) and (2) of this seciton.

(4) Record the response of calibration

gases having nominal concentrations of

30, 60, and 90 percent of full-scale

concentration. It is permitted to use

additional concentrations.

(5) Perform a linear least square

regression on the data generated. Use an

equation of the form y = mx, where x

is the actual chart deflection and y is the

concentration.
19028 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

(6) Use the equation z = y/m to find

the linear chart deflection (z) for each

calibration gas concentration (y).

(7) Determine the linearity (%L) for

each calibration gas by:

Percent L=(100)(z¥x)/(Full-scale linear

chart deflection)

(8) The linearity criterion is met if the

%L is less than ±2 percent for each data

point generated. Below 40 ppmC the

linearity criterion may be expanded to

±4 percent. For each emission test, a

calibration curve of the form y = mx is

to be used. The slope (m) is defined for

each range by the spanning process.

(9) If the %L for any point exceeds the

specifications in step in paragraph

(a)(3)(ii)(E)(8) of this section, the air

fuel, and sample-flow rates may be

varied within the boundaries of the

oxygen interference specifications.

(10) If the %L for any data point still

exceeds the specifications, repair or

replace the analyzer, FID fuel, burner

air, or calibration bottles prior to testing.

Repeat the procedures of this section

with the repaired or replaced equipment

or gases.

(F) Optimized flow rates. The fuelflow rate, air-flow rate and sample-flow

rate and sample-flow rate are defined as

‘‘optimized’’ at this point.

(iii) Alternative procedures may be

used if approved in advance by the

Administrator.

(4) After the optimum flow rates have

been determined they are recorded for

future reference.

(b) Initial and periodic calibration.

Prior to introduction into service and

monthly thereafter, the HFID

hydrocarbon analyzer shall be calibrated

on all normally used instrument ranges.

Use the same flow rate and pressures as

when analyzing samples. Calibration

gases shall be introduced directly at the

analyzer.

(1) Adjust analyzer to optimize

performance.

(2) Zero the hydrocarbon analyzer

with zero-grade air.

(3) Calibrate on each used operating

range with propane-in-air calibration

gases having nominal concentrations of

15, 30, 45, 60, 75 and 90 percent of that

range. For each range calibrated, if the

deviation from a least-squares best-fit

straight line is 2 percent or less of the

value at each data point, concentration

values may be calculated by use of

single calibration factor for that range. If

the deviation exceeds 2 percent at any

point, the best-fit non-linear equation

which represents the data to within 2

percent of each test point shall be used

to determine concentration.

BILLING CODE 6560–50–P
Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations 19029

Figure to § 92.119

BILLING CODE 6560–50–C
19030 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

§ 92.120 NDIR analyzer calibration and

checks.

(a) NDIR water rejection ratio check.

(1) Zero and span the analyzer on the

lowest range that will be used.

(2) Introduce a saturated mixture of

water and zero gas at room temperature

directly to the analyzer.

(3) Determine and record the analyzer

operating pressure (GP) in absolute

units in Pascal. Gauges G3 and G4 may

be used if the values are converted to

the correct units.

(4) Determine and record the

temperature of the zero-gas mixture.

(5) Record the analyzers’ response

(AR) in ppm to the saturated zero-gas

mixture.

(6) For the temperature recorded in

paragraph (a)(4) of this section,

determine the saturation vapor pressure.

(7) Calculate the water concentration

(Z) in the mixture from:

Z=(PWB/GP)(106)

(8) Calculate the water rejection ratio

(WRR) from:

WRR=(Z/AR)

(b) NDIR CO2 rejection ratio check. (1)

Zero and span the analyzer on the

lowest range that will be used.

(2) Introduce a CO2 calibration gas of

at least 10 percent CO2 or greater to the

analyzer.

(3) Record the CO2 calibration gas

concentration in ppm.

(4) Record the analyzers’ response

(AR) in ppm to the CO2 calibration gas.

(5) Calculate the CO2 rejection ratio

(CO2RR) from:

CO2RR=(ppm CO2)/AR

(c) NDIR analyzer calibration. (1)

Detector optimization. If necessary,

follow the manufacturer’s instructions

for initial start-up and basic operating

adjustments.

(2) Calibration curve. Develop a

calibration curve for each range used as

follows:

(i) Zero the analyzer.

(ii) Span the analyzer to give a

response of approximately 90 percent of

full-scale chart deflection.

(iii) Recheck the zero response. If it

has changed more than 0.5 percent of

full scale, repeat steps in paragraphs

(c)(2)(i) and (c)(2)(ii) of this section.

(iv) Record the response of calibration

gases having nominal concentrations of

15, 30, 45, 60, 75, and 90 percent of fullscale concentration.

(v) Generate a calibration curve. The

calibration curve shall be of fourth order

or less, have five or fewer coefficients,

and be of the form of equation (1) or (2).

Include zero as a data point.

Compensation for known impurities in

the zero gas can be made to the zerodata point. The calibration curve must

fit the data points within 2 percent of

point or 1 percent of full scale,

whichever is less. Equations (1) and (2)

follow:

y = Ax4 + Bx3 + Cx2 + Dx + E (1)

y = x/(Ax4 + Bx3 + Cx2 + Dx + E) (2)

where:

y = concentration.

x = chart deflection.

(vi) Option. A new calibration curve

need not be generated if:

(A) A calibration curve conforming to

paragraph (c)(2)(v) of this section exists;

(B) The responses generated in

paragraph (c)(2)(iv) of this section are

within 1 percent of full scale or 2

percent of point, whichever is less, of

the responses predicted by the

calibration curve for the gases used in

paragraph (c)(2)(iv) of this section.

(vii) If multiple range analyzers are

used, only the lowest range must meet

the curve fit requirements below 15

percent of full scale.

(3) If any range is within 2 percent of

being linear a linear calibration may be

used. To determine if this criterion is

met:

(i) Perform a linear least-square

regression on the data generated. Use an

equation of the form y=mx, where x is

the actual chart deflection and y is the

concentration.

(ii) Use the equation z=y/m to find the

linear chart deflection (z) for each

calibration gas concentration (y).

(iii) Determine the linearity (%L) for

each calibration gas by:

Percent L=(100)(z¥x)/(Full-scale chart

deflection)

(iv) The linearity criterion is met if

the %L is less than ±2 percent for each

data point generated. For each emission

test, a calibration curve of the form

y=mx is to be used. The slope (m) is

defined for each range by the spanning

process.

§ 92.121 Oxides of nitrogen analyzer

calibration and check.

(a) Quench checks; NOX analyzer. (1)

Perform the reaction chamber quench

check for each model of high vacuum

reaction chamber analyzer prior to

initial use.

(2) Perform the reaction chamber

quench check for each new analyzer

that has an ambient pressure or ‘‘soft

vacuum’’ reaction chamber prior to

initial use. Additionally, perform this

check prior to reusing an analyzer of

this type any time any repairs could

potentially alter any flow rate into the

reaction chamber. This includes, but is

not limited to, sample capillary, ozone

capillary, and if used, dilution capillary.

(3) Quench check as follows:

(i) Calibrate the NOX analyzer on the

lowest range that will be used for

testing.

(ii) Introduce a mixture of CO2

calibration gas and NOX calibration gas

to the CL analyzer. Dynamic blending

may be used to provide this mixture.

Dynamic blending may be accomplished

by analyzing the CO2 in the mixture.

The change in the CO2 value due to

blending may then be used to determine

the true concentration of the NOX in the

mixture. The CO2 concentration of the

mixture shall be approximately equal to

the highest concentration experienced

during testing. Record the response.

(iii) Recheck the calibration. If it has

changed more than ±1 percent of full

scale, recalibrate and repeat the quench

check.

(iv) Prior to testing, the difference

between the calculated NOX response

and the response of NOX in the presence

of CO2 (step in paragraph (a)(3)(ii) of

this section must not be greater than 3.0

percent of full-scale. The calculated

NOX response is based on the

calibration performed in step in

paragraph (a)(3)(i) of this section.

(b) Oxides of nitrogen analyzer

calibration. (1) Every 30 days, perform

a converter-efficiency check (see

paragraph (b)(2) of this section) and a

linearity check (see paragraph (b)(3) of

this section).

(2) Converter-efficiency check. The

apparatus described and illustrated in

Figure B121–1 of this section is to be

used to determine the conversion

efficiency of devices that convert NO2 to

NO. The following procedure is to be

used in determining the values to be

used in the equation below:

(i) Follow the manufacturer’s

instructions for instrument startup and

operation.

(ii) Zero the oxides of nitrogen

analyzer.

(iii) Connect the outlet of the NOX

generator to the sample inlet of the

oxides of nitrogen analyzer which has

been set to the most common operating

range.

(iv) Introduce into the NOX generatoranalyzer system a span gas with a NO

concentration equal to approximately 80

percent of the most common operating

range. The NO2 content of the gas

mixture shall be less than 5 percent of

the NOX concentration.

(v) With the oxides of nitrogen

analyzer in the NO Mode, record the

concentration of NO indicated by the

analyzer.

(vi) Turn on the NOX generator O2 (or

air) supply and adjust the O2 (or air)

flow rate so that the NO indicated by the

analyzer is about 10 percent less than

indicated in step in paragraph (b)(2)(v)
Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations 19031

of this section. Record the concentration

of NO in this NO + O2 mixture.

(vii) Switch the NOX generator to the

generation mode and adjust the

generation rate so that the NO measured

on the analyzer is 20 percent of that

measured in step in paragraph (b)(2)(v)

of this section. There must be at least 10

percent unreacted NO at this point.

Record the concentration of residual

NO.

(viii) Switch the oxides of nitrogen

analyzer to the NOX mode and measure

total NOX. Record this value.

(ix) Switch off the NOX generation,

but maintain gas flow through the

system. The oxides of nitrogen analyzer

will indicate the total NOX in the NO +

O2 mixture. Record this value.

(x) Turn off the NOX generator O2 (or

air) supply. The analyzer will now

indicate the total NOX in the original

NO in N2 mixture. This value should be

no more than 5 percent above the value

indicated in step in paragraph (b)(2)(iv)

of this section.

(xi) Calculate the efficiency of the

NOX converter by substituting the

concentrations obtained into the

following equation:

(A) Percent Efficiency=(1+(a¥b)/

(c¥d))(100)

where:

a=concentration obtained in paragraph

(b)(2)(viii) of this section.

b=concentration obtained in paragraph

(b)(2)(ix) of this section.

c=concentration obtained in paragraph

(b)(2)(vi) of this section.

d=concentration obtained in paragraph

(b)(2)(vii) of this section.

(B) The efficiency of the converter

shall be greater than 90 percent.

Adjustment of the converter

temperature may be necessary to

maximize the efficiency. If the converter

does not meet the conversion-efficiency

specifications, repair or replace the unit

prior to testing. Repeat the procedures

of this section with the repaired or new

converter.

(3) Linearity check. For each range

used, check linearity as follows:

(i) With the operating parameters

adjusted to meet the converter efficiency

check and the quench checks, zero the

analyzer.

(ii) Span the analyzer using a

calibration gas that will give a response

of approximately 90 percent of full-scale

concentration.

(iii) Recheck the zero response. If it

has changed more than 0.5 percent of

full scale, repeat steps in paragraphs

(b)(3)(i) and (b)(3)(ii) of this section.

(iv) Record the response of calibration

gases having nominal concentrations of

30, 60 and 90 percent of full-scale

concentration. It is permitted to use

additional concentrations.

(v) Perform a linear least-square

regression on the data generated. Use an

equation of the form y=mx where x is

the actual chart deflection and y is the

concentration.

(vi) Use the equation z=y/m to find

the linear chart deflection (z) for each

calibration gas concentration (y).

(vii) Determine the linearity (%L) for

each calibration gas by:

Percent L=(100)(z¥x)/(Full-scale chart

deflection)

(viii) The linearity criterion is met if

the %L is less than ±2 percent of each

data point generated. For each emission

test, a calibration curve of the form

y=mx is to be used. The slope (m) is

defined for each range by the spanning

process.

(ix) If the %L exceeds ±2 percent for

any data point generated, repair or

replace the analyzer or calibration

bottles prior to testing. Repeat the

procedures of this section with the

repaired or replaced equipment or gases.

(x) Perform a converter-efficiency

check (see paragraph (b)(2) of this

section).

(xi) The operating parameters are

defined as ‘‘optimized’’ at this point.

(4) Converter checking gas. If the

converter quick-check procedure is to be

employed, paragraph (b)(5) of this

section, a converter checking gas bottle

must be named. The following naming

procedure must occur after each

converter efficiency check, paragraph

(b)(2) of this section.

(i) A gas bottle with an NO2

concentration equal to approximately 80

percent of the most common operation

range shall be designated as the

converter checking gas bottle. Its NO

concentration shall be less than 25

percent of its NO2 concentration, on a

volume basis.

(ii) On the most common operating

range, zero and span the analyzer in the

NOX mode. Use a calibration gas with a

concentration equal to approximately 80

percent of the range for spanning.

(iii) Introduce the converter checking

gas. Analyze and record concentrations

in both the NOX mode (X) and NO mode

(Y).

(iv) Calculate the concentration of the

converter checking gas using the results

from step in paragraph (b)(4)(iii) of this

section and the converter efficiency

from paragraph (b)(2) of this section as

follows:

Concentration=(((X–Y)(100))/

Efficiency)+Y

(5) Converter quick-check.

(i) Span the analyzer in the normal

manner (NOX mode) for the most

common operating range.

(ii) Analyze the converter checking

gas in the NOX mode, record the

concentration.

(iii) Compare the observed

concentration with the concentration

assigned under the procedure in

paragraph (b)(4) of this section. If the

observed concentration is equal to or

greater than 90 percent of the assigned

concentration, the converter operation is

satisfactory.

(c) Initial and periodic calibration.

Prior to its introduction into service and

monthly thereafter, the

chemiluminescent oxides of nitrogen

analyzer shall be calibrated on all

normally used instrument ranges. Use

the same flow rate as when analyzing

samples. Proceed as follows:

(1) Adjust analyzer to optimize

performance.

(2) Zero the oxides of nitrogen

analyzer with zero-grade air or zerograde nitrogen.

(3) Calibrate on each normally used

operating range with NO-in-N2

calibration gases with nominal

concentrations of 15, 30, 45, 60, 75 and

90 percent of that range. For each range

calibrated, if the deviation from a leastsquares best-fit straight line is 2 percent

or less of the value at each data point,

concentration values may be calculated

by use of a single calibration factor for

that range. If the deviation exceeds 2

percent at any point, the best-fit nonlinear equation which represents the

data to within 2 percent of each test

point shall be used to determine

concentration.

(d) If a stainless steel NO2 to NO

converter is used, condition all new or

replacement converters. The

conditioning consists of either purging

the converter with air for a minimum of

4 hours or until the converter efficiency

is greater than 90 percent. The converter

must be at operational temperature

while purging. Do not use this

procedure prior to checking converter

efficiency on in-use converters.

BILLING CODE 6560–50–P
19032 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

Figure to § 92.121

BILLING CODE 6560–50–C
Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations 19033

§ 92.122 Smoke meter calibration.

The smokemeter shall be checked

according to the following procedure

prior to each test:

(a) The zero control shall be adjusted

under conditions of ‘‘no smoke’’ to give

a recorder or data collection equipment

response of zero;

(b) Calibrated neutral density filters

having approximately 10, 20, and 40

percent opacity shall be employed to

check the linearity of the instrument.

The filter(s) shall be inserted in the light

path perpendicular to the axis of the

beam and adjacent to the opening from

which the beam of light from the light

source emanates, and the recorder

response shall be noted. Filters with

exposed filtering media should be

checked for opacity every six months;

all other filters shall be checked every

year, using NIST or equivalent reference

filters. Deviations in excess of 1 percent

of the nominal opacity shall be

corrected.

§ 92.123 Test procedure; general

requirements.

(a) The locomotive/locomotive engine

test procedure is designed to determine

the brake specific emissions of

hydrocarbons (HC, total or non-methane

as applicable), total hydrocarbon

equivalent (THCE) and aldehydes (as

applicable), carbon monoxide (CO),

oxides of nitrogen (NOX), and

particulates, and the opacity of smoke

emissions. The test procedure consists

of measurements of brake specific

emissions and smoke opacity at each

throttle position and of measurements of

smoke opacity during each change in

throttle position as engine power is

increased. If less than 2 percent of the

total exhaust flow is removed for

gaseous and particulate sampling in

notches 1 through 8, and if less than 4

percent of the total exhaust flow is

removed for gaseous and particulate

sampling at idle and dynamic brake, all

measurements of gaseous, particulate

and smoke emissions may be performed

during one test sequence. If more than

2 percent, or 4 percent as applicable, of

the total exhaust is removed for gaseous

and particulate sampling, measurements

of gaseous, and particulate emissions

are performed during one test sequence,

and a second test sequence is performed

for the measurement of smoke.

(1) In the raw exhaust sampling

procedure, sample is collected directly

from the exhaust stream during each

throttle setting. Particulates are

collected on filters following dilution

with ambient air of another raw exhaust

sample. The fuel flow rate for each

throttle setting is measured.

(2) For locomotives with multiple

exhaust stacks, smoke testing is only

required for one of the exhaust stacks

provided the following conditions are

met:

(i) The stack that is not tested is not

visibly smokier than the stack that is

tested; and

(ii) None of the measured opacity

values for the stack tested are not greater

than three-quarters of the level allowed

by any of the applicable smoke

standards.

(b) The test consists of prescribed

sequences of engine operating

conditions (see §§ 92.124 and 92.126) to

be conducted either on a locomotive; or

with the engine mounted on an engine

dynamometer, or attached to a

locomotive alternator/generator.

(1) Locomotive testing. (i) The

electrical power output produced by the

alternator/generator at each throttle

setting is recorded as measurements of

either the wattmeter or the output

voltage, phase angle, and current flow

through the electrical resistance bank.

(ii) The locomotive fuel supply

system shall be disconnected and a

system capable of measuring the net rate

at which fuel is supplied to the engine

(accounting for fuel recycle) shall be

connected.

(2) Engine testing. (i) When the test is

performed using a dynamometer, engine

torque and rpm shall be recorded during

each throttle setting.

(ii) The complete engine shall be

tested, with all emission control

devices, and charge air cooling

equipment installed and functioning.

(iii) On air-cooled engines, the engine

cooling fan shall be installed.

(iv) Additional accessories (e.g., air

compressors) shall be installed or their

loading simulated if typical of the in-use

application. In the case of simulated

accessory loadings, the manufacturer

shall make available to the

Administrator documentation which

shows that the simulated loading is

representative of in-use operation.

Power for accessories necessary to

operate the engine (such as fuel pumps)

shall be treated as parasitic losses and

would not be included in the engine

power output for purposes of

calculating brake specific emissions.

(v) The engine may be equipped with

a production type starter.

(vi) Means of engine cooling shall be

used which will maintain the engine

operating temperatures (e.g.,

temperatures of intake air downstream

of charge air coolers, oil, water, etc.) at

approximately the same temperature as

would occur in a locomotive at each test

point under the equivalent ambient

conditions. In the case of engine intake

air after compression and cooling in the

charge air cooler(s), the temperature of

the air entering the engine shall be

within ±5°F, at each test point, of the

typical temperatures occurring in

locomotive operations under ambient

conditions represented by the test.

Auxiliary fan(s) may be used to

maintain engine cooling during

operation on the dynamometer. Rust

inhibitors and lubrication additives may

be used, up to the levels recommended

by the additive manufacturer. If

antifreeze is to be used in the

locomotive application, antifreeze

mixtures and other coolants typical of

those approved for use in the

locomotive may be used.

(vii) The provisions of paragraph

(b)(1)(i) of this section apply to engine

testing using a locomotive alternator/

generator instead of a dynamometer.

§ 92.124 Test sequence; general

requirements.

(a) Air temperature. (1) The

temperature of dilution air for the

particulate sample dilution tunnel shall

comply with the requirements of

§ 92.114 throughout the test sequence.

(2) For the testing of locomotives and

engines, the ambient (test cell or out-ofdoor) air temperature, the temperature

of the engine intake air, and the

temperature of the air which provides

cooling for the engine charge air cooling

system shall be between 45°F (7°C) and

105°F (41°C) throughout the test

sequence. Manufacturers and

remanufacturers may test at higher

temperatures without approval from the

Administrator, but no corrections are

allowed for the deviations from test

conditions.

(b) For the testing of locomotives and

engines, the atmospheric pressure shall

be between 31.0 inches Hg and 26.0

inches Hg throughout the test sequence.

Manufacturers and remanufacturers may

test at lower pressures without approval

from the Administrator, but no

corrections are allowed for the

deviations from test conditions.

(c) No control of humidity is required

for ambient air, engine intake air or

dilution air.

(d)Flow restrictions. (1) Locomotive

testing. Restrictions to the flow of air

into the engine and of exhaust out of the

engine shall be those inherent to the

locomotive. No adjustments or changes

shall be made to these parameters. The

temperature of the inlet fuel to the

engine shall not exceed 125°F.

(2) Engine testing. (i) Air inlet and

exhaust restrictions shall be set to

represent the average restrictions which

would be seen in use in a representative

application.
19034 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

(ii) Inlet depression and exhaust

backpressure shall be set with the

engine operating at rated speed and

maximum power, i.e., throttle notch 8.

(iii) The locations at which the inlet

depression and exhaust backpressure

are measured shall be specified by the

manufacturer or remanufacturer.

(iv) The settings shall be made during

the preconditioning.

(e) Pre-test engine measurements (e.g.,

idle and throttle notch speeds, fuel

flows, etc.), pre-test engine performance

checks (e.g., verification of engine

power, etc.) and pre-test system

calibrations (e.g., inlet and exhaust

restrictions, etc.) can be done during

engine preconditioning, or at the

manufacturer’s convenience subject to

the requirements of good engineering

practice.

(f) The required test sequence is

described in Table B124–1 of this

section, as follows:

TABLE B124–1.—TEST SEQUENCE FOR LOCOMOTIVES AND LOCOMOTIVE ENGINES

Mode No. Notch setting Time in notch Emissions

measured 2

Power, and

fuel consumption

measured

Warmup ............................................................... Notch 8 ........................ 5 ± 1 min .................................... None ................. None.

Warmup ............................................................... Lowest Idle .................. 15 min maximum ........................ None ................. None.

1a ......................................................................... Low Idle 1 ..................... 6 min minimum ........................... All ..................... Both.

1 ........................................................................... Normal Idle .................. 6 min minimum ........................... All ..................... Both.

2 ........................................................................... Dynamic Brake 1 .......... 6 min minimum ........................... All ..................... Both.

3 ........................................................................... Notch 1 ........................ 6 min minimum ........................... All ..................... Both.

4 ........................................................................... Notch 2 ........................ 6 min minimum ........................... All ..................... Both.

5 ........................................................................... Notch 3 ........................ 6 min minimum ........................... All ..................... Both.

6 ........................................................................... Notch 4 ........................ 6 min minimum ........................... All ..................... Both.

7 ........................................................................... Notch 5 ........................ 6 min minimum ........................... All ..................... Both.

8 ........................................................................... Notch 6 ........................ 6 min minimum ........................... All ..................... Both.

9 ........................................................................... Notch 7 ........................ 6 min minimum ........................... All ..................... Both.

10 ......................................................................... Notch 8 ........................ 15 min minimum ......................... All ..................... Both.

1Omit if not so equipped.

2The EPA test sequence for locomotives and locomotive engines may be performed once, with gaseous, particulate and smoke measurements performed simultaneously, or it may be performed twice with gaseous, and particulate measurements performed during one test sequence

and smoke measurements performed during the other test sequence.

§ 92.125 Pre-test procedures and

preconditioning.

(a) Locomotive testing. (1) Determine

engine lubricating oil and coolant levels

and fill as necessary to manufacturers

recommended full levels.

(2) Connect fuel supply system and

purge as necessary; determine that the

fuel to be used during emission testing

is in compliance with the specifications

of § 92.113.

(3) Install instrumentation, engine

loading equipment and sampling

equipment as required.

(4) Operate the engine until it has

reached the specified operating

temperature.

(b) Engine testing. (1) Determine

engine lubricating oil level and fill as

necessary to manufacturers

recommended full level.

(2)(i) Connect fuel supply system and

purge as necessary; determine that the

fuel to be used during emission testing

is in compliance with the specifications

of § 92.113.

(ii) Connect engine cooling system.

(3) Install instrumentation, and

sampling equipment as required. Couple

the engine to the dynamometer or

locomotive alternator/generator.

(4) Start cooling system.

(5) Operate the engine until it has

reached the specified operating

temperature.

(6) Establish that the temperature of

intake air entering the engine after

compression and cooling in the charge

air cooler(s), at each test point, is within

±5 °F of the temperatures which occur

in locomotive operations at the ambient

temperature represented by the test.

(c) Both locomotive and engine

testing. (1) Allow a minimum of 30

minutes warm-up in the stand-by or

operating mode prior to spanning the

analyzers.

(2) Replace or clean filter elements

(sampling and analytical systems) as

necessary, and then vacuum leak check

the system, § 92.118. A pressure leak

check is also permitted per § 92.118.

Allow the heated sample line, filters,

and pumps to reach operating

temperature.

(3) Perform the following system

checks:

(i) If a stainless steel NO2 to NO

converter is used, purge the converter

with air (zero-grade air, room air, or O2)

for a minimum of 30 minutes. The

converter must be at operational

temperature while purging.

(ii) Check the sample system

temperatures (see § 92.114).

(iii) Check the system response time

(see § 92.118). System response time

may be applied from the most recent

check of response time if all of the

following are met:

(A) The flow rate for each flow meter

is equal to or greater than the flow rate

recorded in § 92.118.

(B) For analyzers with capillaries, the

response time from the sample/span

valve is measured using in-use

pressures and bypass flows (see

§ 92.118).

(C) The response time measured in

step in paragraph (c)(3)(iii)(B) of this

section is equal to or less than the

slowest response time determined for

Capillary flow analyzers in § 92.118

plus 2 seconds.

(iv) A hang-up check is permitted.

(v) A converter-efficiency check is

permitted. The check need not conform

to § 92.121. The test procedure may be

aborted at this point in the procedure in

order to repair the NO2 to NO converter.

If the test is aborted, the converter must

pass the efficiency check described in

§ 92.121 prior to starting the test run.

(4) Introduce the zero-grade gases at

the same flow rates and pressures used

to calibrate the analyzers and zero the

analyzers on the lowest anticipated

range that will be used during the test.

Immediately prior to each test, obtain a

stable zero for each anticipated range

that will be used during the test.

(5) Introduce span gases to the

instruments under the same flow

conditions as were used for the zero

gases. Adjust the instrument gains on

the lowest range that will be used to

give the desired value. Span gases

should have a concentration greater

than 70 percent of full scale for each
Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations 19035

range used. Immediately prior to each

test, record the response to the span gas

and the span-gas concentration for each

range that will be used during the test.

(6) Check the zero responses. If they

have changed more than 0.5 percent of

full scale, repeat paragraphs (c)(4) and

(5) of this section.

(7) Check system flow rates and

pressures. Note the values of gauges for

reference during the test.

§ 92.126 Test run.

(a) The following steps shall be taken

for each test:

(1) Prepare the locomotive, engine,

dynamometer, (as applicable) and

sampling system for the test. Change

filters, etc. and leak check as necessary.

(2) Connect sampling equipment as

appropriate for the sampling procedure

employed; i.e. raw or dilute (evacuated

sample collection bags, particulate, and

raw exhaust sampling equipment,

particulate sample filters, fuel flow

measurement equipment, etc.).

(3) Start the particulate dilution

tunnel, the sample pumps, the engine

cooling fan(s) (engine dynamometer

testing) and the data collection and

sampling systems (except particulate

sample collection). The heated

components of any continuous sampling

systems(s) (if applicable) shall be

preheated to their designated operating

temperatures before the test begins.

(4) Adjust the sample flow rates to the

desired flow rates and set gas flow

measuring devices to zero (particulate

dilution tunnel).

(5) Read and record all required

general and pre-test data (i.e., all

required data other than data that can

only be collected during or after the

emission test).

(6) Warm-up the locomotive or

locomotive engines according to normal

warm-up procedures.

(7) Begin the EPA Test Sequence for

Locomotives and Locomotive Engines

(see § 92.124). Record all required

general and test data throughout the

duration of the test sequence.

(i) Mark the start of the EPA Test

Sequence for Locomotives and

Locomotive Engines on all data records.

(ii) Begin emission measurement after

completing the warmup phase of the

EPA Test Sequence for Locomotives and

Locomotive Engines, as specified in

paragraph (b) of this section. Mark the

start and end of each mode on all data

records.

(iii) A mode shall be voided where the

requirements of this subpart that apply

to that test mode are not met. This

includes the following:

(A) The data acquisition is terminated

prematurely; or

(B) For engine testing, the engine

speed or power output exceeds the

tolerance bands established for that

mode; or

(C) Measured concentrations exceed

the range of the instrument; or

(D) The test equipment malfunctions.

(iv) Modes within the test sequence

shall be repeated if it is voided during

the performance of the test sequence. A

mode can be repeated by:

(A) Repeating the two preceding

modes and then continuing with the test

sequence, provided that the locomotive

or engine is not shut down after the

voided test mode; or

(B) Repeating the preceding mode and

then continuing with the test sequence

from that point, provided that the

locomotive or engine is not operated in

any mode with lower power than the

preceding mode after the voided test

mode. For example, if the Notch 2 mode

is voided, then the locomotive or engine

would be returned to Notch 1 while any

repairs are made.

(b) Sampling and measurement

timing. (1) Gaseous emissions shall be

sampled and measured continuously.

(2)(i) Sampling of particulate

emissions from the raw exhaust (for

dilution) shall be conducted

continuously.

(ii) Sampling of particulates from the

diluted exhaust shall begin within ten

seconds after the beginning of each test

mode, and shall end six minutes after

the beginning of each test mode.

(iii) Sampling of CO2 in the dilution

air and diluted exhaust does not need to

be continuous, but the measurements

used for the calculations must be made

after the first two minutes of each mode.

(3) Fuel flow rate shall be measured

continuously. The value reported for the

fuel flow rate shall be a one-minute

average of the instantaneous fuel flow

measurements taken during the last

minute of the minimum sampling

period listed in Table B124–1 in

§ 92.124; except for testing during idle

modes, where it shall be a three-minute

average of the instantaneous fuel flow

measurements taken during the last

three minutes of the minimum sampling

period listed in Table B124–1 in

§ 92.124. Sampling periods greater than

one minute, but no greater than three

minutes are allowed for modes 2, 3, and

4, where required by good engineering

practice.

(4) Engine power shall be measured

continuously. The value reported for the

engine power shall be a one-minute

average of the instantaneous power

measurements taken during the last

minute of the minimum sampling

period listed in Table B124–1 in

§ 92.124.

(c) Exhaust gas measurements. (1)

Should the analyzer response exceed

100 percent of full scale or respond less

than 15 percent of full scale, the next

higher or lower analyzer range shall be

used.

(2) Each analyzer range that may be

used during a test sequence must have

the zero and span responses recorded

prior to the execution of the test

sequence. Only the range(s) used to

measure the emissions during a test

sequence are required to have their zero

and span recorded after the completion

of the test sequence.

(3) It is permitted to change filter

elements between test modes, provided

such changes do not cause a mode to be

voided.

(4) A leak check is permitted between

test modes, provided such changes do

not cause a mode to be voided.

(5) A hang-up check is permitted

between test modes, provided such

changes do not cause a mode to be

voided.

(6) If, during the emission

measurement portions of a test, the

value of the gauges downstream of the

NDIR analyzer(s) differs by more than

±2 inches of water from the pretest

value, the test is void.

(7)(i) For bag samples, as soon as

possible transfer the exhaust and

dilution air bag samples to the

analytical system and process the

samples.

(ii) A stabilized reading of the exhaust

sample bag on all applicable analyzers

shall be made within 20 minutes of the

end of the sample collection phase of

the mode.

§ 92.127 Emission measurement accuracy.

(a) Good engineering practice dictates

that exhaust emission sample analyzer

readings below 15 percent of full scale

chart deflection should generally not be

used.

(b) Some high resolution read-out

systems such as computers, data loggers,

etc., can provide sufficient accuracy and

resolution below 15 percent of full

scale. Such systems may be used

provided that additional calibrations are

made to ensure the accuracy of the

calibration curves. The following

procedure for calibration below 15

percent of full scale may be used:

(1) If a 16-point gas divider is used,

50 percent of the calibration points shall

be below 10 percent of full scale. The

gas divider shall conform to the

accuracy requirements specified in

§ 92.112.

(2) If a 7- or 9-point gas divider is

used, the gas divider shall conform to

the accuracy requirements specified in
19036 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

§ 92.112, and shall be used according to

the following procedure:

(i) Span the full analyzer range using

a top range calibration gas meeting the

calibration gas accuracy requirements of

§ 92.112.

(ii) Generate a calibration curve

according to, and meeting the applicable

requirements of §§ 92.118 through

92.122.

(iii) Select a calibration gas (a span

gas may be used for calibrating the CO2

analyzer) with a concentration between

the two lowest non-zero gas divider

increments. This gas must be ‘‘named’’

to an accuracy of ±1.0 percent (±2.0

percent for CO2 span gas) of NIST gas

standards, or other standards approved

by the Administrator.

(iv) Using the calibration curve fitted

to the points generated in paragraphs

(b)(2)(i) and (ii) of this section, check

the concentration of the gas selected in

paragraph (b)(2)(iii) of this section. The

concentration derived from the curve

shall be within ±2.3 percent (±2.8

percent for CO2 span gas) of the gas’

original named concentration.

(v) Provided the requirements of

paragraph (b)(2)(iv) of this section are

met, use the gas divider with the gas

selected in paragraph (b)(2)(iii) of this

section and determine the remainder of

the calibration points. Fit a calibration

curve per §§ 92.118 through 92.122 for

the entire analyzer range.

§ 92.128 Particulate handling and

weighing.

(a) At least 1 hour before the test,

place each filter in a closed (to eliminate

dust contamination) but unsealed (to

permit humidity exchange) petri dish

and place in a weighing chamber

meeting the specifications of § 92.110(a)

of this section for stabilization.

(b) At the end of the stabilization

period, weigh each filter on the

microbalance. This reading is the tare

weight and must be recorded.

(c) The filter shall then be stored in

a covered petri dish or a sealed filter

holder until needed for testing. If the

filters are transported to a remote test

location, the filter pairs, stored in

individual petri dishes, should be

transported in sealed plastic bags to

prevent contamination. At the

conclusion of a test run, the filters

should be removed from the filter

holder, and placed face to face in a

covered but unsealed petri dish, with

the primary filter placed face up in the

dish. The filters shall be weighed as a

pair. If the filters need to be transported

from a remote test site, back to the

weighing chamber, the petri dishes

should be placed in a sealed plastic bag

to prevent contamination. Care should

be taken in transporting the used filters

such that they are not exposed to

excessive, sustained direct sunlight, or

excessive handling.

(d) After the emissions test, and after

the sample and back-up filters have

been returned to the weighing room

after being used, they must be

conditioned for at least 1 hour but not

more than 80 hours and then weighed.

This reading is the gross weight of the

filter and must be recorded.

(e) The net weight of each filter is its

gross weight minus its tare weight.

Should the sample on the filter contact

the petri dish or any other surface, the

test is void and must be rerun.

(f) The particulate filter weight (Pf) is

the sum of the net weight of the primary

filter plus the net weight of the backup

filter.

(g) The following optional weighting

procedure is permitted:

(1) At the end of the stabilization

period, weigh both the primary and

back-up filters as a pair. This reading is

the tare weight and must be recorded.

(2) After the emissions test, in

removing the filters from the filter

holder, the back-up filter is inverted on

top of the primary filter. They must then

be conditioned in the weighing chamber

for at least 1 hour but not more than 80

hours. The filters are then weighed as a

pair. This reading is the gross weight of

the filters (Pf) and must be recorded.

(3) Paragraphs (a), (c), and (e) of this

section apply to this option, except that

the word ‘‘filter’’ is replaced by

‘‘filters’’.

§ 92.129 Exhaust sample analysis.

(a) The analyzer response may be read

by automatic data collection (ADC)

equipment such as computers, data

loggers, etc. If ADC equipment is used

the following is required:

(1) The response complies with

§ 92.130.

(2) The response required in

paragraph (a)(1) of this section may be

stored on long-term computer storage

devices such as computer tapes, storage

discs, or they may be printed in a listing

for storage. In either case a chart

recorder is not required and records

from a chart recorder, if they exist, need

not be stored.

(3) If the data from ADC equipment is

used as permanent records, the ADC

equipment and the analyzer values as

interpreted by the ADC equipment are

subject to the calibration specifications

in §§ 92.118 through 92.122, as if the

ADC equipment were part of the

analyzer.

(b) Data records from any one or a

combination of analyzers may be stored

as chart recorder records.

(c) Software zero and span.

(1) The use of ‘‘software’’ zero and

span is permitted. The process of

software zero and span refers to the

technique of initially adjusting the

analyzer zero and span responses to the

calibration curve values, but for

subsequent zero and span checks the

analyzer response is simply recorded

without adjusting the analyzer gain. The

observed analyzer response recorded

from the subsequent check is

mathematically corrected back to the

calibration curve values for zero and

span. The same mathematical correction

is then applied to the analyzer’s

response to a sample of exhaust gas in

order to compute the true sample

concentration.

(2) The maximum amount of software

zero and span mathematical correction

is ±10 percent of full scale chart

deflection.

(3) Software zero and span may be

used to switch between ranges without

adjusting the gain of the analyzer.

(4) The software zero and span

technique may not be used to mask

analyzer drift. The observed chart

deflection before and after a given time

period or event shall be used for

computing the drift. Software zero and

span may be used after the drift has

been computed to mathematically adjust

any span drift so that the ‘‘after’’ span

check may be transformed into the

‘‘before’’ span check for the next mode.

(d) For sample analysis perform the

following sequence:

(1) Warm-up and stabilize the

analyzers; clean and/or replace filter

elements, conditioning columns (if

used), etc., as necessary.

(2) Leak check portions of the

sampling system that operate at negative

gauge pressures when sampling, and

allow heated sample lines, filters,

pumps, etc., to stabilize at operating

temperature.

(3) Optional: Perform a hang-up check

for the HFID sampling system:

(i) Zero the analyzer using zero air

introduced at the analyzer port.

(ii) Flow zero air through the overflow

sampling system, where an overflow

system is used. Check the analyzer

response.

(iii) If the overflow zero response

exceeds the analyzer zero response by 2

percent or more of the HFID full-scale

deflection, hang-up is indicated and

corrective action must be taken.

(iv) The complete system hang-up

check specified in paragraph (f) of this

section is recommended as a periodic

check.

(4) Obtain a stable zero reading.

(5) Zero and span each range to be

used on each analyzer used prior to the
Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations 19037

beginning of the test sequence. The span

gases shall have a concentration

between 75 and 100 percent of full scale

chart deflection. The flow rates and

system pressures shall be approximately

the same as those encountered during

sampling. The HFID analyzer shall be

zeroed and spanned through the

overflow sampling system, where an

overflow system is used.

(6) Re-check zero response. If this zero

response differs from the zero response

recorded in paragraph (d)(5) of this

section by more than 1 percent of full

scale, then paragraphs (d) (4), (5), and

(6) of this section should be repeated.

(7) If a chart recorder is used, identify

and record the most recent zero and

span response as the pre-analysis

values.

(8) If ADC equipment is used,

electronically record the most recent

zero and span response as the preanalysis values.

(9) Measure (or collect a sample of)

the emissions continuously during each

mode of the test cycle. Indicate the start

of the test, the range(s) used, and the

end of the test on the recording medium

(chart paper or ADC equipment).

Maintain approximately the same flow

rates and system pressures used in

paragraph (d)(5) of this section.

(10) (i) Collect background HC, CO,

CO2, and NOX in a sample bag

(optional).

(ii) Measure the concentration of CO2

in the dilution air and the diluted

exhaust for particulate measurements.

(11) Perform a post-analysis zero and

span check for each range used at the

conditions specified in paragraph (d)(5)

of this section. Record these responses

as the post-analysis values.

(12) Neither the zero drift nor the

span drift between the pre-analysis and

post-analysis checks on any range used

may exceed 3 percent for HC, or 2

percent for NOX, CO, and CO2, of full

scale chart deflection, or the test is void.

(If the HC drift is greater than 3 percent

of full-scale chart deflection,

hydrocarbon hang-up is likely.)

(13) Determine HC background levels

(if necessary) by introducing the

background sample into the overflow

sample system.

(14) Determine background levels of

NOX, CO, or CO2 (if necessary).

(e) HC hang-up. If HC hang-up is

indicated, the following sequence may

be performed:

(1) Fill a clean sample bag with

background air.

(2) Zero and span the HFID at the

analyzer ports.

(3) Analyze the background air

sample bag through the analyzer ports.

(4) Analyze the background air

through the entire sample probe system.

(5) If the difference between the

readings obtained is 2 percent or more

of the HFID full scale deflection:

(i) Clean the sample probe and the

sample line;

(ii) Reassemble the sample system;

(iii) Heat to specified temperature;

and

(iv) Repeat the procedure in this

paragraph (e).

§ 92.130 Determination of steady-state

concentrations.

(a)(1) For HC and NOX emissions, a

steady-state concentration

measurement, measured after 300

seconds (or 840 seconds for notch 8) of

testing shall be used instead of an

integrated concentration for the

calculations in § 92.132 if the

concentration response meets either of

the criteria of paragraph (b) of this

section and the criterion of paragraph

(c) of this section.

(2) For CO and CO2 emissions, a

steady-state concentration

measurement, measured after 300

seconds (or 840 seconds for notch 8) of

testing shall be used. The provisions of

paragraphs (b) through (f) of this section

do not apply for CO and CO2 emissions.

(b) (1) The steady-state concentration

is considered representative of the

entire measurement period if the timeweighted concentration is not more than

10 percent higher than the steady-state

concentration. The time-weighted

concentration is determined by

integrating the concentration response

(with respect to time in seconds) over

the first 360 seconds (or 900 seconds for

notch 8) of measurement, and dividing

the area by 360 seconds (or 900 seconds

for notch 8).

(2) A steady-state concentration is

considered representative of the entire

measurement period if the estimated

peak area is not more than 10 percent

of the product of the steady-state

concentration and 360 seconds (or 900

seconds for notch 8). The estimated

peak area is calculated as follows, and

as shown in Figure B130–1 of this

section):

(i) Draw the peak baseline as a straight

horizontal line intersecting the steadystate response.

(ii) Measure the peak height from the

baseline with the same units as the

steady-state concentration; this value is

h.

(iii) Bisect the peak height by drawing

a straight horizontal line halfway

between the top of the peak and the

baseline.

(iv) Draw a straight line from the top

of the peak to the baseline such that it

intersects the response curve at the

same point at which the line described

in paragraph (b)(2)(iii) of this section

intersects the response curve.

(v) Determine the time between the

point at which the notch was changed

and the point at which the line

described in paragraph (b)(2)(iv) of this

section intersects the baseline; this

value is t.

(vi) The estimated peak area is equal

to the product of h and t, divided by 2.

(c) In order to be considered to be a

steady-state measurement, a measured

response may not vary by more than 5

percent after the first 60 seconds of

measurement.

(d) For responses meeting either of the

criteria of paragraph (b) of this section,

but not meeting the criterion of

paragraph (c) of this section, one of the

following values shall be used instead of

a steady-state or integrated

concentration:

(1) The highest value of the response

that is measured after the first 60

seconds of measurement (excluding

peaks lasting less than 5 seconds,

caused by such random events as the

cycling of an air compressor); or

(2) The highest 60-second, timeweighted, average concentration of the

response after the first 60 seconds of

measurement.

(e) For responses not meeting the

criterion in paragraph (c) of this section,

the Administrator may require that the

manufacturer or remanufacturer identify

the cause of the variation, and

demonstrate that it is not caused by a

defeat device.

(f) The integrated concentration used

for calculations shall be from the

highest continuous 120 seconds of

measurement.

(g) Compliance with paragraph (b)(2)

of this section does not require

calculation where good engineering

practice allows compliance to be

determined visually (i.e., that the area of

the peak is much less than the limits set

forth in paragraph (b)(2) of this section).

BILLING CODE 6560–50–P
19038 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

Figure to § 92.130

BILLING CODE 6560–50–C
Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations 19039

§ 92.131 Smoke, data analysis.

The following procedure shall be used

to analyze the smoke test data:

(a) Locate each throttle notch test

mode, or percent rated power setting

test mode. Each test mode starts when

the throttle is placed in the mode and

ends when the throttle is moved to the

succeeding mode. The start of the first

idle mode corresponds to the start of the

test sequence.

(b) Analyze the smoke trace by means

of the following procedure:

(1) Locate the highest reading, and

integrate the highest 3-second average

reading around it.

(2) Locate and integrate the highest

30-second average reading.

(3) The highest reading occurring

more than two minutes after the notch

change (excluding peaks lasting less

than 5 seconds, caused by such random

events as the cycling of an air

compressor) is the ‘‘steady-state’’ value.

(c)(1) The values determined in

paragraph (b) of this section shall be

normalized by the following equation:

N N n m

L

= × − − 



 





















100 1 1

100

1

Where:

Nn is the normalized percent opacity, Nm is

the average measured percent opacity

(peak or steady-state), and L is actual

distance in meters from the point at

which the light beam enters the exhaust

plume to the point at which the light

beam leaves the exhaust plume.

(2) The normalized opacity values

determined in paragraph (c)(1) of this

section are the values that are compared

to the standards of subpart A of this part

for determination of compliance.

(d) This smoke trace analysis may be

performed by direct analysis of the

recorder traces, or by computer analysis

of data collected by automatic data

collection equipment.

§ 92.132 Calculations.

(a) Duty-cycle emissions. This section

describes the calculation of duty-cycle

emissions, in terms of grams per brake

horsepower hour (g/bhp-hr). The

calculation involves the weighted

summing of the product of the throttle

notch mass emission rates and dividing

by the weighted sum of the brake

horsepower. The final reported dutycycle emission test results are calculated

as follows:

(1)(i) Eidc=(Σ (Mij) (Fj))/(Σ (BHPj) (Fj))

Where:

Eidc=Duty-cycle weighted, brake-specific

mass emission rate of pollutant i (i.e.,

HC, CO, NOX or PM and, if appropriate,

THCE or NMHC) in grams per brake

horsepower-hour;

Mij=the mass emission rate pollutant i for

mode j;

Fj=the applicable weighting factor listed in

Table B132–1 for mode j;

BHPj=the measured brake horsepower for

mode j.

(ii) Table B132–1 follows:

TABLE B132–1.—WEIGHTING FACTORS FOR CALCULATING EMISSION RATES

Throttle notch setting Test mode

Locomotive not equipped

with multiple idle notches

Locomotive equipped with

multiple idle notches

Line-haul Switch Line-haul Switch

Low Idle .................................................................................................... 1a NA NA 0.190 0.299

Normal Idle ............................................................................................... 1 0.380 0.598 0.190 0.299

Dynamic Brake ......................................................................................... 2 0.125 0.000 0.125 0.000

Notch 1 ..................................................................................................... 3 0.065 0.124 0.065 0.124

Notch 2 ..................................................................................................... 4 0.065 0.123 0.065 0.123

Notch 3 ..................................................................................................... 5 0.052 0.058 0.052 0.058

Notch 4 ..................................................................................................... 6 0.044 0.036 0.044 0.036

Notch 5 ..................................................................................................... 7 0.038 0.036 0.038 0.036

Notch 6 ..................................................................................................... 8 0.039 0.015 0.039 0.015

Notch 7 ..................................................................................................... 9 0.030 0.002 0.030 0.002

Notch 8 ..................................................................................................... 10 0.162 0.008 0.162 0.008

(2) Example: for the line-haul cycle,

for locomotives equipped with normal

and low idle, and with dynamic brake,

the brake-specific emission rate for HC

would be calculated as:

EHCdc=[(MHCla) (0.190)+(MHC1)

(0.190)+(MHC2) (0.125)+(MHC3)

(0.065)+(MHC4) (0.065)+(MHC5)

(0.052)+(MHC6) (0.044)+(MHC7)

(0.038)+(MHC8) (0.039)+(MHC9)

(0.030)+(MHC10) (0.162)]/[(BHP1a)

(0.190)+(BHP1) (0.190)+(BHP2)

(0.125)+(BHP3) (0.065)+(BHP4)

(0.065)+(BHP5) (0.052)+(BHP6)

(0.044)+(BHP7) (0.038)+(BHP8)

(0.039)+(BHP9) (0.030)+(BHP10)

(0.162)]

(3) In each mode, brake horsepower

output is the power that the engine

delivers as output (normally at the

flywheel), as defined in § 92.2.

(i) For locomotive testing (or engine

testing using a locomotive alternator/

generator instead of a dynamometer),

brake horsepower is calculated as:

BHP=HPout/Aeff+HPacc

Where:

HPout=Measured horsepower output of the

alternator/generator.

Aeff=Efficiency of the alternator/generator.

HPacc=Accessory horsepower.

(ii) For engine dynamometer testing,

brake horsepower is determined from

the engine speed and torque.

(4) For locomotive equipped with

features that shut the engine off after

prolonged periods of idle, the measured

mass emission rate Mi1 (and Mi1a as

applicable) shall be multiplied by a

factor equal to one minus the estimated

fraction reduction in idling time that

will result in use from the shutdown

feature. Application of this adjustment

is subject to the Administrator’s

approval.

(b) Throttle notch emissions. This

paragraph (b) describes the calculation

of throttle notch emissions for all

operating modes, including: idle

(normal and low, as applicable);

dynamic brake; and traction power

points. The throttle notch (operating

mode) emission test results, final

reported values and values used in

paragraph (a)(1) of this section are

calculated as follows:

(1) Brake specific emissions (Eij) in

grams per brake horsepower-hour of

each species i (i.e., HC, CO, NOX or PM

and, if appropriate, THCE or NMHC) for

each mode j:

(i) EHC mode=HC grams/BHP-hr=MHC

mode/Measured BHP in mode.

Where:

MHC mode=Mass HC emissions (grams per

hour) for each test mode.
19040 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

(ii) ETHCE mode=THCE grams/BHPhr=MTHCE mode/Measured BHP in

mode.

Where:

MTHCE mode (Total hydrocarbon equivalent

mass emissions (grams per hour) for each

test mode):

=MHCj+Σ (Mij) (MWCp)/MWCi

Mij=the mass emission rate oxygenated

pollutant i for mode j.

MWCi=the molecular weight of pollutant i

divided by the number of carbon atoms

per molecule of pollutant i.

MWCp=the molecular weight of a typical

petroleum fuel component divided by

the number of carbon atoms per

molecule of a typical petroleum fuel

component=13.8756.

(iii) ENMHC mode=NMHC grams/BHPhr=MNMHC mode/Measured BHP in

mode.

Where:

MNMHC mode=Mass NMHC emissions (grams

per hour) for each test mode.

(iv) ECO mode=CO grams/BHP-hr=MCO

mode/Measured BHP in mode.

Where:

MCO mode=Mass CO emissions (grams per

hour) for each test mode.

(v) ENOx mode=NOX grams/BHP–hr=MNOx

mode/Measured BHP in mode.

Where:

MNOx mode=Mass NOX emissions (grams per

hour) for each test mode.

(vi) EPM mode=PM grams/BHP–hr=MPM

mode/Measured BHP in mode.

Where:

MPM mode=Mass PM emissions (grams per

hour) for each test mode.

(vii) EAL mode=Aldehydes grams/BHP–

hr=MAL mode/Measured BHP in

mode.

(vii) EAL mode=Aldehydes grams/BHP–

hr=MAL mode/Measured BHP in

mode.

Where:

MAL mode=Total aldehyde mass emissions

(grams per hour) for each test mode.

(2) Mass Emissions—Raw exhaust

measurements. For raw exhaust

measurements mass emissions (grams

per hour) of each species for each mode:

(i) General equations. (A) The mass

emission rate, MX mode (g/hr), of each

pollutant (HC, NOX, CO2, CO, CH4

CH3OH, CH3CH2OH, CH2O, CH3CH2O)

for each operating mode for raw

measurements is determined based on

one of the following equations:

MX mode=(DX/106)(DVol)(MWX/Vm)

MX mode=(WX/106)(WVol)(MWX/Vm)

Where:

X designates the pollutant (e.g., HC), DX is

the concentration of pollutant X (ppm or

ppmC) on a dry basis, MWX is the

molecular weight of the pollutant (g/

mol), DVol is the total exhaust flow rate

(ft3/hr) on a dry basis, WX is the

concentration of pollutant X (ppm or

ppmC) on a wet basis, WVol is the total

exhaust flow rate (ft3/hr) on a wet basis,

Vm is the volume of one mole of gas at

standard temperature and pressure (ft3/

mol).

(B) All measured volumes and

volumetric flow rates must be corrected

to standard temperature and pressure

prior to calculations.

(ii) The following abbreviations and

equations apply to this paragraph (b)(2):

α=Atomic hydrogen/carbon ratio of the

fuel.

β=Atomic oxygen/carbon ratio of the

fuel.

CMWf=Molecular weight of the fuel per

carbon atom, or carbon molecular

weight (g/

moleC)=(12.011+1.008α+16.000β).

DCO=CO concentration in exhaust, ppm

(dry).

DCO2=CO2 concentration in exhaust,

percent (dry).

DHC=HC carbon concentration in

exhaust, ppm C (dry).

DNOX=NOX concentration in exhaust,

in ppm (dry).

DVol=Total exhaust flow rate (ft3/hr) on

a dry basis; or

=(Vm)(Wf)/((CMWf) (DHC/106+DCO/

106+DCO2/100)).

K=Water gas equilibrium constant=3.5.

Kw=Wet to dry correction factor.

MF=Mass flow-rate of fuel used in the

engine in lb/hr=Wf/453.59.

MWC=Atomic weight of carbon=12.011.

MWCO=Molecular weight of CO=28.011.

MWH=Atomic weight of

hydrogen=1.008.

MWNO2=Molecular weight of nitrogen

dioxide (NO2)=46.008.

MWO=Molecular weight of atomic

oxygen=16.000.

T=Temperature of inlet air (°F).

Vm=Volume of one mole of gas at

standard temperature and pressure

(ft3/mole).

Wf=Mass flow-rate of fuel used in the

engine, in grams/hr=(453.59)×(Mf

lbs/hr).

WCO2=CO2 concentration in exhaust,

percent (wet).

WHC=HC concentration in exhaust,

ppm C (wet).

WVol=Total exhaust flow rate (ft3/hr) on

a wet basis; or

=(Vm)(Wf)/((CMWf)(WHC/106+WCO/106

WCO2/100)).

(iii) Calculation of individual

pollutant masses. Calculations for mass

emission are shown here in multiple

forms. One set of equations is used

when sample is analyzed dry (equations

where the concentrations are expressed

as DX), and the other set is used when

the sample is analyzed wet (equations

where the concentrations are expressed

as WX). When samples are analyzed for

some constituents dry and for some

constituents wet, the wet concentrations

must be converted to dry

concentrations, and the equations for

dry concentrations used. Also, the

equations for HC, NMHC, CO, and NOX

have multiple forms that are

algebraically equivalent: An explicit

form that requires intermediate

calculation of Vm and DVol or WVol;

and an implicit form that uses only the

concentrations (e.g., DCO) and the mass

flow rate of the fuel. For these

calculations, either form may be used.

(A) Hydrocarbons and nonmethane

hydrocarbons.

(1) Hydrocarbons. (i) For petroleumfueled engines:

MHC mode

=(DHC)CMWf(DVol)(106)/Vm

=((DHC/106)(Wf)/((DCO/106)+(DCO2/

100)+ (DHC/106)+(ΣDX/106)))

MHC mode

=(WHC)CMWf(WVol)(106)/Vm

=((WHC/106)(Wf)/((WCO/

106)+(WCO2/100)+ (WHC/

106)+(Σ(WX/106)))

(ii) For alcohol-fueled engines:

DHC=FID HC¥Σ(rx)(DX)

WHC=FID HC¥Σ(rx)(WX)

Where:

FID HC=Concentration of ‘‘hydrocarbon’’

plus other organics such as methanol in

exhaust as measured by the FID, ppm

carbon equivalent.

rx=FID response to oxygenated

species×(methanol, ethanol, or

acetaldehyde).

DX=Concentration of oxygenated

species×(methanol, ethanol, or

acetaldehyde) in exhaust as determined

from the dry exhaust sample, ppm

carbon (e.g., DCH3OH, 2(DCH3CH2OH)).

WX=Concentration of oxygenated

species×(methanol, ethanol, or

acetaldehyde) in exhaust as determined

from the wet exhaust sample, ppm

carbon.

ΣDX=The sum of concentrations DX for all

oxygenated species.

ΣWX=The sum of concentrations WX for all

oxygenated species.

(2) Nonmethane hydrocarbons:

MNMHC mode=(DNMHC)CMWf(DVol)

(106)/Vm

=((DNMHC/106)(Wf)/((DCO/106)+(DCO2/

100)+(DHC/106)))

MNMHC mode=(WNMHC)CMWf(WVol)

(106)/Vm
Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations 19041

=((WNMHC/106)(Wf)/((WCO/

106)+(WCO2/100)+(WHC/106)))

Where:

DNMHC=FID HC¥(rCH4)(DCH4)

WNMHC=FID HC¥(rCH4)(WCH4)

FID HC=Concentration of ‘‘hydrocarbon’’

plus other organics such as methane in

exhaust as measured by the FID, ppm

carbon equivalent.

rCH4=FID response to methane.

DCH4=Concentration of methane in exhaust

as determined from the dry exhaust

sample, ppm.

WCH4=Concentration of methane in exhaust

as determined from the wet exhaust

sample, ppm.

(B) Carbon monoxide:

MCO mode=(DCO)MWCO(DVol)/106/Vm

=((MWCO(DCO/106)(Wf)/((CMWf)(DCO/

106)+(DCO2/100)+DHC/106)+(ΣDX/

106)))

MCO mode=(WCO)MWCO(DVol)(106)/Vm

=((MWCO(WCO/106)(Wf)/((CMWf)(WCO/

106)+(WCO2/100)+WHC/

106)+(ΣWX/106)))

(C) Oxides of nitrogen:

MNOx mode=(DNOX)MWNO2(DVol)(106)/

Vm

=((MWNO2(DNOX/106)(Wf)/

((CMWf)(DCO/106)+ (DCO2/

100)+(DHC/106)+(ΣDX/106)))

MNOx mode=(WNOX)MWNO2(DVol)(106)/

Vm

=((MWNO2(WNOX/106)(Wf)/

((CMWf)(WCO/106)+(WCO2/

100)+(WHC/106)+(ΣWX/106)))

(D) Methanol:

MCH3OH mode=(DCH3OH/

106)32.042(DVol)/Vm

MCH3OH mode=(WCH3OH/

106)32.042(WVol)/Vm

Where:

DCH3OH=(Vm)(106)[(C1×AV1)+(C2× AV2)]/

DVolMS.

WCH3OH=(Vm)(106)[(C1×AV1)+(C2× AV2)]/

WVolMS.

Ci=concentration of methanol in impinger i

(1 or 2) in mol/ml.

AVi=Volume of absorbing reagent in

impinger i (1 or 2) in ml.

DVolMS=Volume (standard ft3) of exhaust

sample drawn through methanol

impingers (dry).

WVolMS=Volume (standard ft3) of exhaust

sample drawn through methanol

impingers (wet).

(E) Ethanol:

MCH3CH2OH mode=(DCH3CH2OH/

106)23.035(DVol)/Vm

MCH3CH2OH mode = (WCH3CH2OH/

106)23.035(WVol)/Vm

Where:

DCH3CH2OH=(Vm)(106)[(C1×AV1)

+(C2×AV2)]/DVolES.

WCH3CH2OH=(Vm)(106)[(C1×AV1)+(C2

×AV2)]/WVolES.

Ci=concentration of ethanol in impinger i (1

or 2) in mol/ml.

AVi=Volume of absorbing reagent in

impinger i (1 or 2) in ml.

DVolES=Volume (standard ft3) of exhaust

sample drawn through ethanol impingers

(dry).

WVolES=Volume (standard ft3) of exhaust

sample drawn through ethanol impingers

(wet).

(F) Formaldehyde:

MCH2O mode=(DCH2O/106)30.026(DVol)/

Vm

MCH2O mode=(WCH2O/106)30.026(WVol)/

Vm

(1) If aldehydes are measured using

impingers:

DCH2O=(Vm)(106)[(C1×AV1)+(C2×AV2)]/

DVolFS

WCH2O=(Vm)(106)[(C1×AV1)+(C2×

AV2)]/WVolFS

(2) If aldehydes are measured using

cartridges:

DCH2O=(Vm)(106)(CR×AVR)/DVolFS

WCH2O=(Vm)(106)(CR×AVR)/WVolFS

(3) The following definitions apply to

this paragraph (b)(2)(iii)(F):

AVi=Volume of absorbing reagent in

impinger i (1 or 2) in ml.

AVR=Volume of absorbing reagent use

to rinse the cartridge in ml.

Ci=concentration of formaldehyde in

impinger i (1 or 2) in mol/ml.

CR=concentration of formaldehyde in

solvent rinse in mol/ml.

DVolFS=Volume (standard ft3) of

exhaust sample drawn through

formaldehyde sampling system

(dry).

WVolFS=Volume (standard ft3) of

exhaust sample drawn through

formaldehyde sampling system

(wet).

(G) Acetaldehyde:

MCH3CHO mode=(DCH3CHO/

106)27.027(DVol)/Vm

MCH3CHO mode=(WCH3CHO/

106)27.027(WVol)/Vm

(1) If aldehydes are measured using

impingers:

DCH3CHO=(Vm)(106)[(C1×AV1)+(C2×

AV2)]/DVolAS

WCH3CHO=(Vm)(106)[(C1×AV1)+C2×

AV2)]/WVolAS

(2) If aldehydes are measured using

cartridges:

DCH3CHO=(Vm)(106)(CR×AVR)/DVolAS

WCH3CHO=(Vm)(106)(CR×AVR)/WVolAS

(3) The following definitions apply to

this paragraph (b)(2)(iii)(G):

AVi=Volume of absorbing reagent in

impinger i (1 or 2) in ml.

AVR=Volume of absorbing reagent use

to rinse the cartridge in ml.

Ci=concentration of acetaldehyde in

impinger i (1 or 2) in mol/ml.

CR=concentration of acetaldehyde in

solvent rinse in mol/ml.

DVolAS=Volume (standard ft3) of

exhaust sample drawn through

acetaldehyde sampling system

(dry).

WVolAS=Volume (standard ft3) of

exhaust sample drawn through

acetaldehyde sampling system

(wet).

(iv) Conversion of wet concentrations

to dry concentrations. Wet

concentrations are converted to dry

concentrations using the following

equation:

DX=KW WX

Where:

WX is the concentration of species X on a

wet basis.

DX is the concentration of species X on a dry

basis.

KW is a conversion factor=WVol/

DVol=1+DH2O.

(A) Iterative calculation of conversion

factor. The conversion factor KW is

calculated from the fractional volume of

water in the exhaust on a dry basis

(DH2O=volume of water in exhaust/dry

volume of exhaust). Precise calculation

of the conversion factor KW must be

done by iteration, since it requires the

dry concentration of HC, but HC

emissions are measured wet.

(1) The conversion factor is calculated

by first assuming DHC=WHC to

calculate DVol:

DVol=(Vm)(Wf)/((CMWf)(DHC/106+DCO/

106+DCO2/100))

(2) This estimate is then used in the

following equations to calculate DVolair,

then DH2O, then KW, which allows DHC

to be determined more accurately from

WHC:

DH O

DCO DCO

Y DVol

DVol DCO

DCO K

air 2

2

10 10

2

1

1

2 10

2 6

4

=

+ 





 + ( )( )























 +

























α

( )( )( )

Where:
19042 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

Y=Water volume concentration in intake air, volume fraction (dry).

DVolair=Air intake flow rate (ft3/hr) on a dry basis, measured, or calculated as:

DVol DVol DCO DCO

air = − 













 − + 











 



 1 2

10 4 10 4

0 5 2 6

α α .

(3) The calculations are repeated using this estimate of DHC. If the new estimate for KW is not within one percent

of the previous estimate, the iteration is repeated until the difference in KW between iterations is less than one percent.

(B) Alternate calculation of DH2O (approximation). The following approximation may be used for DH2O instead

of the calculation in paragraph (b)(2)(iv)(A) of this section:

DH O

DCO DCO

Y DVol DCO

DCO K

2 Ratio

2

10 10

2

1

1

2 10

2 6

4

=

+ 





 + ( )( )























 +

























α

( )( )( )

Where:

DVol DVol

DVol

DCO DCO

ratio

air = = − 













 − + 











 



 1 2

10 4 10 4

0 5 2 6

α α .

Y=Water volume concentration in intake air,

volume fraction (dry).

(3) Mass Emissions—Dilute exhaust

measurements. For dilute exhaust

measurements mass emissions (grams

per hour) of each species for each mode:

(i) General equations. The mass

emission rate, Mx mode (g/hr) of each

pollutant (HC, NOX, CO2, CO, CH4

CH3OH, CH3CH2OH, CH2O, CH3CH2O)

for each operating mode for bag

measurements and diesel continuously

heated sampling system measurements

is determined from the following

equation:

Mx mode=(Vmix)(Densityx)(Xconc)/(Vf)

Where:

x designates the pollutant (e.g., HC), Vmix is

the total diluted exhaust volumetric flow

rate (ft3/hr), Densityx is the specified

density of the pollutant in the gas phase

(g/ft3), Xconc is the fractional

concentration of pollutant x (i.e., ppm/

106, ppmC/106, or %/100), and Vf is the

fraction of the raw exhaust that is diluted

for analysis.

(ii) The following abbreviations and

equations apply to paragraphs (b)(3)(i)

through (b)(3)(iii)(J) of this section:

(A) DF=Dilution factor, which is the

volumetric ratio of the dilution air to the

raw exhaust sample for total dilution,

calculated as:

DF WCO WCO

WCO WCO

d

e d

= −

− − 2 22 2

1

Where:

WCO2=Carbon dioxide concentration of the

raw exhaust sample, in percent (wet).

WCO2e=Carbon dioxide concentration of the

dilute exhaust sample, in percent (wet).

WCO2d=Carbon dioxide concentration of the

dilution air, in percent (wet).

(B) Vmix=Diluted exhaust volumetric

flow rate in cubic feet per hour

corrected to standard conditions (528°R,

and 760 mm Hg).

(C) Vf=Fraction of the total raw

exhaust that is diluted for analysis.

=((CO2conc/102)+(COconc/106) + (HCconc/

106))(Vmix)(CMWf)/Vm/Mf

(iii) Calculation of individual

pollutants.

(A) MHC mode=Hydrocarbon emissions,

in grams per hour by mode, are

calculated using the following

equations:

MHC mode=(Vmix)(DensityHC)(HCconc/106)/

Vf

HCconc=HCe¥(HCd)(1¥(1/DF))

HCe=FID HCe¥Ξ(rx)(Xe)

Where:

DensityHC=Density of hydrocarbons=16.42 g/

ft3 (0.5800 kg/m3) for # l petroleum diesel

fuel, 16.27 g/ft3 (0.5746 kg/m3) for #2

diesel, and 16.33 g/ft3 (0.5767 kg/m3) for

other fuels, assuming an average carbon

to hydrogen ratio of 1:1.93 for #1

petroleum diesel fuel, 1:1.80 for #2

petroleum diesel fuel, and 1:1.85 for

hydrocarbons in other fuels at standard

conditions.

HCconc=Hydrocarbon concentration of the

dilute exhaust sample corrected for

background, in ppm carbon equivalent

(i.e., equivalent propane×3).

HCe=Hydrocarbon concentration of the dilute

exhaust bag sample, or for diesel

continuous heated sampling systems,

average hydrocarbon concentration of

the dilute exhaust sample as determined

from the integrated HC traces, in ppm

carbon equivalent. For petroleum-fueled

engines, HCe is the FID measurement.

For methanol-fueled and ethanol-fueled

engines:

FID HCe=Concentration of hydrocarbon plus

methanol, ethanol and acetaldehyde in

dilute exhaust as measured by the FID,

ppm carbon equivalent.

rx=FID response to oxygenated species x

(methanol, ethanol or acetaldehyde).

Xe=Concentration of species x (methanol,

ethanol or acetaldehyde) in dilute

exhaust as determined from the dilute

exhaust sample, ppm carbon.

HCd=Hydrocarbon concentration of the

dilution air as measured, in ppm carbon

equivalent.

(B) MNOx mode = Oxides of nitrogen

emissions, in grams per hour by mode,

are calculated using the following

equations:

MNOx mode=(Vmix) (DensityNO2) (NOxconc/

10 6) /Vf

NOxconc=(NOxe ¥ NOxd (1¥(1/DF)))

Where:

DensityNO2=Density of oxides of nitrogen is

54.16 g/ft3 (1.913 kg/m3), assuming they

are in the form of nitrogen dioxide, at

standard conditions.

NOxconc=Oxides of nitrogen concentration of

the dilute exhaust sample corrected for

background, in ppm.

NOxe=Oxides of nitrogen concentration of

the dilute exhaust bag sample as

measured, in ppm.

NOxd=Oxides of nitrogen concentration of

the dilution air as measured, in ppm.

(C) MCO2 mode=Carbon dioxide

emissions, in grams per hour by mode,
Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations 19043

are calculated using the following

equations:

MCO2 mode=(Vmix) (Density CO2) (CO2conc/

102) /Vf

CO2conc=CO2e ¥ CO2d (1 ¥ (1/DF))

Where:

Density CO2=Density of carbon dioxide is

51.81 g/ft3 (1.830 kg/m3), at standard

conditions.

CO2conc=Carbon dioxide concentration of the

dilute exhaust sample corrected for

background, in percent.

CO2e=Carbon dioxide concentration of the

dilute exhaust bag sample, in percent.

CO2d=Carbon dioxide concentration of the

dilution air as measured, in percent.

(D)(1) MCO mode=Carbon monoxide

emissions, in grams per hour by mode,

are calculated using the following

equations:

MCO mode=(Vmix) (DensityCO) (COconc/106)

/Vf

COconc=COe ¥ COd (1 ¥ (1/DF))

COd=(1 ¥ 0.000323R)COdm

Where:

DensityCO=Density of carbon monoxide is

32.97 g/ft3 (1.164 kg/m3), at standard

conditions.

COconc=Carbon monoxide concentration of

the dilute exhaust sample corrected for

background, water vapor, and CO2

extraction, ppm.

COe=Carbon monoxide concentration of the

dilute exhaust sample volume corrected

for water vapor and carbon dioxide

extraction, in ppm.

COe=(1 ¥ (0.01 + 0.005/α) CO2e ¥

0.000323RH)COem, where α is the

hydrogen to carbon ratio as measured for

the fuel used.

COem=Carbon monoxide concentration of the

dilute exhaust sample as measured, in

ppm.

RH = Relative humidity of the dilution air,

percent.

COd=Carbon monoxide concentration of the

dilution air corrected for water vapor

extraction, in ppm.

COdm=Carbon monoxide concentration of the

dilution air sample as measured, in ppm.

(2) If a CO instrument which meets the

criteria specified in § 86.1311 of this chapter

is used and the conditioning column has

been deleted, COem must be substituted

directly for COe, and COdm must be

substituted directly for COd.

(E) MCH4 mode=Methane emissions

corrected for background, in gram per

hour by mode, are calculated using the

following equations:

MCH4 mode=(Vmix) (DensityCH4) (CH4conc/

106) /Vf

CH4conc=CCH4e ¥ CCH4d (1 ¥ (1/DF))

Where:

DensityCH4=Density of methane is 18.89 g/ft3

at 68°F (20°C) and 760 mm Hg

(101.3kPa) pressure.

CH4conc=Methane concentration of the dilute

exhaust corrected for background, in

ppm.

CCH4e=Methane concentration in the dilute

exhaust, in ppm.

CCH4d=Methane concentration in the dilution

air, in ppm.

(F) MCH3OH mode=Methanol emissions

corrected for background, in gram per

hour by mode, are calculated using the

following equations:

MCH3OH mode=(Vmix)(DensityCH3OH)

(CH3OHconc/106)/Vf

CH3OHconc=CCH3OHe¥CCH3OHd(1¥(1/

DF))

CCH3OHe=((3.817) (10–2)

(TEM)(((CS1)(AVS1)) + (CS2)(AVS2)))/

((PB)(VEM))

CCH3OHd=((3.817)(10–2)(TDM)(((CD1)

(AVD1)) + (CD2)(AVD2)))/((PB)(VDM))

Where:

DensityCH3OH=Density of methanol is 37.71 g/

ft3 (1.332 kg/m3), at 68°F (20°C) and 760

mm Hg (101.3kPa) pressure.

CH3OHconc=Methanol concentration of the

dilute exhaust corrected for background,

in ppm.

CCH3OHe=Methanol concentration in the

dilute exhaust, in ppm.

CCH3OHd=Methanol concentration in the

dilution air, in ppm.

TEM=Temperature of methanol sample

withdrawn from dilute exhaust, °R.

TDM=Temperature of methanol sample

withdrawn from dilution air, °R.

PB=Barometric pressure during test, mm Hg.

VEM=Volume of methanol sample withdrawn

from dilute exhaust, ft 3.

VDM=Volume of methanol sample withdrawn

from dilution air, ft 3.

CS=GC concentration of aqueous sample

drawn from dilute exhaust, μg/ml.

CD=GC concentration of aqueous sample

drawn from dilution air, μg/ml.

AVS=Volume of absorbing reagent (deionized

water) in impinger through which

methanol sample from dilute exhaust is

drawn, ml.

AVD=Volume of absorbing reagent (deionized

water) in impinger through which

methanol sample from dilution air is

drawn, ml.

1=first impinger.

2=second impinger.

(G) MC2H5OH mode=Ethanol emissions

corrected for background, in gram per

hour by mode, are calculated using the

following equations:

MCH3CH2OH mode=(Vmix)(DensityCH3CH2OH)

((CH3CH2OHconc/10 6))/Vf

CH3CH2OHconc=

CCH3CH2OHe¥CCH3CH2OHd(1¥(1/DF))

CCH3CH2OHd=((2.654)(10–2)(TDM)(((CD1)

(AVD1)) + (CD2)(AVD2)))/((PB)(VDM))

CCH3CH2OHe=((2.654)(10¥2)(TEM)(((CS1)

(AVS1)) + (CS2)(AVS2)))/((PB)(VEM))

Where:

DensityC2H5OH=Density of ethanol is 54.23 g/

ft 3 (1.915 kg/m 3), at 68°F (20°C) and 760

mm Hg (101.3kPa) pressure.

CH3CH2OHconc=Ethanol concentration of the

dilute exhaust corrected for background,

in ppm.

CCH3CH2OHe=Ethanol concentration in the

dilute exhaust, in ppm.

CCH3CH2OHd=Ethanol concentration in the

dilution air, in ppm.

TEM= Temperature of ethanol sample

withdrawn from dilute exhaust, °R.

TDM=Temperature of ethanol sample

withdrawn from dilution air, °R.

PB=Barometric pressure during test, mm Hg.

VEM=Volume of ethanol sample withdrawn

from dilute exhaust, ft 3.

VDM=Volume of ethanol sample withdrawn

from dilution air, ft 3.

CS=GC concentration of aqueous sample

drawn from dilute exhaust, μg/ml.

CD=GC concentration of aqueous sample

drawn from dilution air, μg/ml.

AVS= Volume of absorbing reagent (deionized

water) in impinger through which

ethanol sample from dilute exhaust is

drawn, ml.

AVD=Volume of absorbing reagent (deionized

water) in impinger through which

ethanol sample from dilution air is

drawn, ml.

1=first impinger.

2=second impinger.

(H) MCH2O mode=Formaldehyde

emissions corrected for background, in

gram per hour by mode, are calculated

using the following equations:

MCH2O mode=(Vmix)(DensityCH2O)

((CH2Oconc/10 6)/Vf

CH2Oconc=CCH2Oe¥CCH2Od(1¥(1/DF))

CCH2Oe=((4.069)(10¥2)(CFDE)(VAE)(Q)

(TEF))/((VSE)(PB)

CCH2Od=((4.069)(10¥2)(CFDA)(VAA)

(Q)(TDF))/(VSA)(PB)

Where:

DensityCH2O=Density of formaldehyde is

35.36 g/ft 3 (1.249 kg/m 3), at 68 °F (20

°C) and 760 mmHg (101.3 kPa) pressure.

CH2Oconc=Formaldehyde concentration of

the dilute exhaust corrected for

background, ppm.

CCH2Oe=Formaldehyde concentration in

dilute exhaust, ppm.

CCH2Od=Formaldehyde concentration in

dilution air, ppm.

CFDE=Concentration of DNPH derivative of

formaldehyde from dilute exhaust sample in

sampling solution, μg/ml.

VAE=Volume of sampling solution for

dilute exhaust formaldehyde sample, ml.

Q = Ratio of molecular weights of

formaldehyde to its DNPH derivative =

0.1429.

TEF=Temperature of formaldehyde sample

withdrawn from dilute exhaust, °R.

VSE=Volume of formaldehyde sample

withdrawn from dilute exhaust, ft3.

PB=Barometric pressure during test, mm

Hg.

CFDA=Concentration of DNPH derivative of

formaldehyde from dilution air sample in

sampling solution, μg/ml.

VAA=Volume of sampling solution for

dilution air formaldehyde sample, ml.

TDF=Temperature of formaldehyde sample

withdrawn from dilution air, °R.

VSA=Volume of formaldehyde sample

withdrawn from dilution air, ft3.

(I) MCH3CHO mode=Acetaldehyde

emissions corrected for background, in
19044 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

grams per hour by mode, are calculated

using the following equations:

MCH3CHO mode=

(Vmix)(DensityCH3CHO)((CH3CHOconc/

106)/Vf

CH3CHOconc=CCH3CHOe¥CCH3CHOd(1—

(1/DF))

CCH3CHOe=((2.774)(10¥2)

(CADE)(VAE)(Q)(TEF))/((VSE)(PB)

CCH3CHOd=((2.774)(10¥2)

(CADA)(VAA)(Q)(TDF))/(VSA)(PB)

Where:

Density CH3CHO=Density of acetaldehyde is

51.88 g/ft3 (1.833 kg/m3), at 68 °F (20 °C)

and 760 mmHg (101.3 kPa) pressure.

CH3CHOconc=Acetaldehyde concentration of

the dilute exhaust corrected for

background, ppm.

CCH3CHOe=Acetaldehyde concentration in

dilute exhaust, ppm.

CCH3CHOd=Acetaldehyde concentration in

dilution air, ppm.

CADE=Concentration of DNPH derivative of

acetaldehyde from dilute exhaust sample

in sampling solution, μg/ml.

VAE=Volume of sampling solution for dilute

exhaust acetaldehyde sample, ml.

Q=Ratio of molecular weights of

acetaldehyde to its DNPH derivative

=0.182

TEF=Temperature of acetaldehyde sample

withdrawn from dilute exhaust, °R.

VSE=Volume of acetaldehyde sample

withdrawn from dilute exhaust, ft3.

PB=Barometric pressure during test, mm Hg.

CADAConcentration of DNPH derivative of

acetaldehyde from dilution air sample in

sampling solution, μg/ml.

VAA=Volume of sampling solution for

dilution air acetaldehyde sample, ml.

TDF=Temperature of acetaldehyde sample

withdrawn from dilution air, °R.

VSA=Volume of acetaldehyde sample

withdrawn from dilution air, ft3.

(J) MNMHC mode=Nonmethane

hydrocarbon emissions, in grams per

hour by mode.

MNMHC mode=(Vmix)(DensityNMHC)

((NMHCconc/106))/Vf

NMHCconc=NMHCe—(NMHCd)(1¥(1/

DF))

NMHCe=FID HCe¥(rm)(CCH4e)

NMHCd=FID HCd¥(rm)(CCH4d)

Where:

DensityNMHC=Density of nonmethane

hydrocarbons=16.42 g/ft3 (0.5800 kg/m3)

for # 1 petroleum diesel fuel, 16.27 g/ft3

(0.5746 kg/m3) for #2 diesel, and 16.33

for other fuels, assuming an average

carbon to hydrogen ratio of 1:1.93 for #1

petroleum diesel fuel, 1:1.80 for #2

petroleum diesel fuel, and 1:1.85 for

nonmethane hydrocarbons in other fuels

at standard conditions.

NMHCconc=Nonmethane hydrocarbon

concentration of the dilute exhaust

sample corrected for background, in ppm

carbon equivalent (i.e., equivalent

propane × 3).

NMHCe=Nonmethane hydrocarbon

concentration of the dilute exhaust bag

sample:

FID HCe=Concentration of hydrocarbons in

dilute exhaust as measured by the FID,

ppm carbon equivalent.

rm=FID response to methane.

CCH4e=Concentration of methane in dilute

exhaust as determined from the dilute

exhaust sample.

NMHCd=Nonmethane hydrocarbon

concentration of the dilution air:

FID HCd=Concentration of hydrocarbons in

dilute exhaust as measured by the FID,

ppm carbon equivalent.

rm=FID response to methane.

CCH4d=Concentration of methane in dilute

exhaust as determined from the dilute

exhaust sample, ppm.

(4) Particulate exhaust emissions. The

mass of particulate for a test mode

determined from the following

equations when a heat exchanger is

used (i.e., no flow compensation), and

when background filters are used to

correct for background particulate

levels:

MPM mode=Particulate emissions, grams

per hour by mode.

MPM mode=(WVol) (PMconc) (1+DF)=(Vmix)

(PMconc)/Vf

PMconc=PMe¥PMd (1¥(1/DF))

PMe=MPMe/Vsampe/10 3

PMd=MPMd/Vsampd/10 3

Where:

PMconc=Particulate concentration of the

diluted exhaust sample corrected for

background, in g/ft 3

MPMe=Measured mass of particulate for the

exhaust sample, in mg, which is the

difference in filter mass before and after

the test.

MPMd=Measured mass of particulate for the

dilution air sample, in mg, which is the

difference in filter mass before and after

the test.

Vsampe=Total wet volume of sample removed

from the dilution tunnel for the exhaust

particulate measurement, cubic feet at

standard conditions.

Vsampd=Total wet volume of sample removed

from the dilution tunnel for the dilution

air particulate measurement, cubic feet at

standard conditions.

DF=Dilution factor, which is the volumetric

ratio of the dilution air to the raw

exhaust sample, calculated as:

DF WCO WCO

WCO WCO

d

e d

= −

− − 2 22 2

1

(c) Humidity calculations. (1) The

following abbreviations (and units)

apply to paragraph (b) of this section:

BARO=barometric pressure (Pa).

H=specific humidity, (g H2O/g of dry

air).

KH=conversion factor=0.6220 g H2O/g

dry air.

Mair=Molecular weight of air=28.9645.

MH2O=Molecular weight of

water=18.01534.

PDB=Saturation vapor pressure of water

at the dry bulb temperature (Pa).

PDP=Saturation vapor pressure of water

at the dewpoint temperature (Pa).

Pv=Partial pressure of water vapor (Pa).

PWB=Saturation vapor pressure of water

at the wet bulb temperature (Pa).

TDB=Dry bulb temperature (Kelvin).

TWB=Wet bulb temperature (Kelvin).

Y=Water-vapor volume concentration.

(2) The specific humidity on a dry

basis of the intake air (H) is defined as:

H=((KH) (Pv)/(BARO¥Pv))

(3) The partial pressure of water vapor

may be determined using a dew point

device. In that case:

Pv=PDP

(4) The percent of relative humidity

(RH) is defined as:

RH=(Pv/PDB)100

(5) The water-vapor volume

concentration on a dry basis of the

engine intake air (Y) is defined as:

Y=((H)(Mair)/(MH2O)=Pv/(BARO¥Pv)

(d) NOX correction factor. (1) NOX

emission rates (MNOx mode) shall be

adjusted to account for the effects of

humidity and temperature by

multiplying each emission rate by KNOx,

which is calculated from the following

equations:

KNOx=(K)(1+(0.25(logK)2)1/2)

K=(KH)(KT)

KH=[C1+C2(exp((¥0.0143)(10.714))]/

[C1+C2(exp((¥0.0143)(1000H))]

C1=¥8.7+164.5exp(¥0.0218(A/F)wet)

C2=130.7+3941exp(¥0.0248(A/F)wet)

Where:

(A/F)wet=Mass of moist air intake divided by

mass of fuel intake.

KT=1/[1–0.017(T30-TA)] for tests conducted at

ambient temperatures below 30 °C.

KT=1.00 for tests conducted at ambient

temperatures at or above 30 °C.

T30=The measured intake manifold air

temperature in the locomotive when

operated at 30°C (or 100°C, where intake

manifold air temperature is not

available).

TA=The measured intake manifold air

temperature in the locomotive as tested

(or the ambient temperature (°C), where

intake manifold air temperature is not

available).

(e) Other calculations. Calculations

other than those specified in this section

may be used with the advance approval

of the Administrator.

§ 92.133 Required information.

(a) The required test data shall be

grouped into the following two general

categories:

(1) Pre-test data. These data are

general test data that must be recorded

for each test. The data are of a more

descriptive nature such as identification
Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations 19045

of the test engine, test site number, etc.

As such, these data can be recorded at

any time within 24 hours of the test.

(2) Test data. These data are physical

test data that must be recorded at the

time of testing.

(b) When requested, data shall be

supplied in the format specified by the

Administrator.

(c) Pre-test data. The following shall

be recorded, and reported to the

Administrator for each test conducted

for compliance with the provisions of

this part:

(1) Engine family identification

(including subfamily identification,

such as for aftertreatment systems).

(2) Locomotive and engine

identification, including model,

manufacturer and/or remanufacturer,

and identification number.

(3) Locomotive and engine

parameters, including fuel type,

recommended oil type, exhaust

configuration and sizes, base injection

(ignition) timing, operating temperature,

advance/retard injection (ignition)

timing controls, recommended start-up

and warm-up procedures, alternator

generator efficiency curve.

(4) Locomotive or engine and

instrument operator(s).

(5) Number of hours of operation

accumulated on the locomotive or

engine prior to beginning the testing.

(6) Dates of most recent calibrations

required by §§ 92.115–92.122.

(7) All pertinent instrument

information such as tuning (as

applicable), gain, serial numbers,

detector number, calibration curve

number, etc. As long as this information

is traceable, it may be summarized by

system or analyzer identification

numbers.

(8) A description of the exhaust duct

and sample probes, including

dimensions and locations.

(d) Test data. The physical parameters

necessary to compute the test results

and ensure accuracy of the results shall

be recorded for each test conducted for

compliance with the provisions of this

part. Additional test data may be

recorded at the discretion of the

manufacturer or remanufacturer.

Extreme details of the test

measurements such as analyzer chart

deflections will generally not be

required on a routine basis to be

reported to the Administrator for each

test, unless a dispute about the accuracy

of the data arises. The following types

of data shall be required to be reported

to the Administrator. The applicable

Application Format for Certification

will specify the exact requirements

which may change slightly from year to

year with the addition or deletion of

certain items.

(1) Date and time of day.

(2) Test number.

(3) Engine intake air and test cell (or

ambient, as applicable) temperature.

(4) For each test point, the

temperature of air entering the engine

after compression and cooling in the

charge air cooler(s). If testing is not

performed on a locomotive, the

corresponding temperatures when the

engine is in operation in a locomotive

at ambient conditions represented by

the test.

(5) Barometric pressure. (A central

laboratory barometer may be used:

Provided, that individual test cell

barometric pressures are shown to be

within ±0.1 percent of the barometric

pressure at the central barometer

location.)

(6) Engine intake and test cell dilution

air humidity.

(7) Measured horsepower and engine

speed for each test mode.

(8) Identification and specifications of

test fuel used.

(9) Measured fuel consumption rate at

maximum power.

(10) Temperature set point of the

heated continuous analysis system

components (if applicable).

(11) All measured flow rates, dilution

factor, and fraction of exhaust diluted

for diluted exhaust measurements (as

applicable) for each test mode.

(12) Temperature of the dilute exhaust

mixture at the inlet to the respective gas

meter(s) or flow instrumentation used

for particulate sampling.

(13) The maximum temperature of the

dilute exhaust mixture immediately

ahead of the particulate filter.

(14) Sample concentrations

(background corrected as applicable) for

HC, CO, CO2, and NOX (and methane,

NMHC, alcohols and aldehydes, as

applicable) for each test mode. This

includes the continuous trace and the

steady-state value (or integrated value

where required).

(15) The stabilized pre-test weight and

post-test weight of each particulate

sample and back-up filter or pair of

filters.

(16) Brake specific emissions (g/BHPhr) for HC, CO, NOX, particulate and, if

applicable, CH3, NMHC, THCE, CH3OH,

CH3CH2OH, CH2O and CH3CHO for

each test mode.

(17) The weighted brake specific

emissions for HC, CO, NOX and

particulate (g/BHP-hr) for the total test

for the duty-cycle(s) applicable to the

locomotive.

(18) The smoke opacity for each test

mode. This includes the continuous

trace, the peak values and the steadystate value.

Subpart C—Certification Provisions

§ 92.201 Applicability.

The requirements of this subpart are

applicable to manufacturers and

remanufacturers of any locomotives and

locomotive engines subject to the

provisions of subpart A of this part.

§ 92.202 Definitions.

The definitions of subpart A of this

part apply to this subpart.

§ 92.203 Application for certification.

(a) For each engine family that

complies with all applicable standards

and requirements, the manufacturer or

remanufacturer must submit to the

Administrator a completed application

for a certificate of conformity.

(b) The application must be approved

and signed by the authorized

representative of the manufacturer or

remanufacturer.

(c) The application will be updated

and corrected by amendment as

provided for in § 92.210 to accurately

reflect the manufacturer’s or

remanufacturer’s production.

(d) Required content. Each

application must include the following

information:

(1)(i) A description of the basic engine

design including, but not limited to, the

engine family specifications, the

provisions of which are contained in

§ 92.208;

(ii)(A) For freshly manufactured

locomotives, a description of the basic

locomotive design;

(B) For freshly manufactured engines

for use in remanufactured locomotives,

a description of the locomotive designs

in which the engines are to be used;

(C) For remanufactured locomotives, a

description of the basic locomotive

designs to which the remanufacture

system will be applied;

(iii) A list of distinguishable

configurations to be included in the

engine family;

(2) An explanation of how the

emission control system operates,

including detailed descriptions of:

(i) All emission control system

components;

(ii) Injection or ignition timing for

each notch (i.e., degrees before or after

top-dead-center), and any functional

dependence of such timing on other

operational parameters (e.g., engine

coolant temperature);

(iii) Each auxiliary emission control

device (AECD); and

(iv) All fuel system components to be

installed on any production or test

locomotive(s) or engine(s);

(3) A description of the test

locomotive or engine;
19046 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

(4) Special or alternate test

procedures, if applicable;

(5) A description of the operating

cycle and the period of operation

necessary to accumulate service hours

on the test locomotive or engine and

stabilize emission levels;

(6) A description of all adjustable

operating parameters (including, but not

limited to, injection timing and fuel

rate), including the following:

(i) The nominal or recommended

setting and the associated production

tolerances;

(ii) The intended adjustable range,

and the physically adjustable range;

(iii) The limits or stops used to limit

adjustable ranges;

(iv) Production tolerances of the

limits or stops used to establish each

physically adjustable range; and

(v) Information relating to why the

physical limits or stops used to establish

the physically adjustable range of each

parameter, or any other means used to

inhibit adjustment, are the most

effective means possible of preventing

adjustment of parameters to settings

outside the manufacturer’s or

remanufacturer’s specified adjustable

ranges on in-use engines;

(7) For families participating in the

averaging, banking, and trading

program, the information specified in

subpart D of this part;

(8) Projected U.S. production

information for each configuration;

(9) A description of the test

equipment and fuel proposed to be

used;

(10) All test data obtained by the

manufacturer or remanufacturer on each

test engine or locomotive;

(11) The intended useful life period

for the engine family, in accordance

with § 92.9(a);

(12) The intended deterioration

factors for the engine family, in

accordance with § 92.9(b)(2);

(13) An unconditional statement

certifying that all locomotives and

engines included the engine family

comply with all requirements of this

part and the Clean Air Act.

(e) At the Administrator’s request, the

manufacturer or remanufacturer must

supply such additional information as

may be required to evaluate the

application.

(f)(1) If the manufacturer or

remanufacturer, submits some or all of

the information specified in paragraph

(d) of this section in advance of its full

application for certification, the

Administrator shall review the

information and make the

determinations required in § 92.208(d)

within 90 days of the manufacturer’s or

remanufacturer’s submittal.

(2) The 90-day decision period is

exclusive of any elapsed time during

which EPA is waiting for additional

information requested from a

manufacturer or remanufacturer

regarding an adjustable parameter (the

90-day period resumes upon receipt of

the manufacturer’s or remanufacturer’s

response). For example, if EPA requests

additional information 30 days after the

manufacturer or remanufacturer submits

information under paragraph (f)(1) of

this section, then the Administrator

would make a determination within 60

days of the receipt of the requested

information from the manufacturer or

remanufacturer.

(g)(1) The Administrator may modify

the information submission

requirements of paragraph (d) of this

section, provided that all of the

information specified therein is

maintained by the manufacturer or

remanufacturer as required by § 92.215,

and amended, updated, or corrected as

necessary.

(2) For the purposes of this paragraph

(g), § 92.215 includes all information

specified in paragraph (d) of this section

whether or not such information is

actually submitted to the Administrator

for any particular model year.

(3) The Administrator may review a

manufacturer’s or remanufacturer’s

records at any time. At the

Administrator’s discretion, this review

may take place either at the

manufacturer’s or remanufacturer’s

facility or at another facility designated

by the Administrator.

§ 92.204 Designation of engine families.

This section specifies the procedure

and requirements for grouping of

engines into engine families.

(a) Manufacturers and

remanufacturers shall divide their

locomotives and locomotive engines

into groupings of locomotives and

locomotive engines which are expected

to have similar emission characteristics

throughout their useful life. Each group

shall be defined as a separate engine

family.

(b) For Tier 1 and Tier 2 locomotives

and locomotive engines, the following

characteristics distinguish engine

families:

(1) The combustion cycle (e.g., diesel

cycle);

(2) The type of engine cooling

employed (air-cooled or water-cooled),

and procedure(s) employed to maintain

engine temperature within desired

limits (thermostat, on-off radiator fan(s),

radiator shutters, etc.);

(3) The bore and stroke dimensions;

(4) The approximate intake and

exhaust event timing and duration

(valve or port);

(5) The location of the intake and

exhaust valves (or ports);

(6) The size of the intake and exhaust

valves (or ports);

(7) The overall injection, or as

appropriate ignition, timing

characteristics (i.e., the deviation of the

timing curves from the optimal fuel

economy timing curve must be similar

in degree);

(8) The combustion chamber

configuration and the surface-to-volume

ratio of the combustion chamber when

the piston is at top dead center position,

using nominal combustion chamber

dimensions;

(9) The location of the piston rings on

the piston;

(10) The method of air aspiration

(turbocharged, supercharged, naturally

aspirated, Roots blown);

(11) The turbocharger or supercharger

general performance characteristics

(e.g., approximate boost pressure,

approximate response time,

approximate size relative to engine

displacement);

(12) The type of air inlet cooler (airto-air, air-to-liquid, approximate degree

to which inlet air is cooled);

(13) The intake manifold induction

port size and configuration;

(14) The type of fuel and fuel system

configuration;

(15) The configuration of the fuel

injectors and approximate injection

pressure;

(16) The type of fuel injection system

controls (i.e., mechanical or electronic);

(17) The type of smoke control

system;

(18) The exhaust manifold port size

and configuration; and

(19) The type of exhaust

aftertreatment system (oxidation

catalyst, particulate trap), and

characteristics of the aftertreatment

system (catalyst loading, converter size

vs engine size).

(c) For Tier 0 locomotives and

locomotive engines, the following

characteristics distinguish engine

families:

(1) The combustion cycle (e.g., diesel

cycle);

(2) The type of engine cooling

employed (air-cooled or water-cooled),

and procedure(s) employed to maintain

engine temperature within desired

limits (thermostat, on-off radiator fan(s),

radiator shutters, etc.);

(3) The approximate bore and stroke

dimensions;

(4) The approximate location of the

intake and exhaust valves (or ports);

(5) The combustion chamber general

configuration and the approximate
Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations 19047

surface-to-volume ratio of the

combustion chamber when the piston is

at top dead center position, using

nominal combustion chamber

dimensions;

(6) The method of air aspiration

(turbocharged, supercharged, naturally

aspirated, Roots blown);

(7) The type of air inlet cooler (air-toair, air-to-liquid, approximate degree to

which inlet air is cooled);

(8) The type of fuel and general fuel

system configuration;

(9) The general configuration of the

fuel injectors and approximate injection

pressure; and

(10) The fuel injection system control

type (electronic or mechanical).

(d) Upon request by the manufacturer

or remanufacturer, locomotives or

locomotive engines that are eligible to

be included in the same engine family

based on the criteria in paragraph (b) or

(c) of this section may be divided into

different engine families. This request

must be accompanied by information

the manufacturer or remanufacturer

believes supports the addition of these

different engine families. For the

purposes of determining whether an

engine family is a small engine family

in § 92.603(a)(2), EPA will consider the

number of locomotives or locomotive

engines that could have been classed

together under paragraph (b) or (c) of

this section, instead of the number of

locomotives or locomotive engines that

are included in a subdivision allowed

by this paragraph (d).

(e) Upon request by the manufacturer

or remanufacturer, the Administrator

may allow locomotives or locomotive

engines that would be required to be

grouped into separate engine families

based on the criteria in paragraph (b) or

(c) of this section to be grouped into a

single engine family if the manufacturer

or remanufacturer demonstrates that

similar emission characteristics will

occur. This request must be

accompanied by emission information

supporting the appropriateness of such

combined engine families.

§ 92.205 Prohibited controls, adjustable

parameters.

(a) Any system installed on, or

incorporated in, a new locomotive or

new locomotive engine to enable such

locomotive or locomotive engine to

conform to standards contained in this

subpart:

(1) Shall not in its operation or

function cause significant (as

determined by the Administrator)

emission into the ambient air of any

noxious or toxic substance that would

not be emitted in the operation of such

locomotive, or locomotive engine,

without such system, except as

specifically permitted by regulation;

(2) Shall not in its operation, function

or malfunction result in any unsafe

condition endangering the locomotive,

its operators, riders or property on a

train, or persons or property in close

proximity to the locomotive; and

(3) Shall function during all in-use

operation except as otherwise allowed

by this part.

(b) In specifying the adjustable range

of each adjustable parameter on a new

locomotive or new locomotive engine,

the manufacturer or remanufacturer,

shall:

(1) Ensure that safe locomotive

operating characteristics are available

within that range, as required by section

202(a)(4) of the Clean Air Act, taking

into consideration the production

tolerances; and

(2) To the maximum extent

practicable, limit the physical range of

adjustability to that which is necessary

for proper operation of the locomotive

or locomotive engine.

§ 92.206 Required information.

(a) The manufacturer or

remanufacturer shall perform the tests

required by the applicable test

procedures, and submit to the

Administrator the information required

by this section: Provided, however, that

if requested by the manufacturer or

remanufacturer, the Administrator may

waive any requirement of this section

for testing of locomotives, or locomotive

engines, for which the required

emission data are otherwise available.

(b) Exhaust emission deterioration

factors, with supporting data. The

determination of the deterioration

factors shall be conducted in accordance

with good engineering practice to assure

that the locomotives or locomotive

engines covered by a certificate issued

under § 92.208 will meet the emission

standards in § 92.8, in actual use for the

useful life of the locomotive or

locomotive engine.

(c) Emission data, including exhaust

methane data in the case of locomotives

or locomotive engines subject to a nonmethane hydrocarbon standard, on such

locomotives or locomotive engines

tested in accordance with applicable

test procedures of subpart B of this part.

These data shall include zero hour data,

if generated. In lieu of providing the

emission data required by paragraph (a)

of this section, the Administrator may,

upon request of the manufacturer or

remanufacturer, allow the manufacturer

or remanufacturer to demonstrate (on

the basis of previous emission tests,

development tests, or other testing

information) that the engine or

locomotive will conform with the

applicable emission standards of § 92.8.

(d) A statement that the locomotives

and locomotive engines, for which

certification is requested conform to the

requirements in § 92.7, and that the

descriptions of tests performed to

ascertain compliance with the general

standards in § 92.7, and the data derived

from such tests, are available to the

Administrator upon request.

(e) A statement that the locomotive, or

locomotive engine, with respect to

which data are submitted to

demonstrate compliance with the

applicable standards of this subpart, is

in all material respects as described in

the manufacturer’s or remanufacturer’s

application for certification; that it has

been tested in accordance with the

applicable test procedures utilizing the

fuels and equipment described in the

application for certification; and that on

the basis of such tests, the engine family

conforms to the requirements of this

part. If, on the basis of the data supplied

and any additional data as required by

the Administrator, the Administrator

determines that the test locomotive, or

test engine, was not as described in the

application for certification or was not

tested in accordance with the applicable

test procedures utilizing the fuels and

equipment as described in the

application for certification, the

Administrator may make the

determination that the locomotive, or

engine, does not meet the applicable

standards. If the Administrator makes

such a determination, he/she may

withhold, suspend, or revoke the

certificate of conformity under

§ 92.208(c)(3)(i).

§ 92.207 Special test procedures.

(a) Establishment of special test

procedures by EPA. The Administrator

may, on the basis of written application

by a manufacturer or remanufacturer,

establish special test procedures other

than those set forth in this part, for any

locomotive or locomotive engine that

the Administrator determines is not

susceptible to satisfactory testing under

the specified test procedures set forth in

subpart B of this part.

(b) Use of alternate test procedures by

manufacturer or remanufacturer. (1) A

manufacturer or remanufacturer may

elect to use an alternate test procedure

provided that it is equivalent to the

specified procedures with respect to the

demonstration of compliance, its use is

approved in advance by the

Administrator, and the basis for the

equivalence with the specified test

procedures is fully described in the

manufacturer’s or remanufacturer’s

application.
19048 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

(2) The Administrator may reject data

generated under alternate test

procedures which do not correlate with

data generated under the specified

procedures.

§ 92.208 Certification.

(a) Paragraph (a) of this section

applies to manufacturers of new

locomotives and new locomotive

engines. If, after a review of the

application for certification, test reports

and data acquired from a freshly

manufactured locomotive or locomotive

engine or from a development data

engine, and any other information

required or obtained by EPA, the

Administrator determines that the

application is complete and that the

engine family meets the requirements of

the Act and this part, he/she will issue

a certificate of conformity with respect

to such engine family except as

provided by paragraph (c)(3) of this

section. The certificate of conformity is

valid for each engine family from the

date of issuance by EPA until 31

December of the model year or calendar

year in which it is issued and upon such

terms and conditions as the

Administrator deems necessary or

appropriate to assure that the

production locomotives or engines

covered by the certificate will meet the

requirements of the Act and of this part.

(b) This paragraph (b) applies to

remanufacturers of locomotives and

locomotive engines. If, after a review of

the application for certification, test

reports and data acquired from a

remanufactured locomotive or

locomotive engine or from a

development data engine, and any other

information required or obtained by

EPA, the Administrator determines that

the engine family meets the

requirements of the Act and of this

subpart, he/she will issue a certificate of

conformity with respect to such engine

family except as provided by paragraph

(c)(3) of this section. The certificate of

conformity is valid for each engine

family from the date of issuance by EPA

until 31 December of the model year or

calendar year in which it is issued and

upon such terms and conditions as the

Administrator deems necessary or

appropriate to assure that the

production locomotives or engines

covered by the certificate will meet the

requirements of the Act and of this part.

(c) This paragraph (c) applies to

manufacturers and remanufacturers of

locomotives and locomotive engines.

(1) The manufacturer or

remanufacturer shall bear the burden of

establishing to the satisfaction of the

Administrator that the conditions upon

which the certificates were issued were

satisfied or excused.

(2) The Administrator will determine

whether the test data included in the

application represents all locomotives

or locomotive engines of the engine

family.

(3) Notwithstanding the fact that any

locomotive(s) or locomotive engine(s)

may comply with other provisions of

this subpart, the Administrator may

withhold or deny the issuance of any

certificate of conformity, or suspend or

revoke any such certificate(s) which has

(have) been issued with respect to any

such locomotive(s) or locomotive

engine(s) if:

(i) The manufacturer or

remanufacturer submits false or

incomplete information in its

application for certification thereof;

(ii) The manufacturer or

remanufacturer renders inaccurate any

test data which it submits pertaining

thereto or otherwise circumvents the

intent of the Act, or of this part with

respect to such locomotive or

locomotive engine;

(iii) Any EPA Enforcement Officer is

denied access on the terms specified in

§ 92.215 to any facility or portion

thereof which contains any of the

following:

(A) A locomotive or locomotive

engine which is scheduled to undergo

emissions testing, or which is

undergoing emissions testing, or which

has undergone emissions testing; or

(B) Any components used or

considered for use in the construction,

modification or buildup of any

locomotive or locomotive engine which

is scheduled to undergo emissions

testing, or which is undergoing

emissions testing, or which has

undergone emissions testing for

purposes of emissions certification; or

(C) Any production locomotive or

production locomotive engine which is

or will be claimed by the manufacturer

or remanufacturer to be covered by the

certificate; or

(D) Any step in the construction of a

locomotive or locomotive engine, where

such step may reasonably be expected to

have an effect on emissions; or

(E) Any records, documents, reports

or histories required by this part to be

kept concerning any of the items listed

in paragraphs (c)(3)(iii)(A) through (D).

(iv) Any EPA Enforcement Officer is

denied ‘‘reasonable assistance’’ (as

defined in § 92.215).

(4) In any case in which a

manufacturer or remanufacturer

knowingly submits false or inaccurate

information or knowingly renders

inaccurate or invalid any test data or

commits any other fraudulent acts and

such acts contribute substantially to the

Administrator’s decision to issue a

certificate of conformity, the

Administrator may deem such

certificate void ab initio.

(5) In any case in which certification

of a locomotive or locomotive engine is

to be withheld, denied, revoked or

suspended under paragraph (c)(3) of this

section, and in which the Administrator

has presented to the manufacturer or

remanufacturer involved reasonable

evidence that a violation of § 92.215 in

fact occurred, the manufacturer or

remanufacturer, if it wishes to contend

that, even though the violation

occurred, the locomotive or locomotive

engine in question was not involved in

the violation to a degree that would

warrant withholding, denial, revocation

or suspension of certification under

paragraph (c)(3) of this section, shall

have the burden of establishing that

contention to the satisfaction of the

Administrator.

(6) Any revocation, suspension, or

voiding of certification under paragraph

(c)(3) of this section shall:

(i) Be made only after the

manufacturer or remanufacturer

concerned has been offered an

opportunity for a hearing conducted in

accordance with § 92.216; and

(ii) Extend no further than to forbid

the introduction into commerce of

locomotives or locomotive engines

previously covered by the certification

which are still in the hands of the

manufacturer or remanufacturer, except

in cases of such fraud or other

misconduct that makes the certification

invalid ab initio.

(7) The manufacturer or

remanufacturer may request, within 30

days of receiving notification, that any

determination made by the

Administrator under paragraph (c)(3) of

this section to withhold or deny

certification be reviewed in a hearing

conducted in accordance with § 92.216.

The request shall be in writing, signed

by an authorized representative of the

manufacturer or remanufacturer as

applicable, and shall include a

statement specifying the manufacturer’s

or remanufacturer’s objections to the

Administrator’s determinations, and

data in support of such objections. If the

Administrator finds, after a review of

the request and supporting data, that the

request raises a substantial factual issue,

he/she will grant the request with

respect to such issue.

(d) In approving an application for

certification, the Administrator may

specify:

(1) A broader range of adjustability

than recommended by the manufacturer

or remanufacturer for those locomotive
Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations 19049

or engine parameters which are to be

subject to adjustment, if the

Administrator determines that it will

not be practical to keep the parameter

adjusted within the recommended range

in use;

(2) A longer useful life period, if the

Administrator determines that the

useful life of the locomotives and

locomotive engines in the engine family,

as defined in § 92.2, is longer than the

period specified by the manufacturer or

remanufacturer; and/or

(3) Larger deterioration factors, if the

Administrator determines that the

deterioration factors specified by the

manufacturer or remanufacturer do not

meet the requirements of § 92.9(b)(2)(iv).

(e) Within 30 days following receipt

of notification of the Administrator’s

determinations made under paragraph

(d) of this section, the manufacturer or

remanufacturer may request a hearing

on the Administrator’s determinations.

The request shall be in writing, signed

by an authorized representative of the

manufacturer or remanufacturer as

applicable, and shall include a

statement specifying the manufacturer’s

or remanufacturer’s objections to the

Administrator’s determinations, and

data in support of such objections. If,

after review of the request and

supporting data, the Administrator finds

that the request raises a substantial

factual issue, the manufacturer or

remanufacturer shall be provided with a

hearing in accordance with § 92.216

with respect to such issue.

§ 92.209 Certification with multiple

manufacturers or remanufacturers.

(a) Where there are multiple persons

meeting the definition of manufacturer

or remanufacturer, each such person

must comply with the requirements of

this part that apply to manufacturers or

remanufacturers. However, if one

person complies with a requirement,

then all such persons will be deemed to

have complied with that specific

requirement.

(b) Where more than one entity meets

the definition of manufacturer or

remanufacturer for a particular

locomotive or locomotive engine, and

any one of the manufacturers or

remanufacturers obtains a certificate of

conformity covering such locomotive or

locomotive engine, the requirements of

subparts C, D, F, and G of this part shall

apply to the manufacturer or

remanufacturer that obtains the

certificate of conformity. Other

manufacturers or remanufacturers are

required to comply with the

requirements of subparts C, D, F, and G

of this part only when notified by the

Administrator. Such notification by the

Administrator shall specify a reasonable

time period in which the manufacturer

or remanufacturer shall comply with the

requirements identified in the notice.

§ 92.210 Amending the application and

certificate of conformity.

(a) The manufacturer or

remanufacturer of locomotives or

locomotive engines must notify the

Administrator when changes to

information required to be described in

the application for certification are to be

made to a product line covered by a

certificate of conformity. This

notification must include a request to

amend the application or the existing

certificate of conformity. Except as

provided in paragraph (e) of this

section, no manufacturer or

remanufacturer shall make said changes

or produce said locomotives or engines

prior to receiving approval from EPA.

(b) A manufacturer’s or

remanufacturer’s request to amend the

application or the existing certificate of

conformity shall include the following

information:

(1) A full description of the change to

be made in production, or of the

locomotive or engine to be added;

(2) Engineering evaluations or data

showing that locomotives or engines as

modified or added will comply with all

applicable emission standards; and

(3) A determination whether the

manufacturer’s or remanufacturer’s

original test fleet selection is still

appropriate, and if the original test fleet

selection is determined not to be

appropriate, test fleet selection(s)

representing the locomotives or engines

changed or added which would have

been required if the locomotives or

engines had been included in the

original application for certification.

(c) The Administrator may require the

manufacturer or remanufacturer to

perform tests on the locomotive or

engine representing the locomotive or

engine to be added or changed.

(d) Decision by Administrator. (1)

Based on the description of the

amendment and data derived from such

testing as the Administrator may require

or conduct, the Administrator will

determine whether the change or

addition would still be covered by the

certificate of conformity then in effect.

(2) If the Administrator determines

that the change or new locomotive(s) or

engine(s) meets the requirements of this

subpart and the Act, the appropriate

certificate of conformity shall be

amended.

(3) If the Administrator determines

that the changed or new locomotive(s)

or engine(s) does not meet the

requirements of this subpart and the

Act, the certificate of conformity will

not be amended. The Administrator

shall provide a written explanation to

the manufacturer or remanufacturer of

the decision not to amend the

certificate. The manufacturer or

remanufacturer may request a hearing

on a denial.

(e) A manufacturer or remanufacturer

may make changes in or additions to

production locomotives or engines

concurrently with the notification to the

Administrator as required by paragraph

(a) of this section, if the manufacturer or

remanufacturer complies with the

following requirements:

(1) In addition to the information

required in paragraph (b) of this section,

the manufacturer or remanufacturer

must supply supporting documentation,

test data, and engineering evaluations as

appropriate to demonstrate that all

affected locomotives and engines will

still meet applicable emission

standards.

(2) If, after a review, the

Administrator determines additional

testing is required, the manufacturer or

remanufacturer must provide required

test data within 30 days or cease

production of the affected locomotives

or engines.

(3) If the Administrator determines

that the affected locomotives or engines

do not meet applicable requirements,

the Administrator will notify the

manufacturer or remanufacturer to cease

production of the affected locomotives

or engines and to recall and correct at

no expense to the owner all affected

locomotives or engines previously

produced.

(4) Election to produce locomotives or

engines under this paragraph will be

deemed to be a consent to recall all

locomotives or engines which the

Administrator determines do not meet

applicable standards and to cause such

nonconformity to be remedied at no

expense to the owner.

§ 92.211 Emission-related maintenance

instructions for purchasers.

(a) The manufacturer or

remanufacturer shall furnish or cause to

be furnished to the ultimate purchaser

or owner of each new locomotive, or

new locomotive engine, subject to the

standards prescribed in § 92.8, written

instructions for the proper maintenance

and use of the locomotive, or

locomotive engine, as are reasonable

and necessary to assure the proper

functioning of the emissions control

system, consistent with the applicable

provisions of paragraph (b) of this

section.
19050 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

(1) The maintenance and use

instructions required by this section

shall be clear and easily understandable.

(2) The maintenance instructions

required by this section shall contain a

general description of the

documentation which would

demonstrate that the ultimate purchaser

or any subsequent owner had complied

with the instructions.

(b)(1) The manufacturer or

remanufacturer must provide in

boldface type on the first page of the

written maintenance instructions notice

that maintenance, replacement, or repair

of the emission control devices and

systems may be performed by any

locomotive or locomotive engine repair

establishment or individual.

(2) The instructions under paragraph

(b)(1) of this section will not include

any condition on the ultimate

purchaser’s or owner’s using, in

connection with such locomotive or

locomotive engine, any component or

service (other than a component or

service provided without charge under

the terms of the purchase agreement)

which is identified by brand, trade, or

corporate name. Such instructions also

will not directly or indirectly

distinguish between service performed

by any other service establishments

with which such manufacturer or

remanufacturer has a commercial

relationship and service performed by

independent locomotive or locomotive

engine repair facilities which such

manufacturer or remanufacturer has no

commercial relationship.

(3) The prohibition of paragraph (b)(2)

of this section may be waived by the

Administrator if:

(i) The manufacturer or

remanufacturer satisfies the

Administrator that the locomotive or

locomotive engine will function

properly only if the component or

service so identified is used in

connection with such locomotive or

locomotive engine; and

(ii) The Administrator finds that such

a waiver is in the public interest.

(c) The manufacturer or

remanufacturer shall provide to the

Administrator, no later than the time of

the submission required by § 92.203, a

copy of the emission-related

maintenance instructions which the

manufacturer or remanufacturer

proposes to supply to the ultimate

purchaser or owner in accordance with

this section. The Administrator will

review such instructions to determine

whether they are reasonable and

necessary to assure the proper

functioning of the locomotive’s, or

locomotive engine’s emission control

systems. If the Administrator

determines that such instructions are

not reasonable and necessary to assure

the proper functioning of the emission

control systems, he/she may disapprove

the application for certification, or may

require that the manufacturer or

remanufacturer modify the instructions.

(d) Any revision to the maintenance

instructions which will affect emissions

shall be supplied to the Administrator at

least 30 days before being supplied to

the ultimate purchaser or owner unless

the Administrator consents to a lesser

period of time, and is subject to the

provisions of § 92.210.

§ 92.212 Labeling.

(a) General requirements. Each new

locomotive and new locomotive engine,

subject to the emission standards of this

part and covered by a certificate of

conformity under § 92.208, shall be

labeled by the manufacturer or

remanufacturer in the manner described

in this section at the time of

manufacture or remanufacture.

(b) Locomotive labels. (1) Locomotive

labels meeting the specifications of

paragraph (b)(2) of this section shall be

applied by:

(i) The manufacturer at the point of

original manufacture; and

(ii) The remanufacturer at the point of

original remanufacture; and

(iii) Any remanufacturer certifying a

locomotive or locomotive engine to an

FEL different from the last FEL or

standard to which the locomotive was

previously certified.

(2)(i) Locomotive labels shall be

permanent and legible and shall be

affixed to the locomotive in a position

in which it will remain readily visible.

(ii) The label shall be attached to a

locomotive part necessary for normal

operation and not normally requiring

replacement during the service life of

the locomotive.

(iii) The label shall be affixed by the

manufacturer or remanufacturer, in such

manner that it cannot be removed

without destroying or defacing the label.

The label shall not be affixed to any

equipment which is easily detached

from such locomotive.

(iv) The label may be made up of

more than one piece, provided that all

pieces are permanently attached to the

same locomotive part.

(v) The label shall contain the

following information lettered in the

English language in block letters and

numerals, which shall be of a color that

contrasts with the background of the

label:

(A) The label heading: Original

Locomotive Emission Control

Information.

(B) Full corporate name and

trademark of the manufacturer or

remanufacturer.

(C) Engine family and configuration

identification.

(D) A prominent unconditional

statement of compliance with U.S.

Environmental Protection Agency

regulations which apply to locomotives

and locomotive engines, as applicable:

(1) This locomotive conforms to U.S.

EPA regulations applicable to

locomotives originally manufactured

prior to January 1, 2002; or

(2) This locomotive conforms to U.S.

EPA regulations applicable to

locomotives originally manufactured on

or after January 1, 2002, but before

January 1, 2005; or

(3) This locomotive conforms to U.S.

EPA regulations applicable to

locomotives originally manufactured on

or after January 1, 2005.

(E) Date of locomotive original

manufacture.

(F) The useful life of the locomotive.

(G) The standards and/or FELS to

which the locomotive was certified.

(c) Engine labels. (1) Engine labels

meeting the specifications of paragraph

(c)(2) of this section shall be applied by:

(i) Every manufacturer at the point of

original manufacture; and

(ii) Every remanufacturer at the point

of remanufacture.

(2)(i) Engine labels shall be permanent

and legible and shall be affixed to the

engine in a position in which it will be

readily visible after installation of the

engine in the locomotive.

(ii) The label shall be attached to an

engine part necessary for normal

operation and not normally requiring

replacement during the useful life of the

locomotive.

(iii) The label shall be affixed by the

manufacturer or remanufacturer, in such

manner that it cannot be removed

without destroying or defacing the label.

The label shall not be affixed to any

equipment which is easily detached

from such engine.

(iv) The label may be made up of

more than one piece, provided that all

pieces are permanently attached to the

same engine part.

(v) The label shall contain the

following information lettered in the

English language in block letters and

numerals, which shall be of a color that

contrasts with the background of the

label:

(A) The label heading: Locomotive

Emission Control Information.

(B) Full corporate name and

trademark of the manufacturer or

remanufacturer.

(C) Engine family and configuration

identification.
Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations 19051

(D) A prominent unconditional

statement of compliance with U.S.

Environmental Protection Agency

regulations which apply to locomotives

and locomotive engines, as applicable:

(1) This locomotive and locomotive

engine conform to U.S. EPA regulations

applicable to locomotives and

locomotive engines originally

manufactured prior to January 1, 2002;

or

(2) This locomotive and locomotive

engine conform to U.S. EPA regulations

applicable to locomotives and

locomotive engines originally

manufactured on or after January 1,

2002, and remanufactured after January

1, 2005; or

(3) This locomotive and locomotive

engine conform to U.S. EPA regulations

applicable to locomotives and

locomotive engines originally

manufactured on or after January 1,

2005.

(E) The useful life of the locomotive

or locomotive engine.

(F) The standards and/or FELS to

which the locomotive or locomotive

engine was certified.

(G) Engine tune-up specifications and

adjustments, as recommended by the

manufacturer or remanufacturer, in

accordance with the applicable

emission standards, including but not

limited to idle speed(s), injection timing

or ignition timing (as applicable), valve

lash (as applicable), as well as other

parameters deemed necessary by the

manufacturer or remanufacturer.

(d) The provisions of this section shall

not prevent a manufacturer or

remanufacturer from also providing on

the label any other information that

such manufacturer or remanufacturer

deems necessary for, or useful to, the

proper operation and satisfactory

maintenance of the locomotive or

engine.

§ 92.213 Submission of locomotive and

engine identification numbers.

(a) Upon request of the Administrator,

the manufacturer or remanufacturer of

any locomotive or locomotive engine

covered by a certificate of conformity

shall, within 30 days of receipt of such

request, identify by locomotive and/or

engine identification number, the

locomotives or engines covered by the

certificate of conformity.

(b) The manufacturer or

remanufacturer of any locomotives or

locomotive engines covered by a

certificate of conformity shall provide to

the Administrator, within 60 days of the

issuance of a certificate of conformity,

an explanation of the elements in any

locomotive or engine identification

coding system in sufficient detail to

enable the Administrator to identify

those locomotives or engines which are

covered by a certificate of conformity.

§ 92.214 Production locomotives and

engines.

Any manufacturer or remanufacturer

obtaining certification under this part

shall supply to the Administrator, upon

his/her request, a reasonable number of

production locomotives or locomotive

engines, as specified by the

Administrator. The maximum number

of locomotives or locomotive engines

that may be supplied to the

Administrator is five per model year.

The locomotives or locomotive engines

shall be representative of the engines,

emission control systems, and fuel

systems offered and typical of

production locomotives or engines

available for sale, or use by railroads,

under the certificate. These locomotives

or engines shall be supplied for testing

at such time and place and for such

reasonable periods as the Administrator

may require.

§ 92.215 Maintenance of records;

submittal of information; right of entry.

(a) Any manufacturer or

remanufacturer subject to any of the

standards or procedures prescribed in

this subpart shall establish, maintain

and retain the following adequately

organized and indexed records:

(1) General records. The records

required to be maintained by this

paragraph (a) shall consist of:

(i) Identification and description of all

certification locomotives or certification

locomotive engines for which testing is

required under this subpart.

(ii) A description of all emission

control systems which are installed on

or incorporated in each certification

locomotive or certification locomotive

engine.

(iii) A description of all procedures

used to test each such certification

locomotive or certification locomotive

engine.

(iv) A copy of all applications for

certification, filed with the

Administrator.

(2) Individual records. (i) A brief

history of each locomotive or

locomotive engine used for certification

under this subpart including:

(A) In the case where a current

production engine is modified for use as

a certification engine or in a

certification locomotive, a description of

the process by which the engine was

selected and of the modifications made.

In the case where the certification

locomotive or the engine for a

certification locomotive is not derived

from a current production engine, a

general description of the buildup of the

engine (e.g., whether experimental

heads were cast and machined

according to supplied drawings). In the

cases in the previous two sentences, a

description of the origin and selection

process for fuel system components

(carburetor, fuel injection components),

ignition system components, intake air

pressurization and cooling system

components, cylinders, pistons and

piston rings, exhaust smoke control

system components, and exhaust

aftertreatment devices as applicable,

shall be included. The required

descriptions shall specify the steps

taken to assure that the certification

locomotive or certification locomotive

engine, with respect to its engine,

drivetrain, fuel system, emission control

system components, exhaust

aftertreatment devices, exhaust smoke

control system components or any other

devices or components as applicable,

that can reasonably be expected to

influence exhaust emissions will be

representative of production

locomotives or locomotive engines and

that either: all components and/or

locomotive or engine, construction

processes, component inspection and

selection techniques, and assembly

techniques employed in constructing

such locomotives or engines are

reasonably likely to be implemented for

production locomotives or engines; or

that they are as close as practicable to

planned construction and assembly

processed.

(B) A complete record of all emission

tests performed (except tests performed

by EPA directly), including test results,

the date and purpose of each test, and

the number of miles or megawatt-hours

accumulated on the locomotive or the

number of megawatt-hours accumulated

on the engine.

(C) A record and description of all

maintenance and other servicing

performed, giving the date of the

maintenance or service and the reason

for it.

(D) A record and description of each

test performed to diagnose engine or

emission control system performance,

giving the date and time of the test and

the reason for it.

(E) A brief description of any

significant events affecting the

locomotive or engine during the period

covered by the history and not

described by an entry under one of the

previous headings, including such

extraordinary events as locomotive

accidents or accidents involving the

engine or dynamometer runaway.

(ii) Each such history shall be started

on the date that the first of any of the

selection or buildup activities in
19052 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

paragraph (a)(2)(i)(A) of this section

occurred with respect to the

certification locomotive or engine and

shall be kept in a designated location.

(3) All records, other than routine

emission test records, required to be

maintained under this subpart shall be

retained by the manufacturer or

remanufacturer for a period of 8 years

after issuance of all certificates of

conformity to which they relate. Routine

emission test records shall be retained

by the manufacturer or remanufacturer

for a period of one (1) year after

issuance of all certificates of conformity

to which they relate. Records may be

retained as hard copy or reduced to

computer disks, etc., depending on the

record retention procedures of the

manufacturer or remanufacturer:

Provided, that in every case all the

information contained in the hard copy

shall be retained.

(4) Nothing in this section limits the

Administrator’s discretion in requiring

the manufacturer or remanufacturer to

retain additional records or submit

information not specifically required by

this section.

(5) Pursuant to a request made by the

Administrator, the manufacturer or

remanufacturer shall submit to him/her

the information that is required to be

retained.

(6) EPA may void a certificate of

conformity ab initio for a locomotive or

engine family for which the

manufacturer or remanufacturer fails to

retain the records required in this

section or to provide such information

to the Administrator upon request.

(b) The manufacturer or

remanufacturer of any locomotive or

locomotive engine subject to any of the

standards prescribed in this subpart

shall submit to the Administrator, at the

time of issuance by the manufacturer or

remanufacturer, copies of all

instructions or explanations regarding

the use, repair, adjustment,

maintenance, or testing of such

locomotive or engine, relevant to the

control of crankcase, or exhaust

emissions issued by the manufacturer or

remanufacturer, for use by other

manufacturers or remanufacturers,

assembly plants, distributors, dealers,

owners and operators. Any material not

translated into the English language

need not be submitted unless

specifically requested by the

Administrator.

(c) Any manufacturer or

remanufacturer participating in

averaging, banking and trading program

of subpart D of this part must comply

with the maintenance of records

requirements of § 92.308.

(d)(1) Any manufacturer or

remanufacturer who has applied for

certification of a new locomotive or new

locomotive engine subject to

certification test under this subpart shall

admit or cause to be admitted any EPA

Enforcement Officer during operating

hours on presentation of credentials to

any of the following:

(i) Any facility where any such tests

or any procedures or activities

connected with such test are or were

performed;

(ii) Any facility where any locomotive

or locomotive engine which is being

tested (or was tested, or is to be tested)

is present;

(iii) Any facility where any

construction process or assembly

process used in the modification or

buildup of such a locomotive or engine

into a certification locomotive or

certification engine is taking place or

has taken place; or

(iv) Any facility where any record or

other document relating to any of the

above is located.

(2) Upon admission to any facility

referred to in paragraph (d)(1) of this

section, any EPA Enforcement Officer

shall be allowed:

(i) To inspect and monitor any part or

aspect of such procedures, activities and

testing facilities including, but not

limited to, monitoring locomotive or

engine preconditioning, emissions tests,

mileage (or service) accumulation,

maintenance, and locomotive or engine

storage procedures, and to verify

correlation or calibration of test

equipment;

(ii) To inspect and make copies of any

such records, designs, or other

documents, including those records

specified in Subpart D of this part; and

(iii) To inspect and/or photograph any

part or aspect of any such certification

locomotive, or certification locomotive

engine and any components to be used

in the construction thereof.

(3) In order to allow the Administrator

to determine whether or not production

locomotives, or production locomotive

engines, conform to the conditions upon

which a certificate of conformity has

been issued, or conform in all material

respects to the design specifications

applicable to those locomotives, or

engines, as described in the application

for certification for which a certificate of

conformity has been issued, any

manufacturer or remanufacturer shall

admit any EPA Enforcement Officer on

presentation of credentials to:

(i) Any facility where any document,

design or procedure relating to the

translation of the design and

construction of engines and emission

related components described in the

application for certification or used for

certification testing into production

locomotives or production engines is

located or carried on;

(ii) Any facility where any

locomotives or locomotive engines, to

be introduced into commerce are

manufactured or remanufactured; and

(iii) Any facility where records

specified this section are located.

(4) On admission to any such facility

referred to in paragraph (d)(3) of this

section, any EPA Enforcement Officer

shall be allowed:

(i) To inspect and monitor any aspects

of such manufacture or remanufacture

and other procedures;

(ii) To inspect and make copies of any

such records, documents or designs;

(iii) To inspect and photograph any

part or aspect of any such locomotive(s)

or locomotive engine(s) and any

component used in the assembly thereof

that are reasonably related to the

purpose of his/her entry; and

(iv) To inspect and make copies of

any records and documents specified

this section.

(5) Any EPA Enforcement Officer

shall be furnished by those in charge of

a facility being inspected with such

reasonable assistance as he/she may

request to help him/her discharge any

function listed in this part. Each

applicant for or recipient of certification

is required to cause those in charge of

a facility operated for its benefit to

furnish such reasonable assistance

without charge to EPA whether or not

the applicant controls the facility.

(6) The duty to admit or cause to be

admitted any EPA Enforcement Officer

applies to any facility involved in the

manufacturing or assembling of

locomotives, remanufacturing systems,

or locomotive engines, or the

installation of locomotive engines or

remanufacturing systems, whether or

not the manufacturer or remanufactuer

owns or controls the facility in question

and applies both to domestic and to

foreign manufacturers or

remanufacturers and facilities. EPA will

not attempt to make any inspections

which it has been informed that local

law forbids. However, if local law makes

it impossible to do what is necessary to

insure the accuracy of data generated at

a facility, no informed judgment that a

locomotive or locomotive engine is

certifiable or is covered by a certificate

can properly be based on those data. It

is the responsibility of the manufacturer

or remanufacturer to locate its testing

and manufacturing and/or

remanufacturing facilities in

jurisdictions where this situation will

not arise.

(7) For purposes of this section:
Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations 19053

(i) ‘‘Presentation of credentials’’ shall

mean display of the document

designating a person as an EPA

Enforcement Officer.

(ii) Where locomotive, component or

engine storage areas or facilities are

concerned, ‘‘operating hours’’ shall

mean all times during which personnel

other than custodial personnel are at

work in the vicinity of the area or

facility and have access to it.

(iii) Where facilities or areas other

than those covered by paragraph

(d)(7)(ii) of this section are concerned,

‘‘operating hours’’ shall mean all times

during which an assembly line is in

operation or all times during which

testing, maintenance, mileage (or

service) accumulation, production or

compilation of records, or any other

procedure or activity related to

certification testing, to translation of

designs from the test stage to the

production stage, or to locomotive (or

engine) manufacture, remanufacture, or

assembly is being carried out in a

facility.

(iv) ‘‘Reasonable assistance’’ includes,

but is not limited to, clerical, copying,

interpretation and translation services,

the making available on request of

personnel of the facility being inspected

during their working hours to inform

the EPA Enforcement Officer of how the

facility operates and to answer his

questions, and the performance on

request of emissions tests on any

locomotive (or engine) which is being,

has been, or will be used for

certification testing. Such tests shall be

nondestructive, but may require

appropriate mileage (or service)

accumulation. A manufacturer or

remanufacturer may be compelled to

cause the personal appearance of any

employee at such a facility before an

EPA Enforcement Officer by written

request for his appearance, signed by

the Assistant Administrator for Air and

Radiation or the Assistant Administrator

for Enforcement and Compliance

Assurance, served on the manufacturer

or remanufacturer. Any such employee

who has been instructed by the

manufacturer or remanufacturer to

appear will be entitled to be

accompanied, represented and advised

by counsel.

(v) Any entry without 24 hour prior

written or oral notification to the

affected manufacturer or remanufacturer

shall be authorized in writing by the

Assistant Administrator for Air and

Radiation or the Assistant Administrator

for Enforcement and Compliance

Assurance.

(8) EPA may void a certificate of

conformity ab initio for locomotives or

locomotive engines introduced into

commerce if the manufacturer or

remanufacturer (or contractor for the

manufacturer or remanufacturer, if

applicable) fails to comply with any

provision of this section.

§ 92.216 Hearing procedures.

(a)(1) After granting a request for a

hearing under § 92.210 or § 92.208, the

Administrator shall designate a

Presiding Officer for the hearing.

(2) The General Counsel will

represent the Environmental Protection

Agency in any hearing under this

section.

(3) The hearing shall be held as soon

as practicable at a time and place fixed

by the Administrator or by the Presiding

Officer.

(4) In the case of any hearing

requested pursuant to § 92.208, the

Administrator may in his/her discretion

direct that all argument and

presentation of evidence be concluded

within such fixed period not less than

30 days as he/she may establish from

the date that the first written offer of a

hearing is made to the manufacturer. To

expedite proceedings, the Administrator

may direct that the decision of the

Presiding Officer (who may, but need

not be, the Administrator) shall be the

final EPA decision.

(b)(1) Upon his/her appointment

pursuant to paragraph (a) of this section,

the Presiding Officer will establish a

hearing file. The file shall consist of the

notice issued by the Administrator

under § 92.210 or § 92.208 together with

any accompanying material, the request

for a hearing and the supporting data

submitted therewith, and all documents

relating to the request for certification

and all documents submitted therewith,

and correspondence and other data

material to the hearing.

(2) The hearing file will be available

for inspection by the applicant at the

office of the Presiding Officer.

(c) An applicant may appear in

person, or may be represented by

counsel or by any other duly authorized

representative.

(d)(1) The Presiding Officer, upon the

request of any party, or in his/her

discretion, may arrange for a prehearing

conference at a time and place specified

by him/her to consider the following:

(i) Simplification of the issues;

(ii) Stipulations, admissions of fact,

and the introduction of documents;

(iii) Limitation of the number of

expert witnesses;

(iv) Possibility of agreement disposing

of all or any of the issues in dispute;

(v) Such other matters as may aid in

the disposition of the hearing, including

such additional tests as may be agreed

upon by the parties.

(2) The results of the conference shall

be reduced to writing by the Presiding

Officer and made part of the record.

(e)(1) Hearings shall be conducted by

the Presiding Officer in an informal but

orderly and expeditious manner. The

parties may offer oral or written

evidence, subject to the exclusion by the

Presiding Officer of irrelevant,

immaterial and repetitious evidence.

(2) Witnesses will not be required to

testify under oath. However, the

Presiding Officer shall call to the

attention of witnesses that their

statements may be subject to the

provisions of 18 U.S.C. 1001 which

imposes penalties for knowingly making

false statements or representations, or

using false documents in any matter

within the jurisdiction of any

department or agency of the United

States.

(3) Any witness may be examined or

cross-examined by the Presiding Officer,

the parties, or their representatives.

(4) Hearings shall be reported

verbatim. Copies of transcripts of

proceedings may be purchased by the

applicant from the reporter.

(5) All written statements, charts,

tabulations, and similar data offered in

evidence at the hearings shall, upon a

showing satisfactory to the Presiding

Officer of their authenticity, relevancy,

and materiality, be received in evidence

and shall constitute a part of the record.

(6) Oral argument may be permitted in

the discretion of the Presiding Officer

and shall be reported as part of the

record unless otherwise ordered by him/

her.

(f)(1) The Presiding Officer shall make

an initial decision which shall include

written findings and conclusions and

the reasons or basis therefor on all the

material issues of fact, law, or discretion

presented on the record. The findings,

conclusions, and written decision shall

be provided to the parties and made a

part of the record. The initial decision

shall become the decision of the

Administrator without further

proceedings unless there is an appeal to

the Administrator or motion for review

by the Administrator within 30 days of

the date the initial decision was filed.

(2) On appeal from or review of the

initial decision the Administrator shall

have all the powers which he/she would

have in making the initial decision

including the discretion to require or

allow briefs, oral argument, the taking of

additional evidence or the remanding to

the Presiding Officer for additional

proceedings. The decision by the

Administrator shall include written

findings and conclusions and the

reasons or basis therefor on all the

material issues of fact, law, or discretion
19054 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

presented on the appeal or considered

in the review.

Subpart D—Certification Averaging,

Banking, and Trading Provisions

§ 92.301 Applicability.

Locomotive engine families subject to

the provisions of subpart A of this part

are eligible to participate in the

certification averaging, banking, and

trading program described in this

subpart. The provisions of this subpart

apply to manufacturers and

remanufacturers of new locomotives

and new locomotive engines

manufactured or remanufactured in the

1999 model year or later.

§ 92.302 Definitions.

The definitions of subpart A of this

part apply to this subpart. The following

definitions also apply.

Applicable standard means a

standard that would have otherwise

been applicable had the locomotive or

locomotive engine not been certified

under this subpart to an FEL different

than that standard.

Broker means any entity that

facilitates a trade between a buyer and

seller.

Buyer means the entity that receives

credits as a result of trade or transfer.

Reserved credits means credits that

have been generated but have not yet

been reviewed by EPA or used to

demonstrate compliance under the

averaging provisions of this subpart.

Seller means the entity that provides

credits during a trade or transfer.

Transfer means to convey control of

credits generated from an individual

locomotive to the purchaser, owner or

operator of the locomotive at the time of

manufacture or remanufacture; or to

convey control of previously generated

credits from the purchaser, owner or

operator of an individual locomotive to

the manufacturer or remanufacturer at

the time of manufacture or

remanufacture.

§ 92.303 General provisions.

(a) Participation in the averaging,

banking and trading program is

voluntary. A manufacturer or

remanufacturer may choose to involve

some or all of its families in any or all

aspects of the program.

(b) An engine family is eligible to

participate in the certification averaging,

banking, and trading program for NOX

and PM emissions if it is subject to

regulation under this part with certain

exceptions specified in paragraph (c) of

this section. No averaging, banking and

trading program is available for meeting

the HC, CO, or smoke emission

standards of this part.

(c) Locomotives and locomotive

engines may not participate in the

certification averaging, banking, and

trading program if they are exported.

Only locomotive and locomotive

engines certified under this part are

eligible for inclusion in this certification

averaging, banking, and trading

program.

(d) Averaging involves the generation

of credits by a manufacturer or

remanufacturer for use by that same

manufacturer or remanufacturer in the

same calendar year. A manufacturer or

remanufacturer may use averaging

during certification to offset an emission

exceedance of an engine family caused

by an FEL above the applicable

emission standard, subject to the

provisions of this subpart.

(e) Banking involves the generation of

credits by a manufacturer or

remanufacturer in a given calendar year

for use in a subsequent model year. A

manufacturer or remanufacturer may

bank actual credits only after the end of

the calendar year and after EPA has

reviewed the manufacturer’s or

remanufacturer’s end-of-year reports.

During the calendar year and before

submittal of the end-of-year report,

credits originally designated in the

certification process for banking will be

considered reserved and may be

redesignated for trading or averaging in

the end-of-year report. Credits declared

for banking from the previous calendar

year that have not been reviewed by

EPA may be used in averaging or trading

transactions. However, such credits may

be revoked at a later time following EPA

review of the end-of-year report or any

subsequent audit actions.

(f) Trading involves the sale of banked

credits for use in certification of new

locomotives and new locomotive

engines under this part. Only banked

credits may be traded; reserved credits

may not be traded.

(g) Credit transfer involves the

conveying of control over credits, as

defined in § 92.302. Transferred credits

can be used in averaging or in

subsequent transfers. Transferred credits

may also be reserved for later banking.

Transferred credits may not be traded

unless they have been previously

banked.

§ 92.304 Compliance requirements.

(a) Manufacturers or remanufacturers

wishing to participate in certification

averaging, banking and trading

programs shall select a FEL for each

engine family they wish to include. The

level of the FEL shall be selected by the

manufacturer or remanufacturer, subject

to the upper limits described in

paragraph (k) of this section. An engine

family certified to an FEL is subject to

all provisions specified in this part,

except that the applicable FEL replaces

the applicable NOX and PM emission

standard for the family participating in

the averaging, banking, and trading

program.

(b) A manufacturer or remanufacturer

may certify one or more engine families

at FELs above or below the applicable

emission standard, provided the

summation of the manufacturer’s or

remanufacturer’s projected balance of

all credit transactions in a given

calendar year is greater than or equal to

zero, as calculated for each family under

§ 92.305 and reported under § 92.309.

(c) Manufacturers and

remanufacturers certifying engine

families with FELs exceeding the

applicable emission standard shall

obtain emission credits in amounts

sufficient to address the shortfall.

Credits may be obtained from averaging,

banking, trading or transfer, subject to

the restrictions described in this

subpart.

(d) Manufacturers and

remanufacturers certifying engine

families with FELs below the applicable

emission standard may generate

emission credits to average, bank, trade,

or transfer, or a combination thereof.

(e) Credits may only be used for

certification; they may not be used to

remedy a violation of the FEL

determined by production line or in-use

testing. Credits may be used to allow

subsequent production of engines for an

engine family failing production line

testing if the manufacturer elects to

recertify to a higher FEL

(f) If an FEL is changed after initial

certification in any given model year,

the manufacturer/remanufacturer must

conduct production line testing to verify

that the emission levels are achieved.

(g) Manufacturers and

remanufacturers participating in the

averaging, banking and trading program

must demonstrate compliance with the

applicable emission standards at the

end of the model year. Manufacturers

and remanufacturers that have certified

engine families to FELs above the

applicable emission standards and do

not have sufficient emission credits to

offset the difference between the

emission standard and the FEL for such

engine family(ies) will be in violation of

the conditions of the certificate of

conformity for such engine family(ies).

The certificates of conformity may be

voided ab initio for those engine

families.

(h) In the event of a negative credit

balance resulting from a credit trade or

transfer, both the buyer(s) and the

seller(s) are liable, except in cases
Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations 19055

involving fraud. Certificates of all

engine families participating in a

negative trade may be voided ab initio.

(1) Where a buyer of credits is not

responsible for causing the negative

credit balance, it is only liable to supply

additional credits equivalent to any

amount of invalid credits that it used.

(2) Credit holders responsible for the

credit shortfall may be subject to the

requirements of § 92.309(g)(3).

(i) Averaging sets. This subpart

includes separate programs for

compliance with each type of cycleweighted standards in § 92.8 (i.e., linehaul and switch). Credits generated over

the line-haul duty-cycle may not be

used for compliance with the switch

duty-cycle, and credits generated over

the switch duty-cycle may not be used

for compliance with the line-haul dutycycle.

(j) Cross tier credit exchanges. Cross

tier credit exchanges for NOX and PM

emission credits may be exchanged

between and among Tier 0, Tier 1, and

Tier 2 engine families with the

following exceptions:

(1) For 2005 and 2006 model year

freshly manufactured locomotives,

manufacturers may use PM credits for

all of their freshly manufactured engine

families. Manufacturers may use NOX

credits only for engine families that are

projected to represent 75 percent or less

of their total projected annual

production of freshly manufactured

locomotives. The remainder must

comply with the Tier 2 NOX emission

standards without the use of credits.

(2) For 2007 and later model year

freshly manufactured locomotives,

manufacturers may use PM credits for

all of their freshly manufactured engine

families. Manufacturers may use NOX

credits only for engine families that are

projected to represent 50 percent or less

of their total projected annual

production of freshly manufactured

locomotives. The remainder must

comply with the Tier 2 NOX emission

standards without the use of credits.

(3) Credits generated from

remanufactured locomotives prior to

January 1, 2002 and which are banked

may only be used for compliance with

the Tier 1 or later emission standards.

(k) Upper limits. The FELs for NOX

and PM for new locomotives and new

locomotive engines certified to the Tier

1 and Tier 2 standards may not exceed

the following values:

(1) Tier 1: the Tier 0 standards.

(2) Tier 2: the Tier 1 standards, except

as noted in paragraph (j) of this section.

(l) Credit life shall be unlimited.

(m) Credits may be generated by any

certifying manufacturer or

remanufacturer and may be held by any

of the following entities:

(1) Locomotive or locomotive engine

manufacturers;

(2) Locomotive or locomotive engine

remanufacturers;

(3) Locomotive or locomotive engine

owners;

(4) Locomotive or locomotive engine

operators; or

(5) Other entities after notification to

EPA.

(n)(1) All locomotives that are

certified to an FEL that is different from

the emission standard that would

otherwise apply to the locomotive or

locomotive engine are required to

comply with that FEL for the remainder

of their service lives, except as allowed

by § 92.9(a)(4)(iii) and this subpart.

(2) Manufacturers shall notify the

purchaser of any locomotive engine that

is certified to an FEL that is different

from the emission standard that would

otherwise apply that the locomotive or

locomotive engine is required to comply

with that FEL for the remainder of its

service life.

(3) Remanufacturers shall notify the

owner of any locomotive or locomotive

engine that is certified to an FEL that is

different from the emission standard

that would otherwise apply that the

locomotive (or the locomotive in which

the engine is used) is required to

comply with that FEL for the remainder

of its service life.

§ 92.305 Credit generation and use

calculation.

(a) For each participating engine

family, NOX and PM emission credits

(positive or negative) are to be

calculated according to the following

equation and rounded in accordance

with ASTM E29–93a, to the nearest

Megagram (Mg). Consistent units are to

be used throughout the calculation.

(1) When useful life is expressed in

terms of megawatt-hrs:

Credits for each engine family are

calculated as: Emission credits=(Std ¥

FEL) × (UL) × (Production) × (Fp) ×

(10¥3 kW-Mg/MW-g).

(2) Where:

(i) Std=the applicable locomotive and

locomotive engine NOX and/or PM

emission standard in grams per

kilowatt-hour (exceptions: Std=0.43 g/

kW-hr, for Tier 0 and Tier 1 PM linehaul credits; Std=0.59 g/kW-hr, for Tier

0 and Tier 1 PM switch credits; and

Std=previous FEL in g/kW-hr, for

locomotives that were certified to an

FEL other than the standard during the

previous useful life).

(ii) FEL=the family emission limit for

the engine family in grams per kilowatthour. For Tier 1 and Tier 2 engine

families, the FEL may not exceed the

limit established in § 92.304(k) for each

pollutant.

(iii) UL=the sales weighted average

useful life in megawatt-hours, based on

the sales weighted average horsepower

of the engine family (or the subset of the

engine family for which credits are

being calculated), as specified in the

application for certification.

(iv) Production=the number of

locomotives or locomotive engines

participating in the averaging, banking,

and trading program within the given

engine family during the calendar year

(or the number of locomotives or

locomotive engines in the subset of the

engine family for which credits are

being calculated). Quarterly production

projections are used for initial

certification. Actual applicable

production/sales volumes are used for

end-of-year compliance determination.

(v) Fp=the proration factor as

determined in paragraph (c) of this

section.

(b) When useful life is expressed in

terms of miles or years, the useful life

in terms of megawatt hours (UL) shall be

calculated by dividing the useful life in

miles by 100,000, and multiplying by

the sales weighted average horsepower

of the engine family. Credits are

calculated using this UL value in the

equations of paragraph (a) of this

section.

(c) The proration factor is an estimate

of the fraction of a locomotive’s service

life that remains as a function of age.

(1) The locomotive’s age is the length

of time in years from the date of original

manufacture to the date at which the

remanufacture (for which credits are

being calculated) is completed, rounded

to the next higher year.

(2) The proration factors for ages 1

through 32 are specified in Table D305–

1 of this section. For locomotives or

locomotive engines more than 32 years

old, the proration factor for 32 year old

locomotives shall be used.

(3) For replacement or repower

engines, the proration factor is based on

the age of the locomotive chassis, not

the age of the engine.

Table to § 92.305

TABLE D305–1.—PRORATION FACTOR

Age Fp Age Fp

1 ........................ 0.964 17 0.452

2 ........................ 0.929 18 0.429

3 ........................ 0.893 19 0.405

4 ........................ 0.857 20 0.381

5 ........................ 0.821 21 0.357

6 ........................ 0.786 22 0.333

7 ........................ 0.750 23 0.310

8 ........................ 0.714 24 0.286
19056 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

TABLE D305–1.—PRORATION

FACTOR—Continued

Age Fp Age Fp

9 ........................ 0.679 25 0.268

10 ...................... 0.643 26 0.250

11 ...................... 0.607 27 0.232

12 ...................... 0.571 28 0.214

13 ...................... 0.548 29 0.196

14 ...................... 0.524 30 0.179

15 ...................... 0.500 31 0.161

16 ...................... 0.476 32 0.143

§ 92.306 Certification.

(a) In the application for certification

a manufacturer or remanufacturer must:

(1) Declare its intent to include

specific engine families in the

averaging, banking, and/or trading

programs. Separate declarations are

required for each program (line-haul

and switch) and for each pollutant (NOX

and PM).

(2) Declare duty-cycle FELs for each

engine family participating in

certification averaging, banking, and/or

trading.

(i) The FELs must be to the same

number of significant digits as the

emission standard.

(ii) In no case may the FEL exceed the

upper limit prescribed in § 92.304(k).

(3) Conduct and submit detailed

calculations of projected emission

credits (positive or negative) based on

quarterly production projections for

each participating family and for each

pollutant, using the applicable equation

in § 92.305 and the applicable values of

the terms in the equation for the specific

family.

(i) If the engine family is projected to

have negative emission credits, state

specifically the source (manufacturer/

engine family, remanufacturer/engine

family, or transfer) of the credits

necessary to offset the credit deficit

according to quarterly projected

production.

(ii) If the engine family is projected to

generate credits, state specifically where

the quarterly projected credits will be

applied (manufacturer/engine family or

remanufacturer/engine family, reserved

or transfer).

(4) Submit a statement that the

locomotives or locomotive engines for

which certification is requested will not,

to the best of the manufacturer’s or

remanufacturer’s belief, cause the

manufacturer or remanufacturer to have

a negative credit balance when all

credits are calculated for all the

manufacturer’s or remanufacturer’s

engine families participating in the

averaging, banking, and trading

program.

(b) Based on this information, each

manufacturer’s certification application

must demonstrate:

(1) That at the end of model year

production, each engine family has a net

emissions balance equal to or greater

than zero for any pollutant and program

for which participation in certification

under averaging, banking, and/or

trading is being sought. The equation in

section § 92.305 shall be used in this

calculation for each engine family.

(2) That the manufacturer or

remanufacturer will obtain sufficient

credits to be used to comply with the

emission standard for any engine family

with an FEL that exceeds the applicable

emission standard, or where credits will

be applied if the FEL is less than the

emission standard. In cases where

credits are being obtained, for each

engine family involved the

manufacturer or remanufacturer must

identify specifically the source of the

credits being used (manufacturer/engine

family, or remanufacturer/engine

family, or transfer). All such reports

shall include all credits involved in

certification averaging, banking, or

trading.

(3) In cases where credits are being

generated/supplied, each engine family

must indicate specifically the

designated use of the credits involved

(manufacturer/remanufacturer and

engine family, reserved or transfer). All

such reports shall include all credits

involved in certification averaging,

banking, or trading.

(c) Manufacturers and

remanufacturers must monitor projected

versus actual production throughout the

model year to ensure that compliance

with emission standards is achieved at

the end of the model year.

(d) At the end of the model year, the

manufacturer or remanufacturer must

provide the end-of-year reports required

under § 92.309.

(1) Projected credits based on the

information supplied in the certification

application may be used to obtain a

certificate of conformity. However, any

such projected credits must be validated

based on review of the end of model

year reports and may be revoked at a

later time based on follow-up audits or

any other verification measure deemed

appropriate by the Administrator.

(2) Compliance for engine families

using averaging, banking, or trading will

be determined at the end of the model

year. Manufacturers and

remanufacturers that have certified

engine families with credit balances for

NOX and/or PM that do not equal or

exceed zero shall be in violation of the

conditions of the certificate of

conformity for such engine families. The

certificate of conformity may be voided

ab initio for those engine families.

(e) Other conditions of certification.

(1) All certificates issued are

conditional upon compliance by the

manufacturer or remanufacturer with

the provisions of this subpart both

during and after the calendar year of

production.

(2) Failure to comply with all

provisions of this subpart will be

considered to be a failure to satisfy the

conditions upon which the certificate

was issued, and the certificate may be

deemed void ab initio.

(3) The manufacturer or

remanufacturer (as applicable) bears the

burden of establishing to the satisfaction

of the Administrator that the conditions

upon which the certificate was issued

were satisfied or waived.

§ 92.307 Labeling.

For all locomotives and locomotive

engines included in the certification

averaging, banking, and trading

program, the FEL to which the

locomotive or locomotive engine is

certified must be included on the label

required in § 92.212. This label must

include the notification specified in

§ 92.304(n).

§ 92.308 Maintenance of records.

(a) The manufacturer or

remanufacturer of any locomotive or

locomotive engine that is certified under

the averaging, banking, and trading

program must establish, maintain, and

retain the following adequately

organized and indexed records for each

such locomotive or locomotive engine

produced:

(1) EPA engine family and

configuration;

(2) Engine identification number;

(3) Engine calendar year and build

date;

(4) Rated horsepower;

(5) Purchaser and destination or

owner; and

(6) Assembly plant.

(b) The manufacturer or

remanufacturer of any engine family

that is certified under the averaging,

banking, and trading program must

establish, maintain, and retain the

following adequately organized and

indexed records for each such family:

(1) Model year and EPA engine

family;

(2) Family Emission Limit (FEL);

(3) Rated horsepower for each

configuration;

(4) Projected applicable production/

sales volume for the calendar year;

(5) Actual applicable production/sales

volume for the calendar year; and

(6) Useful life.
Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations 19057

(c) Any manufacturer or

remanufacturer producing an engine

family participating in trading or

transfer of credits must maintain the

following records on a quarterly basis

for each engine family in the trading

program:

(1) The model year and engine family;

(2) The actual quarterly and

cumulative applicable production/sales

volume;

(3) The values required to calculate

credits as given in § 92.305;

(4) The resulting type and number of

credits generated/required;

(5) How and where credit surpluses

are dispersed; and

(6) How and through what means

credit deficits are met.

(d) The manufacturer or

remanufacturer must retain all records

required to be maintained under this

section for a period of 8 years from the

due date for the end-of-calendar year

report. Records may be retained as hard

copy or reduced to microfilm, ADP

diskettes, and so forth, depending on

the manufacturer’s or remanufacturer’s

record retention procedure; provided,

that in every case all information

contained in the hard copy is retained.

(e) Nothing in this section limits the

Administrator’s discretion in requiring

the manufacturer or remanufacturer to

retain additional records or submit

information not specifically required by

this section.

(f) Pursuant to a request made by the

Administrator, the manufacturer or

remanufacturer must submit to the

Administrator the information that the

manufacturer or remanufacturer is

required to retain.

(g) EPA may void ab initio a

certificate of conformity for an engine

family for which the manufacturer or

remanufacturer fails to retain the

records required in this section or to

provide such information to the

Administrator upon request.

§ 92.309 Reports.

(a) Manufacturer or remanufacturers

must submit the certification

information as required under § 92.306,

and end-of-year reports each year as part

of their participation in certification

averaging, banking, and trading

programs. All entities involved in credit

trades or transfers must submit quarterly

reports as specified in paragraph (b) of

this section.

(b) Quarterly reports. (1) Those

holding or receiving transferred credits

as allowed in § 92.303(m) must submit

quarterly reports of their holdings or

receipts when credits are gained or lost.

(2) The reports shall include the

source or recipient of the credits the

amount of credits involved plus

remaining balances, details regarding

the pollutant, duty-cycle, and model

year/Tier as well as the information

prescribed in § 92.308(c). Copies of

contracts related to credit trading or

transfer must be included or supplied

by the buyer, seller, and broker, as

applicable.

(c) End-of-year reports must include

the information prescribed in

§ 92.308(b). The report shall include a

calculation of credit balances for each

family to show that the summation of

the manufacturer’s or remanufacturer’s

use of credits results in a credit balance

equal to or greater than zero. The report

shall be consistent in detail with the

information submitted under § 92.306

and show how credit surpluses were

dispersed and how credit shortfalls

were met on a family specific basis. The

end-of-year report shall incorporate any

information reflected in previous

quarterly reports.

(d) The applicable production/sales

volume for quarterly and end-of-year

reports must be based on the location of

either the point of first retail sale by the

manufacturer or remanufacturer or the

point at which the locomotive is placed

into service, whichever occurs first.

This is called the final product purchase

location.

(e) Each quarterly and end-of-year

report submitted shall include a

statement certifying to the accuracy and

authenticity of the material reported

therein.

(f) Requirements for submission. (1)

Quarterly reports must be submitted

within 90 days of the end of the

calendar quarter to: Group Manager,

Engine Compliance Programs Group,

Engine Programs and Compliance

Division U.S. Environmental Protection

Agency, 6403–J, 401 M St., SW,

Washington, D.C. 20460.

(2) End-of-year reports must be

submitted within 120 days of the end of

the calendar year to: Group Manager,

Engine Compliance Programs Group,

Engine Programs and Compliance

Division, U.S. Environmental Protection

Agency, 6403–J, 401 M St., SW,

Washington, D.C. 20460.

(3) Failure by a manufacturer or a

remanufacturer participating in the

averaging, banking, or trading program

to submit any quarterly or end-of-year

reports in the specified time for all

engines is a violation of sections

203(a)(1) and 213 of the Clean Air Act

for each locomotive or locomotive

engine.

(4) A manufacturer or remanufacturer

generating credits for banking only who

fails to submit end-of-year reports in the

applicable specified time period (120

days after the end of the calendar year)

may not use or trade the credits until

such reports are received and reviewed

by EPA. Use of projected credits

pending EPA review is not permitted in

these circumstances.

(g) Reporting errors. (1) Errors

discovered by EPA or the manufacturer

or the remanufacturer as applicable in

the end-of-year report, including errors

in credit calculation, may be corrected

180-days subsequent to submission of

the end-of-year report. Errors discovered

by EPA after 180-days shall be

correctable if, as a result of the

correction, the manufacturer’s or

remanufacturer’s credits are reduced.

Errors in the manufacturer’s or

remanufacturer’s favor are not corrected

if discovered after the 180-day

correction period allowed.

(2) If EPA or the manufacturer or

remanufacturer determines that a

reporting error occurred on an end of

year report previously submitted to EPA

under this section, the manufacturer’s or

remanufacturer’s credits and credit

calculations will be recalculated.

Erroneous positive credits will be void.

Erroneous negative credit balances may

be corrected by EPA.

(3) If EPA review of a manufacturer’s

or remanufacturers end-of-year report

indicates a credit shortfall, the

manufacturer or remanufacturer will be

permitted to purchase the necessary

credits to bring the credit balance to

zero. These credits must be supplied at

the ratio of 1.1 credits for each 1.0 credit

needed. If sufficient credits are not

available to bring the credit balance to

zero for the family(ies) involved, EPA

may void the certificate(s) for that

family(ies) ab initio. In addition, all

locomotives and locomotive engines

within an engine family for which there

are insufficient credits will be

considered to have violated the

conditions of the certificate of

conformity and therefore not covered by

that certificate.

(4) If within 180 days of receipt of the

manufacturer’s or remanufacturer’s endof-year report, EPA review determines a

reporting error in the manufacturer’s or

remanufacturer’s favor (that is, resulting

in an increased credit balance) or if the

manufacturer or remanufacturer

discovers such an error within 180 days

of EPA receipt of the end-of-year report,

the credits are restored for use by the

manufacturer or remanufacturer.

§ 92.310 Notice of opportunity for hearing.

Any voiding of the certificate under

this subpart will be made only after the

manufacturer or remanufacturer

concerned has been offered an

opportunity for a hearing conducted in
19058 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

accordance with § 92.216 and, if a

manufacturer or remanufacturer

requests such a hearing, will be made

only after an initial decision by the

Presiding Officer.

Subpart E—Emission-Related Defect

Reporting Requirements, Voluntary

Emission Recall Program

§ 92.401 Applicability.

The requirements of this subpart are

applicable to manufacturers and

remanufacturers of locomotives and

locomotive engines subject to the

provisions of subpart A of this part. The

requirement to report emission-related

defects affecting a given class or

category of locomotives or locomotive

engines applies for eight years from the

end of the year in which such

locomotives or locomotive engines were

manufactured, or remanufactured, as

applicable.

§ 92.402 Definitions.

The definitions of subpart A of this

part apply to this subpart.

§ 92.403 Emission defect information

report.

(a) A manufacturer or remanufacturer

must file a defect information report

whenever it determines, in accordance

with procedures it established to

identify either safety-related or

performance defects, (or based on other

information) that a specific emissionrelated defect exists in ten or more

locomotives or locomotive engines. No

report must be filed under this

paragraph for any emission-related

defect corrected prior to the sale, or

reintroduction into service of a

remanufactured locomotive or

locomotive engine, of the affected

locomotives or locomotive engines to an

ultimate purchaser.

(b) Defect information reports

required under paragraph (a) of this

section must be submitted not more

than 15 working days after the same

emission-related defect is found to effect

10 or more locomotives or locomotive

engines. Information required by

paragraph (c) of this section that is

either not available within 15 working

days or is significantly revised must be

submitted as it becomes available.

(c) Except as provided in paragraph

(b) of this section, each defect report

must contain the following information

in substantially the format outlined as

follows:

(1) The manufacturer’s or

remanufacturer’s corporate name.

(2) A description of the defect.

(3) A description of each class or

category of locomotives or locomotive

engines potentially affected by the

defect including make, model, calendar

year produced, purchaser (or owner)

and any other information as may be

required to identify the locomotives or

locomotive engines affected.

(4) For each class or category of

locomotives and locomotive engines

described in response to paragraph

(c)(3) of this section, the following shall

also be provided:

(i) The number of locomotives and/or

locomotive engines known or estimated

to have the defect and an explanation of

the means by which this number was

determined.

(ii) The address of the plant(s) at

which the potentially defective

locomotives or locomotive engines were

produced.

(5) An evaluation of the emissions

impact of the defect and a description

of any operational or performance

problems which a defective locomotive

or locomotive engine might exhibit.

(6) Available emissions data which

relate to the defect.

(7) An indication of any anticipated

follow-up by the manufacturer or

remanufacturer.

§ 92.404 Voluntary emissions recall

reporting.

(a) When any manufacturer or

remanufacturer initiates a voluntary

emissions recall campaign involving a

locomotive or locomotive engine, the

manufacturer or remanufacturer shall

submit to EPA a report describing the

manufacturer’s or remanufacturer’s

voluntary emissions recall plan as

prescribed by this section within 15

working days of the date owner

notification was begun. The report shall

contain the following:

(1) A description of each class or

category of locomotives or locomotive

engines recalled including the number

of locomotives or locomotive engines to

be recalled, the calendar year if

applicable, the make, the model, and

such other information as may be

required to identify the locomotives or

locomotive engines recalled.

(2) A description of the specific

modifications, alterations, repairs,

corrections, adjustments, or other

changes to be made to correct the

locomotives or locomotive engines

affected by the emission-related defect.

(3) A description of the method by

which the manufacturer or

remanufacturer will notify locomotive

or locomotive engine owners.

(4) A description of the proper

maintenance or use, if any, upon which

the manufacturer or remanufacturer

conditions eligibility for repair under

the remedial plan, an explanation of the

manufacturer’s or remanufacturer’s

reasons for imposing any such

condition, and a description of the proof

to be required of a locomotive or

locomotive-engine owner to

demonstrate compliance with any such

condition.

(5) A description of the procedure to

be followed by locomotive or

locomotive-engine owners to obtain

correction of the nonconformity. This

shall include designation of the date on

or after which the owner can have the

nonconformity remedied, the time

reasonably necessary to perform the

labor to remedy the defect, and the

designation of facilities at which the

defect can be remedied.

(6) If some or all the nonconforming

locomotives or locomotive engines are

to be remedied by persons other than

authorized warranty agents of the

manufacturer or remanufacturer, a

description of the class of persons other

than authorized warranty agents of the

manufacturer or remanufacturer who

will remedy the defect.

(7) A copy of any written notification

sent to locomotive or locomotive-engine

owners.

(8) A description of the system by

which the manufacturer or

remanufacturer will assure that an

adequate supply of parts will be

available to perform the repair under the

remedial plan including the date by

which an adequate supply of parts will

be available to initiate the repair

campaign, the percentage of the total

parts requirement of each person who is

to perform the repair under the remedial

plan to be shipped to initiate the

campaign, and the method to be used to

assure the supply remains both

adequate and responsive to owner

demand.

(9) Three copies of all necessary

instructions to be sent to those persons

who are to perform the repair under the

remedial plan.

(10) A description of the impact of the

changes on fuel consumption, operation

or performance, and safety of each class

or category of locomotives or locomotive

engines to be recalled.

(11) A sample of any label to be

applied to locomotives or locomotive

engines which participate in the

voluntary recall campaign.

(b) Unless otherwise specified by the

Administrator, the manufacturer or

remanufacturer shall report on the

progress of the recall campaign by

submitting subsequent reports for six

consecutive quarters, or until proven

that remedial action has been

adequately taken on all affected

locomotives or locomotive engines,

whichever occurs first, commencing

with the quarter after the voluntary
Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations 19059

emissions recall campaign actually

begins. Such reports shall be submitted

no later than 25 working days after the

close of each calendar quarter. For each

class or category of locomotive or

locomotive engine subject to the

voluntary emissions recall campaign,

the quarterly report shall contain the:

(1) Emission recall campaign number,

if any, designated by the manufacturer

or remanufacturer.

(2) Date owner notification was

begun, and date completed.

(3) Number of locomotives or

locomotive engines involved in the

voluntary emissions recall campaign.

(4) Number of locomotives or

locomotive engines known or estimated

to be affected by the emission-related

defect and an explanation of the means

by which this number was determined.

(5) Number of locomotives or

locomotive engines inspected pursuant

to voluntary emission recall plan.

(6) Number of inspected locomotives

or locomotive engines found to be

affected by the emissions-related defect.

(7) Number of locomotives or

locomotive engines actually receiving

repair under the remedial plan.

(8) Number of locomotives or

locomotive engines determined to be

unavailable for inspection or repair

under the remedial plan due to

exportation, scrappage, or for other

reasons (specify).

(9) Number of locomotives or

locomotive engines determined to be

ineligible for remedial action due to a

failure to properly maintain or use such

locomotives or locomotive engines.

(10) Three copies of any service

bulletins which relate to the defect to be

corrected and which have not

previously been reported.

(11) Three copies of all

communications transmitted to

locomotive or locomotive-engine

owners which relate to the defect to be

corrected and which have not

previously been submitted.

(c) If the manufacturer or

remanufacturer determines that any of

the information requested in paragraph

(b) of this section has changed or was

incorrect, revised information and an

explanatory note shall be submitted.

Answers to paragraphs (b)(5), (6), (7),

(8), and (9) of this section shall be

cumulative totals.

(d) The manufacturer or

remanufacturer shall maintain in a form

suitable for inspection, such as

computer information storage devices or

card files, the names and addresses of

locomotive and locomotive-engine

owners:

(1) To whom notification was given;

(2) Who received remedial repair or

inspection under the remedial plan; and

(3) Who were determined not to

qualify for such remedial action when

eligibility is conditioned on proper

maintenance or use.

(e) The records described in

paragraph (d) of this section shall be

made available to the Administrator

upon request.

§ 92.405 Alternative report formats.

(a) Any manufacturer or

remanufacturer may submit a plan for

making either of the reports required by

§§ 92.403 and 92.404 on computer

diskettes, magnetic tape or other

machine readable format. The plan shall

be accompanied by sufficient technical

detail to allow a determination that data

requirements of these sections will be

met and that the data in such format

will be usable by EPA.

(b) Upon approval by the

Administrator of the reporting system,

the manufacturer or remanufacturer may

use such system until otherwise notified

by the Administrator.

§ 92.406 Reports filing: record retention.

(a) The reports required by §§ 92.403

and 92.404 shall be sent to: Group

Manager, Engine Compliance Programs

Group, Engine Programs and

Compliance Division, U.S.

Environmental Protection Agency,

6403–J, 401 M St., S.W., Washington,

D.C. 20460.

(b) The information gathered by the

manufacturer or remanufacturer to

compile the reports required by

§§ 92.403 and 92.404 shall be retained

for not less than 8 years from the date

of the manufacture of the locomotives or

locomotive engines and shall be made

available to duly authorized officials of

the EPA upon request.

§ 92.407 Responsibility under other legal

provisions preserved.

The filing of any report under the

provisions of this subpart shall not

affect a manufacturer’s or a

remanufacturer’s responsibility to file

reports or applications, obtain approval,

or give notice under any provision of

law.

§ 92.408 Disclaimer of production warranty

applicability.

(a) The act of filing an Emission

Defect Information Report pursuant to

§ 92.403 is inconclusive as to the

existence of a defect subject to the

warranty provided by section 207(a) of

the Act.

(b) A manufacturer or remanufacturer

may include on each page of its

Emission Defect Information Report a

disclaimer stating that the filing of a

Defect Information Report pursuant to

these regulations is not conclusive as to

the applicability of the Production

Warranty provided by section 207(a) of

the Act.

Subpart F—Manufacturer and

Remanufacturer Production Line

Testing and Audit Programs

§ 92.501 Applicability.

The requirements of this subpart are

applicable to manufacturers and

remanufacturers of locomotives and

locomotive engines subject to the

provisions of subpart A of this part,

except as follows:

(a) The requirements of §§ 92.503,

92.505, 92.506, 92.507, 92.508, and

92.510 only apply to manufacturers of

freshly manufactured locomotives or

locomotive engines (including those

used for repowering). The Administrator

may also apply these requirements to

remanufacturers of any locomotives or

locomotive engines for which there is

reason to believe production problems

exist that could affect emissions

performance. EPA will notify such

remanufacturers when it makes a

determination that production problems

may exist that could affect emissions

performance, and the requirements of

these sections shall apply as specified in

the notice.

(b) The requirements of § 92.511 only

apply to remanufacturers of locomotives

and locomotive engines.

§ 92.502 Definitions.

The definitions in subpart A of this

part apply to this subpart.

§ 92.503 General Requirements.

(a) Manufacturers (and

remanufacturers, where applicable)

shall test production line locomotives or

locomotive engines using the test

procedures specified in § 92.506. The

Administrator may require

manufacturers and remanufacturers to

conduct production line testing on

locomotives. If the Administrator

determines that locomotive testing is

required, he/she shall notify the

manufacturer or remanufacturer, and

shall specify in such notice the time

period in which the manufacturer or

remanufacturer shall complete such

testing.

(b) Remanufacturers of locomotives

and locomotive engines shall conduct

audits pursuant to the requirements of

§ 92.511 to ensure that remanufactured

locomotives and locomotive engines

comply with the requirements of this

part.
19060 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

§ 92.504 Right of entry and access.

(a) To allow the Administrator to

determine whether a manufacturer or

remanufacturer is complying with the

provisions of this part, one or more EPA

enforcement officers may enter during

operating hours and upon presentation

of credentials any of the following

places:

(1) Any facility, including ports of

entry, where any locomotive or

locomotive engine is to be introduced

into commerce or any emission-related

component is manufactured,

remanufactured, assembled, or stored;

(2) Any facility where any test or

audit conducted pursuant to a

manufacturer’s or remanufacturer’s

production line testing or auditing

program or any procedure or activity

connected with such test or audit is or

was performed;

(3) Any facility where any test

locomotive or locomotive engine is

present; and

(4) Any facility where any record

required under § 92.509 or other

document relating to this subpart is

located.

(b) Upon admission to any facility

referred to in paragraph (a) of this

section, EPA enforcement officers are

authorized to perform the following

inspection-related activities:

(1) To inspect and monitor any aspect

of locomotive or locomotive engine

manufacture, remanufacture, assembly,

storage, testing and other procedures,

and to inspect and monitor the facilities

in which these procedures are

conducted;

(2) To inspect and monitor any aspect

of locomotive or locomotive engine test

procedures or activities, including test

locomotive or engine selection,

preparation and service accumulation,

emission test cycles, and maintenance

and verification of test equipment

calibration;

(3) To inspect and make copies of any

records or documents related to the

assembly, storage, selection, and testing

of a locomotive or locomotive engine;

and

(4) To inspect and photograph any

part or aspect of any locomotive or

locomotive engine and any component

used in the assembly thereof that is

reasonably related to the purpose of the

entry.

(c) EPA enforcement officers are

authorized to obtain reasonable

assistance without cost from those in

charge of a facility to help the officers

perform any function listed in this

subpart and they are authorized to

request the manufacturer or

remanufacturer to make arrangements

with those in charge of a facility

operated for the manufacturer or

remanufacturer’s benefit to furnish

reasonable assistance without cost to

EPA.

(1) Reasonable assistance includes,

but is not limited to, clerical, copying,

interpretation and translation services;

the making available on an EPA

enforcement officer’s request of

personnel of the facility being inspected

during their working hours to inform

the EPA enforcement officer of how the

facility operates and to answer the

officer’s questions; and the performance

on request of emission tests on any

locomotive or engine which is being,

has been, or will be used for production

line testing or auditing.

(2) By written request, signed by the

Assistant Administrator for Air and

Radiation or the Assistant Administrator

for Enforcement and Compliance

Assurance, and served on the

manufacturer or remanufacturer, a

manufacturer or remanufacturer may be

compelled to cause the personal

appearance of any employee at such a

facility before an EPA enforcement

officer. Any such employee who has

been instructed by the manufacturer or

remanufacturer to appear will be

entitled to be accompanied, represented,

and advised by counsel.

(d) EPA enforcement officers are

authorized to seek a warrant or court

order authorizing the EPA enforcement

officers to conduct the activities

authorized in this section, as

appropriate, to execute the functions

specified in this section. EPA

enforcement officers may proceed ex

parte to obtain a warrant or court order

whether or not the EPA enforcement

officers first attempted to seek

permission from the manufacturer or

remanufacturer or the party in charge of

the facility(ies) in question to conduct

the activities authorized in this section.

(e) A manufacturer or remanufacturer

is responsible for locating its foreign

testing, manufacturing, and

remanufacturing facilities in

jurisdictions where local law does not

prohibit an EPA enforcement officer(s)

from conducting the activities specified

in this section. EPA will not attempt to

make any inspections which it has been

informed local foreign law prohibits.

§ 92.505 Sample selection for testing.

(a) At the start of each model year, the

manufacturer or remanufacturer will

begin to randomly select locomotives or

locomotive engines from each engine

family for production line testing at a

rate of one percent. Each locomotive or

locomotive engine will be selected from

the end of the production line. Testing

shall be performed throughout the entire

model year to the extent possible.

(1) The required sample size for an

engine family is the lesser of five tests

per model year or one percent of

projected annual production, with a

minimum sample size for an engine

family of one test per model year

provided that no engine tested fails to

meet applicable emission standards.

(2) Manufacturers and

remanufacturers may elect to test

additional locomotives or locomotive

engines. All additional locomotives or

locomotive engines must be tested in

accordance with the applicable test

procedures of this part.

(b) The manufacturer or

remanufacturer must assemble the test

locomotives or locomotive engines

using the same mass production process

that will be used for locomotives or

locomotive engines to be introduced

into commerce.

(c) No quality control, testing, or

assembly procedures will be used on

any test locomotive or locomotive

engine or any portion thereof, including

parts and subassemblies, that have not

been or will not be used during the

production and assembly of all other

locomotives or locomotive engines of

that family, except with the approval of

the Administrator.

§ 92.506 Test procedures.

(a)(1) For locomotives and locomotive

engines subject to the provisions of this

subpart, the prescribed test procedures

are those procedures described in

subpart B of this part, except as

provided in this section.

(2) The Administrator may, on the

basis of a written application by a

manufacturer or remanufacturer,

prescribe test procedures other than

those specified in paragraph (a)(1) of

this section for any locomotive or

locomotive engine he/she determines is

not susceptible to satisfactory testing

using procedures specified in paragraph

(a)(1) of this section.

(3) If test procedures other than those

in subpart B were used in certification

of the engine family being tested under

this subpart (other than alternate test

procedures necessary for testing of a

development engine instead of a low

mileage locomotive or a low hour

engine under § 92.9), the manufacturer

or remanufacturer shall use the test

procedures used in certification for

production line testing.

(b)(1) The manufacturer or

remanufacturer may not adjust, repair,

prepare, modify, or perform any

emission test on, any test locomotive or

locomotive engine unless this

adjustment, repair, preparation,
Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations 19061

modification and/or test is documented

in the manufacturer’s or

remanufacturer’s locomotive or engine

assembly and inspection procedures

and is actually performed by the

manufacturer or remanufacturer or

unless this adjustment, repair,

preparation, modification and/or test is

required or permitted under this subpart

or is approved in advance by the

Administrator.

(2) Any adjustable locomotive or

locomotive engine parameter must be

set to values or positions that are within

the range recommended to the ultimate

purchaser.

(3) The Administrator may adjust or

require to be adjusted any engine

parameter which the Administrator has

determined to be subject to adjustment

for certification and production line

testing, to any setting within the

specified adjustable range of that

parameter, as determined by the

Administrator, prior to the performance

of any test.

(c) Service Accumulation/Green

Engine factor. The manufacturer or

remanufacturer shall accumulate service

on the locomotives and locomotive

engines to be tested equivalent to 300

hours of operation. In lieu of conducting

such service accumulation, the

manufacturer or remanufacturer may

establish a Green Engine factor for each

regulated pollutant for each engine

family to be used in calculating

emissions test results. The manufacturer

or remanufacturer shall obtain the

approval of the Administrator prior to

using a Green Engine factor.

(d) The manufacturer or

remanufacturer may not perform any

maintenance on test locomotives or

locomotive engines after selection for

testing.

(e) If a locomotive or locomotive

engine is shipped to a facility other than

the production facility for production

line testing, and an adjustment or repair

is necessary because of such shipment,

the locomotive or locomotive engine

manufacturer or remanufacturer must

perform the necessary adjustment or

repair only after the initial test of the

locomotive or locomotive engine, except

where the Administrator has

determined that the test would be

impossible to perform or would

permanently damage the locomotive

engine.

(f) If a locomotive or locomotive

engine cannot complete the service

accumulation, if applicable, or an

emission test, because of a malfunction,

the manufacturer or remanufacturer may

request that the Administrator authorize

either the repair of that locomotive or

locomotive engine or its deletion from

the test sequence.

(g) Retesting. (1) If a locomotive or

locomotive engine manufacturer or

remanufacturer determines that any

production line emission test of a

locomotive or locomotive engine is

invalid, the locomotive or locomotive

engine must be retested in accordance

with the requirements of this subpart.

Emission results from all tests must be

reported to EPA, including test results

the manufacturer or remanufacturer

determines are invalid. The locomotive

or locomotive engine manufacturer or

remanufacturer must also include a

detailed explanation of the reasons for

invalidating any test in the quarterly

report required in § 92.508(e). In the

event a retest is performed, a request

may be made to the Administrator,

within ten days of the end of the

production quarter, for permission to

substitute the after-repair test results for

the original test results. The

Administrator will either affirm or deny

the request by the locomotive or

locomotive engine manufacturer or

remanufacturer within ten working days

from receipt of the request.

§ 92.507 Sequence of testing.

If one or more locomotives or

locomotive engines fail a production

line test, then the manufacturer or

remanufacturer must test two additional

locomotives or locomotive engines from

the next fifteen produced in that engine

family, for each locomotive or

locomotive engine that fails.

§ 92.508 Calculation and reporting of test

results.

(a) Manufacturers and

remanufacturers shall calculate initial

test results using the applicable test

procedure specified in § 92.506(a).

These results must also include the

green engine factor, if applicable. The

manufacturer or remanufacturer shall

round these results, in accordance with

ASTM E29–93a (incorporated by

reference at § 92.5), to the number of

decimal places contained in the

applicable emission standard expressed

to one additional significant figure.

(b) Final test results shall be

calculated by summing the initial test

results derived in paragraph (a) of this

section for each test locomotive or

locomotive engine, dividing by the

number of tests conducted on the

locomotive or locomotive engine, and

rounding in accordance with ASTM

E29–93a (incorporated by reference at

§ 92.5) to the same number of decimal

places contained in the applicable

standard expressed to one additional

significant figure.

(c) Manufacturers and

remanufacturers shall calculate the final

test results for each test locomotive or

locomotive engine by applying the

appropriate deterioration factors,

derived in the certification process for

the engine family, to the final test

results, and rounding in accordance

with ASTM E 29–93a (incorporated by

reference at § 92.5) to the same number

of decimal places contained in the

applicable standard expressed to one

additional significant figure.

(d) If, subsequent to an initial failure

of a production line test, the average of

the test results for the failed locomotive

or locomotive engine and the two

additional locomotives or locomotive

engines tested, is greater than any

applicable emission standard or FEL,

the engine family is deemed to be in

non-compliance with applicable

emission standards, and the

manufacturer or remanufacturer must

notify EPA within 2 working days of

such noncompliance.

(e) Within 30 calendar days of the end

of each quarter, each manufacturer or

remanufacturer must submit to the

Administrator a report which includes

the following information:

(1) The location and description of the

manufacturer’s or remanufacturer’s

emission test facilities which were

utilized to conduct testing reported

pursuant to this section;

(2) Total production and sample size

for each engine family;

(3) The applicable standards and/or

FELs against which each engine family

was tested;

(4) A description of the test

locomotives or locomotive engines;

(5) For each test conducted:

(i) A description of the test

locomotive or locomotive engine,

including:

(A) Configuration and engine family

identification;

(B) Year, make, and build date;

(C) Engine identification number;

(D) Number of megawatt-hours (or

miles if applicable) of service

accumulated on locomotive or

locomotive engine prior to testing; and

(E) Description of green engine factor;

how it is determined and how it is

applied;

(ii) Location(s) where service

accumulation was conducted and

description of accumulation procedure

and schedule, if applicable;

(iii) Test number, date, test procedure

used, initial test results before and after

rounding, and final test results for all

production line emission tests

conducted, whether valid or invalid,

and the reason for invalidation of any

test results, if applicable;
19062 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

(iv) A complete description of any

adjustment, modification, repair,

preparation, maintenance, and testing

which was performed on the test

locomotive or locomotive engine, has

not been reported pursuant to any other

paragraph of this subpart, and will not

be performed on other production

locomotive or locomotive engines;

(v) Any other information the

Administrator may request relevant to

the determination whether the new

locomotives or locomotive engines

being manufactured or remanufactured

by the manufacturer or remanufacturer

do in fact conform with the regulations

with respect to which the certificate of

conformity was issued;

(6) For each failed locomotive or

locomotive engine as defined in

§ 92.510(a), a description of the remedy

and test results for all retests as required

by § 92.512(g);

(7) The date of the end of the

locomotive or locomotive engine

manufacturer’s model year production

for each engine family tested; and

(8) The following signed statement

and endorsement by an authorized

representative of the manufacturer or

remanufacturer:

This report is submitted pursuant to

Sections 213 and 208 of the Clean Air Act.

This production line testing program was

conducted in complete conformance with all

applicable regulations under 40 CFR part 92.

No emission-related changes to production

processes or quality control procedures for

the engine family tested have been made

during this production line testing program

that affect locomotives or locomotive engines

from the production line. All data and

information reported herein is, to the best of

(Company Name) knowledge, true and

accurate. I am aware of the penalties

associated with violations of the Clean Air

Act and the regulations thereunder.

(Authorized Company Representative.)

§ 92.509 Maintenance of records;

submittal of information.

(a) The manufacturer or

remanufacturer for any new locomotive

or locomotive engine subject to any of

the provisions of this subpart must

establish, maintain, and retain the

following adequately organized and

indexed records:

(1) General records. A description of

all equipment used to test engines in

accordance with § 92.503. The

equipment requirements in subpart B of

this part apply to tests performed under

this subpart.

(2) Individual records. These records

pertain to each production line test or

audit conducted pursuant to this

subpart and include:

(i) The date, time, and location of

each test or audit;

(ii) The method by which the green

engine factor was calculated or the

number of hours of service accumulated

on the test locomotive or locomotive

engine when the test began and ended;

(iii) The names of all supervisory

personnel involved in the conduct of

the production line test or audit;

(iv) A record and description of any

adjustment, repair, preparation or

modification performed on test

locomotives or locomotive engines,

giving the date, associated time,

justification, name(s) of the authorizing

personnel, and names of all supervisory

personnel responsible for the conduct of

the action;

(v) If applicable, the date the

locomotive or locomotive engine was

shipped from the assembly plant,

associated storage facility or port

facility, and the date the locomotive or

locomotive engine was received at the

testing facility;

(vi) A complete record of all emission

tests or audits performed pursuant to

this subpart (except tests performed

directly by EPA), including all

individual worksheets and/or other

documentation relating to each test, or

exact copies thereof, in accordance with

the record requirements specified in

subpart B of this part;

(vii) A brief description of any

significant events during testing not

otherwise described under this

paragraph (a)(2) of this section ,

commencing with the test locomotive or

locomotive engine selection process and

including such extraordinary events as

engine damage during shipment.

(3) The manufacturer or

remanufacturer must establish, maintain

and retain general records, pursuant to

paragraph (a)(1) of this section, for each

test cell that can be used to perform

emission testing under this subpart.

(b) The manufacturer or

remanufacturer must retain all records

required to be maintained under this

subpart for a period of eight (8) years

after completion of all testing. Records

may be retained as hard copy (i.e., on

paper) or reduced to microfilm, floppy

disk, or some other method of data

storage, depending upon the

manufacturer’s or remanufacturer’s

record retention procedure; provided,

that in every case, all the information

contained in the hard copy is retained.

(c) The manufacturer or

remanufacturer must, upon request by

the Administrator, submit the following

information with regard to locomotive

or locomotive engine production:

(1) Projected production for each

configuration within each engine family

for which certification has been

requested and/or approved.

(2) Number of locomotives or engines,

by configuration and assembly plant,

scheduled for production.

(d) Nothing in this section limits the

Administrator’s discretion to require a

manufacturer or remanufacturer to

establish, maintain, retain or submit to

EPA information not specified by this

section.

(e) All reports, submissions,

notifications, and requests for approval

made under this subpart must be

addressed to: Group Manager, Engine

Compliance Programs Group, Engine

Programs and Compliance Division

6403-J, U.S. Environmental Protection

Agency, 401 M Street SW, Washington,

DC 20460.

(f) The manufacturer or

remanufacturer must electronically

submit the results of its production line

testing or auditing using an EPA

information format.

§ 92.510 Compliance with criteria for

production line testing.

(a) A failed locomotive or locomotive

engine is one whose final test results

pursuant to § 92.508(c), for one or more

of the applicable pollutants, exceed the

applicable emission standard or FEL.

(b) An engine family is deemed to be

in noncompliance, for purposes of this

subpart, if at any time throughout the

model year, the average of an initial

failed locomotive or locomotive engine

and the two additional locomotives or

locomotive engines tested, is greater

than any applicable emission standard

or FEL.

§ 92.511 Remanufactured locomotives:

installation audit requirements.

(a) Remanufacturers of locomotives or

locomotive engines shall audit the

remanufacture of locomotives covered

by its certificate(s) of conformity for

proper components, component settings

and component installations on

randomly chosen locomotives in an

engine family. Such audits shall be

conducted in compliance with the

requirements of this section.

(1) The remanufacturer must ensure

that all emission related components are

properly installed on the locomotive or

locomotive engine.

(2) The remanufacturer must ensure

that all emission related components are

set to the proper specification as

indicated in the remanufacture

instructions.

(3) Remanufacturers are allowed to

submit audits performed by the owners

or operators of the locomotives,

provided the audits are performed in

accordance with the provisions of this

section.

(b)(1) The required initial sample size

(i.e., the sample size if no failures occur)
Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations 19063

for each remanufacturer is five percent

of the remanufacturer’s annual sales per

model year per installer, with a

maximum number of ten per engine

family per installer.

(2) The locomotives audited shall be

randomly selected after the

remanufacture is complete. The

Administrator may allow the

locomotives to be selected prior to the

completion of the remanufacture, where

such preselection would not have the

potential to affect the manner in which

the locomotive was remanufactured

(e.g., where the installer is not aware of

the selection prior to the completion of

the remanufacture).

(c) The remanufactured locomotive or

locomotive engine may accumulate no

more than 10,000 miles prior to an

audit.

(d) A failed remanufactured

locomotive or locomotive engine is one

on which any remanufacture

components are found to be improperly

installed, improperly adjusted or

incorrectly used.

(e) If a remanufactured locomotive or

locomotive engine fails an audit, then

the remanufacturer must audit two

additional locomotives or locomotive

engines from the next ten

remanufactured in that engine family by

that installer.

(f) An engine family is determined to

have failed an audit, if at any time

during the model year, the

remanufacturer determines that the

three locomotives audited are found to

have had any improperly installed,

improperly adjusted or incorrectly used

components. The remanufacturer must

notify EPA within 2 working days of a

determination of an engine family audit

failure.

(g) Within 30 calendar days of the end

of each quarter, each remanufacturer

must submit to the Administrator a

report which includes the following

information:

(1) The location and description of the

remanufacturer’s audit facilities which

were utilized to conduct auditing

reported pursuant to this section;

(2) Total production and sample size

for each engine family;

(3) The applicable standards and/or

FELs against which each engine family

was audited;

(4) For each audit conducted:

(i) A description of the audit

locomotive or locomotive engine,

including:

(A) Configuration and engine family

identification;

(B) Year, make, build date, and

remanufacturer date; and

(C) Engine identification number;

(ii) Any other information the

Administrator may request relevant to

the determination whether the new

locomotives or locomotive engines

being manufactured or remanufactured

by the remanufacturer do in fact

conform with the regulations in this part

with respect to which the certificate of

conformity was issued;

(5) For each failed locomotive or

locomotive engine as defined in

paragraph (d) of this section, a

description of the remedy as required by

§ 92.512(g);

(6) The following signed statement

and endorsement by an authorized

representative of the remanufacturer:

This report is submitted pursuant to

Sections 213 and 208 of the Clean Air Act.

This production line auditing program was

conducted in complete conformance with all

applicable regulations under 40 CFR part 92.

No emission-related changes to production

processes or quality control procedures for

the engine family audited have been made

during this production line auditing program

that affect locomotives or locomotive engines

from the production line. All data and

information reported herein is, to the best of

(Company Name) knowledge, true and

accurate. I am aware of the penalties

associated with violations of the Clean Air

Act and the regulations thereunder.

(Authorized Company Representative.)

§ 92.512 Suspension and revocation of

certificates of conformity.

(a)(1) The certificate of conformity is

suspended with respect to any

locomotive or locomotive engine that

fails a production line test pursuant to

§ 92.510(a), effective from the time the

testing of that locomotive or locomotive

engine is completed.

(2) The certificate of conformity is

suspended with respect to any

locomotive or locomotive engine that

fails an audit pursuant to § 92.511(d),

effective from the time that auditing of

that locomotive or locomotive engine is

completed.

(b)(1) The Administrator may suspend

the certificate of conformity for an

engine family which is in

noncompliance pursuant to § 92.510(b),

thirty days after the engine family is

deemed to be in noncompliance.

(2) The Administrator may suspend

the certificate of conformity for an

engine family which is determined to

have failed an audit pursuant to

§ 92.511(f). This suspension will not

occur before thirty days after the engine

family is deemed to be in

noncompliance.

(c) If the results of testing or auditing

pursuant to these regulations indicate

that locomotives or engines of a

particular family produced at one plant

of a manufacturer or remanufacturer do

not conform to the regulations with

respect to which the certificate of

conformity was issued, the

Administrator may suspend the

certificate of conformity with respect to

that family for locomotives or

locomotive engines manufactured or

remanufactured by the manufacturer or

remanufacturer at all other plants.

(d) The Administrator may suspend a

certificate of conformity for any

locomotive or locomotive engine family

in whole or in part if:

(1) The manufacturer or

remanufacturer fails to comply with any

of the requirements of this subpart.

(2) The manufacturer or

remanufacturer submits false or

incomplete information in any report or

information provided to the

Administrator under this subpart.

(3) The manufacturer or

remanufacturer renders inaccurate any

test data submitted under this subpart.

(4) An EPA enforcement officer is

denied the opportunity to conduct

activities authorized in this subpart.

(5) An EPA enforcement officer is

unable to conduct activities authorized

in § 92.504 for any reason.

(e) The Administrator shall notify the

manufacturer or remanufacturer in

writing of any suspension or revocation

of a certificate of conformity in whole or

in part; a suspension or revocation is

effective upon receipt of such

notification or thirty days from the time

an engine family is deemed to be in

noncompliance under §§ 92.508(d),

92.510(a), 92.510(b) or 92.511(f) is

made, whichever is earlier, except that

the certificate is immediately suspended

with respect to any failed locomotives

or locomotive engines as provided for in

paragraph (a) of this section.

(f) The Administrator may revoke a

certificate of conformity for an engine

family when the certificate has been

suspended pursuant to paragraph (b) or

(c) of this section if the remedy is one

requiring a design change or changes to

the locomotive, engine and/or emission

control system as described in the

application for certification of the

affected engine family.

(g) Once a certificate has been

suspended for a failed locomotive or

locomotive engine, as provided for in

paragraph (a) of this section, the

manufacturer or remanufacturer must

take the following actions before the

certificate is reinstated for that failed

locomotive or locomotive engine:

(1) Remedy the nonconformity;

(2) Demonstrate that the locomotive or

locomotive engine conforms to

applicable standards or family emission

limits by retesting, or reauditing if

applicable, the locomotive or
19064 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

locomotive engine in accordance with

this part; and

(3) Submit a written report to the

Administrator, after successful

completion of testing, or auditing if

applicable, on the failed locomotive or

locomotive engine, which contains a

description of the remedy and test (or

audit) results for each locomotive or

engine in addition to other information

that may be required by this part.

(h) Once a certificate for a failed

engine family has been suspended

pursuant to paragraph (b) or (c) of this

section, the manufacturer or

remanufacturer must take the following

actions before the Administrator will

consider reinstating the certificate:

(1) Submit a written report to the

Administrator which identifies the

reason for the noncompliance of the

locomotives or locomotive engines,

describes the remedy, including a

description of any quality control and/

or quality assurance measures to be

taken by the manufacturer or

remanufacturer to prevent future

occurrences of the problem, and states

the date on which the remedies will be

implemented.

(2) Demonstrate that the engine family

for which the certificate of conformity

has been suspended does in fact comply

with the regulations of this part by

testing, or auditing if applicable,

locomotives or engines selected from

normal production runs of that engine

family. Such testing (or auditing) must

comply with the provisions of this

subpart. If the manufacturer or

remanufacturer elects to continue

testing, or auditing if applicable,

individual locomotives or engines after

suspension of a certificate, the

certificate is reinstated for any

locomotive or engine actually

determined to be in conformance with

the applicable standards or family

emission limits through testing, or

auditing if applicable, in accordance

with the applicable test procedures,

provided that the Administrator has not

revoked the certificate pursuant to

paragraph (f) of this section.

(i) Once the certificate has been

revoked for an engine family, if the

manufacturer or remanufacturer desires

to continue introduction into commerce

of a modified version of that family, the

following actions must be taken before

the Administrator may issue a certificate

for that modified family:

(1) If the Administrator determines

that the change(s) in locomotive or

engine design may have an effect on

emission performance deterioration, the

Administrator shall notify the

manufacturer or remanufacturer, within

five working days after receipt of the

report in paragraph (g) of this section,

whether subsequent testing or auditing

if applicable, under this subpart will be

sufficient to evaluate the change or

changes or whether additional testing or

auditing will be required; and

(2) After implementing the change or

changes intended to remedy the

nonconformity, the manufacturer or

remanufacturer must demonstrate that

the modified engine family does in fact

conform with the regulations of this part

by testing, or auditing if applicable,

locomotives or engines selected from

normal production runs of that engine

family. When both of these

requirements are met, the Administrator

shall reissue the certificate or issue a

new certificate, as the case may be, to

include that family. If this subsequent

testing, or auditing if applicable, reveals

failing data the revocation remains in

effect.

(j) At any time subsequent to an initial

suspension of a certificate of conformity

for a test or audit locomotive or engine

pursuant to paragraph (a) of this section,

but not later than 30 days (or such other

period as may be allowed by the

Administrator) after notification of the

Administrator’s decision to suspend or

revoke a certificate of conformity in

whole or in part pursuant to paragraphs

(b), (c), or (f) of this section, a

manufacturer or remanufacturer may

request a hearing as to whether the tests

or audits have been properly conducted

or any sampling methods have been

properly applied.

(k) Any suspension of a certificate of

conformity under paragraphs (a), (b), (c)

and (d) of this section:

(1) Shall be made only after the

manufacturer or remanufacturer

concerned has been offered an

opportunity for a hearing conducted in

accordance with §§ 92.513, 92.514, and

92.515 and

(2) Need not apply to locomotives or

engines no longer in the possession of

the manufacturer or remanufacturer.

(l) After the Administrator suspends

or revokes a certificate of conformity

pursuant to this section or voids a

certificate of conformity under § 92.215,

and prior to the commencement of a

hearing under § 92.513, if the

manufacturer or remanufacturer

demonstrates to the Administrator’s

satisfaction that the decision to

suspend, revoke, or void the certificate

was based on erroneous information, the

Administrator shall reinstate the

certificate.

(m) To permit a manufacturer or

remanufacturer to avoid storing non-test

locomotives or locomotive engines

while conducting subsequent testing or

auditing of the noncomplying family, a

manufacturer or remanufacturer may

request that the Administrator

conditionally reinstate the certificate for

that family. The Administrator may

reinstate the certificate subject to the

following condition: the manufacturer

or remanufacturer must commit to recall

all locomotives or locomotive engines of

that family produced from the time the

certificate is conditionally reinstated if

the family fails subsequent testing, or

auditing if applicable, and must commit

to remedy any nonconformity at no

expense to the owner.

§ 92.513 Request for public hearing.

(a) If the manufacturer or

remanufacturer disagrees with the

Administrator’s decision to suspend or

revoke a certificate or disputes the basis

for an automatic suspension pursuant to

§ 92.512(a), the manufacturer or

remanufacturer may request a public

hearing.

(b) The manufacturer’s or

remanufacturer’s request shall be filed

with the Administrator not later than 30

days after the Administrator’s

notification of his or her decision to

suspend or revoke, unless otherwise

specified by the Administrator. The

manufacturer or remanufacturer shall

simultaneously serve two copies of this

request upon the Director of the Engine

Programs and Compliance Division,

Office of Mobile Sources and file two

copies with the Hearing Clerk of the

Agency. Failure of the manufacturer or

remanufacturer to request a hearing

within the time provided constitutes a

waiver of the right to a hearing.

Subsequent to the expiration of the

period for requesting a hearing as of

right, the Administrator may, in his or

her discretion and for good cause

shown, grant the manufacturer or

remanufacturer a hearing to contest the

suspension or revocation.

(c) A manufacturer or remanufacturer

shall include in the request for a public

hearing:

(1) A statement as to which

configuration(s) within a family is to be

the subject of the hearing;

(2) A concise statement of the issues

to be raised by the manufacturer or

remanufacturer at the hearing, except

that in the case of the hearing requested

under § 92.512(j), the hearing is

restricted to the following issues:

(i) Whether tests or audits have been

properly conducted (specifically,

whether the tests were conducted in

accordance with applicable regulations

under this part and whether test

equipment was properly calibrated and

functioning);

(ii) Whether there exists a basis for

distinguishing locomotives or
Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations 19065

locomotive engines produced at plants

other than the one from which

locomotives or locomotive engines were

selected for testing or auditing which

would invalidate the Administrator’s

decision under § 92.512(c));

(3) A statement specifying reasons

why the manufacturer or

remanufacturer believes it will prevail

on the merits of each of the issues

raised; and

(4) A summary of the evidence which

supports the manufacturer’s or

remanufacturer’s position on each of the

issues raised.

(d) A copy of all requests for public

hearings will be kept on file in the

Office of the Hearing Clerk and will be

made available to the public during

Agency business hours.

§ 92.514 Administrative procedures for

public hearing.

(a) The Presiding Officer shall be an

Administrative Law Judge appointed

pursuant to 5 U.S.C. 3105 (see also 5

CFR part 930).

(b) The Judicial Officer shall be an

officer or employee of the Agency

appointed as a Judicial Officer by the

Administrator, pursuant to this section,

who shall meet the qualifications and

perform functions as follows:

(1) Qualifications. A Judicial Officer

may be a permanent or temporary

employee of the Agency who performs

other duties for the Agency. The Judicial

Officer shall not be employed by the

Office of Enforcement or have any

connection with the preparation or

presentation of evidence for a hearing

held pursuant to this subpart. The

Judicial Officer shall be a graduate of an

accredited law school and a member in

good standing of a recognized Bar

Association of any state or the District

of Columbia.

(2) Functions. The Administrator may

consult with the Judicial Officer or

delegate all or part of the

Administrator’s authority to act in a

given case under this section to a

Judicial Officer, provided that this

delegation does not preclude the

Judicial Officer from referring any

motion or case to the Administrator

when the Judicial Officer determines

such referral to be appropriate.

(c) For the purposes of this section,

one or more Judicial Officers may be

designated by the Administrator. As

work requires, a Judicial Officer may be

designated to act for the purposes of a

particular case.

(d) Summary decision. (1) In the case

of a hearing requested under § 92.512(j),

when it clearly appears from the data

and other information contained in the

request for a hearing that no genuine

and substantial question of fact or law

exists with respect to the issues

specified in § 92.513(c)(2), the

Administrator may enter an order

denying the request for a hearing and

reaffirming the original decision to

suspend or revoke a certificate of

conformity.

(2) In the case of a hearing requested

under § 92.513 to challenge a

suspension of a certificate of conformity

for the reason(s) specified in § 92.512(d),

when it clearly appears from the data

and other information contained in the

request for the hearing that no genuine

and substantial question of fact or law

exists with respect to the issue of

whether the refusal to comply with this

subpart was caused by conditions and

circumstances outside the control of the

manufacturer or remanufacturer, the

Administrator may enter an order

denying the request for a hearing and

suspending the certificate of conformity.

(3) Any order issued under paragraph

(d)(1) or (d)(2) of this section has the

force and effect of a final decision of the

Administrator, as issued pursuant to

§ 92.516.

(4) If the Administrator determines

that a genuine and substantial question

of fact or law does exist with respect to

any of the issues referred to in

paragraphs (d)(1) and (d)(2) of this

section, the Administrator shall grant

the request for a hearing and publish a

notice of public hearing in the Federal

Register or by such other means as the

Administrator finds appropriate to

provide notice to the public.

(e) Filing and service. (1) An original

and two copies of all documents or

papers required or permitted to be filed

pursuant to this section and § 92.513(c)

must be filed with the Hearing Clerk of

the Agency. Filing is considered timely

if mailed, as determined by the

postmark, to the Hearing Clerk within

the time allowed by this section and

§ 92.513(b). If filing is to be

accomplished by mailing, the

documents must be sent to the address

set forth in the notice of public hearing

referred to in paragraph (d)(4) of this

section.

(2) To the maximum extent possible,

testimony will be presented in written

form. Copies of written testimony will

be served upon all parties as soon as

practicable prior to the start of the

hearing. A certificate of service will be

provided on or accompany each

document or paper filed with the

Hearing Clerk. Documents to be served

upon the Director of the Engine

Programs and Compliance Division

must be sent by registered mail to:

Director, Engine Programs and

Compliance Division 6403–J, U.S.

Environmental Protection Agency, 401

M Street S.W., Washington, D.C. 20460.

Service by registered mail is complete

upon mailing.

(f) Computation of time. (1) In

computing any period of time

prescribed or allowed by this section,

except as otherwise provided, the day of

the act or event from which the

designated period of time begins to run

is not included. Saturdays, Sundays,

and federal legal holidays are included

in computing the period allowed for the

filing of any document or paper, except

that when the period expires on a

Saturday, Sunday, or federal legal

holiday, the period is extended to

include the next following business day.

(2) A prescribed period of time within

which a party is required or permitted

to do an act is computed from the time

of service, except that when service is

accomplished by mail, three days will

be added to the prescribed period.

(g) Consolidation. The Administrator

or the Presiding Officer in his or her

discretion may consolidate two or more

proceedings to be held under this

section for the purpose of resolving one

or more issues whenever it appears that

consolidation will expedite or simplify

consideration of these issues.

Consolidation does not affect the right

of any party to raise issues that could

have been raised if consolidation had

not occurred.

(h) Hearing date. To the extent

possible hearings under § 92.513 will be

scheduled to commence within 14 days

of receipt of the request for a hearing.

§ 92.515 Hearing procedures.

The procedures provided in

§ 86.1014–84(i) through (s) of this

chapter apply for hearings requested

pursuant to § 92.513 regarding

suspension, revocation, or voiding of a

certificate of conformity.

§ 92.516 Appeal of hearing decision.

The procedures provided in

§ 86.1014–84(t) through (aa) of this

chapter apply for appeals filed with

respect to hearings held pursuant to

§ 92.515.

§ 92.517 Treatment of confidential

information.

Except for information required by

§ 92.508(e)(2) and quarterly emission

test results described in § 92.508(e),

information submitted pursuant to this

subpart shall be made available to the

public by EPA notwithstanding any

claim of confidentiality made by the

submitter. The provisions for treatment

of confidential information described in

§ 92.4 apply to the information required

by § 92.508(e)(2) and all other
19066 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

information submitted pursuant to this

subpart.

Subpart G—In-Use Testing Program

§ 92.601 Applicability.

The requirements of this subpart are

applicable to all manufacturers and

remanufacturers of locomotives subject

to the provisions of subpart A of this

part, including all locomotives powered

by any locomotive engines subject to the

provisions of subpart A of this part.

§ 92.602 Definitions.

Except as otherwise provided, the

definitions in subpart A of this part

apply to this subpart.

§ 92.603 General provisions.

(a) EPA shall annually identify engine

families and configurations within

families on which the manufacturer or

remanufacturer must conduct in-use

emissions testing pursuant to the

requirements of this section.

(1) Manufacturers and

remanufacturers shall test one

locomotive engine family each year for

which it has received a certificate of

conformity from EPA. Where a

manufacturer holds certificates of

conformity for both freshly

manufactured and remanufactured

locomotive engine families, the

Administrator may require the

manufacturer to test one freshly

manufactured engine family and one

remanufactured engine family. The

Administrator may require a

manufacturer or remanufacturer to test

additional engine families if he/she has

reason to believe that locomotives in an

engine family do not comply with

emission standards in use.

(2) For engine families of less than 10

locomotives per year, no in-use testing

will be required, unless the

Administrator has reason to believe that

those engine families are not complying

with the applicable emission standards

in use.

(b) Locomotive manufacturers or

remanufacturers shall perform emission

testing of a sample of in-use locomotives

from an engine family, as specified in

§ 92.605. Manufacturers or

remanufacturers shall submit data from

this in-use testing to EPA. EPA will use

these data, and any other data available

to EPA, to determine the compliance

status of classes of locomotives,

including for purposes of subpart H of

this part, and whether remedial action

is appropriate.

§ 92.604 In-use test procedure.

(a) Testing conducted under this

subpart shall be conducted on

locomotives; testing under this subpart

shall not be conducted using an engine

that is not installed in a locomotive at

the time of testing.

(b) Locomotives tested under this

subpart shall be tested using the

locomotive test procedures outlined in

subpart B of this part, except as

provided in this section.

(c) The test procedures used for in-use

testing shall be consistent with the test

procedures used for certification, except

for cases in which certification testing

was not conducted with locomotive, but

with a development engine, or other

engine. In such cases, the Administrator

shall require deviations from the

certification test procedures as

appropriate, including requiring that the

test be conducted on a locomotive. The

Administrator may allow or require

other alternate procedures, with

advance approval. For all testing

conducted under this subpart, emission

rates shall be calculated in accordance

with the provisions of subpart B of this

part that apply to locomotive testing.

(d) Any adjustable locomotive or

locomotive engine parameter must be

set to values or positions that are within

the range specified in the certificate of

conformity. If so directed by the

Administrator, the manufacturer or

remanufacturer will set these

parameters to values specified by the

Administrator.

(e) The Administrator may waive

portions or requirements of the

applicable test procedure, if any, that

are not necessary to determine in-use

compliance.

§ 92.605 General testing requirements.

(a) Number of locomotives to be

tested. The manufacturer or

remanufacturer shall test in-use

locomotives, from an engine family

selected by EPA, which have

accumulated between one-half and

three-quarters of the engine family’s

useful life. The number of locomotives

to be tested by a manufacturer or

remanufacturer will be determined by

the following method:

(1) A minimum of 2 locomotives per

engine family per year for each engine

family that reaches the minimum age

specified above provided that no

locomotive tested fails to meet any

applicable standard. For each failing

locomotive, two more locomotives shall

be tested until the total number of

locomotives tested equals 10, except as

provided in paragraph (a)(2) of this

section.

(2) If an engine family has not

changed from one year to the next and

has certified using carry over emission

data and has been previously tested

under paragraph (a)(1) of this section

(and EPA has not ordered or begun to

negotiate remedial action of that family),

then only one locomotive per engine

family per year must be tested. If such

locomotive fails to meet applicable

standards for any pollutant, testing for

that engine family must be conducted as

outlined under paragraph (a)(1) of this

section.

(b) At the discretion of the

Administrator, a locomotive or

locomotive engine manufacturer or

remanufacturer may test more

locomotives than the minima described

above or may concede failure before

locomotive number 10.

(c) The Administrator will consider

failure rates, average emission levels

and the existence of any defects among

other factors in determining whether to

pursue remedial action. The

Administrator may order a recall

pursuant to subpart H of this part before

testing reaches the tenth locomotive.

(d) Collection of in-use locomotives.

The locomotive manufacturer or

remanufacturer shall procure in-use

locomotives which have been operated

for between one-half and three-quarters

of the locomotive’s useful life for testing

under this subpart. The manufacturer or

remanufacturer shall complete testing

required by this section for any engine

family before useful life of the

locomotives in the engine family passes.

§ 92.606 Maintenance, procurement and

testing of in-use locomotives.

(a) A test locomotive must have a

maintenance history that is

representative of actual in-use

conditions, and identical or equivalent

to the manufacturer’s or

remanufacturer’s recommended

emission-related maintenance

requirements.

(1) In procuring in-use locomotives

for in-use testing, a manufacturer or

remanufacturer shall question the end

users regarding the accumulated usage,

maintenance, operating conditions, and

storage of the test locomotives.

(2) The selection of test locomotives is

made by the manufacturer or

remanufacturer, and is subject to EPA

approval. Information used by the

manufacturer or remanufacturer to

procure locomotives for in-use testing

shall be maintained as required in

§ 92.215.

(b) The manufacturer or

remanufacturer may perform minimal

set-to-spec maintenance on a test

locomotive prior to conducting in-use

testing. Maintenance may include only

that which is listed in the owner’s

instructions for locomotives with the

amount of service and age of the

acquired test locomotive.
Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations 19067

Documentation of all maintenance and

adjustments shall be maintained and

retained.

(c) Results of one valid emission test

using the test procedure outlined in

subpart B of this part is required for

each in-use locomotive.

(d) If in-use testing results show that

an in-use locomotive fails to comply

with any applicable emission standards,

the manufacturer or remanufacturer

shall determine the reason for

noncompliance. The manufacturer or

remanufacturer must report all

determinations for noncompliance in its

quarterly in-use test result report

pursuant to § 92.607(a)(11).

§ 92.607 In-use test program reporting

requirements.

(a) The manufacturer or

remanufacturer shall submit to the

Administrator within three (3) months

of completion of testing all emission

testing results generated from the in-use

testing program. The following

information must be reported for each

locomotive tested:

(1) Engine family, and configuration;

(2) Locomotive and engine models;

(3) Locomotive and engine serial

numbers;

(4) Date of manufacture and/or

remanufacture(s), as applicable;

(5) Megawatt-hours of use (or miles,

as applicable);

(6) Date and time of each test attempt;

(7) Results (if any) of each test

attempt;

(8) Results of all emission testing;

(9) Summary of all maintenance and/

or adjustments performed;

(10) Summary of all modifications

and/or repairs;

(11) Determinations of

noncompliance; and

(12) The following signed statement

and endorsement by an authorized

representative of the manufacturer or

remanufacturer:

This report is submitted pursuant to

Sections 213 and 208 of the Clean Air Act.

This in-use testing program was conducted in

complete conformance with all applicable

regulations under 40 CFR part 92. All data

and information reported herein is, to the

best of (Company Name) knowledge, true and

accurate. I am aware of the penalties

associated with violations of the Clean Air

Act and the regulations thereunder.

(Authorized Company Representative.)

(b) The manufacturer or

remanufacturer shall report to the

Administrator within three (3) months

of completion of testing the following

information for each engine family

tested:

(1) The serial numbers of all

locomotive that were excluded from the

test sample because they did not meet

the maintenance requirements of

§ 92.606;

(2) The owner of each locomotive

identified in paragraph (b)(1) of this

section (or other entity responsible for

the maintenance of the locomotive); and

(3) The specific reasons why the

locomotives were excluded from the test

sample.

(c) The manufacturer or

remanufacturer must submit, via floppy

disk, the information outlined in

paragraphs (a) and (b) of this section

using a pre-approved information

heading. The Administrator may exempt

manufacturers or remanufacturers from

this requirement upon written request

with supporting justification.

(d) All testing reports and requests for

approvals made under this subpart shall

be addressed to: Group Manager, Engine

Compliance Programs Group, Engine

Programs and Compliance Division,

U.S. Environmental Protection Agency,

6403–J, 401 M Street S.W., Washington,

D.C. 20460.

Subpart H—Recall Regulations

§ 92.701 Applicability.

The requirements of subpart H of this

part are applicable to all manufacturers

and remanufacturers of locomotives and

locomotive engines subject to the

provisions of subpart A of this part.

§ 92.702 Definitions.

The definitions of subpart A of this

part apply to this subpart.

§ 92.703 Voluntary emissions recall.

(a) Prior to an EPA ordered recall, a

manufacturer or remanufacturer may

perform (without petition) a voluntary

emissions recall pursuant to regulations

in subpart E of this part. Such

manufacturer or remanufacturer is

subject to the reporting requirements in

subpart E of this part.

(b) If a determination of

nonconformity with the requirements of

section 213 of the Act is made (i.e. if

EPA orders a recall under the provisions

of section 207(c)), the manufacturer(s) or

remanufacturer(s) will not have the

option of an alternate remedial action

and an actual recall would be required.

§ 92.704 Notice to manufacturer or

remanufacturer of nonconformity;

submission of remedial plan.

(a) The manufacturer or

remanufacturer will be notified

whenever the Administrator has

determined that a substantial number of

a class or category of locomotives or

locomotive engines produced by that

manufacturer or remanufacturer,

although properly maintained and used,

do not conform to the regulations

prescribed under the Act in effect

during, and applicable to the model year

of such locomotives or locomotive

engines. The notification will include a

description of each class or category of

locomotives or locomotive engines

encompassed by the determination of

nonconformity, will give the factual

basis for the determination of

nonconformity (except information

previously provided the manufacturer

or remanufacturer by the Agency), and

will designate a date, no sooner than 45

days from the date of receipt of such

notification, by which the manufacturer

or remanufacturer shall have submitted

a plan to remedy the nonconformity.

(b) Unless a hearing is requested

pursuant to § 92.709, the remedial plan

shall be submitted to the Administrator

within the time limit specified in the

Administrator’s notification, provided

that the Administrator may grant a

manufacturer or remanufacturer an

extension upon good cause shown.

(c) If a manufacturer or

remanufacturer requests a public

hearing pursuant to § 92.709, unless as

a result of such hearing the

Administrator withdraws his

determination of nonconformity, the

manufacturer or remanufacturer shall

submit the remedial plan within 30 days

of the end of such hearing.

§ 92.705 Remedial plan.

(a) When any manufacturer or

remanufacturer is notified by the

Administrator that a substantial number

of any class or category of locomotives

or locomotive engines, although

properly maintained and used, do not

conform to the applicable regulations of

this part (including emission standards

or family emission limits), the

manufacturer or remanufacturer shall

submit a plan to the Administrator to

remedy such nonconformity. The plan

shall contain the following:

(1) A description of each class or

category of locomotive or locomotive

engine to be recalled including the

year(s) of manufacture or

remanufacture, the make, the model, the

calendar year and such other

information as may be required to

identify the locomotives or locomotive

engines to be recalled.

(2) A description of the specific

modifications, alterations, repairs,

corrections, adjustments or other

changes to be made to bring the

locomotives or locomotive engines into

conformity, including a brief summary

of the data and technical studies which

support the manufacturer’s or

remanufacturer’s decision as to the
19068 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

particular remedial changes to be used

in correcting the nonconformity.

(3) A description of the method by

which the manufacturer or

remanufacturer will determine the

names and addresses of locomotive or

locomotive engine owners.

(4) A description of the proper

maintenance or use, if any, upon which

the manufacturer or remanufacturer

conditions eligibility for repair under

the remedial plan, an explanation of the

manufacturer’s or remanufacturer’s

reasons for imposing any such

condition, and a description of the proof

to be required of a locomotive or

locomotive engine owner to

demonstrate compliance with any such

condition. Eligibility may not be denied

solely on the basis that the locomotive

or locomotive engine owner used parts

not manufactured or remanufactured by

the original locomotive or locomotive

engine manufacturer or remanufacturer,

or had repairs not performed by such

manufacturer or remanufacturer. No

maintenance or use condition may be

imposed unless it is, in the judgement

of the Administrator, demonstrably

related to preventing the nonconformity.

(5) A description of the procedure to

be followed by locomotive or

locomotive engine owners to obtain

correction of the nonconformity. This

shall include designation of the date on

or after which the owner can have the

nonconformity remedied, the time

reasonably necessary to perform the

labor required to correct the

nonconformity, and the designation of

facilities at which the nonconformity

can be remedied: Provided, That repair

shall be completed within a reasonable

time designated by the Administrator

from the date the owner first tenders his

locomotive or locomotive engine after

the date designated by the manufacturer

or remanufacturer as the date on or after

which the owner can have the

nonconformity remedied.

(6) If some or all of the

nonconforming locomotives or

locomotive engines are to be remedied

by persons other than authorized

warranty agents of the manufacturer or

remanufacturer, a description of the

class of persons other than authorized

warranty agents of the manufacturer or

remanufacturer who will remedy the

nonconformity, and a statement

indicating that the participating

members of the class will be properly

equipped to perform such remedial

action.

(7) Three copies of the letters of

notification to be sent to locomotive or

locomotive engine owners.

(8) A description of the system by

which the manufacturer or

remanufacturer will assure that an

adequate supply of parts will be

available to perform the repair under the

remedial plan including the date by

which an adequate supply of parts will

be available to initiate the repair

campaign, the percentage of the total

parts requirement of each person who is

to perform the repair under the remedial

plan to be shipped to initiate the

campaign, and the method to be used to

assure the supply remains both

adequate and responsive to owner

demand.

(9) Three copies of all necessary

instructions to be sent to those persons

who are to perform the repair under the

remedial plan.

(10) A description of the impact of the

changes on fuel consumption,

operability, and safety of each class or

category of locomotives or locomotive

engines to be recalled and a brief

summary of the data, technical studies,

or engineering evaluations which

support these conclusions.

(11) Any other information, reports or

data which the Administrator may

reasonably determine is necessary to

evaluate the remedial plan.

(b)(1) Notification to locomotive or

locomotive engine owners shall be made

by first class mail or by such means as

approved by the Administrator.

(2) The manufacturer or

remanufacturer shall use all reasonable

means necessary to locate locomotive or

locomotive engine owners.

(3) The Administrator reserves the

right to require the manufacturer or

remanufacturer to send by certified mail

or other reasonable means subsequent

notification to locomotive or locomotive

engine owners.

(c)(1) The manufacturer or

remanufacturer shall require those who

perform the repair under the remedial

plan to affix a label to each locomotive

or locomotive engine repaired or, when

required, inspected under the remedial

plan.

(2) The label shall be placed in such

location as approved by the

Administrator consistent with Federal

Railroad Administration regulations and

shall be fabricated of a material suitable

for the location in which it is installed

and which is not readily removable

intact.

(3) The label shall contain:

(i) The recall campaign number; and

(ii) A code designating the campaign

facility at which the repair, or

inspection for repair was performed.

(4) The Administrator reserves the

right to waive any or all of the

requirements of this paragraph (c) if he/

she determines that they constitute an

unwarranted burden to the

manufacturer or remanufacturer.

(d) The Administrator may require the

manufacturer or remanufacturer to

conduct tests on components and

locomotives or locomotive engines

incorporating a change, repair, or

modification reasonably designed and

necessary to demonstrate the

effectiveness of the change, repair, or

modification.

Note to § 92.705: An interpretive ruling

regarding § 92.705 is published in Appendix

II to this part.

§ 92.706 Approval of plan: implementation.

(a) If the Administrator finds that the

remedial plan is designed and effective

to correct the nonconformity, he/she

will so notify the manufacturer or

remanufacturer in writing. If the

remedial plan is not approved, the

Administrator will provide the

manufacturer or remanufacturer notice

of the disapproval and the reasons for

the disapproval in writing.

(b) Upon receipt of notice from the

Administrator that the remedial plan

has been approved, the manufacturer or

remanufacturer shall commence

implementation of the approved plan.

Notification of locomotive or locomotive

engine owners shall be in accordance

with requirements of this subpart and

shall proceed as follows:

(1) When no public hearing as

described in § 92.709 is requested by the

manufacturer or remanufacturer,

notification of locomotive or locomotive

engine owners shall commence within

15 working days of the receipt by the

manufacturer or remanufacturer of the

Administrator’s approval unless

otherwise specified by the

Administrator.

(2) When a public hearing as

described in § 92.709 is held, unless as

a result of such hearing the

Administrator withdraws the

determination of nonconformity, the

Administrator shall, within 60 days

after the completion of such hearing,

order the manufacturer or

remanufacturer to provide prompt

notification of such nonconformity.

§ 92.707 Notification to locomotive or

locomotive engine owners.

(a) The notification of locomotive or

locomotive engine owners shall contain

the following:

(1) The statement: ‘‘The Administrator

of the U.S. Environmental Protection

Agency has determined that your

locomotive or locomotive engine may be

emitting pollutants in excess of the

federal emission standards or family

emission limits, as defined in 40 CFR

Part 92. These standards or family
Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations 19069

emission limits, as defined in 40 CFR

Part 92 were established to protect the

public health or welfare from the

dangers of air pollution.’’

(2) A statement that the

nonconformity of any such locomotives

or locomotive engines which have been,

if required by the remedial plan,

properly maintained and used, will be

remedied at the expense of the

manufacturer or remanufacturer.

(3) A description of the proper

maintenance or use, if any, upon which

the manufacturer or remanufacturer

conditions eligibility for repair under

the remedial plan and a description of

the proof to be required of a locomotive

or locomotive engine owner to

demonstrate compliance with such

condition. Eligibility may not be denied

solely on the basis that the locomotive

or locomotive engine owner used parts

not manufactured or remanufactured by

the manufacturer or remanufacturer, or

had repairs not performed by the

manufacturer or remanufacturer.

(4) A clear description of the

components which will be affected by

the remedy and a general statement of

the measures to be taken to correct the

nonconformity.

(5) A description of the adverse

effects, if any, that an uncorrected

nonconformity would have on the

performance or operability of the

locomotive or locomotive engine.

(6) A description of the adverse

effects, if any, that such nonconformity

would have on the performance or

operability of the locomotive or

locomotive engine.

(7) A description of the average

effects, if any, that such nonconformity

would have on the functions of other

locomotive or locomotive engine

components.

(8) A description of the procedure

which the locomotive or locomotive

engine owner should follow to obtain

correction of the nonconformity. This

shall include designation of the date on

or after which the owner can have the

nonconformity remedied, the time

reasonably necessary to perform the

labor required to correct the

nonconformity, and the designation of

facilities at which the nonconformity

can be remedied.

(9) A telephone number provided by

the manufacturer or remanufacturer,

which may be used to report difficulty

in obtaining recall repairs.

(10) The statement: ‘‘In order to

ensure your full protection under the

emission warranty made applicable to

your (locomotive or locomotive engine)

by federal law, and your right to

participate in future recalls, it is

recommended that you have

(locomotive or locomotive engine)

serviced as soon as possible. Failure to

do so could legally be determined to be

a lack of proper maintenance of your

(locomotive or locomotive engine).’’

(b) No notice sent pursuant to

paragraph (a) of this section nor any

other contemporaneous communication

sent to locomotive or locomotive engine

owners or dealers shall contain any

statement or implication that the

nonconformity does not exist or that the

nonconformity will not degrade air

quality.

(c) The manufacturer or

remanufacturer shall be informed of any

other requirements pertaining to the

notification under this section which

the Administrator has determined are

reasonable and necessary to ensure the

effectiveness of the recall campaign.

§ 92.708 Records and reports.

(a) The manufacturer or

remanufacturer shall provide to the

Administrator a copy of all

communications which relate to the

remedial plan directed to persons who

are to perform the repair under the

remedial plan. Such copies shall be

mailed to the Administrator

contemporaneously with their

transmission to persons who are to

perform the repair under the remedial

plan.

(b) The manufacturer or

remanufacturer shall provide for the

establishment and maintenance of

records to enable the Administrator to

conduct a continuing analysis of the

adequacy of the recall campaign. The

records shall include, for each class or

category of locomotive or locomotive

engine, but need not be limited to, the

following:

(1) Recall campaign number as

designated by the manufacturer or

remanufacturer.

(2) Date owner notification was

begun, and date completed.

(3) Number of locomotives or

locomotive engines involved in the

recall campaign.

(4) Number of locomotives or

locomotive engines known or estimated

to be affected by the nonconformity.

(5) Number of locomotives or

locomotive engines inspected pursuant

to the remedial plan.

(6) Number of inspected locomotives

or locomotive engines found to be

affected by the nonconformity.

(7) Number of locomotives or

locomotive engines actually receiving

repair under the remedial plan.

(8) Number of locomotives or

locomotive engines determined to be

unavailable for inspection or repair

under the remedial plan due to

exportation, scrapping or for other

reasons (specify).

(9) Number of locomotives or

locomotive engines determined to be

ineligible for remedial action due to a

failure to properly maintain or use such

locomotives or locomotive engines.

(c) If the manufacturer or

remanufacturer determines that the

original answers for paragraphs (b)(3)

and (b)(4) of this section are incorrect,

revised figures and an explanatory note

shall be submitted. Answers to

paragraphs (b)(5), (b)(6), (b)(7), (b)(8),

and (b)(9) of this section shall be

cumulative totals.

(d) Unless otherwise directed by the

Administrator, the information specified

in paragraph (b) of this section shall be

included in quarterly reports, with

respect to each recall campaign, for six

consecutive quarters beginning with the

quarter in which the notification of

owners was initiated, or until all

nonconforming locomotives or

locomotive engines involved in the

campaign have been remedied,

whichever occurs sooner. Such reports

shall be submitted no later than 25

working days after the close of each

calendar quarter.

(e) The manufacturer or

remanufacturer shall maintain in a form

suitable for inspection, such as

computer information storage devices or

card files, lists of the names and

addresses of locomotive or locomotive

engine owners:

(1) To whom notification was given;

(2) Who received remedial repair or

inspection under the remedial plan; and

(3) When eligibility for repair is

conditioned on proper maintenance or

use, that were determined not to qualify

for such remedial action.

(f) The records described in paragraph

(e) of this section shall be made

available to the Administrator upon

request.

(g) The records and reports required

by this section shall be retained for not

less than eight (8) years.

§ 92.709 Public hearings.

(a) Definitions. The following

definitions shall be applicable to this

section:

(1) Hearing Clerk shall mean the

Hearing Clerk of the Environmental

Protection Agency.

(2) Intervenor shall mean a person

who files a petition to be made an

intervenor pursuant to paragraph (g) of

this section and whose petition is

approved.

(3) Manufacturer or remanufacturer

refers to a manufacturer or

remanufacturer contesting a recall order

directed at that manufacturer or

remanufacturer.
19070 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

(4) Party shall include the

Environmental Protection Agency, the

manufacturer or remanufacturer, and

any intervenors.

(5) Presiding Officer shall mean an

Administrative Law Judge appointed

pursuant to 5 U.S.C. 3105 (see also 5

CFR part 930).

(6) Environmental Appeals Board

shall mean the Board within the Agency

described in § 1.25 of this chapter. The

Administrator delegates authority to the

Environmental Appeals Board to issue

final decisions in appeals filed under

this subpart. Appeals directed to the

Administrator, rather than to the

Environmental Appeals Board, will not

be considered. This delegation of

authority to the Environmental Appeals

Board does not preclude the

Environmental Appeals Board from

referring an appeal or a motion filed

under this subpart to the Administrator

for decision when the Environmental

Appeals Board, in its discretion, deems

it appropriate to do so. When an appeal

or motion is referred to the

Administrator, all parties shall be so

notified and the rules in this part

referring to the Environmental Appeals

Board shall be interpreted as referring to

the Administrator.

(b) Request for public hearing. (1)(i) If

the manufacturer or remanufacturer

disagrees with the Administrator’s

finding of nonconformity he may

request a public hearing as described in

this section. Requests for such a hearing

shall be filed with the Administrator not

later than 45 days after the receipt of the

Administrator’s notification of

nonconformity unless otherwise

specified by the Administrator. Two

copies of such request shall

simultaneously be served upon the

Director of the Engine Programs and

Compliance Division and two copies

filed with the Hearing Clerk. Failure of

the manufacturer or remanufacturer to

request a hearing within the time

provided shall constitute a waiver of his

right to such a hearing. In such a case,

the manufacturer or remanufacturer

shall carry out the recall order as

required by § 92.705.

(ii) Subsequent to the expiration of

the period for requesting a hearing as of

right, the Administrator may, in his

discretion and for good cause shown,

grant the manufacturer or

remanufacturer a hearing to contest the

nonconformity.

(2) The request for a public hearing

shall contain:

(i) A statement as to which classes or

categories of locomotives or locomotive

engines are to be the subject of the

hearing;

(ii) A concise statement of the issues

to be raised by the manufacturer or

remanufacturer at the hearing for each

class or category of locomotive or

locomotive engine for which the

manufacturer or remanufacturer has

requested the hearing; and

(iii) A statement as to reasons the

manufacturer or remanufacturer

believes it will prevail on the merits on

each of the issues so raised.

(3) A copy of all requests for public

hearings shall be kept on file in the

Office of the Hearing Clerk and shall be

made available to the public during

Agency business hours.

(c) Filing and service. (1) An original

and two copies of all documents or

papers required or permitted to be filed

pursuant to this section shall be filed

with the Hearing Clerk. Filing shall be

deemed timely if mailed, as determined

by the postmark, to the Hearing Clerk

within the time allowed by this section.

If filing is to be accomplished by

mailing, the documents shall be sent to

the address set forth in the notice of

public hearing as described in

paragraph (f) of this section.

(2) Except for requests to commence

a hearing, at the same time a party files

with the Hearing Clerk any additional

issues for consideration at the hearing or

any written testimony, documents,

papers, exhibits, or materials, to be

introduced into evidence or papers filed

in connection with any appeal, it shall

serve upon all other parties copies

thereof. A certificate of service shall be

provided on or accompany each

document or paper filed with the

Hearing Clerk. Documents to be served

upon the Director of the Engine

Programs and Compliance Division

shall be mailed to: Director, Engine

Programs and Compliance Division

6403–J, U.S. Environmental Protection

Agency, 401 M Street S.W., Washington,

D.C. 20460. Service by mail is complete

upon mailing.

(d) Time. (1) In computing any period

of time prescribed or allowed by this

section, except as otherwise provided,

the day of the act or event from which

the designated period of time begins to

run shall not be included. Saturdays,

Sundays, and Federal legal holidays

shall be included in computing any

such period allowed for the filing of any

document or paper, except that when

such period expires on a Saturday,

Sunday, or Federal legal holiday, such

period shall be extended to include the

next following business day.

(2) A prescribed period of time within

which a party is required or permitted

to do an act shall be computed from the

time of service, except that when service

is accomplished by mail, three days

shall be added to the prescribed period.

(e) Consolidation. The Administrator

or the Presiding Officer in his discretion

may consolidate two or more

proceedings to be held under this

section for the purpose of resolving one

or more issues whenever it appears that

such consolidation will expedite or

simplify consideration of such issues.

Consolidation shall not affect the right

of any party to raise issues that could

have been raised if consolidation had

not occurred.

(f) Notice of public hearings. (1)

Notice of a public hearing under this

section shall be given by publication in

the Federal Register. Notice will be

given at least 30 days prior to the

commencement of such hearings.

(2) The notice of a public hearing

shall include the following information:

(i) The purpose of the hearing and the

legal authority under which the hearing

is to be held;

(ii) A brief summary of the

Administrator’s determination of

nonconformity;

(iii) A brief summary of the

manufacturer’s or remanufacturer’s

basis for contesting the Administrator’s

determination of nonconformity;

(iv) Information regarding the time

and location of the hearing and the

address to which all documents

required or permitted to be filed should

be sent;

(v) The address of the Hearing Clerk

to whom all inquiries should be

directed and with whom documents are

required to be filed;

(vi) A statement that all petitions to be

made an intervenor must be filed with

the Hearing Clerk within 25 days from

the date of the notice of public hearing

and must conform to the requirements

of paragraph (g) of this section.

(3) The notice of public hearing shall

be issued by the General Counsel.

(g) Intervenors. (1) Any person

desiring to intervene in a hearing to be

held under section 207(c)(1) of the Act

shall file a petition setting forth the facts

and reasons why he/she thinks he/she

should be permitted to intervene.

(2) In passing upon a petition to

intervene, the following factors, among

other things, shall be considered by the

Presiding Officer:

(i) The nature of the petitioner’s

interest including the nature and the

extent of the property, financial,

environmental protection, or other

interest of the petitioner;

(ii) The effect of the order which may

be entered in the proceeding on

petitioner’s interest;

(iii) The extent to which the

petitioner’s interest will be represented
Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations 19071

by existing parties or may be protected

by other means;

(iv) The extent to which petitioner’s

participation may reasonably be

expected to assist materially in the

development of a complete record;

(v) The effect of the intervention on

the Agency’s statutory mandate.

(3) A petition to intervene must be

filed within 25 days following the

notice of public hearing under section

207(c)(1) of the Act and shall be served

on all parties. Any opposition to such

petition must be filed within five days

of such service.

(4) All petitions to be made an

intervenor shall be reviewed by the

Presiding Officer using the criteria set

forth in paragraph (g)(2) of this section

and considering any oppositions to such

petition. Where the petition

demonstrates that the petitioner’s

interest is limited to particular issues,

the Presiding Officer may, in granting

such petition, limit petitioner’s

participation to those particular issues

only.

(5) If the Presiding Officer grants the

petition with respect to any or all issues,

he/she shall so notify, or direct the

Hearing Clerk to notify, the petitioner

and all parties. If the Presiding Officer

denies the petition he/she shall so

notify, or direct the Hearing Clerk to

notify, the petitioner and all parties and

shall briefly state the reasons why the

petition was denied.

(6) All petitions to be made an

intervenor shall include an agreement

by the petitioner, and any person

represented by the petitioner, to be

subject to examination and crossexamination and to make any

supporting and relevant records

available at its own expense upon the

request of the Presiding Officer, on his/

her own motion or the motion of any

party or other intervenor. If the

intervenor fails to comply with any such

request, the Presiding Officer may in

his/her discretion, terminate his/her

status as an intervenor.

(h) Intervention by motion. Following

the expiration of the time prescribed in

paragraph (g) of this section for the

submission of petitions to intervene in

a hearing, any person may file a motion

with the Presiding Officer to intervene

in a hearing. Such a motion must

contain the information and

commitments required by paragraphs

(g)(2) and (g)(6) of this section, and, in

addition, must show that there is good

cause for granting the motion and must

contain a statement that the intervenor

shall be bound by agreements,

arrangements, and other determinations

which may have been made in the

proceeding.

(i) Amicus Curiae. Persons not parties

to the proceedings wishing to file briefs

may do so by leave of the Presiding

Officer granted on motion. A motion for

leave shall identify the interest of the

applicant and shall state the reasons

why the amicus brief is desirable.

(j) Presiding Officer. The Presiding

Officer shall have the duty to conduct

a fair and impartial hearing in

accordance with 5 U.S.C. 554, 556 and

557, to take all necessary action to avoid

delay in the disposition of the

proceedings and to maintain order. He/

she shall have all power consistent with

Agency rule and with the

Administrative Procedure Act (5 U.S.C.

551 et seq.) necessary to this end,

including the following:

(1) To administer oaths and

affirmations;

(2) To rule upon offers of proof and

receive relevant evidence;

(3) To regulate the course of the

hearings and the conduct of the parties

and their counsel therein;

(4) To hold conferences for

simplification of the issues or any other

proper purpose;

(5) To consider and rule upon all

procedural and other motions

appropriate in such proceedings;

(6) To require the submission of direct

testimony in written form with or

without affidavit whenever, in the

opinion of the Presiding Officer, oral

testimony is not necessary for full and

true disclosure of the facts. Testimony

concerning the conduct and results of

tests and inspections may be submitted

in written form;

(7) To enforce agreements and orders

requiring access as authorized by law;

(8) To require the filing of briefs on

any matter on which he/she is required

to rule;

(9) To require any party or any

witness, during the course of the

hearing, to state his/her position on any

issue;

(10) To take or cause depositions to be

taken whenever the ends of justice

would be served thereby;

(11) To make decisions or recommend

decisions to resolve the disputed issues

of the record of the hearing;

(12) To issue, upon good cause

shown, protective orders as described in

paragraph (n) of this section.

(k) Conferences. (1) At the discretion

of the Presiding Officer, conferences

may be held prior to or during any

hearing. The Presiding Officer shall

direct the Hearing Clerk to notify all

parties and intervenors of the time and

location of any such conference. At the

discretion of the Presiding Officer,

persons other than parties may attend.

At a conference the Presiding Officer

may:

(i) Obtain stipulations and

admissions, receive requests and order

depositions to be taken, identify

disputed issues of fact and law, and

require or allow the submission of

written testimony from any witness or

party;

(ii) Set a hearing schedule for as many

of the following as are deemed

necessary by the Presiding Officer:

(A) Oral and written statements;

(B) Submission of written direct

testimony as required or authorized by

the Presiding Officer;

(C) Oral direct and cross-examination

of a witness where necessary as

prescribed in paragraph (p) of this

section;

(D) Oral argument, if appropriate;

(iii) Identify matters of which official

notice may be taken;

(iv) Consider limitation of the number

of expert and other witnesses;

(v) Consider the procedure to be

followed at the hearing; and

(vi) Consider any other matter that

may expedite the hearing or aid in the

disposition of the issue.

(2) The results of any conference

including all stipulations shall, if not

transcribed, be summarized in writing

by the Presiding Officer and made part

of the record.

(l) Primary discovery (exchange of

witness lists and documents). (1) At a

prehearing conference or within some

reasonable time set by the Presiding

Officer prior to the hearing, each party

shall make available to the other parties

the names of the expert and other

witnesses the party expects to call,

together with a brief summary of their

expected testimony and a list of all

documents and exhibits which the party

expects to introduce into evidence.

Thereafter, witnesses, documents, or

exhibits may be added and summaries

of expected testimony amended upon

motion by a party.

(2)(i) The Presiding Officer, may,

upon motion by a party or other person,

and for good cause shown, by order:

(A) Restrict or defer disclosure by a

party of the name of a witness or a

narrative summary of the expected

testimony of a witness; and

(B) Prescribe other appropriate

measures to protect a witness.

(ii) Any party affected by any such

action shall have an adequate

opportunity, once he learns the name of

a witness and obtains the narrative

summary of his expected testimony, to

prepare for the presentation of his case.

(m) Other discovery. (1) Except as so

provided by paragraph (l) of this

section, further discovery, under this
19072 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

paragraph (m), shall be permitted only

upon determination by the Presiding

Officer:

(i) That such discovery will not in any

way unreasonably delay the proceeding;

(ii) That the information to be

obtained is not obtainable voluntarily;

and

(iii) That such information has

significant probative value. The

Presiding Officer shall be guided by the

procedures set forth in the Federal Rules

of Civil Procedure (28 U.S.C.), where

practicable, and the precedents

thereunder, except that no discovery

shall be undertaken except upon order

of the Presiding Officer or upon

agreement of the parties.

(2) The Presiding Officer shall order

depositions upon oral questions only

upon a showing of good cause and upon

a finding that:

(i) The information sought cannot be

obtained by alternative methods; or

(ii) There is a substantial reason to

believe that relevant and probative

evidence may otherwise not be

preserved for presentation by a witness

at the hearing.

(3) Any party to the proceeding

desiring an order of discovery shall

make a motion or motions therefor.

Such a motion shall set forth:

(i) The circumstances warranting the

taking of the discovery;

(ii) The nature of the information

expected to be discovered; and

(iii) The time and place where it will

be taken. If the Presiding Officer

determines the motion should be

granted, he shall issue an order for the

taking of such discovery together with

the conditions and terms thereof.

(4) Failure to comply with an order

issued pursuant to this paragraph (m)

may lead to the inference that the

information to be discovered would be

adverse to the person or party from

whom the information was sought.

(n) Protective orders: in camera

proceedings. (1) Upon motion by a party

or by the person from whom discovery

is sought, and upon a showing by the

movant that the disclosure of the

information to be discovered, or a

particular part thereof, (other than

emission data) would result in methods

or processes entitled to protection as

trade secrets of such person being

divulged, the Presiding Officer may

enter a protective order with respect to

such material. Any protective order

shall contain such terms governing the

treatment of the information as may be

appropriate under the circumstances to

prevent disclosure outside the hearing:

Provided, That the order shall state that

the material shall be filed separately

from other evidence and exhibits in the

hearing. Disclosure shall be limited to

parties to the hearing, their counsel and

relevant technical consultants, and

authorized representatives of the United

States concerned with carrying out the

Act. Except in the case of the

government, disclosure may be limited

to counsel to parties who shall not

disclose such information to the parties

themselves. Except in the case of the

government, disclosure to a party or his

counsel shall be conditioned on

execution of a sworn statement that no

disclosure of the information will be

made to persons not entitled to receive

it under the terms of the protective

order. (No such provision is necessary

where government employees are

concerned because disclosure by them

is subject to the terms of 18 U.S.C.

1905.)

(2)(i) A party or person seeking a

protective order may be permitted to

make all or part of the required showing

in camera. A record shall be made of

such in camera proceedings. If the

Presiding Officer enters a protective

order following a showing in camera,

the record of such showing shall be

sealed and preserved and made

available to the Agency or court in the

event of appeal.

(ii) Attendance at any in camera

proceeding may be limited to the

Presiding Officer, the Agency, and the

person or party seeking the protective

order.

(3) Any party, subject to the terms and

conditions of any protective order

issued pursuant to paragraph (n)(1) of

this section, desiring for the

presentation of his/her case to make use

of any in camera documents or

testimony shall make application to the

Presiding Officer by motion setting forth

the justification therefor. The Presiding

Officer, in granting any such motion,

shall enter an order protecting the rights

of the affected persons and parties and

preventing unnecessary disclosure of

such information, including the

presentation of such information and

oral testimony and cross-examination

concerning it in executive session, as in

his/her discretion is necessary and

practicable.

(4) In the submittal of findings, briefs,

or other papers, counsel for all parties

shall make a good faith attempt to

refrain from disclosing the specific

details of in camera documents and

testimony. This shall not preclude

references in such findings, briefs, or

other papers to such documents or

testimony including generalized

statements based on their contents. To

the extent that counsel consider it

necessary to include specific details in

their presentations, such data shall be

incorporated in separate findings, briefs,

or other papers marked ‘‘confidential’’,

which shall become part of the in

camera record.

(o) Motions. (1) All motions, except

those made orally during the course of

the hearing, shall be in writing and shall

state with particularity the grounds

therefor, shall set forth the relief or

order sought, and shall be filed with the

Hearing Clerk and served upon all

parties.

(2) Within ten days after service of

any motion filed pursuant to this

section, or within such other time as

may be fixed by the Environmental

Appeals Board or the Presiding Officer,

as appropriate, any party may serve and

file an answer to the motion. The

movant shall, if requested by the

Environmental Appeals Board or the

Presiding Officer, as appropriate, serve

and file reply papers within the time set

by the request.

(3) The Presiding Officer shall rule

upon all motions filed or made prior to

the filing of his decision or accelerated

decision, as appropriate. The

Environmental Appeals Board shall rule

upon all motions filed prior to the

appointment of a Presiding Officer and

all motions filed after the filing of the

decision of the Presiding Officer or

accelerated decision. Oral argument of

motions will be permitted only if the

Presiding Officer or the Environmental

Appeals Board, as appropriate, deems it

necessary.

(p) Evidence. (1) The official

transcripts and exhibits, together with

all papers and requests filed in the

proceeding, shall constitute the record.

Immaterial or irrelevant parts of an

admissible document shall be

segregated and excluded so far as

practicable. Documents or parts thereof

subject to a protective order under

paragraph (n) of this section shall be

segregated. Evidence may be received at

the hearing even though inadmissible

under the rules of evidence applicable

to judicial proceedings. The weight to

be given evidence shall be determined

by its reliability and probative value.

(2) The Presiding Officer shall allow

the parties to examine and to crossexamine a witness to the extent that

such examination and crossexamination is necessary for a full and

true disclosure of the facts.

(3) Rulings of the Presiding Officer on

the admissibility of evidence, the

propriety of examination and crossexamination and other procedural

matters shall appear in the record.

(4) Parties shall automatically be

presumed to have taken exception to an

adverse ruling.
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(q) Interlocutory appeal. (1) An

interlocutory appeal may be taken to the

Environmental Appeals Board either:

(i) With the consent of the Presiding

Officer and where he certifies on the

record or in writing that the allowance

of an interlocutory appeal is clearly

necessary to prevent exceptional delay,

expense or prejudice to any party or

substantial detriment to the public

interest; or

(ii) Absent the consent of the

Presiding Officer, by permission of the

Environmental Appeals Board.

(2) Applications for interlocutory

appeal of any ruling or order of the

Presiding Officer may be filed with the

Presiding Officer within 5 days of the

issuance of the ruling or order being

appealed. Answers thereto by other

parties may be filed within 5 days of the

service of such applications.

(3) The Presiding Officer shall rule on

such applications within 5 days of the

filing of such application or answers

thereto.

(4) Applications to file such appeals

absent consent of the Presiding Officer

shall be filed with the Environmental

Appeals Board within 5 days of the

denial of any appeal by the Presiding

Officer.

(5) The Environmental Appeals Board

will consider the merits of the appeal on

the application and any answers thereto.

No oral argument will be heard nor

other briefs filed unless the

Environmental Appeals Board directs

otherwise.

(6) Except under extraordinary

circumstances as determined by the

Presiding Officer, the taking of an

interlocutory appeal will not stay the

hearing.

(r) Record. (1) Hearings shall be

stenographically reported and

transcribed, and the original transcript

shall be part of the record and the sole

official transcript. Copies of the record

shall be filed with the Hearing Clerk and

made available during Agency business

hours for public inspection. Any person

desiring a copy of the record of the

hearing or any part thereof shall be

entitled to the same upon payment of

the cost thereof.

(2) The official transcripts and

exhibits, together with all papers and

requests filed in the proceeding, shall

constitute the record.

(s) Findings, conclusions. (1) Within

20 days of the close of the reception of

evidence, or within such longer time as

may be fixed by the Presiding Officer,

any party may submit for the

consideration of the Presiding Officer

findings of fact, conclusions of law, and

a rule or order, together with reasons

therefor and briefs in support thereof.

Such proposals shall be in writing, shall

be served upon all parties, and shall

contain adequate references to the

record and authorities relied on.

(2) The record shall show the

Presiding Officer’s ruling on the

findings and conclusions except when

his/her order disposing of the

proceeding otherwise informs the

parties of the action taken by him/her

thereon.

(t) Decision of the Presiding Officer.

(1) Unless extended by the

Environmental Appeals Board, the

Presiding Officer shall issue and file

with the Hearing Clerk his decision

within 30 days after the period for filing

findings as provided for in paragraph (s)

of this section has expired.

(2) The Presiding Officer’s decision

shall become the opinion of the

Environmental Appeals Board:

(i) When no notice of intention to

appeal as described in paragraph (u) of

this section is filed, 30 days after the

issuance thereof, unless in the interim

the Environmental Appeals Board shall

have taken action to review or stay the

effective date of the decision; or

(ii) When a notice of intention to

appeal is filed but the appeal is not

perfected as required by paragraph (u) of

this section, 5 days after the period

allowed for perfection of an appeal has

expired unless within that 5 day period,

the Environmental Appeals Board shall

have taken action to review or stay the

effective date of the decision.

(3) The Presiding Officer’s decision

shall include a statement of findings

and conclusions, as well as the reasons

or basis therefor, upon all the material

issues of fact or law presented on the

record and an appropriate rule or order.

Such decision shall be supported by

substantial evidence and based upon a

consideration of the whole record.

(4) At any time prior to the issuance

of his decision, the Presiding Officer

may reopen the proceeding for the

reception of further evidence. Except for

the correction of clerical errors, the

jurisdiction of the Presiding Officer is

terminated upon the issuance of his/her

decision.

(u) Appeal from the decision of the

Presiding Officer. (1) Any party to a

proceeding may appeal the Presiding

Officer’s decision to the Environmental

Appeals Board, Provided, That within

10 days after issuance of the Presiding

Officer’s decision such party files a

notice of intention to appeal and an

appeal brief within 30 days of such

decision.

(2) When an appeal is taken from the

decision of the Presiding Officer, any

party may file a brief with respect to

such appeal. The brief shall be filed

within 20 days of the date of the filing

of the appellant’s brief.

(3) Any brief filed pursuant to this

paragraph (u) shall contain in the order

indicated, the following:

(i) A subject index of the matter in the

brief, with page references, and a table

of cases (alphabetically arranged),

textbooks, statutes, and other material

cited, with page references thereto;

(ii) A specification of the issues

intended to be urged;

(iii) The argument presenting clearly

the points of fact and law relied upon

in support of the position taken on each

issue, with specific page references to

the record and the legal or other

material relied upon; and

(iv) A form of rule or order for the

Environmental Appeals Board’s

consideration if different from the rule

or order contained in the Presiding

Officer’s decision.

(4) No brief in excess of 40 pages shall

be filed without leave of the

Environmental Appeals Board.

(5) Oral argument will be allowed in

the discretion of the Environmental

Appeals Board.

(v) Review of the Presiding Officer’s

decision in absence of appeal. (1) If,

after the expiration of the period for

taking an appeal as provided for by

paragraph (u) of this section, no notice

of intention to appeal the decision of the

Presiding Officer has been filed, or if

filed, not perfected, the Hearing Clerk

shall so notify the Environmental

Appeals Board.

(2) The Environmental Appeals

Board, upon receipt of notice from the

Hearing Clerk that no notice of intention

to appeal has been filed, or if filed, not

perfected pursuant to paragraph (u) of

this section, may, on its own motion,

within the time limits specified in

paragraph (t)(2) of this section, review

the decision of the Presiding Officer.

Notice of the intention of the

Environmental Appeals Board to review

the decision of the Presiding Officer

shall be given to all parties and shall set

forth the scope of such review and the

issue which shall be considered and

shall make provision for filing of briefs.

(w) Decision on appeal or review. (1)

Upon appeal from or review of the

Presiding Officer’s decision, the

Environmental Appeals Board shall

consider such parts of the record as are

cited or as may be necessary to resolve

the issues presented and, in addition

shall to the extent necessary or desirable

exercise all the powers which it could

have exercised if it had presided at the

hearing.

(2) In rendering its decision, the

Environmental Appeals Board shall

adopt, modify, or set aside the findings,
19074 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

conclusions, and rule or order contained

in the decision of the Presiding Officer

and shall set forth in its decision a

statement of the reasons or bases for its

action.

(3) In those cases where the

Environmental Appeals Board

determines that it should have further

information or additional views of the

parties as to the form and content of the

rule or order to be issued, the

Environmental Appeals Board, in its

discretion, may withhold final action

pending the receipt of such additional

information or views, or may remand

the case to the Presiding Officer.

(x) Reconsideration. Within twenty

(20) days after issuance of the

Environmental Appeals Board’s

decision, any party may file with the

Environmental Appeals Board a petition

for reconsideration of such decision,

setting forth the relief desired and the

grounds in support thereof. Any petition

filed under this paragraph (x) must be

confined to new questions raised by the

decision or the final order and upon

which the petitioner had no opportunity

to argue before the Presiding Officer or

the Environmental Appeals Board. Any

party desiring to oppose such a petition

shall file and answer thereto within ten

(10) days after the filing of the petition.

The filing of a petition for

reconsideration shall not operate to stay

the effective date of the decision or

order or to toll the running of any

statutory time period affecting such

decision or order unless specifically so

ordered by the Environmental Appeals

Board.

(y) Accelerated decision: Dismissal.

(1) The Presiding Officer, upon motion

of any party or sua sponte, may at any

time render an accelerated decision in

favor of the Agency or the manufacturer

or remanufacturer as to all or any part

of the proceeding, without further

hearing or upon such limited additional

evidence such as affidavits as he/she

may require, or dismiss any party with

prejudice, under any of the following

conditions:

(i) Failure to state a claim upon which

relief can be granted, or direct or

collateral estoppel;

(ii) There is no genuine issue of

material fact and a party is entitled to

judgment as a matter of law; or

(iii) Such other and further reasons as

are just, including specifically failure to

obey a procedural order of the Presiding

Officer.

(2) If under this paragraph (y) an

accelerated decision is issued as to all

the issues and claims joined in the

proceeding, the decision shall be treated

for the purposes of these procedures as

the decision of the Presiding Officer as

provided in paragraph (p) of this

section.

(3) If under this paragraph (y),

judgment is rendered on less than all

issues or claims in the proceeding, the

Presiding Officer shall determine what

material facts exist without substantial

controversy and what material facts are

actually and in good faith controverted.

He/she shall thereupon issue an order

specifying the facts which appear

without substantial controversy, and the

issues and claims upon which the

hearing will proceed.

(z) Conclusion of hearing. (1) If, after

the expiration of the period for taking an

appeal as provided for by paragraph (u)

of this section, no appeal has been taken

from the Presiding Officer’s decision,

and, after the expiration of the period

for review by the Environmental

Appeals Board on its own motion as

provided for by paragraph (v) of this

section, the Environmental Appeals

Board does not move to review such

decision, the hearing will be deemed to

have ended at the expiration of all

periods allowed for such appeal and

review.

(2) If an appeal of the Presiding

Officer’s decision is taken pursuant to

paragraph (u) of this section, or if, in the

absence of such appeal, the

Environmental Appeals Board moves to

review the decision of the Presiding

Officer pursuant to paragraph (v) of this

section, the hearing will be deemed to

have ended upon the rendering of a

final decision by the Environmental

Appeals Board.

(aa) Judicial review. (1) The

Administrator hereby designates the

Deputy General Counsel, Environmental

Protection Agency as the officer upon

whom copy of any petition for judicial

review shall be served. Such officer

shall be responsible for filing in the

court the record on which the order of

the Environmental Appeals Board is

based.

(2) Before forwarding the record to the

court, the Agency shall advise the

petitioner of costs of preparing it and as

soon as payment to cover fees is made

shall forward the record to the court.

Subpart I—Importation of

Nonconforming Locomotives and

Locomotive Engines

§ 92.801 Applicability.

(a) Except where otherwise indicated,

this subpart is applicable to importers of

locomotives or locomotive engines for

which the Administrator has

promulgated regulations under this part

prescribing emission standards, that are

offered for importation or imported into

the United States, but which

locomotives or locomotive engines, at

the time of importation or being offered

for importation, are not covered by

certificates of conformity issued under

section 213 and section 206(a) of the

Clean Air Act (that is, which are

nonconforming locomotives or

locomotive engines as defined in § 92.2),

and this part. Compliance with

regulations under this subpart does not

relieve any person or entity from

compliance with other applicable

provisions of the Clean Air Act.

(b) Regulations prescribing further

procedures for the importation of

locomotives and locomotive engines

into the Customs territory of the United

States, as defined in 19 U.S.C. 1202, are

set forth in U.S. Customs Service

regulations (19 CFR chapter I).

§ 92.802 Definitions.

The definitions of subpart A of this

part apply to this subpart.

§ 92.803 Admission.

A nonconforming locomotive or

locomotive engine offered for

importation may be admitted into the

United States pursuant to the provisions

of this subpart. In order to obtain

admission the importer must submit to

the Administrator a written request for

approval containing the following:

(a) Identification of the importer of

the locomotive or locomotive engine

and the importer’s address, telephone

number, and taxpayer identification

number;

(b) Identification of the locomotive’s

or locomotive engine’s owner, the

owner’s address, telephone number, and

taxpayer identification number;

(c) Identification of the locomotive

and/or locomotive engine including

make, model, identification number,

and original production year;

(d) Information indicating the

provision in this subpart under which

the locomotive or locomotive engine is

to be imported;

(e) Identification of the place(s) where

the locomotive or locomotive engine is

to be stored until EPA approval of the

importer’s application to the

Administrator for final admission;

(f) Authorization for EPA enforcement

officers to conduct inspections or testing

otherwise permitted by the Act or

regulations thereunder; and

(g) Such other information as is

deemed necessary by the Administrator.

§ 92.804 Exemptions.

(a) Unless otherwise specified, any

person may apply for the exemptions

allowed by this section.

(b) Notwithstanding other

requirements of this subpart, a
Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations 19075

nonconforming locomotive or

locomotive engine that qualifies for a

temporary exemption under this

paragraph may be conditionally

admitted into the United States if prior

written approval for the conditional

admission is obtained from the

Administrator. Conditional admission is

to be under bond. The Administrator

may request that the U.S. Customs

Service require a specific bond amount

to ensure compliance with the

requirements of the Act and this

subpart. A written request for a

temporary exemption from the

Administrator shall contain the

identification required in § 92.803 and

information that demonstrates that the

locomotives and or locomotive engines

qualify for an exemption.

Noncompliance with provisions of this

section may result in the forfeiture of

the total amount of the bond and/or

exportation of the locomotive or

locomotive engine. The following

temporary exemptions are permitted by

this paragraph (b):

(1) Exemption for repairs or

alterations. Upon written approval by

EPA, a person may conditionally import

under bond a nonconforming

locomotive or locomotive engine solely

for purpose of repair(s) or alteration(s).

The locomotive or locomotive engine

may not be operated in the United

States other than for the sole purpose of

repair or alteration or shipment to the

point of repair or alteration and to the

port of export. It may not be sold or

leased in the United States and is to be

exported upon completion of the

repair(s) or alteration(s).

(2) Testing exemption. A

nonconforming test locomotive or

locomotive engine may be conditionally

imported by a person subject to the

requirements of § 92.905. A test

locomotive or locomotive engine may be

operated in the United States provided

that the operation is an integral part of

the test. This exemption is limited to a

period not exceeding one year from the

date of importation unless a request is

made by the appropriate importer, and

subsequently granted by EPA,

concerning the locomotive or

locomotive engine in accordance with

§ 92.905 for a subsequent one-year

period.

(3) Display exemptions. (i) A

nonconforming locomotive or

locomotive engine intended solely for

display may be conditionally imported

under bond subject to the requirements

of § 92.906(b).

(ii) A display locomotive or

locomotive engine may be imported by

any person for purposes related to a

business or the public interest. Such

purposes do not include collections

normally inaccessible or unavailable to

the public on a daily basis, display of a

locomotive or locomotive engine at a

dealership, private use, or other purpose

that the Administrator determines is not

appropriate for display exemptions. A

display locomotive or locomotive

engine may not be sold or leased in the

United States and may not be operated

in the United States except for the

operation incident and necessary to the

display purpose.

(iii) A display exemption is granted

for 12 months or for the duration of the

display purpose, whichever is shorter.

Extensions of up to 12 months each are

available upon approval by the

Administrator. In no circumstances,

however, may the total period of

exemption exceed 36 months.

(c) National security exemption.

Notwithstanding any other requirement

of this subpart, a locomotive or

locomotive engine may be permanently

imported into the United States under

the national security exemption found

at § 92.908, if prior written approval for

such permanent importation is obtained

from the Administrator. A request for

approval is to contain the identification

information required in § 92.803 and

information that demonstrates that the

importer is entitled to the exemption.

(d) An application for exemption

provided for in paragraphs (b) and (c) of

this section shall be mailed to: Group

Manager, Engine Compliance Programs

Group, Engine Programs and

Compliance Division U.S.

Environmental Protection Agency,

6403–J, 401 M St., S.W., Washington,

D.C. 20460, Attention: Imports.

(e) Incidental use exemption.

Locomotives that are operated primarily

outside of the United States, and that

enter the United States temporarily from

Canada or Mexico are exempt from the

requirements and prohibitions of this

part without application, provided that

the operation within the United States

is not extensive and is incidental to

their primary operation.

§ 92.805 Prohibited acts; penalties.

(a) The importation of a locomotive or

locomotive engine which is not covered

by a certificate of conformity other than

in accordance with this subpart and the

entry regulations of the U.S. Customs

Service is prohibited. Failure to comply

with this section is a violation of section

213(d) and section 203 of the Act.

(b) Unless otherwise permitted by this

subpart, during a period of conditional

admission, the importer of a locomotive

or locomotive engine may not:

(1) Operate the locomotive or

locomotive engine in the United States;

(2) Sell or lease or offer the

locomotive or locomotive engine for sale

or lease.

(c) A locomotive or locomotive engine

conditionally admitted pursuant to

§ 92.804 and not otherwise permanently

exempted or excluded by the end of the

period of conditional admission, or

within such additional time as the

Administrator and the U.S. Customs

Service may allow, is deemed to be

unlawfully imported into the United

States in violation of section 213(d) and

section 203 of the Act, unless the

locomotive or locomotive engine has

been delivered to the U.S. Customs

Service for export or other disposition

under applicable Customs laws and

regulations by the end of the period of

conditional admission. A locomotive or

locomotive engine not so delivered is

subject to seizure by the U.S. Customs

Service.

(d) An importer who violates section

213(d) and section 203 of the Act is

subject to a civil penalty under section

205 of the Act and § 92.1106. In

addition to the penalty provided in the

Act and § 92.1106, where applicable, a

person or entity who imports an engine

under the exemption provisions of

§ 92.804 and, who fails to deliver the

locomotive or locomotive engine to the

U.S. Customs Service by the end of the

period of conditional admission is liable

for liquidated damages in the amount of

the bond required by applicable

Customs laws and regulations.

Subpart J—Exclusion and Exemption

Provisions

§ 92.901 Purpose and applicability.

The provisions of this subpart identify

excluded locomotives (i.e., locomotives

not covered by the Act) and allow for

the exemption of locomotives and

locomotive engines from certain

provisions of this part. The applicability

of the exclusions is described in

§ 92.903, and the applicability of the

exemption allowances is described in

§§ 92.904 through 92.909.

§ 92.902 Definitions.

The definitions of subpart A of this

part apply to this subpart.

§ 92.903 Exclusions.

(a) Upon written request with

supporting documentation, EPA will

make written determinations as to

whether certain locomotives are

excluded from applicability of this part.

Any locomotives that are determined to

be excluded are not subject to the

regulations under this part. Requests to

determine whether certain locomotives

are excluded should be sent to: Group
19076 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

Manager, Engine Compliance Programs

Group, Engine Programs and

Compliance Division U.S.

Environmental Protection Agency,

6403–J, 401 M St., SW, Washington,

D.C. 20460.

(b) EPA will maintain a list of models

of locomotives that have been

determined to be excluded from

coverage under this part. This list will

be available to the public and may be

obtained by writing to the address in

paragraph (a) of this section.

(c) In addition to the locomotives

excluded in paragraph (a) of this

section, certain vehicles are not subject

to the requirements and prohibitions of

this part because they are excluded from

the definitions of ‘‘locomotive’’ and/or

‘‘new locomotive’’ in § 92.2.

§ 92.904 Exemptions.

(a) Except as specified otherwise in

this subpart, the provisions of §§ 92.904

through 92.911 exempt certain new

locomotives and new locomotive

engines from the standards, other

requirements, and prohibitions of this

part, except for the requirements of this

subpart and the requirements of

§ 92.1104.

(b)(1) Any person may request a

testing exemption subject to the

provisions of § 92.905.

(2) Any locomotive or locomotive

engine manufacturer or remanufacturer

may request a national security

exemption subject to the provisions of

§ 92.908.

(3) Locomotive or locomotive engines

manufactured or remanufactured for

export purposes are exempt without

application, subject to the provisions of

§ 92.909, except as otherwise specified

by § 92.909.

(4) Manufacturer-owned and

remanufacturer-owned locomotive or

locomotive engines are exempt without

application, subject to the provisions of

§ 92.906(a).

(5) Display locomotive or locomotive

engines are exempt without application,

subject to the provisions of § 92.906(b).

(6) Locomotive propulsion engines

that are identical to engines that are

covered by a certificate of conformity

issued under 40 CFR part 89, and the

locomotives in which they are used, are

exempt, subject to the provisions of

§ 92.907.

§ 92.905 Testing exemption.

(a)(1) The Administrator may exempt

from the standards and/or other

requirements and prohibitions of this

part new locomotives or new

locomotive engines that are being used

solely for the purpose of conducting a

test program. Any person requesting an

exemption for the purpose of

conducting a test program must

demonstrate the following:

(i) That the test program has a

purpose which constitutes an

appropriate basis for an exemption in

accordance this section;

(ii) That the proposed test program

necessitates the granting of an

exemption;

(iii) That the proposed test program

exhibits reasonableness in scope; and

(iv) That the proposed test program

exhibits a degree of oversight and

control consonant with the purpose of

the test program and EPA’s monitoring

requirements.

(2) Paragraphs (b), (c), (d), and (e) of

this section describe what constitutes a

sufficient demonstration for each of the

four elements identified in paragraphs

(a)(1)(i) through (iv) of this section.

(b) With respect to the purpose of the

proposed test program, an appropriate

purpose would be research,

investigations, studies, demonstrations,

technology development, or training,

but not national security. A concise

statement of purpose is a required item

of information.

(c) With respect to the necessity that

an exemption be granted, necessity

arises from an inability to achieve the

stated purpose in a practicable manner

without performing or causing to be

performed one or more of the prohibited

acts under § 92.1103. In appropriate

circumstances, time constraints may be

a sufficient basis for necessity, but the

cost of certification alone, in the

absence of extraordinary circumstances,

is not a basis for necessity.

(d) With respect to reasonableness, a

test program must exhibit a duration of

reasonable length and affect a

reasonable number of engines. In this

regard, required items of information

include:

(1) An estimate of the program’s

duration; and

(2) The maximum number of

locomotives or locomotive engines

involved.

(e) With respect to control, the test

program must incorporate procedures

consistent with the purpose of the test

and be capable of affording EPA

monitoring capability. As a minimum,

required items of information include:

(1) The technical nature of the testing;

(2) The location(s) of the testing;

(3) The time, work, or mileage

duration of the testing;

(4) The ownership arrangement with

regard to the locomotives and engines

involved in the testing;

(5) The intended final disposition of

the locomotives and engines;

(6) The manner in which the

locomotive or engine identification

numbers will be identified, recorded,

and made available; and

(7) The means or procedure whereby

test results will be recorded.

(f) A manufacturer or remanufacturer

of new locomotives or locomotive

engines may request a testing exemption

to cover locomotives or locomotive

engines intended for use in test

programs planned or anticipated over

the course of a subsequent two-year

period. Unless otherwise required by

the Director, Engine Programs and

Compliance Division, a manufacturer or

remanufacturer requesting such an

exemption need only furnish the

information required by paragraphs

(a)(1) and (d)(2) of this section along

with a description of the recordkeeping

and control procedures that will be

employed to assure that the locomotives

or locomotive engines are used for

purposes consistent with paragraph (a)

of this section.

(g) For locomotives being used for the

purpose of developing a fundamentally

new emission control technology related

either to an alternative fuel or an

aftertreatment device, the Administrator

may exempt the locomotive from some

or all of the applicable standards of this

part for the full useful life of the

locomotive, subject to the provisions of

paragraphs (a) through (f) of this section.

§ 92.906 Manufacturer-owned,

remanufacturer-owned exemption and

display exemption.

(a) Any manufacturer-owned or

remanufacturer-owned locomotive or

locomotive engine, as defined by § 92.2,

is exempt from § 92.1103, without

application, if the manufacturer

complies with the following terms and

conditions:

(1) The manufacturer or

remanufacturer must establish,

maintain, and retain the following

adequately organized and indexed

information on each exempted

locomotive or locomotive engine:

(i) Locomotive or engine

identification number;

(ii) Use of the locomotive or engine on

exempt status; and

(iii) Final disposition of any

locomotive or engine removed from

exempt status.

(2) The manufacturer or

remanufacturer must provide right of

entry and access to these records to EPA

Enforcement Officers as outlined in

§ 92.208.

(3) The manufacturer or

remanufacturer must permanently affix

a label to each locomotive or locomotive

engine on exempt status, unless the

requirement is waived or an alternate

procedure is approved by the Director,
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Engine Programs and Compliance

Division. This label should:

(i) Be affixed in a readily visible

portion of the locomotive or locomotive

engine;

(ii) Be attached in such a manner that

cannot be removed without destruction

or defacement;

(iii) State in the English language and

in block letters and numerals of a color

that contrasts with the background of

the label, the following information:

(A) The label heading ‘‘Emission

Control Information’’;

(B) Full corporate name and

trademark of manufacturer or

remanufacturer;

(C) Engine displacement, engine

family identification, and model year of

engine; or person of office to be

contacted for further information about

the engine;

(D) The statement ‘‘This locomotive or

locomotive engine is exempt from the

prohibitions of 40 CFR 92.1103.’’

(4) No provision of paragraph (a)(3) of

this section prevents a manufacturer or

remanufacturer from including any

other information it desires on the label.

(5) The locomotive or locomotive

engine is not used in revenue-generating

service, or sold.

(b) Display exemption. An uncertified

locomotive or locomotive engine that is

to be used solely for display purposes,

and that will only be operated incident

and necessary to the display purpose,

and will not be sold unless an

applicable certificate of conformity has

been obtained for the locomotive or

engine, is exempt without request from

the standards of this part.

§ 92.907 Non-locomotive-specific engine

exemption.

(a) For manufacturers selling nonlocomotive-specific engines to be used

as propulsion engines in

remanufactured locomotives, such

locomotives and engines are exempt,

provided:

(1) The engines are covered by a

certificate of conformity issued under 40

CFR part 89;

(2) More engines are reasonably

projected to be sold and used under the

certificate for non-locomotive use than

for use in locomotives;

(3) The number of such engines

exempted under this paragraph (a) does

not exceed 25 per manufacturer in any

calendar year;

(4) The Administrator has approved

the exemption as specified in paragraph

(e) of this section.

(b) For manufacturers of freshly

manufactured switch locomotives

powered by non-locomotive-specific

engines, such freshly manufactured

switch locomotives are exempt,

provided:

(1) The engines are covered by a

certificate of conformity issued under 40

CFR part 89;

(2) More engines are reasonably

projected to be sold and used under the

certificate for non-locomotive use than

for use in locomotives;

(3) The number of such locomotives

sold within any three-year period by the

manufacturer, and exempted under this

paragraph (b) does not exceed 15; and

(4) The Administrator has approved

the exemption as specified in paragraph

(e) of this section.

(c)(1) The remanufacture of

locomotive engines that have been

exempted under this section is exempt

without request provided that the

remanufacturer remanufactures them to

a previously-certified configuration, or

to be equivalent to engines that have

been previously certified under this part

or 40 CFR part 89.

(2) The remanufacture of nonlocomotive-specific engines that were

used in locomotives prior to January 1,

2000 is exempt from the requirements of

this part provided: The remanufacturer

remanufactures them to be equivalent to

engines that have been previously

certified under this part or 40 CFR part

89, or demonstrates that the NOX

emissions from the remanufactured

locomotive engine are at least 40

percent less than its emissions prior to

certification; and the Administrator has

approved the exemption as specified in

paragraph (e) of this section.

(d) Manufacturers and

remanufacturers of engines and/or

locomotives exempted under this

section shall:

(1) Report annually to EPA the

number of engines exempted under

paragraph (a) of this section;

(2) Report annually to EPA the

number of locomotives exempted under

paragraph (b) of this section; and

(3) Upon the Administrator’s request,

provide test data showing the emissions

of the engine or locomotive when it is

operated at the actual in-use locomotive

power points.

(e)(1) Manufacturers and

remanufacturers seeking an exemption

under this section shall notify the

Administrator of such intent at least 90

days prior to selling or placing into

service the locomotives or locomotive

engines.

(2) The Administrator shall deny a

non-locomotive-specific exemption in

any case where he/she has evidence that

approving such an exemption would be

inappropriate because of adverse

environmental or economic impacts.

(3) When denying an exemption, the

Administrator shall notify the

manufacturer or remanufacturer of

EPA’s decision to deny or consider

denying the exemption within 60 days

of the manufacturer’s or

remanufacturer’s notification in

paragraph (e)(1) of this section.

(4) Unless the Administrator notifies

the manufacturer or remanufacturer of

EPA’s decision to deny or consider

denying the exemption within 60 days

of the manufacturer’s or

remanufacturer’s notification in

paragraph (e)(1) of this section, the

exemption shall be considered approved

90 days of the manufacturer’s or

remanufacturer’s notification.

§ 92.908 National security exemption.

A manufacturer or remanufacturer

requesting a national security

exemption must state the purpose for

which the exemption is required and

the request must be endorsed by an

agency of the federal government

charged with responsibility for national

defense.

§ 92.909 Export exemptions.

(a) A new locomotive or locomotive

engine intended solely for export, and

so labeled or tagged on the outside of

any container, the locomotive and on

the engine itself, is subject to the

provisions of § 92.1103, unless the

importing country has new locomotive

or new locomotive engine emission

standards which differ from EPA

standards.

(b) For the purpose of paragraph (a) of

this section, a country having no

standards whatsoever is deemed to be a

country having emission standards

which differ from EPA standards.

(c) It is a condition of any exemption

for the purpose of export under

paragraph (a) of this section, that such

exemption is void ab initio with respect

to a new locomotive or locomotive

engine intended solely for export, where

such locomotive or locomotive engine is

sold, or offered for sale, to an ultimate

purchaser or otherwise distributed or

introduced into commerce in the United

States for purposes other than export.

§ 92.910 Granting of exemptions.

(a) If upon completion of the review

of an exemption request made pursuant

to § 92.905 or § 92.908, EPA determines

it is appropriate to grant such an

exemption, a memorandum of

exemption is to be prepared and

submitted to the person requesting the

exemption. The memorandum is to set

forth the basis for the exemption, its

scope, and such terms and conditions as

are deemed necessary. Such terms and
19078 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

conditions generally include, but are not

limited to, agreements by the applicant

to conduct the exempt activity in the

manner described to EPA, create and

maintain adequate records accessible to

EPA at reasonable times, employ labels

for the exempt locomotives or engines

setting forth the nature of the

exemption, take appropriate measures to

assure that the terms of the exemption

are met, and advise EPA of the

termination of the activity and the

ultimate disposition of the locomotives

or engines.

(b) Any exemption granted pursuant

to paragraph (a) of this section is

deemed to cover any subject locomotive

or engine only to the extent that the

specified terms and conditions are

complied with. A breach of any term or

condition causes the exemption to be

void ab initio with respect to any

locomotive or engine. Consequently, the

causing or the performing of an act

prohibited under § 92.1103(a)(1) or

(a)(3), other than in strict conformity

with all terms and conditions of this

exemption, renders the person to whom

the exemption is granted, and any other

person to whom the provisions of

§ 92.1103(a) are applicable, liable to suit

under sections 204 and 205 of the Act.

§ 92.911 Submission of exemption

requests.

Requests for exemption or further

information concerning exemptions

and/or the exemption request review

procedure should be addressed to:

Group Manager, Engine Compliance

Programs Group, Engine Programs and

Compliance Division U.S.

Environmental Protection Agency, 6403-

J, 401 M St., S.W., Washington, D.C.

20460.

Subpart K—Requirements Applicable

to Owners and Operators of

Locomotives and Locomotive Engines

§ 92.1001 Applicability.

The requirements of this subpart are

applicable to railroads and all other

owners and operators of locomotives

and locomotive engines subject to the

provisions of subpart A of this part,

except as otherwise specified.

§ 92.1002 Definitions.

The definitions of subpart A of this

part apply to this subpart.

§ 92.1003 In-use testing program.

(a) Applicability. This section applies

to all Class I freight railroads, beginning

on January 1, 2005.

(b) Testing requirements. Each

railroad subject to the provisions of this

section shall annually test a sample of

locomotives in its fleet. For the purpose

of this section, a railroad’s fleet includes

both the locomotives that it owns and

the locomotives that it is leasing.

(1)(i) Except as specified in

paragraphs (b)(1)(ii) and (iii) of this

section, the number of locomotives to be

tested shall be at least 0.15 percent of

the average number of locomotives in

the railroad’s fleet during the previous

calendar year (i.e., the number tested

shall be 0.0015 multiplied by the

number of locomotives in the fleet,

rounded up to the next whole number).

(ii) After December 31, 2015, the

number of locomotives to be tested by

railroads with 500 or more locomotives

shall be at least 0.10 percent of the

average number of locomotives in the

railroad’s fleet during the previous

calendar year (i.e., the number tested

shall be 0.0010 multiplied by the

number of locomotives in the fleet,

rounded up to the next whole number).

After December 31, 2015, the number of

locomotives to be tested by railroads

with fewer than 500 locomotives shall

be zero. The provisions of this

paragraph (b)(1)(ii) apply only when:

(A) No new locomotive emission

standards have taken effect during the

previous 5 years;

(B) Locomotive emission controls

have not changed fundamentally, during

the previous 5 years, in any manner that

could reasonably be expected to have

the potential to significantly affect

emissions durability; and

(C) Testing during the previous 5

years has shown, to the satisfaction of

the Administrator, that the degree of

noncompliance for tested locomotives is

low enough that the higher rate of

testing specified in paragraph (b)(1)(i) of

this section is not needed.

(iii) The Administrator may allow a

railroad to perform a smaller number of

tests than specified in paragraphs

(b)(1)(i) or (ii) of this section, where he/

she determines that the number of tests

specified in paragraphs (b)(1)(i) or (ii) of

this section is not necessary.

(2) Testing shall be performed

according to the test procedures in

subpart B of this part, unless otherwise

approved by the Administrator.

(c) Test locomotive selection. (1)(i) A

representative sample of locomotives

shall be randomly selected for testing.

(ii) Unless otherwise specified by the

Administrator, the selection shall be

made by the railroad.

(iii) The railroad shall select

locomotives from each manufacturer

and remanufacturer, and from each tier

level (e.g., Tier 0, Tier 1 and Tier 2) in

proportion to their numbers in the

railroad’s fleet, except where specified

or allowed otherwise by the

Administrator.

(iv) Locomotives tested during the

previous year shall be excluded from

the sample.

(v) Locomotives may not be excluded

from the sample because of visible

smoke, a history of durability problems,

or other evidence of malmaintenance.

(2)(i) Locomotives selected for testing

according to the provisions of this

section shall have been certified in

compliance with requirements in

subpart A of this part, and shall have

been operated for at least 100 percent of

their useful lives.

(ii) Where the number of locomotives

that have been operated for at least 100

percent of their useful lives is not large

enough to fulfill the testing requirement,

locomotives still within their useful

lives shall be tested. In this case, the

locomotives must have been operated

longer than at least 80 percent of the

locomotives in the railroad’s fleet.

(3) Where specified by the

Administrator, the railroad shall test

specified locomotives in its fleet,

including locomotives that do not meet

the criteria specified in paragraph (c)(2)

of this section.

(d) Reporting requirements. All testing

done in compliance with the provisions

of this section shall be reported to EPA

within thirty calendar days of the end

of each year. At a minimum, each report

shall contain the following:

(1) Full corporate name and address

of the railroad providing the report.

(2) For each locomotive tested, the

following:

(i) Corporate name of the

manufacturer and last remanufacturer(s)

(including both certificate holder and

installer, where different) of the

locomotive, and the corporate name of

the manufacturer or last

remanufacturer(s) of the engine if

different than that of the manufacturer

or remanufacturer(s) of the locomotive;

(ii) Year, and if known month of

original manufacture of the locomotive

and the engine, and the manufacturer’s

model designation of the locomotive

and manufacturer’s model designation

of the engine, and the locomotive

identification number;

(iii) Year, and if known month that

the engine last underwent

remanufacture, and the engine

remanufacturer’s designation which

either reflects, or most closely reflects,

the engine after the last remanufacture,

and the engine family identification;

(iv) The number of MW-hrs and miles

(where available) the locomotive has

been operated since its last

remanufacture; and

(v) The emission test results for all

measured pollutants.
Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations 19079

(e) Any railroad that performed no

emission testing during a given year is

exempt from the reporting requirements

described in paragraph (d) of this

section for that year.

(f) In lieu of some or all of the test

data required by this section, railroads

may submit equivalent emission data

collected for other purposes. The

Administrator may also allow emission

data collected using other testing or

sampling procedures to be submitted in

lieu of some or part of the data required

by this section with advance approval.

(g) All reports submitted to EPA in

compliance with the provisions of this

subpart must be addressed to: Group

Manager, Engine Compliance Programs

Group, Engine Programs and

Compliance Division 6403–J,

Environmental Protection Agency, 401

M St., S.W., Washington, D.C. 20460.

§ 92.1004 Maintenance and repair.

(a) Unless otherwise approved by the

Administrator, all owners of

locomotives subject to the provisions of

this part shall ensure that all emissionrelated maintenance is performed on the

locomotives, as specified in the

maintenance instructions provided by

the certifying manufacturer or

remanufacturer in compliance with

§ 92.211 (or maintenance that is

equivalent to the maintenance specified

by the certifying manufacturer or

remanufacturer in terms of maintaining

emissions performance).

(b) Unless otherwise approved by the

Administrator, all maintenance and

repair of locomotives and locomotive

engines subject to the provisions of this

part performed by any owner, operator

or other maintenance provider,

including maintenance that is not

covered by paragraph (a) of this section,

shall be performed, using good

engineering judgement, in such a

manner that the locomotive or

locomotive engine continues (after the

maintenance or repair) to the meet the

emission standards or family emission

limits (as applicable) it was certified as

meeting prior to the need for

maintenance or repair.

(c) The owner of the locomotive shall

maintain records of all maintenance and

repair that could reasonably affect the

emission performance of any locomotive

or locomotive engine subject to the

provision of this part.

§ 92.1005 In-use locomotives.

(a)(1) Any Class I railroad subject to

the provisions of this subpart shall

supply to the Administrator, upon

request, in-use locomotives, selected by

the Administrator. The number of

locomotives which the Administrator

requests under this paragraph (a)(1)

shall not exceed five locomotives per

railroad per calendar year. These

locomotives or engines shall be

supplied for testing at such reasonable

time and place and for such reasonable

periods as the Administrator may

require. The Administrator shall make

reasonable allowances to the railroad to

schedule the supply of locomotives for

testing in such a manner that it

minimizes disruption of its operational

schedule.

(2) Any non-Class I railroad or other

entity subject to the provisions of this

subpart shall supply to the

Administrator, upon request, in-use

locomotives, selected by the

Administrator. The number of

locomotives which the Administrator

requests under this paragraph (a)(2)

shall not exceed two locomotives per

railroad (or other entity) per calendar

year. These locomotives or engines shall

be supplied for testing at such

reasonable time and place and for such

reasonable periods as the Administrator

may require. The Administrator shall

make reasonable allowances to the

railroad or other entity to schedule the

supply of locomotives for testing in

such a manner that it minimizes

disruption of its operational schedule.

The Administrator shall request

locomotives under this paragraph (a)(2)

only for purposes which cannot be

accomplished using locomotives

supplied under paragraph (a)(1) of this

section.

(b) Any railroad or other entity subject

to the provisions of this subpart shall

make reasonable efforts to supply

manufacturers and remanufacturers of

locomotives and locomotive engines

with the test locomotives and

locomotive engines needed to fulfill the

in-use testing requirements contained in

subpart G of this part.

§ 92.1006 Refueling requirements.

(a) Refueling equipment used by a

locomotive operator for locomotives

fueled with a volatile fuel shall be

designed in such a manner so as not to

render inoperative or reduce the

effectiveness of the controls on the

locomotive that are intended to

minimize the escape of fuel vapors.

(b) Hoses used to refuel gaseousfueled locomotives shall not be

designed to be bled or vented to the

atmosphere under normal operating

conditions.

Subpart L—General Enforcement

Provisions and Prohibited Acts

§ 92.1101 Applicability.

The requirements of this subpart are

applicable to all manufacturers,

remanufacturers, owners and operators

of locomotives and locomotive engines

subject to the provisions of subpart A of

this part.

§ 92.1102 Definitions.

The definitions of subpart A of this

part apply to this subpart.

§ 92.1103 Prohibited acts.

(a) The following acts and the causing

thereof are prohibited:

(1)(i)(A) In the case of a manufacturer

or remanufacturer of new locomotives

or new locomotive engines, the sale, the

offering for sale, the introduction into

commerce, the delivery for introduction

into commerce, or the distribution in

commerce of any new locomotive or

new locomotive engine manufactured or

remanufactured after the effective date

of applicable emission standards under

this part, unless such locomotive or

locomotive engine is covered by a

certificate of conformity issued (and in

effect) under regulations found in this

part. (Introduction into commerce

includes placement of a new locomotive

or new locomotive engine back into

service following remanufacturing.)

(B) The manufacture or remanufacture

of a locomotive or locomotive engine for

the purpose of an act listed in paragraph

(a)(1)(i)(A) of this section unless such

locomotive or locomotive engine is

covered by a certificate of conformity

issued (and in effect) under regulations

found in this part prior to its

introduction into commerce.

(ii) In the case of any person, except

as provided in Subpart I of this part, the

importation into the United States of

any locomotive or locomotive engine

manufactured or remanufactured after

June 15, 1998, unless such locomotive

or locomotive engine is covered by a

certificate of conformity issued (and in

effect) under regulations found in this

part.

(2)(i) For a person to fail or refuse to

permit access to or copying of records

or to fail to make reports or provide

information required under this part.

(ii) For a person to fail or refuse to

permit entry, testing, or inspection

authorized under this part.

(iii) For a person to fail or refuse to

perform tests, or to have tests performed

as required by this part.

(iv) For a person to fail to establish or

maintain records as required under this

part.

(3)(i) For a person to remove or render

inoperative a device or element of
19080 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

design installed on or in a locomotive or

locomotive engine in compliance with

regulations under this part, or to set any

adjustable parameter to a setting outside

of the range specified by the

manufacturer or remanufacturer, as

approved in the application for

certification by the Administrator.

(ii) For a person to manufacture,

remanufacture, sell or offer to sell, or

install, a part or component intended for

use with, or as part of, a locomotive or

locomotive engine, where a principal

effect of the part or component is to

bypass, defeat, or render inoperative a

device or element of design installed on

or in a locomotive or locomotive engine

in compliance with regulations issued

under this part, and where the person

knows or should know that the part or

component is being offered for sale or

installed for this use or put to such use.

(iii) For a locomotive owner or

operator to fail to comply with the

maintenance and repair requirements of

§ 92.1004.

(4) For a manufacturer or a

remanufacturer of a new locomotive or

locomotive engine subject to standards

prescribed under this part:

(i) To sell, offer for sale, or introduce

or deliver for introduction into

commerce, a new locomotive or new

locomotive engine unless the

manufacturer or remanufacturer has

complied with the requirements of

§ 92.1107.

(ii) To sell, offer for sale, or introduce

or deliver for introduction into

commerce, a new locomotive or new

locomotive engine unless all required

labels and tags are affixed to the engine

in accordance with § 92.212.

(iii) To fail or refuse to comply with

the requirements of § 92.1108.

(iv) Except as provided in § 92.211, to

provide directly or indirectly in any

communication to the ultimate

purchaser or a subsequent purchaser

that the coverage of a warranty under

the Act is conditioned upon use of a

part, component, or system

manufactured by the manufacturer or

remanufacturer or a person acting for

the manufacturer or remanufacturer or

under its control, or conditioned upon

service performed by such persons.

(v) To fail or refuse to comply with

the terms and conditions of the

warranty under § 92.1107.

(5) For a manufacturer or

remanufacturer of locomotives to

distribute in commerce, sell, offer for

sale, or deliver for introduction into

commerce new locomotives (including

all locomotives which contain a new

engine) not covered by a certificate of

conformity.

(b) For the purposes of enforcement of

this part, the following apply:

(1) Nothing in paragraph (a)(3) of this

section is to be construed to require the

use of any manufacturer’s or

remanufacturer’s parts in maintaining or

repairing a locomotive or locomotive

engine.

(2) Actions for the purpose of repair

or replacement of a device or element of

design or any other item are not

considered prohibited acts under

paragraph (a)(3)(i) of this section if the

action is a necessary and temporary

procedure, the device or element is

replaced upon completion of the

procedure, and the action results in the

proper functioning of the device or

element of design.

(3) Actions for the purpose of

remanufacturing a locomotive are not

considered prohibited acts under

paragraph (a)(3)(i) of this section if the

new remanufactured locomotive is

covered by a certificate of conformity

and complies with all applicable

requirements of this part.

§ 92.1104 General enforcement provisions.

(a) Information collection provisions.

(1)(i) Every manufacturer or

remanufacturer of new locomotives and/

or new locomotive engines and other

persons subject to the requirements of

this part must establish and maintain

records, perform tests, make reports and

provide information the Administrator

may reasonably require to determine

whether the manufacturer or

remanufacturer or other person has

acted or is acting in compliance with

this part or to otherwise carry out the

provisions of this part, and must, upon

request of an officer or employee duly

designated by the Administrator, permit

the officer or employee at reasonable

times to have access to and copy such

records. The manufacturer or

remanufacturer shall comply in all

respects with the requirements of

subpart E of this part.

(ii) Every manufacturer,

remanufacturer, owner, or operator of

locomotives or locomotive engines

exempted from the standards or

requirements of this part must establish

and maintain records, perform tests,

make reports and provide information

the Administrator may reasonably

require regarding the emissions of such

locomotives or locomotive engines.

(2) For purposes of enforcement of

this part, an officer or employee duly

designated by the Administrator, upon

presenting appropriate credentials, is

authorized:

(i) To enter, at reasonable times, any

establishment of the manufacturer or

remanufacturer, or of any person whom

the manufacturer or remanufacturer

engaged to perform any activity required

under paragraph (a)(1) of this section,

for the purposes of inspecting or

observing any activity conducted

pursuant to paragraph (a)(1) of this

section; and

(ii) To inspect records, files, papers,

processes, controls, and facilities used

in performing an activity required by

paragraph (a)(1) of this section, by the

manufacturer or remanufacturer or by a

person whom the manufacturer or

remanufacturer engaged to perform the

activity.

(b) Exemption provision. The

Administrator may exempt a new

locomotive or new locomotive engine

from § 92.1103 upon such terms and

conditions as the Administrator may

find necessary for the purpose of export,

research, investigations, studies,

demonstrations, or training, or for

reasons of national security, or for other

purposes allowed by subpart J of this

part.

(c) Importation provision. (1) A new

locomotive or locomotive engine,

offered for importation or imported by

a person in violation of § 92.1103 is to

be refused admission into the United

States, but the Secretary of the Treasury

and the Administrator may, by joint

regulation, provide for deferring a final

determination as to admission and

authorizing the delivery of such a

locomotive or locomotive engine offered

for import to the owner or consignee

thereof upon such terms and conditions

(including the furnishing of a bond) as

may appear to them appropriate to

insure that the locomotive or locomotive

engine will be brought into conformity

with the standards, requirements, and

limitations applicable to it under this

part.

(2) If a locomotive or locomotive

engine is finally refused admission

under this paragraph (c), the Secretary

of the Treasury shall cause disposition

thereof in accordance with the customs

laws unless it is exported, under

regulations prescribed by the Secretary,

within 90 days of the date of notice of

the refusal or additional time as may be

permitted pursuant to the regulations.

(3) Disposition in accordance with the

customs laws may not be made in such

manner as may result, directly or

indirectly, in the sale, to the ultimate

consumer, of a new locomotive or

locomotive engine that fails to comply

with applicable standards of the

Administrator under this part.

(d) Export provision. A new

locomotive or locomotive engine

intended solely for export, and so

labeled or tagged on the outside of the

container if used and on the engine,
Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations 19081

shall be subject to the provisions of

§ 92.1103, except that if the country that

is to receive the locomotive or

locomotive engine has emission

standards that differ from the standards

prescribed under subpart A of this part,

then the locomotive or locomotive

engine must comply with the standards

of the country that is to receive the

locomotive or locomotive engine.

(e) Recordkeeping. Except where

specified otherwise, records required by

this part must be kept for eight (8) years.

§ 92.1105 Injunction proceedings for

prohibited acts.

(a) The district courts of the United

States have jurisdiction to restrain

violations of § 92.1103(a).

(b) Actions to restrain violations of

§ 92.1103(a) must be brought by and in

the name of the United States. In an

action, subpoenas for witnesses who are

required to attend a district court in any

district may run into any other district.

§ 92.1106 Penalties.

(a) Violations. A violation of the

requirements of this subpart is a

violation of the applicable provisions of

the Act, including sections 213(d) and

203, and is subject to the penalty

provisions thereunder.

(1) A person who violates

§ 92.1103(a)(1), (a)(4), or (a)(5), or a

manufacturer, remanufacturer, dealer or

railroad who violates § 92.1103(a)(3)(i)

or (iii) is subject to a civil penalty of not

more than $25,000 for each violation

unless modified by the Debt Collection

Improvement Act (31 U.S.C. 3701 et

seq.) and/or regulations issued

thereunder.

(2) A person other than a

manufacturer, remanufacturer, dealer, or

railroad who violates § 92.1103(a)(3)(i)

or any person who violates

§ 92.1103(a)(3)(ii) is subject to a civil

penalty of not more than $2,500 for each

violation unless modified by the Debt

Collection Improvement Act and/or

regulations issued thereunder.

(3) A violation with respect to

§ 92.1103(a)(1), (a)(3)(i), (a)(3)(iii), (a)(4),

or (a)(5) constitutes a separate offense

with respect to each locomotive or

locomotive engine.

(4) A violation with respect to

§ 92.1103(a)(3)(ii) constitutes a separate

offense with respect to each part or

component. Each day of a violation with

respect to § 92.1103(a)(5) constitutes a

separate offense.

(5) A person who violates

§ 92.1103(a)(2) or (a)(5) is subject to a

civil penalty of not more than $25,000

per day of violation unless modified by

the Debt Collection Improvement Act

and/or regulations issued thereunder.

(b) Civil actions. The Administrator

may commence a civil action to assess

and recover any civil penalty under

paragraph (a) of this section.

(1) An action under this paragraph (b)

may be brought in the district court of

the United States for the district in

which the defendant resides or has the

Administrator’s principal place of

business, and the court has jurisdiction

to assess a civil penalty.

(2) In determining the amount of a

civil penalty to be assessed under this

paragraph (b), the court is to take into

account the gravity of the violation, the

economic benefit or savings (if any)

resulting from the violation, the size of

the violator’s business, the violator’s

history of compliance with Title II of the

Act, action taken to remedy the

violation, the effect of the penalty on the

violator’s ability to continue in

business, and such other matters as

justice may require.

(3) In any such action, subpoenas for

witnesses who are required to attend a

district court in any district may run

into any other district.

(c) Administrative assessment of

certain penalties. (1) Administrative

penalty authority. In lieu of

commencing a civil action under

paragraph (b) of this section, the

Administrator may assess any civil

penalty prescribed in paragraph (a) of

this section, except that the maximum

amount of penalty sought against each

violator in a penalty assessment

proceeding shall not exceed $200,000,

unless the Administrator and the

Attorney General jointly determine that

a matter involving a larger penalty

amount is appropriate for administrative

penalty assessment. Any such

determination by the Administrator and

the Attorney General is not subject to

judicial review. Assessment of a civil

penalty shall be by an order made on

the record after opportunity for a

hearing held in accordance with the

procedures found at part 22 of this

chapter. The Administrator may

compromise, or remit, with or without

conditions, any administrative penalty

which may be imposed under this

section.

(2) Determining amount. In

determining the amount of any civil

penalty assessed under this paragraph

(c), the Administrator shall take into

account the gravity of the violation, the

economic benefit or savings (if any)

resulting from the violation, the size of

the violator’s business, the violator’s

history of compliance with Title II of the

Act, action taken to remedy the

violation, the effect of the penalty on the

violator’s ability to continue in

business, and such other matters as

justice may require.

(3) Effect of administrator’s action. (i)

Action by the Administrator under this

paragraph (c) does not affect or limit the

Administrator’s authority to enforce any

provisions of the Act; except that any

violation with respect to which the

Administrator has commenced and is

diligently prosecuting an action under

this paragraph (c), or for which the

Administrator has issued a final order

not subject to further judicial review

and for which the violator has paid a

penalty assessment under this

paragraph shall not be the subject of a

civil penalty action under paragraph (b)

of this section.

(ii) No action by the Administrator

under this paragraph (c) shall affect a

person’s obligation to comply with a

section of this part.

(4) Finality of order. An order issued

under this paragraph (c) is to become

final 30 days after its issuance unless a

petition for judicial review is filed

under paragraph (c)(5) of this section.

(5) Judicial review. A person against

whom a civil penalty is assessed in

accordance with this paragraph (c) may

seek review of the assessment in the

United States District Court for the

District of Columbia or for the district in

which the violation is alleged to have

occurred, in which such person resides,

or where the person’s principal place of

business is located, within the 30-day

period beginning on the date a civil

penalty order is issued. The person shall

simultaneously send a copy of the filing

by certified mail to the Administrator

and the Attorney General. The

Administrator shall file in the court

within 30 days a certified copy, or

certified index, as appropriate, of the

record on which the order was issued.

The court is not to set aside or remand

any order issued in accordance with the

requirements of this paragraph (c)

unless substantial evidence does not

exist in the record, taken as a whole, to

support the finding of a violation or

unless the Administrator’s assessment

of the penalty constitutes an abuse of

discretion, and the court is not to

impose additional civil penalties unless

the Administrator’s assessment of the

penalty constitutes an abuse of

discretion. In any proceedings, the

United States may seek to recover civil

penalties assessed under this section.

(6) Collection. (i) If any person fails to

pay an assessment of a civil penalty

imposed by the Administrator as

provided in this part after the order

making the assessment has become final

or after a court in an action brought

under paragraph (c)(5) of this section

has entered a final judgment in favor of
19082 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

the Administrator, the Administrator

shall request that the Attorney General

bring a civil action in an appropriate

district court to recover the amount

assessed (plus interest at rates

established pursuant to section

6621(a)(2) of the Internal Revenue Code

of 1986 (26 U.S.C. 6621(a)(2)) from the

date of the final order or the date of final

judgment, as the case may be). In such

an action, the validity, amount, and

appropriateness of the penalty is not

subject to review.

(ii) A person who fails to pay on a

timely basis the amount of an

assessment of a civil penalty as

described in paragraph (c)(6)(i) of this

section shall be required to pay, in

addition to that amount and interest, the

United States’ enforcement expenses,

including attorney’s fees and costs for

collection proceedings, and a quarterly

nonpayment penalty for each quarter

during which the failure to pay persists.

The nonpayment penalty is an amount

equal to ten percent of the aggregate

amount of that person’s penalties and

nonpayment penalties which are unpaid

as of the beginning of such quarter.

§ 92.1107 Warranty provisions.

(a) The manufacturer or

remanufacturer of each locomotive or

locomotive engine must warrant to the

ultimate purchaser and each subsequent

purchaser or owner that the locomotive

or locomotive engine is designed, built,

and equipped so as to conform at the

time of sale or time of return to service

following remanufacture with

applicable regulations under section 213

of the Act, and is free from defects in

materials and workmanship which

cause such locomotive or locomotive

engine to fail to conform with

applicable regulations for its warranty

period (as determined under § 92.10).

(b) For the purposes of this section,

the owner of any locomotive or

locomotive engine warranted under this

part is responsible for the proper

maintenance of the locomotive and the

locomotive engine. Proper maintenance

includes replacement and/or service, as

needed, at the owner’s expense at a

service establishment or facility of the

owner’s choosing, of all parts, items, or

devices which were in general use with

locomotives or locomotive engines prior

to 1999. For diesel engines, this would

generally include replacement or

cleaning of the fuel delivery and

injection system.

§ 92.1108 In-use compliance provisions.

(a) Effective with respect to

locomotives and locomotive engines

subject to the requirements of this part:

(1) If the Administrator determines

that a substantial number of any class or

category of locomotives or locomotive

engines, although properly maintained

and used, do not conform to the

regulations prescribed under section

213 of the Act when in actual use

throughout their useful life period (as

defined under § 92.2), the Administrator

shall immediately notify the

manufacturer or remanufacturer of such

nonconformity and require the

manufacturer or remanufacturer to

submit a plan for remedying the

nonconformity of the locomotives or

locomotive engines with respect to

which such notification is given.

(i) The manufacturer’s or

remanufacturer’s plan shall provide that

the nonconformity of any such

locomotives or locomotive engines

which are properly used and

maintained will be remedied at the

expense of the manufacturer or

remanufacturer.

(ii) If the manufacturer or

remanufacturer disagrees with such

determination of nonconformity and so

advises the Administrator, the

Administrator shall afford the

manufacturer or remanufacturer and

other interested persons an opportunity

to present their views and evidence in

support thereof at a public hearing.

Unless, as a result of such hearing, the

Administrator withdraws such

determination of nonconformity, the

Administrator shall, within 60 days

after the completion of such hearing,

order the manufacturer or

remanufacturer to provide prompt

notification of such nonconformity in

accordance with paragraph (a)(2) of this

section. The manufacturer or

remanufacturer shall comply in all

respects with the requirements of

subpart G of this part.

(2) Any notification required to be

given by the manufacturer or

remanufacturer under paragraph (a)(1)

of this section with respect to any class

or category of locomotives or locomotive

engines shall be given to ultimate

purchasers, subsequent purchasers (if

known), and dealers (as applicable) in

such manner and containing such

information as required in Subparts E

and H of this part.

(3)(i) The certifying manufacturer or

remanufacturer shall furnish with each

new locomotive or locomotive engine

written instructions for the proper

maintenance and use of the engine by

the ultimate purchaser as required

under § 92.211.

(ii) The instruction under paragraph

(a)(3)(i) of this section must not include

any condition on the ultimate

purchaser’s using, in connection with

such locomotive or locomotive engine,

any component or service (other than a

component or service provided without

charge under the terms of the purchase

agreement) which is identified by brand,

trade, or corporate name. Such

instructions also must not directly or

indirectly distinguish between service

performed by the franchised dealers of

such manufacturer or remanufacturer, or

any other service establishments with

which such manufacturer or

remanufacturer has a commercial

relationship, and service performed by

independent locomotive or locomotive

engine repair facilities with which such

manufacturer or remanufacturer has no

commercial relationship.

(iii) The prohibition of paragraph

(a)(3)(ii) of this section may be waived

by the Administrator if:

(A) The manufacturer or

remanufacturer satisfies the

Administrator that the locomotive or

locomotive engine will function

properly only if the component or

service so identified is used in

connection with such engine; and

(B) The Administrator finds that such

a waiver is in the public interest.

(iv) In addition, the manufacturer or

remanufacturer shall indicate by means

of a label or tag permanently affixed to

the locomotive and to the engine that

the locomotive and/or the locomotive

engine is covered by a certificate of

conformity issued for the purpose of

assuring achievement of emission

standards prescribed under section 213

of the Act. This label or tag shall also

contain information relating to control

of emissions as prescribed under

§ 92.212.

(b) The manufacturer or

remanufacturer bears all cost obligation

any dealer incurs as a result of a

requirement imposed by paragraph (a)

of this section. The transfer of any such

cost obligation from a manufacturer or

remanufacturer to a dealer through

franchise or other agreement is

prohibited.

(c) If a manufacturer or

remanufacturer includes in an

advertisement a statement respecting

the cost or value of emission control

devices or systems, the manufacturer or

remanufacturer shall set forth in the

statement the cost or value attributed to

these devices or systems by the

Secretary of Labor (through the Bureau

of Labor Statistics). The Secretary of

Labor, and his or her representatives,

has the same access for this purpose to

the books, documents, papers, and

records of a manufacturer or

remanufacturer as the Comptroller

General has to those of a recipient of
Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations 19083

assistance for purposes of section 311 of

the Act.

Appendices to Part 92

Appendix I to Part 92—Emission Related

Locomotive and Engine Parameters and

Specifications

I. Basic Engine Parameters—Reciprocating

Engines.

1. Compression ratio.

2. Type of air aspiration (natural, Roots

blown, supercharged, turbocharged).

3. Valves (intake and exhaust).

a. Head diameter dimension.

b. Valve lifter or actuator type and valve

lash dimension.

4. Camshaft timing.

a. Valve opening—intake exhaust (degrees

from TDC or BDC).

b. Valve closing—intake exhaust (degrees

from TDC or BDC).

c. Valve overlap (degrees).

5. Ports—two stroke engines (intake and/or

exhaust).

a. Flow area.

b. Opening timing (degrees from TDC or

BDC).

c. Closing timing (degrees from TDC or

BDC).

II. Intake Air System.

1. Roots blower/supercharger/turbocharger

calibration.

2. Charge air cooling.

a. Type (air-to-air; air-to-liquid).

b. Type of liquid cooling (engine coolant,

dedicated cooling system).

c. Performance (charge air delivery

temperature (°F) at rated power and one

other power level under ambient

conditions of 80 °F and 110 °F, and 3

minutes and 15 minutes after selecting

rated power, and 3 minutes and 5

minutes after selecting other power

level).

3. Temperature control system calibration.

4. Maximum allowable inlet air restriction.

III. Fuel System.

1. General.

a. Engine idle speed.

2. Carburetion.

a. Air-fuel flow calibration.

b. Idle mixture.

c. Transient enrichment system calibration.

d. Starting enrichment system calibration.

e. Altitude compensation system

calibration.

f. Hot idle compensation system

calibration.

3. Fuel injection—non-compression

ignition engines.

a. Control parameters and calibrations.

b. Idle mixture.

c. Fuel shutoff system calibration.

d. Starting enrichment system calibration.

e. Transient enrichment system calibration.

f. Air-fuel flow calibration.

g. Altitude compensation system

calibration.

h. Operating pressure(s).

i. Injector timing calibration.

4. Fuel injection—compression ignition

engines.

a. Control parameters and calibrations.

b. Transient enrichment system calibration.

c. Air-fuel flow calibration.

d. Altitude compensation system

calibration.

e. Operating pressure(s).

f. Injector timing calibration.

IV. Ignition System—non-compression

ignition engines.

1. Control parameters and calibration.

2. Initial timing setting.

3. Dwell setting.

4. Altitude compensation system

calibration.

5. Spark plug voltage.

V. Engine Cooling System.

1. Thermostat calibration.

VI. Exhaust System.

1. Maximum allowable back pressure.

VII. Exhaust Emission Control System.

1. Air injection system.

a. Control parameters and calibrations.

b. Pump flow rate.

2. EGR system.

a. Control parameters and calibrations.

b. EGR valve flow calibration.

3. Catalytic converter system.

a. Active surface area.

b. Volume of catalyst.

c. Conversion efficiency.

4. Backpressure.

VIII. Crankcase Emission Control System.

1. Control parameters and calibrations.

2. Valve calibrations.

IX. Auxiliary Emission Control Devices

(AECD).

1. Control parameters and calibrations.

2. Component calibration(s).

X. Evaporative Emission Control System.

1. Control parameters and calibrations.

2. Fuel tank. a. Volume.

b. Pressure and vacuum relief settings.

Appendix II to Part 92—Interpretive

Ruling for § 92.705—Remedial Plans

The following is an interpretive ruling set

forth previously by EPA for on-highway

vehicles. EPA expects to apply the same

principles to locomotives.

(1) The purpose of this ruling is to set forth

EPA’s interpretation regarding one aspect of

a motor vehicle or motor vehicle engine

manufacturer’s recall liability under section

207(c)(1) of the Clean Air Act, 42 U.S.C.

7641(c)(1). This ruling will provide guidance

to vehicle and engine manufacturers to better

enable them to submit acceptable remedial

plans.

(2) Section 207(c)(1) requires the

Administrator to base a recall order on a

determination that a substantial number of

in-use vehicles or engines within a given

class or category of vehicles or engines,

although properly maintained and used, fail

to conform to the regulations prescribed

under section 202 when in actual use

throughout their useful lives. After making

such a determination, he shall require the

manufacturer to submit a plan to remedy the

nonconformity of any such vehicles or

engines. The plan shall provide that the

manufacturer will remedy, at the

manufacturer’s expense, all properly

maintained and used vehicles which

experienced the nonconformity during their

useful lives regardless of their age or mileage

at the time of repair.

Appendix III to Part 92—Smoke Standards

for Non-Normalized Measurements

TABLE III–1.—EQUIVALENT SMOKE STANDARDS FOR NON-NORMALIZED MEASUREMENTS

Path length Standards

If the path length is: Then the opacity may not exceed:

cm inches

Peak Steady-State

3-sec 30-sec Tier 0 Tier 1 Tier 2

10.0–19.9 ...................................... 3.94–7.86 ...................................... 7 5 4 3 2

20.0–29.9 ...................................... 7.87–11.80 .................................... 13 10 7 6 4

30.0–39.9 ...................................... 11.81–15.74 .................................. 19 14 10 8 6

40.0–49.9 ...................................... 15.75–19.68 .................................. 24 18 13 11 9

50.0–59.9 ...................................... 19.69–23.61 .................................. 29 23 16 13 11

60.0–69.9 ...................................... 23.62–27.55 .................................. 34 26 19 16 13

70.0–79.9 ...................................... 27.56–31.49 .................................. 38 30 22 18 14

80.0–89.9 ...................................... 31.50–35.42 .................................. 43 34 25 21 16

90.0–99.9 ...................................... 35.43–39.36 .................................. 46 37 27 23 18

100.0–109.9 .................................. 39.37–43.30 .................................. 50 40 30 25 20

110.0–119.9 .................................. 43.31–47.23 .................................. 53 43 32 27 22

120.0–129.9 .................................. 47.24–51.17 .................................. 56 46 35 29 23

130.0–139.9 .................................. 51.18–55.11 .................................. 59 49 37 31 25

140.0–149.9 .................................. 55.12–59.05 .................................. 62 51 39 33 27

150.0–159.9 .................................. 59.06–62.98 .................................. 65 54 41 35 28
19084 Federal Register / Vol. 63, No. 73 /Thursday, April 16, 1998 /Rules and Regulations

TABLE III–1.—EQUIVALENT SMOKE STANDARDS FOR NON-NORMALIZED MEASUREMENTS—Continued

Path length Standards

If the path length is: Then the opacity may not exceed:

cm inches

Peak Steady-State

3-sec 30-sec Tier 0 Tier 1 Tier 2

160.0–169.9 .................................. 62.99–66.92 .................................. 67 56 43 37 30

170.0–179.9 .................................. 66.93–70.86 .................................. 69 58 45 39 32

180.0–189.9 .................................. 70.87–74.79 .................................. 71 60 47 40 33

190.0–199.9 .................................. 74.80–78.73 .................................. 73 62 49 42 35

≥200 .............................................. ≥78.74 ........................................... 75 64 51 44 36

Appendix IV to Part 92—Guidelines for

Determining Equivalency Between

Emission Measurement Systems

This appendix describes a series of

correlation criteria that EPA considers to be

reasonable for the purpose of demonstrating

equivalency between two test systems

designed to measure the same emissions

during FTP locomotive testing. These criteria

are presented here only as guidelines. When

requested to make a finding of equivalency,

EPA could base its decision on criteria other

than those listed here, where EPA has reason

to believe that these criteria are not

appropriate.

(a) General approach. (1) Multiple tests

should be conducted in pairs on the same

locomotive or engine using each of the

measurement systems.

(2) Variations for other parameters, such as

test fuel, should be minimized to the

maximum extent possible.

(3) Locomotive and/or locomotive engine

tests conducted in accordance with the

provisions of Subpart B of this part are

preferred. Where appropriate, engine tests

conducted in accordance with 40 CFR part 89

may also be used.

(4) Equivalency of the systems should be

determined by comparing individual modal

data, individual cycle-weighted data, and the

average cycle-weighted results from each

system.

(b) Correlation criteria for particulate

measurements. (1) The correlation coefficient

(R2) for individual modal data should be

0.90, or higher.

(2) The maximum deviation between any

pair of cycle-weighted data should be 15

percent, or less.

(3) The ratio of average cycle-weighted

results using the alternate system to the

average cycle-weighted results using the

specified Part 92 system (i.e., avgalt/avgspc)

should be between 0.97 and 1.05.

(c) Correlation criteria for other

measurements. Correlation parameters for

gaseous pollutants should be better than

those specified in paragraph (b) of this

appendix for particulate measurements.

(d) Minimum number of tests. The

recommended minimum number of tests

with each system necessary to determine

equivalency is:

(1) Four 13-mode locomotive or locomotive

engine tests, conducted in accordance with

the provisions of subpart B of this part; or

(2) Seven 8-mode nonroad engine tests,

conducted in accordance with the provisions

of 40 CFR part 89.

(e) Statistical outliers. Statistical outliers

may be excluded consistent with good

engineering judgement. Outliers should be

replaced by rerunning each excluded test

point. Where more than one outlier is

excluded, is recommended to perform one

additional pair of tests (in addition to the

minimum number specified in paragraph (d)

of this appendix) for each two outliers

excluded.

[FR Doc. 98–7769 Filed 4–15–98; 8:45 am]

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