mstockstill on PROD1PC66 with RULES3


Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37195 

requirements of 40 CFR subchapter U. 

This paragraph (j) describes allowances 

for manufacturers or remanufacturers to 

ask for flexibility in transitioning to the 

new regulations. 

(1) You may ask to use a combination 

of the test procedures of this part and 

those of 40 CFR part 1033. We will 

approve your request if you show us 

that it does not affect your ability to 

show compliance with the applicable 

emission standards. Generally this 

requires that the combined procedures 

would result in emission measurements 

at least as high as those that would be 

measured using the procedures 

specified in this part. Alternatively, you 

may demonstrate that the combined 

effects of the procedures is small 

relative to your compliance margin (the 

degree to which your locomotives are 

below the applicable standards). 

(2) You may ask to comply with the 

administrative requirements of 40 CFR 

part 1033 and 1068 instead of the 

equivalent requirements of this part. 

■ 23. Section 92.204 is amended by 

adding paragraph (f) to read as follows: 

§ 92.204 Designation of engine families. 

* * * * * 

(f) Remanufactured Tier 2 locomotives 

may be included in the same engine 

family as freshly manufactured Tier 2 

locomotives, provided such engines are 

used for locomotive models included in 

the engine family. 

■ 24. Section 92.206 is amended by 

revising paragraph (c) to read as follows: 

§ 92.206 Required information. 

* * * * * 

(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. 

The requirement to measure smoke 

emissions is waived for certification and 

production line testing of Tier 2 

locomotives, except where there is 

reason to believe the locomotives do not 

meet the applicable smoke standards. 

* * * * * 

■ 25. Section 92.208 is amended by 

revising paragraph (a) to read as follows: 

§ 92.208 Certification. 

(a) This paragraph (a) applies to 

manufacturers of new locomotives and 

new locomotive engines. If, after a 

review of the application for 

certification, test reports and data 

acquired from a freshly manufactured 

locomotive or locomotive engine or 

from a development data engine, and 

any other information required or 

obtained by EPA, the Administrator 

determines that the application is 

complete and that the engine family 

meets the requirements of the Act and 

this part, he/she will issue a certificate 

of conformity with respect to such 

engine family except as provided by 

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

certificate of conformity is valid for each 

engine family starting with the 

indicated effective date, but it is not 

valid for any production after December 

31 of the model year for which it is 

issued (except as specified in (92.12). 

The certificate of conformity is valid 

upon such terms and conditions as the 

Administrator deems necessary or 

appropriate to ensure that the 

production engines covered by the 

certificate will meet the requirements of 

the Act and of this part. 

* * * * * 

■ 26. Section 92.212 is amended by 

revising paragraph (b)(2)(iv) to read as 

follows: 

§ 92.212 Labeling. 

* * * * * 

(b) * * * 

(2) * * * 

(iv) The label may be made up of 

more than one piece permanently 

attached to the same locomotive part, 

except for Tier 0 locomotives, where 

you may attach it to separate parts. 

* * * * * 

■ 27. Section 92.501 is amended by 

adding paragraph (c) to read as follows: 

§ 92.501 Applicability. 

* * * * * 

(c) Manufacturers may comply with 

the provisions of subpart D of 40 CFR 

part 1033 instead of the provisions of 

this subpart F. 

■ 28. A new § 92.1007 is added to read 

as follows: 

§ 92.1007 Remanufacturing requirements. 

(a) See the definition of 

‘‘remanufacture’’ in § 92.2 to determine 

if you are remanufacturing your 

locomotive or engine. (Note: Replacing 

power assemblies one at a time may 

qualify as remanufacturing, depending 

on the interval between replacement.) 

(b) See the definition of ‘‘new’’ in 

§ 92.2 to determine if remanufacturing 

your locomotive makes it subject to the 

requirements of this part. If the 

locomotive is considered to be new, it 

is subject to the certification 

requirements of this part, unless it is 

exempt under subpart J of this part. The 

standards to which your locomotive is 

subject will depend on factors such as 

the following: 

(1) Its date of original manufacture. 

(2) The FEL to which it was 

previously certified, which is listed on 

the ‘‘Locomotive Emission Control 

Information’’ label. 

(3) Its power rating (whether it is 

above or below 2300 hp). 

(4) The calendar year in which it is 

being remanufactured. 

(c) You may comply with the 

certification requirements of this part 

for your remanufactured locomotive by 

either obtaining your own certificate of 

conformity as specified in subpart C of 

this part or by having a certifying 

remanufacturer include your locomotive 

under its certificate of conformity. In 

either case, your remanufactured 

locomotive must be covered by a 

certificate before it is reintroduced into 

service. 

(d) If you do not obtain your own 

certificate of conformity from EPA, 

contact a certifying remanufacturer to 

have your locomotive included under 

its certificate of conformity. Confirm 

with the certificate holder that your 

locomotive’s model, date of original 

manufacture, previous FEL, and power 

rating allow it to be covered by the 

certificate. You must do all of the 

following: 

(1) Comply with the certificate 

holder’s emission-related installation 

instructions. 

(2) Provide to the certificate holder 

the information it identifies as necessary 

to comply with the requirements of this 

part. 

(e) For parts unrelated to emissions 

and emission-related parts not 

addressed by the certificate holder in 

the emission-related installation 

instructions, you may use parts from 

any source. For emission-related parts 

listed by the certificate holder in the 

emission-related installation 

instructions, you must either use the 

specified parts or parts certified under 

40 CFR 1033.645 for remanufacturing. If 

you believe that the certificate holder 

has included as emission-related parts, 

parts that are actually unrelated to 

emissions, you may ask us to exclude 

such parts from the emission-related 

installation instructions. (Note: This 
mstockstill on PROD1PC66 with RULES3


37196 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

paragraph (e) does not apply with 

respect to parts for maintenance other 

than remanufacturing; see § 92.1004 for 

provisions related to general 

maintenance.) 

(f) Failure to comply with this section 

is a violation of § 92.1102(a)(1). 

PART 94—CONTROL OF EMISSIONS 

FROM MARINE COMPRESSIONIGNITION ENGINES 

■ 29. The authority citation for part 94 

continues to read as follows: 

Authority: 42 U.S.C. 7401–7671q. 

Subpart A— [Amended] 

■ 30. Section 94.1 is amended by 

revising paragraph (b) to read as follows: 

§ 94.1 Applicability. 

* * * * * 

(b) Notwithstanding the provisions of 

paragraph (c) of this section, the 

requirements and prohibitions of this 

part do not apply with respect to the 

engines identified in paragraphs (a)(1) 

and (2) of this section for any of the 

following engines: 

(1) Marine engines with rated power 

below 37 kW. 

(2) Marine engines on foreign vessels. 

(3) Marine engines subject to the 

standards of 40 CFR part 1042. 

* * * * * 

■ 31. Section 94.2 is amended by 

revising paragraph (1)(ii) of the 

definition for ‘‘New vessel’’ and adding 

definitions for ‘‘Nonroad’’ and 

‘‘Nonroad engine’’ in alphabetical order 

to read as follows: 

§ 94.2 Definitions. 

* * * * * 

New vessel means: 

(1)(i) * * * 

(ii) For vessels with no Category 3 

engines, a vessel that has been modified 

such that the value of the modifications 

exceeds 50 percent of the value of the 

modified vessel. The value of the 

modification is the difference in the 

assessed value of the vessel before the 

modification and the assessed value of 

the vessel after the modification. Use 

the following equation to determine if 

the fractional value of the modification 

exceeds 50 percent: 

Percent of value = [(Value after 

modification) – (Value before 

modification)] × ( 100% ÷ (Value 

after modification) 

* * * * * 

Nonroad means relating to nonroad 

engines, or vessels or equipment that 

include nonroad engines. 

Nonroad engine has the meaning 

given in 40 CFR 1068.30. In general, this 

means all internal-combustion engines 

except motor vehicle engines, stationary 

engines, engines used solely for 

competition, or engines used in aircraft. 

* * * * * 

■ 32. Section 94.12 is amended by 

adding paragraph (i) to read as follows: 

§ 94.12 Interim provisions. 

* * * * * 

(i) Early use of future provisions. For 

model years 2009 through 2013, certain 

marine engines will be subject to the 

requirements of this part 94 while 

others will be subject to the 

requirements of 40 CFR part 1042. 

Manufacturers may ask for flexibility in 

making the transition to the new 

regulations as follows: 

(1) You may ask to use a combination 

of the test procedures of this part and 

those of 40 CFR part 1042. This might 

include the early use of the duty cycles 

and NTE specifications that apply for 

Tier 3 or Tier 4 engines. We will 

approve your request only if you show 

us that it does not affect your ability to 

demonstrate compliance with the 

applicable emission standards. This 

generally requires that the combined 

procedures would result in emission 

measurements at least as high as those 

that would be measured using the 

procedures specified in this part. 

Alternatively, you may demonstrate that 

the combined effects of the procedures 

is small relative to your compliance 

margin (the degree to which your 

engines are below the applicable 

standards). 

(2) You may ask to comply with the 

administrative requirements of 40 CFR 

parts 1042 and 1068 instead of the 

equivalent requirements of this part. 

Subpart B—[Amended] 

■ 33. Section 94.108 is amended by 

adding paragraph (a)(4) and revising 

paragraph (d) to read as follows: 

§ 94.108 Test fuels. 

(a) * * * 

(4) Manufacturers may perform testing 

using the low-sulfur diesel test fuel or 

the ultra low-sulfur diesel test fuel 

specified in 40 CFR part 1065. 

* * * * * 

(d) Correction for sulfur—(1) High 

sulfur fuel. (i) Particulate emission 

measurements from Category 1 or 

Category 2 engines without exhaust 

aftertreatment obtained using a diesel 

fuel containing more than 0.40 weight 

percent sulfur may be adjusted to a 

sulfur content of 0.40 weight percent. 

(ii) Adjustments to the particulate 

measurement for using high sulfur fuel 

shall be made using the following 

equation: 

PMadj=PM¥[BSFC × 0.0917 × (FSF0.0040)] 

Where: 


PMadj=adjusted measured PM level [g/kW-hr] 


PM=measured weighted PM level [g/kW-hr] 


BSFC=measured brake specific fuel 


consumption [g/kW-hr] 

FSF=fuel sulfur weight fraction 

(2) Low sulfur fuel. (i) Particulate 

emission measurements from Category 1 

or Category 2 engines without exhaust 

aftertreatment obtained using diesel fuel 

containing less than 0.03 weight percent 

sulfur shall be adjusted to a sulfur 

content of 0.20 weight percent. 

(ii) Adjustments to the particulate 

measurement for using ultra low-sulfur 

fuel shall be made using the following 

equation: 

PMadj=PM+[BSFC × 0.0917 × (0.0020-

FSF)] 

Where: 


PMadj=adjusted measured PM level [g/kW-hr] 


PM=measured weighted PM level [g/kW-hr] 


BSFC=measured brake specific fuel 


consumption [g/kW-hr] 

FSF=fuel sulfur weight fraction 

* * * * * 

Subpart C—[Amended] 

■ 34. Section 94.208 is amended by 

revising paragraph (a) to read as follows: 

§ 94.208 Certification. 

(a) If, after a review of the application 

for certification, test reports and data 

acquired from an engine or from a 

development data engine, and any other 

information required or obtained by 

EPA, the Administrator determines that 

the application is complete and that the 

engine family meets the requirements of 

the Act and this part, he/she will issue 

a certificate of conformity with respect 

to such engine family, except as 

provided by paragraph (c)(3) of this 

section. The certificate of conformity is 

valid for each engine family starting 

with the indicated effective date, but it 

is not valid for any production after 

December 31 of the model year for 

which it is issued. The certificate of 

conformity is valid upon such terms and 

conditions as the Administrator deems 

necessary or appropriate to ensure that 

the production engines covered by the 

certificate will meet the requirements of 

the Act and of this part. 

* * * * * 

■ 35. Section 94.209 is amended by 

revising paragraph (a) introductory text 

to read as follows: 
mstockstill on PROD1PC66 with RULES3


Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37197 

§ 94.209 Special provisions for postmanufacture marinizers and small-volume 

manufacturers. 

* * * * * 

(a) Broader engine families. Instead of 

the requirements of § 94.204, an engine 

family may consist of any or all of a 

manufacturer’s engines within a given 

category. This does not change any of 

the requirements of this part for 

showing that an engine family meets 

emission standards. To be eligible to use 

the provisions of this paragraph (a), the 

manufacturer must demonstrate one of 

the following: 

* * * * * 

Subpart F—[Amended] 

■ 36. Section 94.501 is amended by 

adding paragraph (c) to read as follows: 

§ 94.501 Applicability. 

* * * * * 

(c) Manufacturers may comply with 

the provisions of 40 CFR part 1042, 

subpart D, instead of the provisions of 

this subpart F. 

Subpart J—[Amended] 

■ 37. A new § 94.914 is added to read 

as follows: 

§ 94.914 Emergency vessel exemption. 

(a) Except as specified in paragraph 

(c) of this section, the prohibitions in 

§ 94.1103(a)(1) do not apply to a new 

engine that is subject to Tier 2 standards 

according to the following provisions: 

(1) The engine must be intended for 

installation in a lifeboat or a rescue boat 

as specified in 40 CFR 1042.625(a)(1)(i) 

or (ii). 

(2) This exemption is available from 

the initial effective date for the Tier 2 

standards until the engine model (or an 

engine of comparable size, weight, and 

performance) has been certified as 

complying with the Tier 2 standards 

and Coast Guard requirements. For 

example, this exemption would apply 

for new engine models that have not yet 

been certified to the Tier 2 standards. 

(3) The engine must meet the Tier 1 

emission standards specified in § 94.8. 

(b) If you introduce an engine into 

U.S. commerce under this section, you 

must meet the labeling requirements in 

§ 94.212, but add the following 

statement instead of the compliance 

statement in § 94.212(b)(6): 

THIS ENGINE DOES NOT COMPLY WITH 

CURRENT U.S. EPA EMISSION 

STANDARDS UNDER 40 CFR 94.914 AND IS 

FOR USE SOLELY IN LIFEBOATS OR 

RESCUE BOATS (COAST GUARD 

APPROVAL SERIES 160.135 OR 160.156). 

INSTALLATION OR USE OF THIS ENGINE 

IN ANY OTHER APPLICATION MAY BE A 

VIOLATION OF FEDERAL LAW SUBJECT 

TO CIVIL PENALTY. 

(c) Introducing into commerce a 

vessel containing an engine exempted 

under this section violates the 

prohibitions in § 94.1103(a)(1) where 

the vessel is not a lifeboat or rescue 

boat, unless it is exempt under a 

different provision. Similarly, using 

such an engine or vessel as something 

other than a lifeboat or rescue boat as 

specified in paragraph (a) of this section 

violates the prohibitions in 

§ 94.1103(a)(1), unless it is exempt 

under a different provision. 

■ 38. A new part 1033 is added to 

subchapter U of chapter I to read as 

follows: 

PART 1033—CONTROL OF EMISSIONS 

FROM LOCOMOTIVES 

Subpart A—Overview and Applicability 

Sec. 


1033.1 Applicability. 


1033.5 Exemptions and exclusions. 


1033.10 Organization of this part. 


1033.15 Other regulation parts that apply 


for locomotives. 

Subpart B—Emission Standards and 

Related Requirements 

1033.101 Exhaust emission standards. 

1033.102 Transition to the standards of this 

part. 

1033.110 Emission diagnostics—general 

requirements. 

1033.112 Emission diagnostics for SCR 

systems. 

1033.115 Other requirements. 

1033.120 Emission-related warranty 

requirements. 

1033.125 Maintenance instructions. 

1033.130 Instructions for engine 

remanufacturing or engine installation. 

1033.135 Labeling. 

1033.140 Rated power. 

1033.150 Interim provisions. 

Subpart C—Certifying Engine Families 

1033.201 General requirements for 

obtaining a certificate of conformity. 

1033.205 Applying for a certificate of 

conformity. 

1033.210 Preliminary approval. 

1033.220 Amending maintenance 

instructions. 

1033.225 Amending applications for 

certification. 

1033.230 Grouping locomotives into engine 

families. 

1033.235 Emission testing required for 

certification. 

1033.240 Demonstrating compliance with 

exhaust emission standards. 

1033.245 Deterioration factors. 

1033.250 Reporting and recordkeeping. 

1033.255 EPA decisions. 

Subpart D—Manufacturer and 

Remanufacturer Production Line Testing 

and Audit Programs 

1033.301 Applicability. 

1033.305 General requirements. 

1033.310 Sample selection for testing. 


1033.315 Test procedures. 


1033.320 Calculation and reporting of test 


results. 

1033.325 Maintenance of records; submittal 

of information. 

1033.330 Compliance criteria for 

production line testing. 

1033.335 Remanufactured locomotives: 

installation audit requirements. 

1033.340 Suspension and revocation of 

certificates of conformity. 

Subpart E—In-use Testing 

1033.401 Applicability. 


1033.405 General provisions. 


1033.410 In-use test procedure. 


1033.415 General testing requirements. 


1033.420 Maintenance, procurement and 


testing of in-use locomotives. 

1033.425 In-use test program reporting 

requirements. 

Subpart F—Test Procedures 

1033.501 General provisions. 

1033.505 Ambient conditions. 

1033.510 Auxiliary power units. 

1033.515 Discrete-mode steady-state 

emission tests of locomotives and 

locomotive engines. 

1033.520 Alternative ramped modal cycles. 

1033.525 Smoke testing. 

1033.530 Duty cycles and calculations. 

1033.535 Adjusting emission levels to 

account for infrequently regenerating 

aftertreatment devices. 

Subpart G—Special Compliance Provisions 

1033.601 General compliance provisions. 

1033.610 Small railroad provisions. 

1033.615 Voluntarily subjecting 

locomotives to the standards of this part. 

1033.620 Hardship provisions for 

manufacturers and remanufacturers. 

1033.625 Special certification provisions 

for non-locomotive-specific engines. 

1033.630 Staged-assembly and delegated 

assembly exemptions. 

1033.640 Provisions for repowered and 

refurbished locomotives. 

1033.645 Non-OEM component 

certification program. 

1033.650 Incidental use exemption for 

Canadian and Mexican locomotives. 

1033.655 Special provisions for certain Tier 

0/Tier 1 locomotives. 

Subpart H—Averaging, Banking, and 

Trading for Certification 

1033.701 General provisions. 


1033.705 Calculating emission credits. 


1033.710 Averaging emission credits. 


1033.715 Banking emission credits. 


1033.720 Trading emission credits. 


1033.722 Transferring emission credits. 


1033.725 Requirements for your application 


for certification. 

1033.730 ABT reports. 

1033.735 Required records. 

1033.740 Credit restrictions. 

1033.745 Compliance with the provisions 

of this subpart. 

1033.750 Changing a locomotive’s FEL at 

remanufacture. 
mstockstill on PROD1PC66 with RULES3


37198 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

Subpart I—Requirements for Owners and 

Operators 

1033.801 Applicability. 


1033.805 Remanufacturing requirements. 


1033.810 In-use testing program. 


1033.815 Maintenance, operation, and 


repair. 

1033.820 In-use locomotives. 

1033.825 Refueling requirements. 

Subpart J—Definitions and Other Reference 

Information 

1033.901 Definitions. 


1033.905 Symbols, acronyms, and 


abbreviations. 

1033.915 Confidential information. 

1033.920 How to request a hearing. 

Authority: 42 U.S.C. 7401–7671q. 

Subpart A—Overview and Applicability 

§ 1033.1 Applicability. 

The regulations in this part 1033 

apply for all new locomotives and all 

locomotives containing a new 

locomotive engine, except as provided 

in § 1033.5. 

(a) Standards begin to apply each time 

a locomotive or locomotive engine is 

originally manufactured or otherwise 

becomes new (defined in § 1033.901). 

The requirements of this part continue 

to apply as specified after locomotives 

cease to be new. 

(b) Standards apply to the locomotive. 

However, in certain cases, the 

manufacturer/remanufacturer is allowed 

to test a locomotive engine instead of a 

complete locomotive, such as for 

certification. Also, you are not required 

to complete assembly of a locomotive to 

obtain a certificate of conformity for it, 

provided you meet the definition of 

‘‘manufacturer’’ or ‘‘remanufacturer’’ (as 

applicable) in § 1033.901. For example, 

an engine manufacturer may obtain a 

certificate for locomotives which it does 

not manufacture, if the locomotives use 

its engines. 

(c) Standards apply based on the year 

in which the locomotive was originally 

manufactured. The date of original 

manufacture is generally the date on 

which assembly is completed for the 

first time. For example, all locomotives 

originally manufactured in calendar 

years 2002, 2003, and 2004 are subject 

to the Tier 1 emission standards for 

their entire service lives. 

(d) The following provisions apply 

when there are multiple persons 

meeting the definition of manufacturer 

or remanufacturer in § 1033.901: 

(1) Each person meeting the definition 

of manufacturer must comply with the 

requirements of this part that apply to 

manufacturers; and each person meeting 

the definition of remanufacturer must 

comply with the requirements of this 

part that apply to remanufacturers. 

However, if one person complies with a 

specific requirement for a given 

locomotive, then all manufacturers/ 

remanufacturers are deemed to have 

complied with that specific 

requirement. 

(2) We will apply the requirements of 

subparts C, D, and E of this part to the 

manufacturer/remanufacturer that 

obtains the certificate of conformity for 

the locomotive. Other manufacturers 

and remanufacturers are required to 

comply with the requirements of 

subparts C, D, and E of this part only 

when notified by us. In our notification, 

we will specify a reasonable time period 

in which you need to comply with the 

requirements identified in the notice. 

See § 1033.601 for the applicability of 

40 CFR part 1068 to these other 

manufacturers and remanufacturers. 

(3) For example, we may require a 

railroad that installs certified kits but 

does not hold the certificate to perform 

production line auditing of the 

locomotives that it remanufactures. 

However, if we did, we would allow the 

railroad a reasonable amount of time to 

develop the ability to perform such 

auditing. 

(e) The provisions of this part apply 

as specified for locomotives 

manufactured or remanufactured on or 

after July 7, 2008. See § 1033.102 to 

determine whether the standards of this 

part or the standards of 40 CFR part 92 

apply for model years 2008 through 

2012. For example, for a locomotive that 

was originally manufactured in 2007 

and remanufactured on April 10, 2014, 

the provisions of this part begin to apply 

on April 10, 2014. 

§ 1033.5 Exemptions and exclusions. 

(a) Subpart G of this part exempts 

certain locomotives from the standards 

of this part. 

(b) The definition of ‘‘locomotive’’ in 

§ 1033.901 excludes certain vehicles. In 

general, the engines used in such 

excluded equipment are subject to 

standards under other regulatory parts. 

For example, see 40 CFR part 1039 for 

requirements that apply to diesel 

engines used in equipment excluded 

from the definition of ‘‘locomotive’’ in 

§ 1033.901. The following locomotives 

are also excluded from the provisions of 

this part 1033: 

(1) Historic locomotives powered by 

steam engines. For a locomotive that 

was originally manufactured after 

January 1, 1973 to be excluded under 

this paragraph (b)(1), it may not use any 

internal combustion engines and must 

be used only for historical purposes 

such as at a museum or similar public 

attraction. 

(2) Locomotives powered only by an 

external source of electricity. 

(c) The requirements and prohibitions 

of this part apply only for locomotives 

that have become ‘‘new’’ (as defined in 

§ 1033.901) on or after July 7, 2008. 

(d) The provisions of this part do not 

apply for any auxiliary engine that only 

provides hotel power. In general, these 

engines are subject to the provisions of 

40 CFR part 1039. However, depending 

on the engine cycle, model year and 

power rating, the engines may be subject 

to other regulatory parts instead. 

(e) Manufacturers and owners of 

locomotives that operate only on nonstandard gauge rails may ask us to 

exclude such locomotives from this part 

by excluding them from the definition 

of ‘‘locomotive’’. 

§ 1033.10 Organization of this part. 

The regulations in this part 1033 

contain provisions that affect 

locomotive manufacturers, 

remanufacturers, and others. However, 

the requirements of this part are 

generally addressed to the locomotive 

manufacturer/remanufacturer. The term 

‘‘you’’ generally means the 

manufacturer/remanufacturer, as 

defined in § 1033.901. This part 1033 is 

divided into the following subparts: 

(a) Subpart A of this part defines the 

applicability of part 1033 and gives an 

overview of regulatory requirements. 

(b) Subpart B of this part describes the 

emission standards and other 

requirements that must be met to certify 

locomotives under this part. Note that 

§ 1033.150 discusses certain interim 

requirements and compliance 

provisions that apply only for a limited 

time. 

(c) Subpart C of this part describes 

how to apply for a certificate of 

conformity. 

(d) Subpart D of this part describes 

general provisions for testing and 

auditing production locomotives. 

(e) Subpart E of this part describes 

general provisions for testing in-use 

locomotives. 

(f) Subpart F of this part and 40 CFR 

part 1065 describe how to test 

locomotives and engines. 

(g) Subpart G of this part and 40 CFR 

part 1068 describe requirements, 

prohibitions, exemptions, and other 

provisions that apply to locomotive 

manufacturer/remanufacturers, owners, 

operators, and all others. 

(h) Subpart H of this part describes 

how you may generate and use emission 

credits to certify your locomotives. 

(i) Subpart I of this part describes 

provisions for locomotive owners and 

operators. 
mstockstill on PROD1PC66 with RULES3


Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37199 

(j) Subpart J of this part contains 

definitions and other reference 

information. 

§ 1033.15 Other regulation parts that apply 

for locomotives. 

(a) Part 1065 of this chapter describes 

procedures and equipment 

specifications for testing engines. 

Subpart F of this part 1033 describes 

how to apply the provisions of part 1065 

of this chapter to test locomotives to 

determine whether they meet the 

emission standards in this part. 

(b) The requirements and prohibitions 

of part 1068 of this chapter apply to 

everyone, including anyone who 

manufactures, remanufactures, imports, 

maintains, owns, or operates any of the 

locomotives subject to this part 1033. 

See § 1033.601 to determine how to 

apply the part 1068 regulations for 

locomotives. Part 1068 of this chapter 

describes general provisions, including 

the following areas: 

(1) Prohibited acts and penalties for 

locomotive manufacturer/ 

remanufacturers and others. 

(2) Exclusions and exemptions for 

certain locomotives. 

(3) Importing locomotives. 

(4) Selective enforcement audits of 

your production. 

(5) Defect reporting and recall. 

(6) Procedures for hearings. 

(c) Other parts of this chapter apply 

if referenced in this part. 

Subpart B—Emission Standards and 

Related Requirements 

§ 1033.101 Exhaust emission standards. 

See §§ 1033.102 and 1033.150 to 

determine how the emission standards 

of this section apply before 2023. 

(a) Emission standards for line-haul 

locomotives. Exhaust emissions from 

your new locomotives may not exceed 

the applicable emission standards in 

Table 1 to this section during the useful 

life of the locomotive. (Note: § 1033.901 

defines locomotives to be ‘‘new’’ when 

originally manufactured and when 

remanufactured.) Measure emissions 

using the applicable test procedures 

described in subpart F of this part. 

TABLE 1 TO § 1033.101.—LINE-HAUL LOCOMOTIVE EMISSION STANDARDS 

Year of original manufacture Tier of standards 

Standards (g/bhp-hr) 

NOX PM HC CO 

1973–1992 a .............................................. 

1993 a–2004 .............................................. 

2005–2011 ................................................ 

2012–2014 ................................................ 

2015 or later .............................................. 

Tier 0 b ...................................................... 

Tier 1 b ...................................................... 

Tier 2 b ...................................................... 

Tier 3 c ...................................................... 

Tier 4 d ...................................................... 

8.0 

7.4 

5.5 

5.5 

1.3 

0.22 

0.22 

e 0.10 

0.10 

0.03 

1.00 

0.55 

0.30 

0.30 

0.14 

5.0 

2.2 

1.5 

1.5 

1.5 

a Locomotive models that were originally manufactured in model years 1993 through 2001, but that were not originally equipped with a separate coolant system for intake air are subject to the Tier 0 rather than the Tier 1 standards. b Line-haul locomotives subject to the Tier 0 through Tier 2 emission standards must also meet switch standards of the same tier. 

c Tier 3 line-haul locomotives must also meet Tier 2 switch standards. 

d Manufacturers may elect to meet a combined NOX+HC standard of 1.4 g/bhp-hr instead of the otherwise applicable Tier 4 NOX and HC 

standards, as described in paragraph (j) of this section. e The PM standard for newly remanufactured Tier 2 line-haul locomotives is 0.20 g/bhp-hr until January 1, 2013, except as specified in 

§ 1033.150(a). 

(b) Emission standards for switch Table 2 to this section during the useful remanufactured.) Measure emissions 

locomotives. Exhaust emissions from life of the locomotive. (Note: § 1033.901 using the applicable test procedures 

your new locomotives may not exceed defines locomotives to be ‘‘new’’ when described in subpart F of this part. 

the applicable emission standards in originally manufactured and when 

TABLE 2 TO § 1033.101.—SWITCH LOCOMOTIVE EMISSION STANDARDS 

Year of original manufacture Tier of standards 

Standards (g/bhp-hr) 

NOX PM HC CO 

1973–2001 ................................................ 

2002–2004 ................................................ 

2005–2010 ................................................ 

2011–2014 ................................................ 

2015 or later .............................................. 

Tier 0 ........................................................ 

Tier 1 a ...................................................... 

Tier 2 a ...................................................... 

Tier 3 ........................................................ 

Tier 4 ........................................................ 

11.8 

11.0 

8.1 

5.0 

c 1.3 

0.26 

0.26 

b 0.13 

0.10 

0.03 

2.10 

1.20 

0.60 

0.60

c 0.14 

8.0 

2.5 

2.4 

2.4 

2.4 

a Switch locomotives subject to the Tier 1 through Tier 2 emission standards must also meet line-haul standards of the same tier. 

b The PM standard for new Tier 2 switch locomotives is 0.24 g/bhp-hr until January 1, 2013, except as specified in § 1033.150(a). c Manufacturers may elect to meet a combined NOX+HC standard of 1.3 g/bhp-hr instead of the otherwise applicable Tier 4 NOX and HC 

standards, as described in paragraph (j) of this section. 

(c) Smoke standards. The smoke certified to one or more PM standards or accordance with the provisions of 

opacity standards specified in Table 3 to FELs greater than 0.05 g/bhp-hr. Smoke Subpart F of this part, shall not exceed 

this section apply only for locomotives emissions, when measured in these standards. 

TABLE 3 TO § 1033.101.—SMOKE STANDARDS FOR LOCOMOTIVES (PERCENT OPACITY) 

Steady-state 30-sec peak 3-sec peak 

Tier 0 ............................................................................................................................................ 

Tier 1 ............................................................................................................................................ 

30 

25 

40 

40 

50 

50 
mstockstill on PROD1PC66 with RULES3


37200 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

TABLE 3 TO § 1033.101.—SMOKE STANDARDS FOR LOCOMOTIVES (PERCENT OPACITY)—Continued 

Steady-state 30-sec peak 3-sec peak 

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

(d) Averaging, banking, and trading. 

You may generate or use emission 

credits under the averaging, banking, 

and trading (ABT) program as described 

in subpart H of this part to comply with 

the NOX and/or PM standards of this 

part. You may also use ABT to comply 

with the Tier 4 HC standards of this part 

as described in paragraph (j) of this 

section. Generating or using emission 

credits requires that you specify a 

family emission limit (FEL) for each 

pollutant you include in the ABT 

program for each engine family. These 

FELs serve as the emission standards for 

the engine family with respect to all 

required testing instead of the standards 

specified in paragraphs (a) and (b) of 

this section. No FEL may be higher than 

the previously applicable Tier of 

standards. For example, no FEL for a 

Tier 1 locomotive may be higher than 

the Tier 0 standard. 

(e) Notch standards. (1) Exhaust 

emissions from locomotives may not 

exceed the notch standards specified in 

paragraph (e)(2) of this section, except 

as allowed in paragraph (e)(3) of this 

section, when measured using any test 

procedures under any test conditions. 

(2) Except as specified in paragraph 

(e)(5) of this section, calculate the 

applicable notch standards for each 

pollutant for each notch from the 

certified notch emission rate as follows: 

Notch standard = (Ei) × (1.1 + (1—ELHi/ 

std)) 

Where: 

Ei = The deteriorated brake-specific emission 

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

the brake-specific emission rate 

calculated under subpart F of this part, 

adjusted by the deterioration factor in 

the application for certification); where i 

is NOX, HC, CO or PM. 

ELHi = The deteriorated line-haul duty-cycle 

weighted brake-specific emission rate for 

pollutant i, as reported in the application 

for certification, except as specified in 

paragraph (e)(6) of this section. 

std = The applicable line-haul duty-cycle 

standard/FEL, except as specified in 

paragraph (e)(6) of this section. 

(3) Exhaust emissions that exceed the 

notch standards specified in paragraph 

(e)(2) of this section are allowed only if 

one of the following is true: 

(i) The same emission controls are 

applied during the test conditions 

causing the noncompliance as were 

applied during certification test 

conditions (and to the same degree). 

(ii) The exceedance result from a 

design feature that was described 

(including its effect on emissions) in the 

approved application for certification, 

and is: 

(A) Necessary for safety; 

(B) Addresses infrequent regeneration 

of an aftertreatment device; or 

(C) Otherwise allowed by this part. 

(4) Since you are only required to test 

your locomotive at the highest emitting 

dynamic brake point, the notch caps 

that you calculate for the dynamic brake 

point that you test also apply for other 

dynamic brake points. 

(5) No PM notch caps apply for 

locomotives certified to a PM standard 

or FEL of 0.05 g/bhp-hr or lower. 

(6) For switch locomotives that are 

not subject to line-haul standards, ELHi 

equals the deteriorated switch dutycycle weighted brake-specific emission 

rate for pollutant i and std is the 

applicable switch cycle standard/FEL. 

(f) Fuels. The exhaust emission 

standards in this section apply for 

locomotives using the fuel type on 

which the locomotives in the engine 

family are designed to operate. 

(1) You must meet the numerical 

emission standards for HC in this 

section based on the following types of 

hydrocarbon emissions for locomotives 

powered by the following fuels: 

(i) Alcohol-fueled locomotives: THCE 

emissions for Tier 3 and earlier 

locomotives and NMHCE for Tier 4. 

(ii) Gaseous-fueled locomotives: 

NMHC emissions. 

(iii) Diesel-fueled and other 

locomotives: THC emissions for Tier 3 

and earlier locomotives and NMHC for 

Tier 4. Note that manufacturers/ 

remanufacturers may choose to not 

measure NMHC and assume that NMHC 

is equal to THC multiplied by 0.98 for 

diesel-fueled locomotives. 

(2) You must certify your dieselfueled locomotives to use the applicable 

grades of diesel fuel as follows: 

(i) Certify your Tier 4 and later dieselfueled locomotives for operation with 

only Ultra Low Sulfur Diesel (ULSD) 

fuel. Use ULSD as the test fuel for these 

locomotives. 

(ii) Certify your Tier 3 and earlier 

diesel-fueled locomotives for operation 

with only ULSD fuel if they include 

sulfur-sensitive technology and you 

demonstrate compliance using a ULSD 

test fuel. 

(iii) Certify your Tier 3 and earlier 

diesel-fueled locomotives for operation 

with either ULSD fuel or Low Sulfur 

Diesel (LSD) fuel if they do not include 

sulfur-sensitive technology or if you 

demonstrate compliance using an LSD 

test fuel (including commercial LSD 

fuel). 

(iv) For Tier 1 and earlier dieselfueled locomotives, if you demonstrate 

compliance using a ULSD test fuel, you 

must adjust the measured PM emissions 

upward by 0.01 g/bhp-hr to make them 

equivalent to tests with LSD. We will 

not apply this adjustment for our 

testing. 

(g) Useful life. The emission standards 

and requirements in this subpart apply 

to the emissions from new locomotives 

for their useful life. The useful life is 

generally specified as MW-hrs and 

years, and ends when either of the 

values (MW-hrs or years) is exceeded or 

the locomotive is remanufactured. 

(1) The minimum useful life in terms 

of MW-hrs is equal to the product of the 

rated horsepower multiplied by 7.50. 

The minimum useful life in terms of 

years is ten years. For locomotives 

originally manufactured before January 

1, 2000 and not equipped with MW-hr 

meters, the minimum useful life is equal 

to 750,000 miles or ten years, whichever 

is reached first. See (1033.140 for 

provisions related to rated power. 

(2) You must specify a longer useful 

life if the locomotive or locomotive 

engine is designed to last longer than 

the applicable minimum useful life. 

Recommending a time to remanufacture 

that is longer than the minimum useful 

life is one indicator of a longer design 

life. 

(3) Manufacturers/remanufacturers of 

locomotives with non-locomotivespecific engines (as defined in 

(1033.901) may ask us (before 

certification) to allow a shorter useful 

life for an engine family containing only 

non-locomotive-specific engines. We 

may approve a shorter useful life, in 

MW-hrs of locomotive operation but not 

in years, if we determine that these 

locomotives will rarely operate longer 

than the shorter useful life. If engines 

identical to those in the engine family 

have already been produced and are in 

use, your demonstration must include 

documentation from such in-use 

engines. In other cases, your 

demonstration must include an 

engineering analysis of information 
mstockstill on PROD1PC66 with RULES3


Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37201 

equivalent to such in-use data, such as 

data from research engines or similar 

engine models that are already in 

production. Your demonstration must 

also include any overhaul interval that 

you recommend, any mechanical 

warranty that you offer for the engine or 

its components, and any relevant 

customer design specifications. Your 

demonstration may include any other 

relevant information. 

(4) Remanufacturers of locomotive or 

locomotive engine configurations that 

have been previously certified under 

paragraph (g)(3) of this section to a 

useful life that is shorter than the value 

specified in paragraph (g)(1) of this 

section may certify to that same shorter 

useful life value without request. 

(5) In unusual circumstances, you 

may ask us to allow you to certify some 

locomotives in your engine family to a 

partial useful life. This allowance is 

limited to cases in which some or all of 

the locomotive(s power assemblies have 

been operated previously such that the 

locomotive will need to be 

remanufactured prior to the end of the 

otherwise applicable useful life. Unless 

we specify otherwise, define the partial 

useful life based on the total MW-hrs 

since the last remanufacture to be 

consistent with other locomotives in the 

family. For example, this may apply for 

a previously uncertified locomotive that 

becomes ‘‘new’’ when it is imported, but 

that was remanufactured two years 

earlier (representing 25 percent of the 

normal useful life period). If such a 

locomotive could be brought into 

compliance with the applicable 

standards without being 

remanufactured, you may ask to include 

it in your engine family for the 

remaining 75 percent of its useful life 

period. 

(h) Applicability for testing. The 

emission standards in this subpart apply 

to all testing, including certification 

testing, production-line testing, and inuse testing. 

(i) Alternate CO standards. 

Manufacturers/remanufacturers may 

certify Tier 0, Tier 1, or Tier 2 

locomotives to an alternate CO emission 

standard of 10.0 g/bhp-hr instead of the 

otherwise applicable CO standard if 

they also certify those locomotives to 

alternate PM standards less than or 

equal to one-half of the otherwise 

applicable PM standard. For example, a 

manufacturer certifying Tier 1 

locomotives to a 0.11 g/bhp-hr PM 

standard may certify those locomotives 

to the alternate CO standard of 10.0 

g/bhp-hr. 

(j) Alternate NOX+HC standards for 

Tier 4. Manufacturers/remanufacturers 

may use credits accumulated through 

the ABT program to certify Tier 4 

locomotives to an alternate NOX+HC 

emission standard of 1.4 g/bhp-hr 

(instead of the otherwise applicable 

NOX and NMHC standards). You may 

use NOX credits to show compliance 

with this standard by certifying your 

family to a NOX+HC FEL. Calculate the 

NOX credits needed as specified in 

subpart H of this part using the 

NOX+HC emission standard and FEL in 

the calculation instead of the otherwise 

applicable NOX standard and FEL. You 

may not generate credits relative to the 

alternate standard or certify to the 

standard without using credits. 

(k) Upgrading. Upgraded locomotives 

that were originally manufactured prior 

to January 1, 1973 are subject to the Tier 

0 standards. (See the definition of 

upgrade in § 1033.901.) 

(l) Other optional standard 

provisions. Locomotives may be 

certified to a higher tier of standards 

than would otherwise be required. Tier 

0 switch locomotives may be certified to 

both the line-haul and switch cycle 

standards. In both cases, once the 

locomotives become subject to the 

additional standards, they remain 

subject to those standards for the 

remainder of their service lives. 

§ 1033.102 Transition to the standards of 

this part. 

(a) Except as specified in 

§ 1033.150(a), the Tier 0 and Tier 1 

standards of § 1033.101 apply for new 

locomotives beginning January 1, 2010, 

except as specified in § 1033.150(a). The 

Tier 0 and Tier 1 standards of 40 CFR 

part 92 apply for earlier model years. 

(b) Except as specified in 

§ 1033.150(a), the Tier 2 standards of 

§ 1033.101 apply for new locomotives 

beginning January 1, 2013. The Tier 2 

standards of 40 CFR part 92 apply for 

earlier model years. 

(c) The Tier 3 and Tier 4 standards of 

§ 1033.101 apply for the model years 

specified in that section. 

§ 1033.110 Emission diagnostics—general 

requirements. 

The provisions of this section apply if 

you equip your locomotives with a 

diagnostic system that will detect 

significant malfunctions in their 

emission-control systems and you 

choose to base your emission-related 

maintenance instructions on such 

diagnostics. See § 1033.420 for 

information about how to select and 

maintain diagnostic-equipped 

locomotives for in-use testing. Notify 

the owner/operator that the presence of 

this diagnostic system affects their 

maintenance obligations under 

§ 1033.815. Except as specified in 

§ 1033.112, this section does not apply 

for diagnostics that you do not include 

in your emission-related maintenance 

instructions. The provisions of this 

section address diagnostic systems 

based on malfunction-indicator lights 

(MILs). You may ask to use other 

indicators instead of MILs. 

(a) The MIL must be readily visible to 

the operator. When the MIL goes on, it 

must display ‘‘Check Emission 

Controls’’ or a similar message that we 

approve. You may use sound in 

addition to the light signal. 

(b) To ensure that owner/operators 

consider MIL illumination seriously, 

you may not illuminate it for 

malfunctions that would not otherwise 

require maintenance. This section does 

not limit your ability to display other 

indicator lights or messages, as long as 

they are clearly distinguishable from 

MILs affecting the owner/operator’s 

maintenance obligations under 

§ 1033.815. 

(c) Control when the MIL can go out. 

If the MIL goes on to show a 

malfunction, it must remain on during 

all later engine operation until servicing 

corrects the malfunction. If the engine is 

not serviced, but the malfunction does 

not recur during the next 24 hours, the 

MIL may stay off during later engine 

operation. 

(d) Record and store in computer 

memory any diagnostic trouble codes 

showing a malfunction that should 

illuminate the MIL. The stored codes 

must identify the malfunctioning system 

or component as uniquely as possible. 

Make these codes available through the 

data link connector as described in 

paragraph (e) of this section. You may 

store codes for conditions that do not 

turn on the MIL. The system must store 

a separate code to show when the 

diagnostic system is disabled (from 

malfunction or tampering). Provide 

instructions to the owner/operator 

regarding how to interpret malfunction 

codes. 

(e) Make data, access codes, and 

devices accessible. Make all required 

data accessible to us without any access 

codes or devices that only you can 

supply. Ensure that anyone servicing 

your locomotive can read and 

understand the diagnostic trouble codes 

stored in the onboard computer with 

generic tools and information. 

(f) Follow standard references for 

formats, codes, and connections. 

§ 1033.112 Emission diagnostics for SCR 

systems. 

Engines equipped with SCR systems 

using separate reductant tanks must also 

meet the requirements of this section in 

addition to the requirements of 
mstockstill on PROD1PC66 with RULES3


37202 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

§ 1033.110. This section does not apply 

for SCR systems using the engine’s fuel 

as the reductant. 

(a) The diagnostic system must 

monitor reductant quality and tank 

levels and alert operators to the need to 

refill the reductant tank before it is 

empty, or to replace the reductant if it 

does not meet your concentration 

specifications. Unless we approve other 

alerts, use a malfunction-indicator light 

(MIL) as specified in § 1033.110 and an 

audible alarm. You do not need to 

separately monitor reductant quality if 

you include an exhaust NOX sensor (or 

other sensor) that allows you to 

determine inadequate reductant quality. 

However, tank level must be monitored 

in all cases. 

(b) Your onboard computer must 

record in nonvolatile computer memory 

all incidents of engine operation with 

inadequate reductant injection or 

reductant quality. It must record the 

total amount of operation without 

adequate reductant. It may total the 

operation by hours, work, or excess NOX 

emissions. 

§ 1033.115 Other requirements. 

Locomotives that are required to meet 

the emission standards of this part must 

meet the requirements of this section. 

These requirements apply when the 

locomotive is new (for freshly 

manufactured or remanufactured 

locomotives) and continue to apply 

throughout the useful life. 

(a) Crankcase emissions. Crankcase 

emissions may not be discharged 

directly into the ambient atmosphere 

from any locomotive, except as follows: 

(1) Locomotives may discharge 

crankcase emissions to the ambient 

atmosphere if the emissions are added 

to the exhaust emissions (either 

physically or mathematically) during all 

emission testing. If you take advantage 

of this exception, you must do both of 

the following things: 

(i) Manufacture the locomotives so 

that all crankcase emissions can be 

routed into the applicable sampling 

systems specified in 40 CFR part 1065, 

consistent with good engineering 

judgment. 

(ii) Account for deterioration in 

crankcase emissions when determining 

exhaust deterioration factors. 

(2) For purposes of this paragraph (a), 

crankcase emissions that are routed to 

the exhaust upstream of exhaust 

aftertreatment during all operation are 

not considered to be discharged directly 

into the ambient atmosphere. 

(b) Adjustable parameters. 

Locomotives that have adjustable 

parameters must meet all the 

requirements of this part for any 

adjustment in the approved adjustable 

range. You must specify in your 

application for certification the 

adjustable range of each adjustable 

parameter on a new locomotive or new 

locomotive engine to: 

(1) Ensure that safe locomotive 

operating characteristics are available 

within that range, as required by section 

202(a)(4) of the Clean Air Act (42 U.S.C. 

7521(a)(4)), taking into consideration 

the production tolerances. 

(2) Limit the physical range of 

adjustability to the maximum extent 

practicable to the range that is necessary 

for proper operation of the locomotive 

or locomotive engine. 

(c) Prohibited controls. You may not 

design or produce your locomotives 

with emission control devices, systems, 

or elements of design that cause or 

contribute to an unreasonable risk to 

public health, welfare, or safety while 

operating. For example, this would 

apply if the locomotive emits a noxious 

or toxic substance it would otherwise 

not emit that contributes to such an 

unreasonable risk. 

(d) Evaporative and refueling controls. 

For locomotives fueled with a volatile 

fuel you must design and produce them 

to minimize evaporative emissions 

during normal operation, including 

periods when the engine is shut down. 

You must also design and produce them 

to minimize the escape of fuel vapors 

during refueling. Hoses used to refuel 

gaseous-fueled locomotives may not be 

designed to be bled or vented to the 

atmosphere under normal operating 

conditions. No valves or pressure relief 

vents may be used on gaseous-fueled 

locomotives except as emergency safety 

devices that do not operate at normal 

system operating flows and pressures. 

(e) Altitude requirements. All 

locomotives must be designed to 

include features that compensate for 

changes in altitude so that the 

locomotives will comply with the 

applicable emission standards when 

operated at any altitude less than: 

(1) 7000 feet above sea level for linehaul locomotives. 

(2) 5500 feet above sea level for 

switch locomotives. 

(f) Defeat devices. You may not equip 

your locomotives with a defeat device. 

A defeat device is an auxiliary emission 

control device (AECD) that reduces the 

effectiveness of emission controls under 

conditions that the locomotive may 

reasonably be expected to encounter 

during normal operation and use. 

(1) This does not apply to AECDs you 

identify in your certification application 

if any of the following is true: 

(i) The conditions of concern were 

substantially included in the applicable 

duty cycle test procedures described in 

subpart F of this part. 

(ii) You show your design is necessary 

to prevent locomotive damage or 

accidents. 

(iii) The reduced effectiveness applies 

only to starting the locomotive. 

(iv) The locomotive emissions when 

the AECD is functioning are at or below 

the notch caps of § 1033.101. 

(g) Idle controls. All new locomotives 

must be equipped with automatic 

engine stop/start as described in this 

paragraph (g). All new locomotives must 

be designed to allow the engine(s) to be 

restarted at least six times per day 

without causing engine damage that 

would affect the expected interval 

between remanufacturing. Note that it is 

a violation of 40 CFR 1068.101(b)(1) to 

circumvent the provisions of this 

paragraph (g). 

(1) Except as allowed by paragraph 

(g)(2) of this section, the stop/start 

systems must shut off the main 

locomotive engine(s) after 30 minutes of 

idling (or less). 

(2) Stop/start systems may restart or 

continue idling for the following 

reasons: 

(i) To prevent engine damage such as 

to prevent the engine coolant from 

freezing. 

(ii) To maintain air pressure for brakes 

or starter system, or to recharge the 

locomotive battery. 

(iii) To perform necessary 

maintenance. 

(iv) To otherwise comply with federal 

regulations. 

(4) You may ask to use alternate stop/ 

start systems that will achieve 

equivalent idle control. 

(5) See § 1033.201 for provisions that 

allow you to obtain a separate certificate 

for idle controls. 

(6) It is not considered circumvention 

to allow a locomotive to idle to heat or 

cool the cab, provided such heating or 

cooling is necessary. 

(h) Power meters. Tier 1 and later 

locomotives must be equipped with 

MW-hr meters (or the equivalent) 

consistent with the specifications of 

§ 1033.140. 

§ 1033.120 Emission-related warranty 

requirements. 

(a) General requirements. 

Manufacturers/remanufacturers must 

warrant to the ultimate purchaser and 

each subsequent purchaser that the new 

locomotive, including all parts of its 

emission control system, meets two 

conditions: 

(1) It is designed, built, and equipped 

so it conforms at the time of sale to the 

ultimate purchaser with the 

requirements of this part. 
mstockstill on PROD1PC66 with RULES3


Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37203 

(2) It is free from defects in materials 

and workmanship that may keep it from 

meeting these requirements. 

(b) Warranty period. Except as 

specified in this paragraph, the 

minimum warranty period is one-third 

of the useful life. Your emission-related 

warranty must be valid for at least as 

long as the minimum warranty periods 

listed in this paragraph (b) in MW-hrs of 

operation and years, whichever comes 

first. You may offer an emission-related 

warranty more generous than we 

require. The emission-related warranty 

for the locomotive may not be shorter 

than any published warranty you offer 

without charge for the locomotive. 

Similarly, the emission-related warranty 

for any component may not be shorter 

than any published warranty you offer 

without charge for that component. If 

you provide an extended warranty to 

individual owners for any components 

covered in paragraph (c) of this section 

for an additional charge, your emissionrelated warranty must cover those 

components for those owners to the 

same degree. If the locomotive does not 

record MW-hrs, we base the warranty 

periods in this paragraph (b) only on 

years. The warranty period begins when 

the locomotive is placed into service, or 

back into service after remanufacture. 

(c) Components covered. The 

emission-related warranty covers all 

components whose failure would 

increase a locomotive’s emissions of any 

pollutant. This includes components 

listed in 40 CFR part 1068, Appendix I, 

and components from any other system 

you develop to control emissions. The 

emission-related warranty covers the 

components you sell even if another 

company produces the component. 

Your emission-related warranty does 

not cover components whose failure 

would not increase a locomotive’s 

emissions of any pollutant. For 

remanufactured locomotives, your 

emission-related warranty does not 

cover used parts that are not replaced 

during the remanufacture. 

(d) Limited applicability. You may 

deny warranty claims under this section 

if the operator caused the problem 

through improper maintenance or use, 

as described in 40 CFR 1068.115. 

(e) Owners manual. Describe in the 

owners manual the emission-related 

warranty provisions from this section 

that apply to the locomotive. 

§ 1033.125 Maintenance instructions. 

Give the owner of each new 

locomotive written instructions for 

properly maintaining and using the 

locomotive, including the emissioncontrol system. Include in the 

instructions a notification that owners 

and operators must comply with the 

requirements of subpart I of this part 

1033. The emission-related maintenance 

instructions also apply to any service 

accumulation on your emission-data 

locomotives, as described in § 1033.245 

and in 40 CFR part 1065. If you equip 

your locomotives with a diagnostic 

system that will detect significant 

malfunctions in their emission-control 

systems, specify the extent to which 

your emission-related maintenance 

instructions include such diagnostics. 

§ 1033.130 Instructions for engine 

remanufacturing or engine installation. 

(a) If you do not complete assembly of 

the new locomotive (such as selling a kit 

that allows someone else to 

remanufacture a locomotive under your 

certificate), give the assembler 

instructions for completing assembly 

consistent with the requirements of this 

part. Include all information necessary 

to ensure that the locomotive will be 

assembled in its certified configuration. 

(b) Make sure these instructions have 

the following information: 

(1) Include the heading: ‘‘Emissionrelated assembly instructions’’. 

(2) Describe any instructions 

necessary to make sure the assembled 

locomotive will operate according to 

design specifications in your 

application for certification. 

(3) Describe how to properly label the 

locomotive. This will generally include 

instructions to remove and destroy the 

previous Engine Emission Control 

Information label. 

(4) State one of the following as 

applicable: 

(i) ‘‘Failing to follow these 

instructions when remanufacturing a 

locomotive or locomotive engine 

violates federal law (40 CFR 

1068.105(b)), and may subject you to 

fines or other penalties as described in 

the Clean Air Act.’’. 

(ii) ‘‘Failing to follow these 

instructions when installing this 

locomotive engine violates federal law 

(40 CFR 1068.105(b)), and may subject 

you to fines or other penalties as 

described in the Clean Air Act.’’. 

(c) You do not need installation 

instructions for locomotives you 

assemble. 

(d) Provide instructions in writing or 

in an equivalent format. For example, 

you may post instructions on a publicly 

available Web site for downloading or 

printing. If you do not provide the 

instructions in writing, explain in your 

application for certification how you 

will ensure that each assembler is 

informed of the assembly requirements. 

(e) Your emission-related assembly 

instructions may not include 

specifications for parts unrelated to 

emissions. For the basic mechanical 

parts listed in this paragraph (e), you 

may not specify a part manufacturer 

unless we determine that such a 

specification is necessary. You may 

include design specifications for such 

parts addressing the dimensions and 

material constraints as necessary. You 

may also specify a part number, as long 

you make it clear that alternate part 

suppliers may be used. This paragraph 

(e) covers the following parts or other 

parts we determine qualify as basic 

mechanical parts: 

(1) Intake and exhaust valves. 

(2) Intake and exhaust valve retainers. 

(3) Intake and exhaust valve springs. 

(4) Intake and exhaust valve rotators. 

(5) Oil coolers. 

§ 1033.135 Labeling. 

As described in this section, each 

locomotive must have a label on the 

locomotive and a separate label on the 

engine. The label on the locomotive 

stays on the locomotive throughout its 

service life. It generally identifies the 

original certification of the locomotive, 

which is when it was originally 

manufactured for Tier 1 and later 

locomotives. The label on the engine is 

replaced each time the locomotive is 

remanufactured and identifies the most 

recent certification. 

(a) Serial numbers. At the point of 

original manufacture, assign each 

locomotive and each locomotive engine 

a serial number or other unique 

identification number and permanently 

affix, engrave, or stamp the number on 

the locomotive and engine in a legible 

way. 

(b) Locomotive labels. (1) Locomotive 

labels meeting the specifications of 

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

applied as follows: 

(i) The manufacturer must apply a 

locomotive label at the point of original 

manufacture. 

(ii) The remanufacturer must apply a 

locomotive label at the point of original 

remanufacture, unless the locomotive 

was labeled by the original 

manufacturer. 

(iii) Any remanufacturer certifying a 

locomotive to an FEL or standard 

different from the previous FEL or 

standard to which the locomotive was 

previously certified must apply a 

locomotive label. 

(2) The locomotive label must meet all 

of the following criteria: 

(i) The label must be permanent and 

legible and affixed to the locomotive in 

a position in which it will remain 

readily visible. Attach it to a locomotive 

chassis part necessary for normal 

operation and not normally requiring 
mstockstill on PROD1PC66 with RULES3


37204 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

replacement during the service life of 

the locomotive. You may not attach this 

label to the engine or to any equipment 

that is easily detached from the 

locomotive. Attach the label so that it 

cannot be removed without destroying 

or defacing the label. For Tier 0 

locomotives, the label may be made up 

of more than one piece, as long as all 

pieces are permanently attached to the 

locomotive. 

(ii) The label must be lettered in the 

English language using a color that 

contrasts with the background of the 

label. 

(iii) The label must include all the 

following information: 

(A) The label heading: ‘‘ORIGINAL 

LOCOMOTIVE EMISSION CONTROL 

INFORMATION.’’ Manufacturers/ 

remanufacturers may add a subheading 

to distinguish this label from the engine 

label described in paragraph (c) of this 

section. 

(B) Full corporate name and 

trademark of the manufacturer (or 

remanufacturer). 

(C) The applicable engine family and 

configuration identification. In the case 

of locomotive labels applied by the 

manufacturer at the point of original 

manufacture, this will be the engine 

family and configuration identification 

of the certificate applicable to the 

freshly manufactured locomotive. In the 

case of locomotive labels applied by a 

remanufacturer during remanufacture, 

this will be the engine family and 

configuration identification of the 

certificate under which the 

remanufacture is being performed. 

(D) Date of original manufacture of the 

locomotive, as defined in § 1033.901. 

(E) The standards/FELs to which the 

locomotive was certified and the 

following statement: ‘‘THIS 

LOCOMOTIVE MUST COMPLY WITH 

THESE EMISSION LEVELS EACH TIME 

THAT IT IS REMANUFACTURED, 

EXCEPT AS ALLOWED BY 40 CFR 

1033.750.’’. 

(3) Label diesel-fueled locomotives 

near the fuel inlet to identify the 

allowable fuels, consistent with 

§ 1033.101. For example, Tier 4 

locomotives should be labeled ‘‘ULTRA 

LOW SULFUR DIESEL FUEL ONLY’’. 

You do not need to label Tier 3 and 

earlier locomotives certified for use with 

both LSD and ULSD. 

(c) Engine labels. (1) For engines not 

requiring aftertreatment devices, apply 

engine labels meeting the specifications 

of paragraph (c)(2) of this section once 

an engine has been assembled in its 

certified configuration. For engines that 

require aftertreatment devices, apply the 

label after the engine has been fully 

assembled, which may occur before 

installing the aftertreatment devices. 

These labels must be applied by: 

(i) The manufacturer at the point of 

original manufacture; and 

(ii) The remanufacturer at the point of 

each remanufacture (including the 

original remanufacture and subsequent 

remanufactures). 

(2) The engine label must meet all of 

the following criteria: 

(i) The label must be durable 

throughout the useful life of the engine, 

be legible and affixed to the engine in 

a position in which it will be readily 

visible after installation of the engine in 

the locomotive. Attach it to an engine 

part necessary for normal operation and 

not normally requiring replacement 

during the useful life of the locomotive. 

You may not attach this label to any 

equipment that is easily detached from 

the engine. Attach the label so it cannot 

be removed without destroying or 

defacing the label. The label may be 

made up of more than one piece, as long 

as all pieces are permanently attached to 

the same engine part. 

(ii) The label must be lettered in the 

English language using a color that 

contrasts with the background of the 

label. 

(iii) The label must include all the 

following information: 

(A) The label heading: ‘‘ENGINE 

EMISSION CONTROL 

INFORMATION.’’ Manufacturers/ 

remanufacturers may add a subheading 

to distinguish this label from the 

locomotive label described in paragraph 

(b) of this section. 

(B) Full corporate name and 

trademark of the manufacturer/ 

remanufacturer. 

(C) Engine family and configuration 

identification as specified in the 

certificate under which the locomotive 

is being manufactured or 

remanufactured. 

(D) A prominent unconditional 

statement of compliance with U.S. 

Environmental Protection Agency 

regulations which apply to locomotives, 

as applicable: 

(1) ‘‘This locomotive conforms to U.S. 

EPA regulations applicable to Tier 0+ 

switch locomotives.’’ 

(2) ‘‘This locomotive conforms to U.S. 

EPA regulations applicable to Tier 0+ 

line-haul locomotives.’’ 

(3) ‘‘This locomotive conforms to U.S. 

EPA regulations applicable to Tier 1+ 

locomotives.’’ 

(4) ‘‘This locomotive conforms to U.S. 

EPA regulations applicable to Tier 2+ 

locomotives.’’ 

(5) ‘‘This locomotive conforms to U.S. 

EPA regulations applicable to Tier 3 

switch locomotives.’’ 

(6) ‘‘This locomotive conforms to U.S. 

EPA regulations applicable to Tier 3 

line-haul locomotives.’’ 

(7) ‘‘This locomotive conforms to U.S. 

EPA regulations applicable to Tier 4 

switch locomotives.’’ 

(8) ‘‘This locomotive conforms to U.S. 

EPA regulations applicable to Tier 4 

line-haul locomotives.’’ 

(E) The useful life of the locomotive. 

(F) The standards/FELS to which the 

locomotive was certified. 

(iv) You may include other critical 

operating instructions such as 

specifications for adjustments or 

reductant use for SCR systems. 

(d) You may add information to the 

emission control information label as 

follows: 

(1) You may identify other emission 

standards that the engine/locomotive 

meets or does not meet (such as 

international standards). You may 

include this information by adding it to 

the statement we specify or by including 

a separate statement. 

(2) You may add other information to 

ensure that the locomotive will be 

properly maintained and used. 

(3) You may add appropriate features 

to prevent counterfeit labels. For 

example, you may include the engine’s 

unique identification number on the 

label. 

(e) You may ask us to approve 

modified labeling requirements in this 

part 1033 if you show that it is 

necessary or appropriate. We will 

approve your request if your alternate 

label is consistent with the requirements 

of this part. 

§ 1033.140 Rated power. 

This section describes how to 

determine the rated power of a 

locomotive for the purposes of this part. 

(a) A locomotive configuration’s rated 

power is the maximum brake power 

point on the nominal power curve for 

the locomotive configuration, as defined 

in this section. See § 1033.901 for the 

definition of brake power. Round the 

power value to the nearest whole 

horsepower. Generally, this will be the 

brake power of the engine in notch 8. 

(b) The nominal power curve of a 

locomotive configuration is its 

maximum available brake power at each 

possible operator demand setpoint or 

‘‘notch’’. See 40 CFR 1065.1001 for the 

definition of operator demand. The 

maximum available power at each 

operator demand setpoint is based on 

your design and production 

specifications for that locomotive. The 

nominal power curve does not include 

any operator demand setpoints that are 

not achievable during in-use operation. 

For example, for a locomotive with only 
mstockstill on PROD1PC66 with RULES3


Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37205 

eight discrete operator demand 

setpoints, or notches, the nominal 

power curve would be a series of eight 

power points versus notch, rather than 

a continuous curve. 

(c) The nominal power curve must be 

within the range of the actual power 

curves of production locomotives 

considering normal production 

variability. If after production begins it 

is determined that your nominal power 

curve does not represent production 

locomotives, we may require you to 

amend your application for certification 

under § 1033.225. 

(d) For the purpose of determining 

useful life, you may need to use a rated 

power based on power other than brake 

power according to the provisions of 

this paragraph (d). The useful life must 

be based on the power measured by the 

locomotive’s megawatt-hour meter. For 

example, if your megawatt-hour meter 

reads and records the electrical work 

output of the alternator/generator rather 

than the brake power of the engine, and 

the power output of the alternator/ 

generator at notch 8 is 4000 horsepower, 

calculate your useful life as 30,000 

MW-hrs (7.5 × 4000). 

§ 1033.150 Interim provisions. 

The provisions of this section apply 

instead of other provisions of this part 

for a limited time. This section 

describes when these provisions apply. 

(a) Early availability of Tier 0, Tier 1, 

or Tier 2 systems. Except as specified in 

paragraph (a)(2) of this section, for 

model years 2008 and 2009, you may 

remanufacture locomotives to meet the 

applicable standards in 40 CFR part 92 

only if no remanufacture system has 

been certified to meet the standards of 

this part and is available at a reasonable 

cost at least 90 days prior to the 

completion of the remanufacture as 

specified in paragraph (a)(3) of this 

section. This same provision continues 

to apply after 2009, but only for Tier 2 

locomotives. Note that remanufacturers 

may certify remanufacturing systems 

that will not be available at a reasonable 

cost; however such certification does 

not trigger the requirements of this 

paragraph (a). 

(1) For the purpose of this paragraph 

(a), ‘‘available at a reasonable cost’’ 

means available for use where all of the 

following are true: 

(i) The total incremental cost to the 

owner and operators of the locomotive 

due to meeting the new standards 

(including initial hardware, increased 

fuel consumption, and increased 

maintenance costs) during the useful 

life of the locomotive is less than 

$250,000, adjusted as specified in 

paragraph (a)(4)(i) of this section. 

(ii) The initial incremental hardware 

costs are reasonably related to the 

technology included in the 

remanufacturing system and are less 

than $125,000, adjusted as specified in 

paragraph (a)(4)(i) of this section. 

(iii) The remanufactured locomotive 

will have reliability throughout its 

useful life that is similar to the 

reliability the locomotive would have 

had if it had been remanufactured 

without the certified remanufacture 

system. 

(iv) The remanufacturer must 

demonstrate at the time of certification 

that the system meets the requirements 

of this paragraph (a)(1). 

(v) The system does not generate or 

use emission credits. 

(2) The number of locomotives that 

each railroad must remanufacture under 

this paragraph (a) is capped as follows: 

(i) For the period October 3, 2008 to 

December 31, 2008, the maximum 

number of locomotives that a railroad 

must remanufacture under this 

paragraph (a) is 50 percent of the total 

number of the railroad’s locomotives 

that are remanufactured during this 

period under this part or 40 CFR part 

92. Include in the calculation both 

locomotives you own and locomotives 

you lease. 

(ii) For the period January 1, 2009 to 

December 31, 2009, the maximum 

number of locomotives that a railroad 

must remanufacture under this 

paragraph (a) is 70 percent of the total 

number of the railroad’s locomotives 

that are remanufactured during this 

period under this part or 40 CFR part 

92. Include in the calculation both 

locomotives you own and locomotives 

you lease. 

(3) Remanufacturers applying for 

certificates under this paragraph (a) are 

responsible to notify owner/operators 

(and other customers as applicable) that 

they have requested such certificates. 

The notification should occur at the 

same time that the remanufacturer 

submits its application, and should 

include a description of the 

remanufacturing system, price, expected 

incremental operating costs, and draft 

copies of your installation and 

maintenance instructions. The system is 

considered to be available for a 

customer 120 days after this 

notification, or 90 days after the 

certificate is issued, whichever is later. 

Where we issue a certificate of 

conformity under this part based on 

carryover data from an engine family 

that we previously considered available 

for the configuration, the system is 

considered to be available when we 

issue the certificate. 

(4) Estimate costs as described in this 

paragraph (a)(4). 

(i) The cost limits described in 

paragraph (a)(1) of this section are 

specified in terms of 2007 dollars. 

Adjust these values for future years 

according to the following equation: 

Actual Limit = (2007 Limit) × 

[ (0.6000)×(Commodity Index) + 

(0.4000)×(Earnings Index) ] 

Where: 

2007 Limit = The value specified in 

paragraph (a)(1) of this section ($250,000 

or $125,000). 

Commodity Index = The U.S. Bureau of 

Labor Statistics Producer Price Index for 

Industrial Commodities Less Fuel (Series 

WPU03T15M05) for the month prior to 

the date you submit your application 

divided by 173.1. 

Earnings Index = The U.S. Bureau of Labor 

Statistics Estimated Average Hourly 

Earnings of Production Workers for 

Durable Manufacturing (Series 

CES3100000008) for the month prior to 

the date you submit your application 

divided by 18.26. 

(ii) Calculate all costs in current 

dollars (for the month prior to the date 

you submit your application). Calculate 

fuel costs based on a fuel price adjusted 

by the Association of American 

Railroads’ monthly railroad fuel price 

index (P), which is available at https:// 

www.aar.org/PubCommon/Documents/ 

AboutTheIndustry/Index_ 

MonthlyFuelPrices.pdf. (Use the value 

for the column in which P equals 539.8 

for November 2007.) Calculate a new 

fuel price using the following equation: 

Fuel Price = ($2.76 per gallon) × 

(P/539.8) 

(b) Idle controls. A locomotive 

equipped with an automatic engine 

stop/start system that was originally 

installed before January 1, 2008 and that 

conforms to the requirements of 

§ 1033.115(g) is deemed to be covered 

by a certificate of conformity with 

respect to the requirements of 

§ 1033.115(g). Note that the provisions 

of subpart C of this part also allow you 

to apply for a conventional certificate of 

conformity for such systems. 

(c) Locomotive labels for transition to 

new standards. This paragraph (c) 

applies when you remanufacture a 

locomotive that was previously certified 

under 40 CFR part 92. You must remove 

the old locomotive label and replace it 

with the locomotive label specified in 

§ 1033.135. 

(d) Small manufacturer/ 

remanufacturer provisions. The 

production-line testing requirements 

and in-use testing requirements of this 

part do not apply until January 1, 2013 

for manufacturers/remanufacturers that 
mstockstill on PROD1PC66 with RULES3


37206 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

qualify as small manufacturers under 

§ 1033.901. 

(e) Producing switch locomotives 

using certified nonroad engines. You 

may use the provisions of this paragraph 

(e) to produce any number of freshly 

manufactured or refurbished switch 

locomotives in model years 2008 

through 2017. Locomotives produced 

under this paragraph (e) are exempt 

from the standards and requirements of 

this part and 40 CFR part 92 subject to 

the following provisions: 

(1) All of the engines on the switch 

locomotive must be covered by a 

certificate of conformity issued under 40 

CFR part 89 or 1039 for model year 2008 

or later. Engines over 750 hp certified to 

the Tier 4 standards for non-generator 

set engines are not eligible for this 

allowance after 2014. 

(2) You must reasonably project that 

more of the engines will be sold and 

used for non-locomotive use than for 

use in locomotives. 

(3) You may not generate or use 

locomotive credits under this part for 

these locomotives. 

(4) Include the following statement on 

a permanent locomotive label: ‘‘THIS 

LOCOMOTIVE WAS CERTIFIED 

UNDER 40 CFR 1033.150(e). THE 

ENGINES USED IN THIS LOCOMOTIVE 

ARE SUBJECT TO REQUIREMENTS OF 

40 CFR PARTS 1039 (or 89) AND 1068.’’ 

(5) The rebuilding requirements of 40 

CFR part 1068 apply when 

remanufacturing engines used in these 

locomotives. 

(f) In-use compliance limits. For 

purposes of determining compliance 

other than for certification or 

production-line testing, calculate the 

applicable in-use compliance limits by 

adjusting the applicable standards/FELs. 

The PM adjustment applies only for 

model year 2017 and earlier locomotives 

and does not apply for locomotives with 

a PM FEL higher than 0.03 g/bhp-hr. 

The NOX adjustment applies only for 

model year 2017 and earlier locomotives 

and does not apply for locomotives with 

a NOX FEL higher than 2.0 g/bhp-hr. 

Add the applicable adjustments in 

Tables 1 or 2 of this section (which 

follow) to the otherwise applicable 

standards (or FELs) and notch caps. You 

must specify during certification which 

add-ons, if any, will apply for your 

locomotives. 

TABLE 1 TO § 1033.150.—IN-USE ADJUSTMENTS FOR TIER 4 LOCOMOTIVES 

Fraction of useful life already used 

In-use adjustments (g/bhp-hr) 

For model year 

2017 and earlier 

Tier 4 NOX 

standards 

For model year 

2017 and earlier 

Tier 4 PM standards 

0 < MW-hrs ≤ 50% of UL ................................................................................................................................ 

50 < MW-hrs > 75% of UL .............................................................................................................................. 

MW-hrs > 75% of UL ....................................................................................................................................... 

0.7 

1.0 

1.3 

0.01 

0.01 

0.01 

TABLE 2 TO § 1033.150.—OPTIONAL IN-USE ADJUSTMENTS FOR TIER 4 LOCOMOTIVES 

Fraction of useful life already used 

In-use adjustments (g/bhp-hr) 

For model year 

2017 and earlier 

Tier 4 NOX 

standards 

For model year 

2017 and earlier 

Tier 4 PM standards 

0 < MW-hrs ≤ 50% of UL ................................................................................................................................ 

50 < MW-hrs ≤ 75% of UL .............................................................................................................................. 

MW-hrs > 75% of UL ....................................................................................................................................... 

0.2 

0.3 

0.4 

0.03 

0.03 

0.03 

(g) Optional interim Tier 4 

compliance provisions for NOX 

emissions. For model years 2015 

through 2022, manufacturers may 

choose to certify some or all of their Tier 

4 line-haul engine families according to 

the optional compliance provisions of 

this paragraph (g). The following 

provisions apply to all locomotives in 

those families: 

(1) The provisions of this paragraph 

(g) apply instead of the deterioration 

factor requirements of §§ 1033.240 and 

1033.245 for NOX emissions. You must 

certify that the locomotives in the 

engine family will conform to the 

requirements of this paragraph (g) for 

their full useful lives. 

(2) The applicable NOX emission 

standard for locomotives certified under 

this paragraph (g) is: 

(i) 1.3 g/bhp-hr for locomotives that 

have accumulated less than 50 hours of 

operation. 

(ii) 1.3 plus 0.6 g/bhp-hr for 

locomotives that have accumulated 50 

hours or more of operation. 

(3) The engine family may not 

generate NOX emission credits. 

(4) The design certification provisions 

of § 1033.240(c) do not apply for these 

locomotives for the next remanufacture. 

(5) Manufacturers must comply with 

the production-line testing program in 

subpart D of this part for these engine 

families or the following optional 

program: 

(i) You are not required to test 

locomotives in the family under subpart 

D of this part if you comply with the 

requirements of this paragraph (g)(5). 

(ii) Test the locomotives as specified 

in subpart E of this part, with the 

following exceptions: 

(A) The minimum test sample size is 

one percent of the number of 

locomotives in the family or five, 

whichever is less. 

(B) The locomotives must be tested 

after they have accumulated 50 hours or 

more of operation but before they have 

reached 50 percent of their useful life. 

(iii) The standards in this part for 

pollutants other than NOX apply as 

specified for testing conducted under 

this optional program. 

(6) The engine family may use NOX 

emission credits to comply with this 

paragraph (g). However, a 1.5 g/bhp-hr 

NOX FEL cap applies for engine families 

certified under this paragraph (g). The 

applicable standard for locomotives that 
mstockstill on PROD1PC66 with RULES3


Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37207 

have accumulated 50 hours or more of 

operation is the FEL plus 0.6 g/bhp-hr. 

(7) The in-use NOX add-ons specified 

in paragraph (f) of this section do not 

apply for these locomotives. 

(8) All other provisions of this part 

apply to such locomotives, except as 

specified otherwise in this paragraph 

(g). 

(h) Test procedures. You are generally 

required to use the test procedures 

specified in subpart F of this part 

(including the applicable test 

procedures in 40 CFR part 1065). As 

specified in this paragraph (h), you may 

use a combination of the test procedures 

specified in this part and the test 

procedures specified in 40 CFR part 92 

prior to January 1, 2015. After this date, 

you must use only the test procedures 

specified in this part. 

(1) Prior to January 1, 2015, you may 

ask to use some or all of the procedures 

specified in 40 CFR part 92 for 

locomotives certified under this part 

1033. 

(2) If you ask to rely on a combination 

of procedures under this paragraph (h), 

we will approve your request only if 

you show us that it does not affect your 

ability to demonstrate compliance with 

the applicable emission standards. 

Generally this requires that the 

combined procedures would result in 

emission measurements at least as high 

as those that would be measured using 

the procedures specified in this part. 

Alternatively, you may demonstrate that 

the combined effects of the different 

procedures is small relative to your 

compliance margin (the degree to which 

your emissions are below the applicable 

standards). 

(i) Certification testing. Prior to model 

year 2014, you may use the simplified 

steady-state engine test procedure 

specified in this paragraph (i) for 

certification testing. The normal 

certification procedures and engine 

testing procedures apply, except as 

specified in this paragraph (i). 

(1) Use good engineering judgment to 

operate the engine consistent with its 

expected operation in the locomotive, to 

the extent practical. You are not 

required to exactly replicate the 

transient behavior of the engine. 

(2) You may delay sampling during 

notch transition for up to 20 seconds 

after you begin the notch change. 

(3) We may require you provide 

additional information in your 

application for certification to support 

the expectation that production 

locomotives will meet all applicable 

emission standards when tested as 

locomotives. 

(4) You may not use this simplified 

procedure for production-line or in-use 

testing. 

(j) Administrative requirements. For 

model years 2008 and 2009, you may 

use a combination of the administrative 

procedures specified in this part and the 

test procedures specified in 40 CFR part 

92. For example, this would allow you 

to use the certification procedures of 40 

CFR part 92 to apply for certificates 

under this part 1033. 

(k) Test fuels. Testing performed 

during calendar years 2008 and 2009 

may be performed using test fuels that 

meet the specifications of 40 CFR 

92.113. If you do, adjust PM emissions 

downward by 0.04 g/bhp-hr to account 

for the difference in sulfur content of 

the fuel. 

(1) Refurbished switch locomotives. In 

2008 and 2009 remanufactured Tier 0 

switch locomotives that are deemed to 

be refurbished may be certified as 

remanufactured switch locomotives 

under 40 CFR part 92. 

Subpart C—Certifying Engine Families 

§ 1033.201 General requirements for 

obtaining a certificate of conformity. 

Certification is the process by which 

you demonstrate to us that your freshly 

manufactured or remanufactured 

locomotives will meet the applicable 

emission standards throughout their 

useful lives (explaining to us how you 

plan to manufacture or remanufacture 

locomotives, and providing test data 

showing that such locomotives will 

comply with all applicable emission 

standards). Anyone meeting the 

definition of manufacturer in § 1033.901 

may apply for a certificate of conformity 

for freshly manufactured locomotives. 

Anyone meeting the definition of 

remanufacturer in § 1033.901 may apply 

for a certificate of conformity for 

remanufactured locomotives. 

(a) You must send us a separate 

application for a certificate of 

conformity for each engine family. A 

certificate of conformity is valid starting 

with the indicated effective date, but it 

is not valid for any production after 

December 31 of the model year for 

which it is issued. No certificate will be 

issued after December 31 of the model 

year. 

(b) The application must contain all 

the information required by this part 

and must not include false or 

incomplete statements or information 

(see § 1033.255). 

(c) We may ask you to include less 

information than we specify in this 

subpart, as long as you maintain all the 

information required by § 1033.250. 

(d) You must use good engineering 

judgment for all decisions related to 

your application (see 40 CFR 1068.5). 

(e) An authorized representative of 

your company must approve and sign 

the application. 

(f) See § 1033.255 for provisions 

describing how we will process your 

application. 

(g) We may require you to deliver 

your test locomotives to a facility we 

designate for our testing (see 

§ 1033.235(c)). 

(h) By applying for a certificate of 

conformity, you are accepting 

responsibility for the in-use emission 

performance of all properly maintained 

and used locomotives covered by your 

certificate. This responsibility applies 

without regard to whether you 

physically manufacture or 

remanufacture the entire locomotive. If 

you do not physically manufacture or 

remanufacture the entire locomotive, 

you must take reasonable steps 

(including those specified by this part) 

to ensure that the locomotives produced 

under your certificate conform to the 

specifications of your application for 

certification. Note that this paragraph 

does not limit any liability under this 

part or the Clean Air Act for entities that 

do not obtain certificates. This 

paragraph also does not prohibit you 

from making contractual arrangements 

with noncertifiers related to recovering 

damages for noncompliance. 

(i) The provisions of this subpart 

describe how to obtain a certificate that 

covers all standards and requirements. 

Manufacturer/remanufacturers may ask 

to obtain a certificate of conformity that 

does not cover the idle control 

requirements of § 1033.115 or one that 

only covers the idle control 

requirements of § 1033.115. 

Remanufacturers obtaining such partial 

certificates must include a statement in 

their installation instructions that two 

certificates and labels are required for a 

locomotive to be in a fully certified 

configuration. We may modify the 

certification requirements for 

certificates that will only cover idle 

control systems. 

§ 1033.205 Applying for a certificate of 

conformity. 

(a) Send the Designated Compliance 

Officer a complete application for each 

engine family for which you are 

requesting a certificate of conformity. 

(b) The application must be approved 

and signed by the authorized 

representative of your company. 

(c) You must update and correct your 

application to accurately reflect your 

production, as described in § 1033.225. 
mstockstill on PROD1PC66 with RULES3


37208 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

(d) Include the following information 

in your application: 

(1) A description of the basic engine 

design including, but not limited to, the 

engine family specifications listed in 

§ 1033.230. For freshly manufactured 

locomotives, a description of the basic 

locomotive design. For remanufactured 

locomotives, a description of the basic 

locomotive designs to which the 

remanufacture system will be applied. 

Include in your description, a list of 

distinguishable configurations to be 

included in the engine family. Note 

whether you are requesting a certificate 

that will or will not cover idle controls. 

(2) An explanation of how the 

emission control system operates, 

including detailed descriptions of: 

(i) All emission control system 

components. 

(ii) Injection or ignition timing for 

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

top-dead-center), and any functional 

dependence of such timing on other 

operational parameters (e.g., engine 

coolant temperature). 

(iii) Each auxiliary emission control 

device (AECD). 

(iv) All fuel system components to be 

installed on any production or test 

locomotives. 

(v) Diagnostics. 

(3) A description of the test 

locomotive. 

(4) A description of the test 

equipment and fuel used. Identify any 

special or alternate test procedures you 

used. 

(5) A description of the operating 

cycle and the period of operation 

necessary to accumulate service hours 

on the test locomotive and stabilize 

emission levels. You may also include 

a Green Engine Factor that would adjust 

emissions from zero-hour engines to be 

equivalent to stabilized engines. 

(6) A description of all adjustable 

operating parameters (including, but not 

limited to, injection timing and fuel 

rate), including the following: 

(i) The nominal or recommended 

setting and the associated production 

tolerances. 

(ii) The intended adjustable range, 

and the physically adjustable range. 

(iii) The limits or stops used to limit 

adjustable ranges. 

(iv) Production tolerances of the 

limits or stops used to establish each 

physically adjustable range. 

(v) Information relating to why the 

physical limits or stops used to establish 

the physically adjustable range of each 

parameter, or any other means used to 

inhibit adjustment, are the most 

effective means possible of preventing 

adjustment of parameters to settings 

outside your specified adjustable ranges 

on in-use engines. 

(7) Projected U.S. production 

information for each configuration. If 

you are projecting substantially different 

sales of a configuration than you had 

previously, we may require you to 

explain why you are projecting the 

change. 

(8) All test data you obtained for each 

test engine or locomotive. As described 

in § 1033.235, we may allow you to 

demonstrate compliance based on 

results from previous emission tests, 

development tests, or other testing 

information. Include data for NOX, PM, 

HC, CO, and CO2. 

(9) The intended deterioration factors 

for the engine family, in accordance 

with § 1033.245. If the deterioration 

factors for the engine family were 

developed using procedures that we 

have not previously approved, you 

should request preliminary approval 

under § 1033.210. 

(10) The intended useful life period 

for the engine family, in accordance 

with § 1033.101(g). If the useful life for 

the engine family was determined using 

procedures that we have not previously 

approved, you should request 

preliminary approval under § 1033.210. 

(11) Copies of your proposed emission 

control label(s), maintenance 

instructions, and installation 

instructions (where applicable). 

(12) An unconditional statement 

declaring that all locomotives included 

in the engine family comply with all 

requirements of this part and the Clean 

Air Act. 

(e) If we request it, you must supply 

such additional information as may be 

required to evaluate the application. 

(f) Provide the information to read, 

record, and interpret all the information 

broadcast by a locomotive’s onboard 

computers and electronic control units. 

State that, upon request, you will give 

us any hardware, software, or tools we 

would need to do this. You may 

reference any appropriate publicly 

released standards that define 

conventions for these messages and 

parameters. Format your information 

consistent with publicly released 

standards. 

(g) Include the information required 

by other subparts of this part. For 

example, include the information 

required by § 1033.725 if you participate 

in the ABT program. 

(h) Include other applicable 

information, such as information 

specified in this part or part 1068 of this 

chapter related to requests for 

exemptions. 

(i) Name an agent for service located 

in the United States. Service on this 

agent constitutes service on you or any 

of your officers or employees for any 

action by EPA or otherwise by the 

United States related to the 

requirements of this part. 

(j) For imported locomotives, we may 

require you to describe your expected 

importation process. 

§ 1033.210 Preliminary approval. 

(a) If you send us information before 

you finish the application, we will 

review it and make any appropriate 

determinations for questions related to 

engine family definitions, auxiliary 

emission-control devices, deterioration 

factors, testing for service accumulation, 

maintenance, and useful lives. 

(b) Decisions made under this section 

are considered to be preliminary 

approval, subject to final review and 

approval. We will generally not reverse 

a decision where we have given you 

preliminary approval, unless we find 

new information supporting a different 

decision. 

(c) If you request preliminary 

approval related to the upcoming model 

year or the model year after that, we will 

make best-efforts to make the 

appropriate determinations as soon as 

practicable. We will generally not 

provide preliminary approval related to 

a future model year more than three 

years ahead of time. 

(d) You must obtain preliminary 

approval for your plan to develop 

deterioration factors prior to the start of 

any service accumulation to be used to 

develop the factors. 

§ 1033.220 Amending maintenance 

instructions. 

You may amend your emissionrelated maintenance instructions after 

you submit your application for 

certification, as long as the amended 

instructions remain consistent with the 

provisions of § 1033.125. You must send 

the Designated Compliance Officer a 

request to amend your application for 

certification for an engine family if you 

want to change the emission-related 

maintenance instructions in a way that 

could affect emissions. In your request, 

describe the proposed changes to the 

maintenance instructions. We will 

approve your request if we determine 

that the amended instructions are 

consistent with maintenance you 

performed on emission-data engines 

such that your durability demonstration 

would remain valid. If owners/operators 

follow the original maintenance 

instructions rather than the newly 

specified maintenance, this does not 

allow you to disqualify those 

locomotives from in-use testing or deny 

a warranty claim. 

(a) If you are decreasing, replacing, or 

eliminating any of the specified 
mstockstill on PROD1PC66 with RULES3


Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37209 

maintenance, you may distribute the 

new maintenance instructions to your 

customers 30 days after we receive your 

request, unless we disapprove your 

request. This would generally include 

replacing one maintenance step with 

another. We may approve a shorter time 

or waive this requirement. 

(b) If your requested change would 

not decrease the specified maintenance, 

you may distribute the new 

maintenance instructions anytime after 

you send your request. For example, 

this paragraph (b) would cover adding 

instructions to increase the frequency of 

filter changes for locomotives in severeduty applications. 

(c) You do not need to request 

approval if you are making only minor 

corrections (such as correcting 

typographical mistakes), clarifying your 

maintenance instructions, or changing 

instructions for maintenance unrelated 

to emission control. We may ask you to 

send us copies of maintenance 

instructions revised under this 

paragraph (c). 

§ 1033.225 Amending applications for 

certification. 

Before we issue you a certificate of 

conformity, you may amend your 

application to include new or modified 

locomotive configurations, subject to the 

provisions of this section. After we have 

issued your certificate of conformity, 

you may send us an amended 

application requesting that we include 

new or modified locomotive 

configurations within the scope of the 

certificate, subject to the provisions of 

this section. You must also amend your 

application if any changes occur with 

respect to any information included in 

your application. For example, you 

must amend your application if you 

determine that your actual production 

variation for an adjustable parameter 

exceeds the tolerances specified in your 

application. 

(a) You must amend your application 

before you take either of the following 

actions: 

(1) Add a locomotive configuration to 

an engine family. In this case, the 

locomotive added must be consistent 

with other locomotives in the engine 

family with respect to the criteria listed 

in § 1033.230. For example, you must 

amend your application if you want to 

produce 12-cylinder versions of the 16-

cylinder locomotives you described in 

your application. 

(2) Change a locomotive already 

included in an engine family in a way 

that may affect emissions, or change any 

of the components you described in 

your application for certification. This 

includes production and design changes 

that may affect emissions any time 

during the locomotive’s lifetime. For 

example, you must amend your 

application if you want to change a part 

supplier if the part was described in 

your original application and is 

different in any material respect than 

the part you described. 

(3) Modify an FEL for an engine 

family as described in paragraph (f) of 

this section. 

(b) To amend your application for 

certification, send the Designated 

Compliance Officer the following 

information: 

(1) Describe in detail the addition or 

change in the locomotive model or 

configuration you intend to make. 

(2) Include engineering evaluations or 

data showing that the amended engine 

family complies with all applicable 

requirements. You may do this by 

showing that the original emission-data 

locomotive is still appropriate with 

respect to showing compliance of the 

amended family with all applicable 

requirements. 

(3) If the original emission-data 

locomotive for the engine family is not 

appropriate to show compliance for the 

new or modified locomotive, include 

new test data showing that the new or 

modified locomotive meets the 

requirements of this part. 

(c) We may ask for more test data or 

engineering evaluations. You must give 

us these within 30 days after we request 

them. 

(d) For engine families already 

covered by a certificate of conformity, 

we will determine whether the existing 

certificate of conformity covers your 

new or modified locomotive. You may 

ask for a hearing if we deny your request 

(see § 1033.920). 

(e) For engine families already 

covered by a certificate of conformity, 

you may start producing the new or 

modified locomotive anytime after you 

send us your amended application, 

before we make a decision under 

paragraph (d) of this section. However, 

if we determine that the affected 

locomotives do not meet applicable 

requirements, we will notify you to 

cease production of the locomotives and 

may require you to recall the 

locomotives at no expense to the owner. 

Choosing to produce locomotives under 

this paragraph (e) is deemed to be 

consent to recall all locomotives that we 

determine do not meet applicable 

emission standards or other 

requirements and to remedy the 

nonconformity at no expense to the 

owner. If you do not provide 

information required under paragraph 

(c) of this section within 30 days, you 

must stop producing the new or 

modified locomotives. 

(f) You may ask us to approve a 

change to your FEL in certain cases after 

the start of production. The changed 

FEL may not apply to locomotives you 

have already introduced into U.S. 

commerce, except as described in this 

paragraph (f). If we approve a changed 

FEL after the start of production, you 

must include the new FEL on the 

emission control information label for 

all locomotives produced after the 

change. You may ask us to approve a 

change to your FEL in the following 

cases: 

(1) You may ask to raise your FEL for 

your engine family at any time. In your 

request, you must show that you will 

still be able to meet the emission 

standards as specified in subparts B and 

H of this part. If you amend your 

application by submitting new test data 

to include a newly added or modified 

locomotive, as described in paragraph 

(b)(3) of this section, use the appropriate 

FELs with corresponding production 

volumes to calculate your productionweighted average FEL for the model 

year, as described in subpart H of this 

part. If you amend your application 

without submitting new test data, you 

must use the higher FEL for the entire 

family to calculate your productionweighted average FEL under subpart H 

of this part. 

(2) You may ask to lower the FEL for 

your emission family only if you have 

test data from production locomotives 

showing that emissions are below the 

proposed lower FEL. The lower FEL 

applies only to engines or fuel-system 

components you produce after we 

approve the new FEL. Use the 

appropriate FELs with corresponding 

production volumes to calculate your 

production-weighted average FEL for 

the model year, as described in subpart 

H of this part. 

§ 1033.230 Grouping locomotives into 

engine families. 

(a) Divide your product line into 

engine families of locomotives that are 

expected to have similar emission 

characteristics throughout the useful 

life. Your engine family is limited to a 

single model year. Freshly 

manufactured locomotives may not be 

included in the same engine family as 

remanufactured locomotives, except as 

allowed by paragraph (f) of this section. 

Paragraphs (b) and (c) of this section 

specify default criteria for dividing 

locomotives into engine families. 

Paragraphs (d) and (e) of this section 

allow you deviate from these defaults in 

certain circumstances. 
mstockstill on PROD1PC66 with RULES3


37210 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

(b) This paragraph (b) applies for all 

locomotives other than Tier 0 

locomotives. Group locomotives in the 

same engine family if they are the same 

in all the following aspects: 

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

cycle). 

(2) The type of engine cooling 

employed and procedure(s) employed to 

maintain engine temperature within 

desired limits (thermostat, on-off 

radiator fan(s), radiator shutters, etc.). 

(3) The nominal bore and stroke 

dimensions. 

(4) The approximate intake and 

exhaust event timing and duration 

(valve or port). 

(5) The location of the intake and 

exhaust valves (or ports). 

(6) The size of the intake and exhaust 

valves (or ports). 

(7) The overall injection or ignition 

timing characteristics (i.e., the deviation 

of the timing curves from the optimal 

fuel economy timing curve must be 

similar in degree). 

(8) The combustion chamber 

configuration and the surface-to-volume 

ratio of the combustion chamber when 

the piston is at top dead center position, 

using nominal combustion chamber 

dimensions. 

(9) The location of the piston rings on 

the piston. 

(10) The method of air aspiration 

(turbocharged, supercharged, naturally 

aspirated, Roots blown). 

(11) The general performance 

characteristics of the turbocharger or 

supercharger (e.g., approximate boost 

pressure, approximate response time, 

approximate size relative to engine 

displacement). 

(12) The type of air inlet cooler (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. 

(19) The type of exhaust 

aftertreatment system (oxidation 

catalyst, particulate trap), and 

characteristics of the aftertreatment 

system (catalyst loading, converter size 

vs. engine size). 

(c) Group Tier 0 locomotives in the 

same engine family if they are the same 

in all the following aspects: 

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

cycle). 

(2) The type of engine cooling 

employed and procedure(s) employed to 

maintain engine temperature within 

desired limits (thermostat, on-off 

radiator fan(s), radiator shutters, etc.). 

(3) The approximate bore and stroke 

dimensions. 

(4) The approximate location of the 

intake and exhaust valves (or ports). 

(5) The combustion chamber general 

configuration and the approximate 

surface-to-volume ratio of the 

combustion chamber when the piston is 

at top dead center position, using 

nominal combustion chamber 

dimensions. 

(6) The method of air aspiration 

(turbocharged, supercharged, naturally 

aspirated, Roots blown). 

(7) The type of air inlet cooler (air-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. 

(10) The type of fuel injection system 

control (electronic or mechanical). 

(d) You may subdivide a group of 

locomotives that is identical under 

paragraph (b) or (c) of this section into 

different engine families if you show the 

expected emission characteristics are 

different during the useful life. This 

allowance also covers locomotives for 

which only calculated emission rates 

differ, such as locomotives with and 

without energy-saving design features. 

For the purposes of determining 

whether an engine family is a small 

engine family in § 1033.405(a)(2), we 

will consider the number of locomotives 

that could have been classed together 

under paragraph (b) or (c) of this 

section, instead of the number of 

locomotives that are included in a 

subdivision allowed by this paragraph 

(d). 

(e) In unusual circumstances, you 

may group locomotives that are not 

identical with respect to the things 

listed in paragraph (b) or (c) of this 

section in the same engine family if you 

show that their emission characteristics 

during the useful life will be similar. 

(f) During the first six calendar years 

after a new tier of standards become 

applicable, remanufactured engines/ 

locomotives may be included in the 

same engine family as freshly 

manufactured locomotives, provided the 

same engines and emission controls are 

used for locomotive models included in 

the engine family. 

§ 1033.235 Emission testing required for 

certification. 

This section describes the emission 

testing you must perform to show 

compliance with the emission standards 

in § 1033.101. 

(a) Select an emission-data locomotive 

(or engine) from each engine family for 

testing. It may be a low mileage 

locomotive, or a development engine 

(that is equivalent in design to the 

engines of the locomotives being 

certified), or another low hour engine. 

Use good engineering judgment to select 

the locomotive configuration that is 

most likely to exceed (or have emissions 

nearest to) an applicable emission 

standard or FEL. In making this 

selection, consider all factors expected 

to affect emission control performance 

and compliance with the standards, 

including emission levels of all exhaust 

constituents, especially NOX and PM. 

(b) Test your emission-data 

locomotives using the procedures and 

equipment specified in subpart F of this 

part. 

(c) We may measure emissions from 

any of your test locomotives or other 

locomotives from the engine family. 

(1) We may decide to do the testing 

at your plant or any other facility. If we 

do this, you must deliver the test 

locomotive to a test facility we 

designate. If we do the testing at your 

plant, you must schedule it as soon as 

possible and make available the 

instruments, personnel, and equipment 

we need. 

(2) If we measure emissions from one 

of your test locomotives, the results of 

that testing become the official emission 

results for the locomotive. Unless we 

later invalidate these data, we may 

decide not to consider your data in 

determining if your engine family meets 

applicable requirements. 

(3) Before we test one of your 

locomotives, we may set its adjustable 

parameters to any point within the 

adjustable ranges (see § 1033.115(b)). 

(4) Before we test one of your 

locomotives, we may calibrate it within 

normal production tolerances for 

anything we do not consider an 

adjustable parameter. 

(d) You may ask to use emission data 

from a previous model year instead of 

doing new tests if all the following are 

true: 

(1) The engine family from the 

previous model year differs from the 

current engine family only with respect 

to model year, or other factors not 

related to emissions. You may include 

additional configurations subject to the 

provisions of § 1033.225. 

(2) The emission-data locomotive 

from the previous model year remains 

the appropriate emission-data 

locomotive under paragraph (b) of this 

section. 
mstockstill on PROD1PC66 with RULES3


Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37211 

(3) The data show that the emissiondata locomotive would meet all the 

requirements that apply to the engine 

family covered by the application for 

certification. 

(e) You may ask to use emission data 

from a different engine family you have 

already certified instead of testing a 

locomotive in the second engine family 

if all the following are true: 

(1) The same engine is used in both 

engine families. 

(2) You demonstrate to us that the 

differences in the two families are 

sufficiently small that the locomotives 

in the untested family will meet the 

same applicable notch standards 

calculated from the test data. 

(f) We may require you to test a 

second locomotive of the same or 

different configuration in addition to the 

locomotive tested under paragraph (b) of 

this section. 

(g) If you use an alternate test 

procedure under 40 CFR 1065.10 and 

later testing shows that such testing 

does not produce results that are 

equivalent to the procedures specified 

in subpart F of this part, we may reject 

data you generated using the alternate 

procedure. 

(h) The requirement to measure 

smoke emissions is waived for 

certification and production line testing, 

except where there is reason to believe 

your locomotives do not meet the 

applicable smoke standards. 

§ 1033.240 Demonstrating compliance with 

exhaust emission standards. 

(a) For purposes of certification, your 

engine family is considered in 

compliance with the applicable 

numerical emission standards in 

§ 1033.101 if all emission-data 

locomotives representing that family 

have test results showing deteriorated 

emission levels at or below these 

standards. 

(1) If you include your locomotive in 

the ABT program in subpart H of this 

part, your FELs are considered to be the 

applicable emission standards with 

which you must comply. 

(2) If you do not include your 

remanufactured locomotive in the ABT 

program in subpart H of this part, but 

it was previously included in the ABT 

program in subpart H of this part, the 

previous FELs are considered to be the 

applicable emission standards with 

which you must comply. 

(b) Your engine family is deemed not 

to comply if any emission-data 

locomotive representing that family has 

test results showing a deteriorated 

emission level above an applicable FEL 

or emission standard from § 1033.101 

for any pollutant. Use the following 

steps to determine the deteriorated 

emission level for the test locomotive: 

(1) Collect emission data using 

measurements with enough significant 

figures to calculate the cycle-weighted 

emission rate to at least one more 

decimal place than the applicable 

standard. Apply any applicable 

humidity corrections before weighting 

emissions. 

(2) Apply the regeneration factors if 

applicable. At this point the emission 

rate is generally considered to be an 

official emission result. 

(3) Apply the deterioration factor to 

the official emission result, as described 

in § 1033.245, then round the adjusted 

figure to the same number of decimal 

places as the emission standard. This 

adjusted value is the deteriorated 

emission level. Compare these emission 

levels from the emission-data 

locomotive with the applicable emission 

standards. In the case of NOX+NMHC 

standards, apply the deterioration factor 

to each pollutant and then add the 

results before rounding. 

(4) The highest deteriorated emission 

levels for each pollutant are considered 

to be the certified emission levels. 

(c) An owner/operator 

remanufacturing its locomotives to be 

identical to their previously certified 

configuration may certify by design 

without new emission test data. To do 

this, submit the application for 

certification described in § 1033.205, 

but instead of including test data, 

include a description of how you will 

ensure that your locomotives will be 

identical in all material respects to their 

previously certified condition. You may 

use reconditioned parts consistent with 

good engineering judgment. You have 

all of the liabilities and responsibilities 

of the certificate holder for locomotives 

you certify under this paragraph. 

§ 1033.245 Deterioration factors. 

Establish deterioration factors for each 

pollutant to determine, as described in 

§ 1033.240, whether your locomotives 

will meet emission standards for each 

pollutant throughout the useful life. 

Determine deterioration factors as 

described in this section, either with an 

engineering analysis, with pre-existing 

test data, or with new emission 

measurements. The deterioration factors 

are intended to reflect the deterioration 

expected to result during the useful life 

of a locomotive maintained as specified 

in § 1033.125. If you perform durability 

testing, the maintenance that you may 

perform on your emission-data 

locomotive is limited to the 

maintenance described in § 1033.125. 

(a) Your deterioration factors must 

take into account any available data 

from in-use testing with similar 

locomotives, consistent with good 

engineering judgment. For example, it 

would not be consistent with good 

engineering judgment to use 

deterioration factors that predict 

emission increases over the useful life of 

a locomotive or locomotive engine that 

are significantly less than the emission 

increases over the useful life observed 

from in-use testing of similar 

locomotives. 

(b) Deterioration factors may be 

additive or multiplicative. 

(1) Additive deterioration factor for 

exhaust emissions. Except as specified 

in paragraph (b)(2) of this section, use 

an additive deterioration factor for 

exhaust emissions. An additive 

deterioration factor for a pollutant is the 

difference between exhaust emissions at 

the end of the useful life and exhaust 

emissions at the low-hour test point. In 

these cases, adjust the official emission 

results for each tested locomotive at the 

selected test point by adding the factor 

to the measured emissions. The 

deteriorated emission level is intended 

to represent the highest emission level 

during the useful life. Thus, if the factor 

is less than zero, use zero. Additive 

deterioration factors must be specified 

to one more decimal place than the 

applicable standard. 

(2) Multiplicative deterioration factor 

for exhaust emissions. Use a 

multiplicative deterioration factor if 

good engineering judgment calls for the 

deterioration factor for a pollutant to be 

the ratio of exhaust emissions at the end 

of the useful life to exhaust emissions at 

the low-hour test point. For example, if 

you use aftertreatment technology that 

controls emissions of a pollutant 

proportionally to engine-out emissions, 

it is often appropriate to use a 

multiplicative deterioration factor. 

Adjust the official emission results for 

each tested locomotive at the selected 

test point by multiplying the measured 

emissions by the deterioration factor. 

The deteriorated emission level is 

intended to represent the highest 

emission level during the useful life. 

Thus, if the factor is less than one, use 

one. A multiplicative deterioration 

factor may not be appropriate in cases 

where testing variability is significantly 

greater than locomotive-to-locomotive 

variability. Multiplicative deterioration 

factors must be specified to one more 

significant figure than the applicable 

standard. 

(c) Deterioration factors for smoke are 

always additive. 

(d) If your locomotive vents crankcase 

emissions to the exhaust or to the 

atmosphere, you must account for 

crankcase emission deterioration, using 
mstockstill on PROD1PC66 with RULES3


37212 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

good engineering judgment. You may 

use separate deterioration factors for 

crankcase emissions of each pollutant 

(either multiplicative or additive) or 

include the effects in combined 

deterioration factors that include 

exhaust and crankcase emissions 

together for each pollutant. 

(e) Include the following information 

in your application for certification: 

(1) If you determine your 

deterioration factors based on test data 

from a different engine family, explain 

why this is appropriate and include all 

the emission measurements on which 

you base the deterioration factor. 

(2) If you determine your 

deterioration factors based on 

engineering analysis, explain why this 

is appropriate and include a statement 

that all data, analyses, evaluations, and 

other information you used are available 

for our review upon request. 

(3) If you do testing to determine 

deterioration factors, describe the form 

and extent of service accumulation, 

including a rationale for selecting the 

service-accumulation period and the 

method you use to accumulate hours. 

§ 1033.250 Reporting and recordkeeping. 

(a) Within 45 days after the end of the 

model year, send the Designated 

Compliance Officer a report describing 

the following information about 

locomotives you produced during the 

model year: 

(1) Report the total number of 

locomotives you produced in each 

engine family by locomotive model and 

engine model. 

(2) If you produced exempted 

locomotives, report the number of 

exempted locomotives you produced for 

each locomotive model and identify the 

buyer or shipping destination for each 

exempted locomotive. You do not need 

to report under this paragraph (a)(2) 

locomotives that were temporarily 

exempted, exported locomotives, 

locomotives exempted as manufacturer/ 

remanufacturer-owned locomotives, or 

locomotives exempted as test 

locomotives. 

(b) Organize and maintain the 

following records: 

(1) A copy of all applications and any 

summary information you send us. 

(2) Any of the information we specify 

in § 1033.205 that you were not required 

to include in your application. 

(3) A detailed history of each 

emission-data locomotive. For each 

locomotive, describe all of the 

following: 

(i) The emission-data locomotive’s 

construction, including its origin and 

buildup, steps you took to ensure that 

it represents production locomotives, 

any components you built specially for 

it, and all the components you include 

in your application for certification. 

(ii) How you accumulated locomotive 

operating hours (service accumulation), 

including the dates and the number of 

hours accumulated. 

(iii) All maintenance, including 

modifications, parts changes, and other 

service, and the dates and reasons for 

the maintenance. 

(iv) All your emission tests, including 

documentation on routine and standard 

tests, as specified in part 40 CFR part 

1065, and the date and purpose of each 

test. 

(v) All tests to diagnose locomotive or 

emission control performance, giving 

the date and time of each and the 

reasons for the test. 

(vi) Any other significant events. 

(4) If you test a development engine 

for certification, you may omit 

information otherwise required by 

paragraph (b)(3) of this section that is 

unrelated to emissions and emissionrelated components. 

(5) Production figures for each engine 

family divided by assembly plant. 

(6) Keep a list of locomotive 

identification numbers for all the 

locomotives you produce under each 

certificate of conformity. 

(c) Keep data from routine emission 

tests (such as test cell temperatures and 

relative humidity readings) for one year 

after we issue the associated certificate 

of conformity. Keep all other 

information specified in paragraph (a) of 

this section for eight years after we issue 

your certificate. 

(d) Store these records in any format 

and on any media, as long as you can 

promptly send us organized, written 

records in English if we ask for them. 

You must keep these records readily 

available. We may review them at any 

time. 

(e) Send us copies of any locomotive 

maintenance instructions or 

explanations if we ask for them. 

§ 1033.255 EPA decisions. 

(a) If we determine your application is 

complete and shows that the engine 

family meets all the requirements of this 

part and the Clean Air Act, we will 

issue a certificate of conformity for your 

engine family for that model year. We 

may make the approval subject to 

additional conditions. 

(b) We may deny your application for 

certification if we determine that your 

engine family fails to comply with 

emission standards or other 

requirements of this part or the Clean 

Air Act. Our decision may be based on 

a review of all information available to 

us. If we deny your application, we will 

explain why in writing. 

(c) In addition, we may deny your 

application or suspend or revoke your 

certificate if you do any of the 

following: 

(1) Refuse to comply with any testing 

or reporting requirements. 

(2) Submit false or incomplete 

information (paragraph (e) of this 

section applies if this is fraudulent). 

(3) Render inaccurate any test data. 

(4) Deny us from completing 

authorized activities. This includes a 

failure to provide reasonable assistance. 

(5) Produce locomotives for 

importation into the United States at a 

location where local law prohibits us 

from carrying out authorized activities. 

(6) Fail to supply requested 

information or amend your application 

to include all locomotives being 

produced. 

(7) Take any action that otherwise 

circumvents the intent of the Clean Air 

Act or this part. 

(d) We may void your certificate if 

you do not keep the records we require 

or do not give us information when we 

ask for it. 

(e) We may void your certificate if we 

find that you intentionally submitted 

false or incomplete information. 

(f) If we deny your application or 

suspend, revoke, or void your 

certificate, you may ask for a hearing 

(see § 1033.920). 

Subpart D—Manufacturer and 

Remanufacturer Production Line 

Testing and Audit Programs 

§ 1033.301 Applicability. 

The requirements of this part apply to 

manufacturers/remanufacturers of 

locomotives certified under this part, 

with the following exceptions: 

(a) The requirements of §§ 1033.310 

1033.315, 1033.320, and 1033.330 apply 

only to manufacturers of freshly 

manufactured locomotives or 

locomotive engines (including those 

used for repowering). We may also 

apply these requirements to 

remanufacturers of any locomotives for 

which there is reason to believe 

production problems exist that could 

affect emission performance. When we 

make a determination that production 

problems may exist that could affect 

emission performance, we will notify 

the remanufacturer(s). The requirements 

of §§ 1033.310, 1033.315, 1033.320, and 

1033.330 will apply as specified in the 

notice. 

(b) The requirements of § 1033.335 

apply only to remanufacturers. 

(c) As specified in § 1033.1(d), we 

may apply the requirements of this 

subpart to manufacturers/ 

remanufacturers that do not certify the 
mstockstill on PROD1PC66 with RULES3


Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37213 

locomotives. However, unless we 

specify otherwise, the requirements of 

this subpart apply to manufacturers/ 

remanufacturers that hold the 

certificates for the locomotives. 

§ 1033.305 General requirements. 

(a) Manufacturers (and 

remanufacturers, where applicable) are 

required to test production line 

locomotives using the test procedures 

specified in § 1033.315. While this 

subpart refers to locomotive testing, you 

may ask to test locomotive engines 

instead of testing locomotives. 

(b) Remanufacturers are required to 

conduct audits according to the 

requirements of § 1033.335 to ensure 

that remanufactured locomotives 

comply with the requirements of this 

part. 

(c) If you certify an engine family with 

carryover emission data, as described in 

§ 1033.235, and these equivalent engine 

families consistently pass the 

production-line testing requirements 

over the preceding two-year period, you 

may ask for a reduced testing rate for 

further production-line testing for that 

family. If we reduce your testing rate, 

we may limit our approval to any 

number of model years. In determining 

whether to approve your request, we 

may consider the number of 

locomotives that have failed emission 

tests. 

(d) You may ask to use an alternate 

program or measurement method for 

testing production-line engines. In your 

request, you must show us that the 

alternate program gives equal assurance 

that your engines meet the requirements 

of this part. We may waive some or all 

of this subpart’s requirements if we 

approve your alternate program. 

§ 1033.310 Sample selection for testing. 

(a) At the start of each model year, 

begin randomly selecting locomotives 

from each engine family for production 

line testing at a rate of one percent. 

Make the selection of the test 

locomotive after it has been assembled. 

Perform the testing throughout the 

entire model year to the extent possible, 

unless we specify a different schedule 

for your tests. For example, we may 

require you to disproportionately select 

locomotives from the early part of a 

model year for a new locomotive model 

that has not been subject to PLT 

previously. 

(1) The required sample size for an 

engine family (provided that no 

locomotive tested fails to meet 

applicable emission standards) is the 

lesser of five tests per model year or one 

percent of projected annual production, 

with a minimum sample size for an 

engine family of one test per model 

year. See paragraph (d) of this section to 

determine the required number of test 

locomotives if any locomotives fail to 

comply with any standards. 

(2) You may elect to test additional 

locomotives. All additional locomotives 

must be tested in accordance with the 

applicable test procedures of this part. 

(b) You must assemble the test 

locomotives using the same production 

process that will be used for 

locomotives to be introduced into 

commerce. You may ask us to allow 

special assembly procedures for 

catalyst-equipped locomotives. 

(c) Unless we approve it, you may not 

use any quality control, testing, or 

assembly procedures that you do not 

use during the production and assembly 

of all other locomotives of that family. 

This applies for any test locomotive or 

any portion of a locomotive, including 

engines, parts, and subassemblies. 

(d) If one or more locomotives fail a 

production line test, then you must test 

two additional locomotives from the 

next fifteen produced in that engine 

family for each locomotive that fails. 

These two additional locomotives do 

not count towards your minimum 

number of locomotives. For example, if 

you are required to test a minimum of 

four locomotives under paragraph (a) of 

this section and the second locomotive 

fails to comply with one or more 

standards, then you must test two 

additional locomotives from the next 

fifteen produced in that engine family. 

If both of those locomotives pass all 

standards, you are required to test two 

additional locomotives to complete the 

original minimum number of four. If 

they both pass, you are done with 

testing for that family for the year since 

you tested six locomotives (the four 

originally required plus the two 

additional locomotives). 

§ 1033.315 Test procedures. 

(a) Test procedures. Use the test 

procedures described in subpart F of 

this part, except as specified in this 

section. 

(1) You may ask to use other test 

procedures. We will approve your 

request if we determine that it is not 

possible to perform satisfactory testing 

using the specified procedures. We may 

also approve alternate test procedures 

under § 1033.305(d). 

(2) If you used test procedures other 

than those in subpart F of this part 

during certification for the engine 

family (other than alternate test 

procedures necessary for testing a 

development engine or a low hour 

engine instead of a low mileage 

locomotive), use the same test 

procedures for production line testing 

that you used in certification. 

(b) Modifying a test locomotive. Once 

an engine is selected for testing, you 

may adjust, repair, maintain, or modify 

it or check its emissions only if one of 

the following is true: 

(1) You document the need for doing 

so in your procedures for assembling 

and inspecting all your production 

engines and make the action routine for 

all the engines in the engine family. 

(2) This subpart otherwise specifically 

allows your action. 

(3) We approve your action in 

advance. 

(c) Adjustable parameters. (1) Confirm 

that adjustable parameters are set to 

values or positions that are within the 

range recommended to the ultimate 

purchaser. 

(2) We may require to be adjusted any 

adjustable parameter to any setting 

within the specified adjustable range of 

that parameter prior to the performance 

of any test. 

(d) Stabilizing emissions. You may 

stabilize emissions from the locomotives 

to be tested through service 

accumulation by running the engine 

through a typical duty cycle. Emissions 

are considered stabilized after 300 hours 

of operation. You may accumulate fewer 

hours, consistent with good engineering 

judgment. You may establish a Green 

Engine Factor for each regulated 

pollutant for each engine family, instead 

of (or in combination with) 

accumulating actual operation, to be 

used in calculating emissions test 

results. You must obtain our approval 

prior to using a Green Engine Factor. 

For catalyst-equipped locomotives, you 

may operate the locomotive for up to 

1000 hours (in revenue or other service) 

prior to testing. 

(e) Adjustment after shipment. If a 

locomotive is shipped to a facility other 

than the production facility for 

production line testing, and an 

adjustment or repair is necessary 

because of such shipment, you may 

perform the necessary adjustment or 

repair only after the initial test of the 

locomotive, unless we determine that 

the test would be impossible to perform 

or would permanently damage the 

locomotive. 

(f) Malfunctions. If a locomotive 

cannot complete the service 

accumulation or an emission test 

because of a malfunction, you may 

request that we authorize either the 

repair of that locomotive or its deletion 

from the test sequence. 

(g) Retesting. If you determine that 

any production line emission test of a 

locomotive is invalid, you must retest it 

in accordance with the requirements of 
mstockstill on PROD1PC66 with RULES3


37214 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

this subpart. Report emission results 

from all tests to us, including test results 

you determined are invalid. You must 

also include a detailed explanation of 

the reasons for invalidating any test in 

the quarterly report required in 

§ 1033.320(e). In the event a retest is 

performed, you may ask us within ten 

days of the end of the production 

quarter for permission to substitute the 

after-repair test results for the original 

test results. We will respond to the 

request within ten working days of our 

receipt of the request. 

§ 1033.320 Calculation and reporting of 

test results. 

(a) Calculate initial test results using 

the applicable test procedure specified 

in § 1033.315(a). Include applicable 

non-deterioration adjustments such as a 

Green Engine Factor or regeneration 

adjustment factor. Round the results to 

one more decimal place than the 

applicable emission standard. 

(b) If you conduct multiple tests on 

any locomotives, calculate final test 

results by summing the initial test 

results derived in paragraph (a) of this 

section for each test locomotive, 

dividing by the number of tests 

conducted on the locomotive, and 

rounding to one more decimal place 

than the applicable emission standard. 

For catalyst-equipped locomotives, you 

may ask us to allow you to exclude an 

initial failed test if all of the following 

are true: 

(1) The catalyst was in a green 

condition when tested initially. 

(2) The locomotive met all emission 

standards when retested after 

degreening the catalyst. 

(3) No additional emission-related 

maintenance or repair was performed 

between the initial failed test and the 

subsequent passing test. 

(c) Calculate the final test results for 

each test locomotive by applying the 

appropriate deterioration factors, 

derived in the certification process for 

the engine family, to the final test 

results, and rounding to one more 

decimal place than the applicable 

emission standard. 

(d) If, subsequent to an initial failure 

of a production line test, the average of 

the test results for the failed locomotive 

and the two additional locomotives 

tested, is greater than any applicable 

emission standard or FEL, the engine 

family is deemed to be in noncompliance with applicable emission 

standards, and you must notify us 

within ten working days of such 

noncompliance. 

(e) Within 45 calendar days of the end 

of each quarter, you must send to the 

Designated Compliance Officer a report 

with the following information: 

(1) The location and description of the 

emission test facilities which you used 

to conduct your testing. 

(2) Total production and sample size 

for each engine family tested. 

(3) The applicable standards against 

which each engine family was tested. 

(4) For each test conducted, include 

all of the following: 

(i) A description of the test 

locomotive, including: 

(A) Configuration and engine family 

identification. 

(B) Year, make, and build date. 

(C) Engine identification number. 

(D) Number of megawatt-hours (or 

miles if applicable) of service 

accumulated on locomotive prior to 

testing. 

(E) Description of Green Engine 

Factor; how it is determined and how it 

is applied. 

(ii) Location(s) where service 

accumulation was conducted and 

description of accumulation procedure 

and schedule, if applicable. If the 

locomotive was introduced into service 

between assembly and testing, you are 

only required to summarize the service 

accumulation, rather than identifying 

specific locations. 

(iii) Test number, date, test procedure 

used, initial test results before and after 

rounding, and final test results for all 

production line emission tests 

conducted, whether valid or invalid, 

and the reason for invalidation of any 

test results, if applicable. 

(iv) A complete description of any 

adjustment, modification, repair, 

preparation, maintenance, and testing 

which was performed on the test 

locomotive, has not been reported 

pursuant to any other paragraph of this 

subpart, and will not be performed on 

other production locomotives. 

(v) Any other information we may ask 

you to add to your written report so we 

can determine whether your new 

engines conform with the requirements 

of this part. 

(6) For each failed locomotive as 

defined in § 1033.330(a), a description 

of the remedy and test results for all 

retests as required by § 1033.340(g). 

(7) The following signed statement 

and endorsement by an authorized 

representative of your company: 

We submit this report under sections 

208 and 213 of the Clean Air Act. Our 

production-line testing conformed 

completely with the requirements of 40 

CFR part 1033. We have not changed 

production processes or quality-control 

procedures for the test locomotives in a 

way that might affect emission controls. 

All the information in this report is true 

and accurate to the best of my 

knowledge. I know of the penalties for 

violating the Clean Air Act and the 

regulations. (Authorized Company 

Representative) 

§ 1033.325 Maintenance of records; 

submittal of information. 

(a) You must establish, maintain, and 

retain the following adequately 

organized and indexed test records: 

(1) A description of all equipment 

used to test locomotives. The equipment 

requirements in subpart F of this part 

apply to tests performed under this 

subpart. Maintain these records for each 

test cell that can be used to perform 

emission testing under this subpart. 

(2) Individual test records for each 

production line test or audit including: 

(i) The date, time, and location of 

each test or audit. 

(ii) The method by which the Green 

Engine Factor was calculated or the 

number of hours of service accumulated 

on the test locomotive when the test 

began and ended. 

(iii) The names of all supervisory 

personnel involved in the conduct of 

the production line test or audit; 

(iv) A record and description of any 

adjustment, repair, preparation or 

modification performed on test 

locomotives, giving the date, associated 

time, justification, name(s) of the 

authorizing personnel, and names of all 

supervisory personnel responsible for 

the conduct of the action. 

(v) If applicable, the date the 

locomotive was shipped from the 

assembly plant, associated storage 

facility or port facility, and the date the 

locomotive was received at the testing 

facility. 

(vi) A complete record of all emission 

tests or audits performed under this 

subpart (except tests performed directly 

by us), including all individual 

worksheets and/or other documentation 

relating to each test, or exact copies 

thereof, according to the record 

requirements specified in subpart F of 

this part and 40 CFR part 1065. 

(vii) A brief description of any 

significant events during testing not 

otherwise described under this 

paragraph (a)(2), commencing with the 

test locomotive selection process and 

including such extraordinary events as 

engine damage during shipment. 

(b) Keep all records required to be 

maintained under this subpart for a 

period of eight years after completion of 

all testing. Store these records in any 

format and on any media, as long as you 

can promptly provide to us organized, 

written records in English if we ask for 

them and all the information is retained. 
mstockstill on PROD1PC66 with RULES3


Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37215 

(c) Send us the following information 

with regard to locomotive production if 

we ask for it: 

(1) Projected production for each 

configuration within each engine family 

for which certification has been 

requested and/or approved. 

(2) Number of locomotives, by 

configuration and assembly plant, 

scheduled for production. 

(d) Nothing in this section limits our 

authority to require you to establish, 

maintain, keep or submit to us 

information not specified by this 

section. 

(e) Send all reports, submissions, 

notifications, and requests for approval 

made under this subpart to the 

Designated Compliance Officer using an 

approved format. 

(f) You must keep a copy of all reports 

submitted under this subpart. 

§ 1033.330 Compliance criteria for 

production line testing. 

There are two types of potential 

failures: failure of an individual 

locomotive to comply with the 

standards, and a failure of an engine 

family to comply with the standards. 

(a) A failed locomotive is one whose 

final test results pursuant to 

§ 1033.320(c), for one or more of the 

applicable pollutants, exceed an 

applicable emission standard or FEL. 

(b) An engine family is deemed to be 

in noncompliance, for purposes of this 

subpart, if at any time throughout the 

model year, the average of an initial 

failed locomotive and the two 

additional locomotives tested, is greater 

than any applicable emission standard 

or FEL. 

§ 1033.335 Remanufactured locomotives: 

installation audit requirements. 

The section specifies the requirements 

for certifying remanufacturers to audit 

the remanufacture of locomotives 

covered by their certificates of 

conformity for proper components, 

component settings and component 

installations on randomly chosen 

locomotives in an engine family. 

(a) You must ensure that all emission 

related components are properly 

installed on the locomotive and are set 

to the proper specification as indicated 

in your instructions. You may submit 

audits performed by the owners/ 

operators of the locomotives, provided 

the audits are performed in accordance 

with the provisions of this section. We 

may require that you obtain affidavits 

for audits performed by owners/ 

operators. 

(b) Audit at least five percent of your 

annual production per model year per 

installer or ten per engine family per 

installer, whichever is less. You must 

perform more audits if there are any 

failures. Randomly select the 

locomotives to be audited after the 

remanufacture is complete. We may 

allow you to select locomotives prior to 

the completion of the remanufacture, if 

the preselection would not have the 

potential to affect the manner in which 

the locomotive was remanufactured 

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

the selection prior to the completion of 

the remanufacture). Unless we specify 

otherwise, you are not required to audit 

installers that remanufacture fewer than 

10 locomotives per year under your 

certificates (combined for all of your 

engine families). 

(c) The audit should be completed as 

soon as is practical after the 

remanufacture is complete. In no case 

may the remanufactured locomotive 

accumulate more than 45,000 miles 

prior to an audit. 

(d) A locomotive fails if any emission 

related components are found to be 

improperly installed, improperly 

adjusted or incorrectly used. 

(e) If a remanufactured locomotive 

fails an audit, then you must audit two 

additional locomotives from the next 

ten remanufactured in that engine 

family by that installer. 

(f) An engine family is determined to 

have failed an audit, if at any time 

during the model year, you determine 

that the three locomotives audited are 

found to have had any improperly 

installed, improperly adjusted or 

incorrectly used components. You must 

notify us within 2 working days of a 

determination of an engine family audit 

failure. 

(g) Within 45 calendar days of the end 

of each quarter, each remanufacturer 

must send the Designated Compliance 

Officer a report which includes the 

following information: 

(1) The location and description of 

your audit facilities which were utilized 

to conduct auditing reported pursuant 

to this section; 

(2) Total production and sample size 

for each engine family; 

(3) The applicable standards and/or 

FELs against which each engine family 

was audited; 

(4) For each audit conducted: 

(i) A description of the audited 

locomotive, including: 

(A) Configuration and engine family 

identification; 

(B) Year, make, build date, and 

remanufacture date; and 

(C) Locomotive and engine 

identification numbers; 

(ii) Any other information we request 

relevant to the determination whether 

the new locomotives being 

remanufactured do in fact conform with 

the regulations with respect to which 

the certificate of conformity was issued; 

(5) For each failed locomotive as 

defined in paragraph (d) of this section, 

a description of the remedy as required 

by § 1033.340(g); 

(6) The following signed statement 

and endorsement by your authorized 

representative: 

We submit this report under sections 

208 and 213 of the Clean Air Act. Our 

production-line auditing conformed 

completely with the requirements of 40 

CFR part 1033. We have not changed 

production processes or quality-control 

procedures for the audited locomotives 

in a way that might affect emission 

controls. All the information in this 

report is true and accurate to the best of 

my knowledge. I know of the penalties 

for violating the Clean Air Act and the 

regulations. (Authorized Company 

Representative) 

§ 1033.340 Suspension and revocation of 

certificates of conformity. 

(a) A certificate can be suspended for 

an individual locomotive as follows: 

(1) The certificate of conformity is 

automatically suspended for any 

locomotive that fails a production line 

test pursuant to § 1033.330(a), effective 

from the time the testing of that 

locomotive is completed. 

(2) The certificate of conformity is 

automatically suspended for any 

locomotive that fails an audit pursuant 

to § 1033.335(d), effective from the time 

that auditing of that locomotive is 

completed. 

(b) A certificate can be suspended for 

an engine family as follows: 

(1) We may suspend the certificate of 

conformity for an engine family that is 

in noncompliance pursuant to 

§ 1033.330(b), thirty days after the 

engine family is deemed to be in 

noncompliance. 

(2) We may suspend the certificate of 

conformity for an engine family that is 

determined to have failed an audit 

pursuant to § 1033.335(f). This 

suspension will not occur before thirty 

days after the engine family is deemed 

to be in noncompliance. 

(c) If we suspend your certificate of 

conformity for an engine family, the 

suspension may apply to all facilities 

producing engines from an engine 

family, even if you find noncompliant 

engines only at one facility. 

(d) We may revoke a certificate of 

conformity for any engine family in 

whole or in part if: 

(1) You fail to comply with any of the 

requirements of this subpart. 

(2) You submit false or incomplete 

information in any report or information 

provided to us under this subpart. 
mstockstill on PROD1PC66 with RULES3


37216 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

(3) You render inaccurate any test 

data submitted under this subpart. 

(4) An EPA enforcement officer is 

denied the opportunity to conduct 

activities authorized in this subpart. 

(5) An EPA enforcement officer is 

unable to conduct authorized activities 

for any reason. 

(e) We will notify you in writing of 

any suspension or revocation of a 

certificate of conformity in whole or in 

part; a suspension or revocation is 

effective upon receipt of such 

notification or thirty days from the time 

a locomotive or engine family is deemed 

to be in noncompliance under 

§§ 1033.320(d), 1033.330(a), 

1033.330(b), or 1033.335(f) is made, 

whichever is earlier, except that the 

certificate is immediately suspended 

with respect to any failed locomotives 

as provided for in paragraph (a) of this 

section. 

(f) We may revoke a certificate of 

conformity for an engine family when 

the certificate has been suspended 

under paragraph (b) or (c) of this section 

if the remedy is one requiring a design 

change or changes to the locomotive, 

engine and/or emission control system 

as described in the application for 

certification of the affected engine 

family. 

(g) Once a certificate has been 

suspended for a failed locomotive, as 

provided for in paragraph (a) of this 

section, you must take all the following 

actions before the certificate is 

reinstated for that failed locomotive: 

(1) Remedy the nonconformity. 

(2) Demonstrate that the locomotive 

conforms to applicable standards or 

family emission limits by retesting, or 

reauditing if applicable, the locomotive 

in accordance with this part. 

(3) Submit a written report to us after 

successful completion of testing (or 

auditing, if applicable) on the failed 

locomotive, which contains a 

description of the remedy and testing 

(or auditing) results for each locomotive 

in addition to other information that 

may be required by this part. 

(h) Once a certificate for a failed 

engine family has been suspended 

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

section, you must take the following 

actions before we will consider 

reinstating the certificate: 

(1) Submit a written report to us 

identifying the reason for the 

noncompliance of the locomotives, 

describing the remedy, including a 

description of any quality control 

measures you will use to prevent future 

occurrences of the problem, and stating 

the date on which the remedies will be 

implemented. 

(2) Demonstrate that the engine family 

for which the certificate of conformity 

has been suspended does in fact comply 

with the regulations of this part by 

testing (or auditing) locomotives 

selected from normal production runs of 

that engine family. Such testing (or 

auditing) must comply with the 

provisions of this subpart. If you elect 

to continue testing (or auditing) 

individual locomotives after suspension 

of a certificate, the certificate is 

reinstated for any locomotive actually 

determined to be in conformance with 

the applicable standards or family 

emission limits through testing (or 

auditing) in accordance with the 

applicable test procedures, provided 

that we have not revoked the certificate 

under paragraph (f) of this section. 

(i) If the certificate has been revoked 

for an engine family, you must take the 

following actions before we will issue a 

certificate that would allow you to 

continue introduction into commerce of 

a modified version of that family: 

(1) If we determine that the change(s) 

in locomotive design may have an effect 

on emission deterioration, we will 

notify you within five working days 

after receipt of the report in paragraph 

(h) of this section, whether subsequent 

testing/auditing under this subpart will 

be sufficient to evaluate the change(s) or 

whether additional testing (or auditing) 

will be required. 

(2) After implementing the change or 

changes intended to remedy the 

nonconformity, you must demonstrate 

that the modified engine family does in 

fact conform with the regulations of this 

part by testing locomotives (or auditing 

for remanufactured locomotives) 

selected from normal production runs of 

that engine family. When both of these 

requirements are met, we will reissue 

the certificate or issue a new certificate. 

If this subsequent testing (or auditing) 

reveals failing data the revocation 

remains in effect. 

(j) At any time subsequent to an initial 

suspension of a certificate of conformity 

for a test or audit locomotive pursuant 

to paragraph (a) of this section, but not 

later than 30 days (or such other period 

as may we allow) after the notification 

our decision to suspend or revoke a 

certificate of conformity in whole or in 

part pursuant to this section, you may 

request a hearing as to whether the tests 

or audits have been properly conducted 

or any sampling methods have been 

properly applied. (See § 1033.920.) 

(k) Any suspension of a certificate of 

conformity under paragraphs (a) 

through (d) of this section will be made 

only after you have been offered an 

opportunity for a hearing conducted in 

accordance with § 1033.920. It will not 

apply to locomotives no longer in your 

possession. 

(l) If we suspend, revoke, or void a 

certificate of conformity, and you 

believe that our decision was based on 

erroneous information, you may ask us 

to reconsider our decision before 

requesting a hearing. If you demonstrate 

to our satisfaction that our decision was 

based on erroneous information, we will 

reinstate the certificate. 

(m) We may conditionally reinstate 

the certificate for that family so that you 

do not have to store non-test 

locomotives while conducting 

subsequent testing or auditing of the 

noncomplying family subject to the 

following condition: you must commit 

to recall all locomotives of that family 

produced from the time the certificate is 

conditionally reinstated if the family 

fails subsequent testing, or auditing if 

applicable, and must commit to remedy 

any nonconformity at no expense to the 

owner. 

Subpart E—In-use Testing 

§ 1033.401 Applicability. 

The requirements of this subpart are 

applicable to certificate holders for 

locomotives subject to the provisions of 

this part. These requirements may also 

be applied to other manufacturers/ 

remanufacturers as specified in 

§ 1033.1(d). 

§ 1033.405 General provisions. 

(a) Each year, we will identify engine 

families and configurations within 

families that you must test according to 

the requirements of this section. 

(1) We may require you to test one 

engine family each year for which you 

have received a certificate of 

conformity. If you are a manufacturer 

that holds certificates of conformity for 

both freshly manufactured and 

remanufactured locomotive engine 

families, we may require you to test one 

freshly manufactured engine family and 

one remanufactured engine family. We 

may require you to test additional 

engine families if we have reason to 

believe that locomotives in such 

families do not comply with emission 

standards in use. 

(2) For engine families of less than 10 

locomotives per year, no in-use testing 

will be required, unless we have reason 

to believe that those engine families are 

not complying with the applicable 

emission standards in use. 

(b) Test a sample of in-use 

locomotives from an engine family, as 

specified in § 1033.415. We will use 

these data, and any other data available 

to us, to determine the compliance 

status of classes of locomotives, 
mstockstill on PROD1PC66 with RULES3


Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37217 

including for purposes of recall under 

40 CFR part 1068, and whether remedial 

action is appropriate. 

§ 1033.410 In-use test procedure. 

(a) You must test the complete 

locomotives; you may not test engines 

that are not installed in locomotives at 

the time of testing. 

(b) Test the locomotive according to 

the test procedures outlined in subpart 

F of this part, except as provided in this 

section. 

(c) Use the same test procedures for 

in-use testing as were used for 

certification, except for cases in which 

certification testing was not conducted 

with a locomotive, but with a 

development engine or other engine. In 

such cases, we will specify deviations 

from the certification test procedures as 

appropriate. We may allow or require 

other alternate procedures, with 

advance approval. 

(d) Set all adjustable locomotive or 

engine parameters to values or positions 

that are within the range specified in the 

certificate of conformity. We may 

require you to set these parameters to 

specific values. 

(e) We may waive a portion of the 

applicable test procedure that is not 

necessary to determine in-use 

compliance. 

§ 1033.415 General testing requirements. 

(a) Number of locomotives to be 

tested. Determine the number of 

locomotives to be tested by the 

following method: 

(1) Test a minimum of 2 locomotives 

per engine family, except as provided in 

paragraph (a)(2) of this section. You 

must test additional locomotives if any 

locomotives fail to meet any standard. 

Test 2 more locomotives for each failing 

locomotive, but stop testing if the total 

number of locomotives tested equals 10. 

(2) If an engine family has been 

certified using carryover emission data 

from a family that has been previously 

tested under paragraph (a)(1) of this 

section (and we have not ordered or 

begun to negotiate remedial action of 

that family), you need to test only one 

locomotive per engine family. If that 

locomotive fails to meet applicable 

standards for any pollutant, testing for 

that engine family must be conducted as 

outlined under paragraph (a)(1) of this 

section. 

(3) You may ask us to allow you to 

test more locomotives than the 

minimum number described above or 

you may concede failure before testing 

10 locomotives. 

(b) Compliance criteria. We will 

consider failure rates, average emission 

levels and the existence of any defects 

among other factors in determining 

whether to pursue remedial action. We 

may order a recall pursuant to 40 CFR 

part 1068 before testing reaches the 

tenth locomotive. 

(c) Collection of in-use locomotives. 

Procure in-use locomotives that have 

been operated for 50 to 75 percent of the 

locomotive’s useful life for testing under 

this subpart. Complete testing required 

by this section for any engine family 

before useful life of the locomotives in 

the engine family passes. (Note: 

§ 1033.820 specifies that railroads must 

make reasonable efforts to enable you to 

perform this testing.) 

§ 1033.420 Maintenance, procurement and 

testing of in-use locomotives. 

(a) A test locomotive must have a 

maintenance history that is 

representative of actual in-use 

conditions, and identical or equivalent 

to your recommended emission-related 

maintenance requirements. 

(1) When procuring locomotives for 

in-use testing, ask the end users about 

the accumulated usage, maintenance, 

operating conditions, and storage of the 

test locomotives. 

(2) Your selection of test locomotives 

is subject to our approval. Maintain the 

information you used to procure 

locomotives for in-use testing in the 

same manner as is required in 

§ 1033.250. 

(b) You may perform minimal set-tospec maintenance on a test locomotive 

before conducting in-use testing. 

Maintenance may include only that 

which is listed in the owner’s 

instructions for locomotives with the 

amount of service and age of the 

acquired test locomotive. Maintain 

documentation of all maintenance and 

adjustments. 

(c) If the locomotive selected for 

testing is equipped with emission 

diagnostics meeting the requirements in 

§ 1033.110 and the MIL is illuminated, 

you may read the code and repair the 

malfunction according to your emissionrelated maintenance instructions, but 

only to the degree that an owner/ 

operator would be required to repair the 

malfunction under § 1033.815. 

(d) Results of at least one valid set of 

emission tests using the test procedure 

described in subpart F of this part is 

required for each in-use locomotive. 

(e) If in-use testing results show that 

an in-use locomotive fails to comply 

with any applicable emission standards, 

you must determine the reason for 

noncompliance and report your findings 

in the quarterly in-use test result report 

described in § 1033.425. 

§ 1033.425 In-use test program reporting 

requirements. 

(a) Within 90 days of completion of 

testing, send us all emission test results 

generated from the in-use testing 

program. Report all of the following 

information for each locomotive tested: 

(1) Engine family, and configuration. 

(2) Locomotive and engine models. 

(3) Locomotive and engine serial 

numbers. 

(4) Date of manufacture or 

remanufacture, as applicable. 

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

as applicable). 

(6) Date and time of each test attempt. 

(7) Results of all emission testing. 

(8) Results (if any) of each voided or 

failed test attempt. 

(9) Summary of all maintenance and/ 

or adjustments performed. 

(10) Summary of all modifications 

and/or repairs. 

(11) Determinations of 

noncompliance. 

(12) The following signed statement 

and endorsement by an authorized 

representative of your company. 

We submit this report under sections 

208 and 213 of the Clean Air Act. Our 

in-use testing conformed completely 

with the requirements of 40 CFR part 

1033. All the information in this report 

is true and accurate to the best of my 

knowledge. I know of the penalties for 

violating the Clean Air Act and the 

regulations. (Authorized Company 

Representative) 

(b) Report to us within 90 days of 

completion of testing the following 

information for each engine family 

tested: 

(1) The serial numbers of all 

locomotive that were excluded from the 

test sample because they did not meet 

the maintenance requirements of 

§ 1033.420. 

(2) The owner of each locomotive 

identified in paragraph (b)(1) of this 

section (or other entity responsible for 

the maintenance of the locomotive). 

(3) The specific reasons why the 

locomotives were excluded from the test 

sample. 

(c) Submit the information outlined in 

paragraphs (a) and (b) of this section 

electronically using an approved format. 

We may exempt you from this 

requirement upon written request with 

supporting justification. 

(d) Send all testing reports and 

requests for approvals to the Designated 

Compliance Officer. 

Subpart F—Test Procedures 

§ 1033.501 General provisions. 

(a) Except as specified in this subpart, 

use the equipment and procedures for 
mstockstill on PROD1PC66 with RULES3


37218 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

compression-ignition engines in 40 CFR 

part 1065 to determine whether your 

locomotives meet the duty-cycle 

emission standards in § 1033.101. Use 

the applicable duty cycles specified in 

this subpart. Measure emissions of all 

the pollutants we regulate in § 1033.101 

plus CO2. The general test procedure is 

the procedure specified in 40 CFR part 

1065 for steady-state discrete-mode 

cycles. However, if you use the optional 

ramped modal cycle in § 1033.520, 

follow the procedures for ramped modal 

testing in 40 CFR part 1065. The 

following exceptions from the 1065 

procedures apply: 

(1) You must average power and 

emissions over the sampling periods 

specified in this subpart for both 

discrete-mode testing and ramped 

modal testing. 

(2) The test cycle is considered to be 

steady-state with respect to operator 

demand rather than engine speed and 

load. 

(3) The provisions related to engine 

mapping and duty cycle generation (40 

CFR 1065.510 and 1065.512) are not 

applicable to testing of complete 

locomotives or locomotive engines 

because locomotive operation and 

locomotive duty cycles are based on 

operator demand via locomotive notch 

settings rather than engine speeds and 

loads. The cycle validation criteria (40 

CFR 1065.514) are not applicable to 

testing of complete locomotives but do 

apply for dynamometer testing of 

engines. 

(b) You may use special or alternate 

procedures to the extent we allow as 

them under 40 CFR 1065.10. In some 

cases, we allow you to use procedures 

that are less precise or less accurate than 

the specified procedures if they do not 

affect your ability to show that your 

locomotives comply with the applicable 

emission standards. This generally 

requires emission levels to be far 

enough below the applicable emission 

standards so that any errors caused by 

greater imprecision or inaccuracy do not 

affect your ability to state 

unconditionally that the locomotives 

meet all applicable emission standards. 

(c) This part allows (with certain 

limits) testing of either a complete 

locomotive or a separate uninstalled 

engine. When testing a locomotive, you 

must test the complete locomotive in its 

in-use configuration, except that you 

may disconnect the power output and 

fuel input for the purpose of testing. To 

calculate power from measured 

alternator/generator output, use an 

alternator/generator efficiency curve 

that varies with speed/load, consistent 

with good engineering judgment. 

(d) Unless smoke standards do not 

apply for your locomotives or the testing 

requirement is waived, measure smoke 

emissions using the procedures in 

§ 1033.525. 

(e) Use the applicable fuel listed in 40 

CFR part 1065, subpart H, to perform 

valid tests. 

(1) For diesel-fueled locomotives, use 

the appropriate diesel fuel specified in 

40 CFR part 1065, subpart H, for 

emission testing. The applicable diesel 

test fuel is either the ultra low-sulfur 

diesel or low-sulfur diesel fuel, as 

specified in § 1033.101. Identify the test 

fuel in your application for certification 

and ensure that the fuel inlet label is 

consistent with your selection of the test 

fuel (see §§ 1033.101 and 1033.135). 

(2) You may ask to use as a test fuel 

commercially available diesel fuel 

similar but not identical to the 

applicable fuel specified in 40 CFR part 

1065, subpart H; we will approve your 

request if you show us that it does not 

affect your ability to demonstrate 

compliance with the applicable 

emission standards. If your locomotive 

uses sulfur-sensitive technology, you 

may not use an in-use fuel that has a 

lower sulfur content than the range 

specified for the otherwise applicable 

test fuel in 40 CFR part 1065. If your 

locomotive does not use sulfur-sensitive 

technology, we may allow you to use an 

in-use fuel that has a lower sulfur 

content than the range specified for the 

otherwise applicable test fuel in 40 CFR 

part 1065, but may require that you 

correct PM emissions to account for the 

sulfur differences. 

(3) For service accumulation, use the 

test fuel or any commercially available 

fuel that is representative of the fuel that 

in-use locomotives will use. 

(f) See § 1033.505 for information 

about allowable ambient testing 

conditions for testing. 

(g) This subpart is addressed to you as 

a manufacturer/remanufacturer, but it 

applies equally to anyone who does 

testing for you, and to us when we 

perform testing to determine if your 

locomotives meet emission standards. 

(h) We may also perform other testing 

as allowed by the Clean Air Act. 

(i) For passenger locomotives that can 

generate hotel power from the main 

propulsion engine, the locomotive must 

comply with the emission standards 

when in either hotel or non-hotel 

setting. 

§ 1033.505 Ambient conditions. 

This section specifies the allowable 

ambient conditions (including 

temperature and pressure) under which 

testing may be performed to determine 

compliance with the emission standards 

of (1068.101. Manufacturers/ 

remanufacturers may ask to perform 

testing at conditions other than those 

allowed by this section. We will allow 

such testing provided it does not affect 

your ability to demonstrate compliance 

with the applicable standards. See 

§§ 1033.101 and 1033.115 for more 

information about the requirements that 

apply at other conditions. 

(a) Temperature. Testing may be 

performed with ambient temperatures 

from 15.5 °C (60 °F) to 40.5 °C (105 °F). 

Do not correct emissions for 

temperature effects within this range. If 

we allow you to perform testing at lower 

ambient temperatures, you must correct 

NOX emissions for temperature effects, 

consistent with good engineering 

judgment. For example, if the intake air 

temperature (at the manifold) is lower at 

the test temperature than at 15.5 °C, you 

generally will need to adjust your 

measured NOX emissions to account for 

the effect of the lower intake air 

temperature. However, if you maintain 

a constant manifold air temperature, 

you will generally not need to correct 

emissions. 

(b) Altitude/pressure. Testing may be 

performed with ambient pressures from 

88.000 kPa (26.0 in Hg) to 103.325 kPa 

(30.5 in Hg). This is intended to 

correspond to altitudes up to 4000 feet 

above sea level. Do not correct 

emissions for pressure effects within 

this range. 

(c) Humidity. Testing may be 

performed with any ambient humidity 

level. Correct NOX emissions as 

specified in 40 CFR 1065.670. Do not 

correct any other emissions for 

humidity effects. 

(d) Wind. If you test outdoors, use 

good engineering judgment to ensure 

that excessive wind does not affect your 

emission measurements. Winds are 

excessive if they disturb the size, shape, 

or location of the exhaust plume in the 

region where exhaust samples are 

drawn or where the smoke plume is 

measured, or otherwise cause any 

dilution of the exhaust. Tests may be 

conducted if wind shielding is placed 

adjacent to the exhaust plume to 

prevent bending, dispersion, or any 

other distortion of the exhaust plume as 

it passes through the optical unit or 

through the sample probe. 

§ 1033.510 Auxiliary power units. 

If your locomotive is equipped with 

an auxiliary power unit (APU) that 

operates during an idle shutdown mode, 

you must account for the APU’s 

emissions rates as specified in this 

section, unless the APU is part of an 

AESS system that was certified separate 

from the rest of the locomotive. This 
mstockstill on PROD1PC66 with RULES3


Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37219 

section does not apply for auxiliary 

engines that only provide hotel power. 

(a) Adjust the locomotive main 

engine’s idle emission rate (g/hr) as 

specified in § 1033.530. Add the APU 

emission rate (g/hr) that you determine 

under paragraph (b) of this section. Use 

the locomotive main engine’s idle 

power as specified in § 1033.530. 

(b) Determine the representative 

emission rate for the APU using one of 

the following methods. 

(1) Installed APU tested separately. If 

you separately measure emission rates 

(g/hr) for each pollutant from the APU 

installed in the locomotive, you may use 

the measured emissions rates (g/hr) as 

the locomotive’s idle emissions rates 

when the locomotive is shutdown and 

the APU is operating. For all testing 

other than in-use testing, apply 

appropriate deterioration factors to the 

measured emission rates. You may ask 

to carryover APU emission data for a 

previous test, or use data for the same 

APU installed on locomotives in 

another engine family. 

(2) Uninstalled APU tested separately. 

If you separately measure emission rates 

(g/hr) over an appropriate duty-cycle for 

each pollutant from the APU when it is 

not installed in the locomotive, you may 

use the measured emissions rates (g/hr) 

as the locomotive’s idle emissions rates 

when the locomotive is shutdown and 

the APU is operating. For the purpose 

of this paragraph (b)(2), an appropriate 

duty-cycle is one that approximates the 

APU engine’s cycle-weighted power 

when operating in the locomotive. 

Apply appropriate deterioration factors 

to the measured emission rates. You 

may ask to carryover APU emission data 

for a previous test, or use data for the 

same APU installed on locomotives in 

another engine family. 

(3) APU engine certification data. If 

the engine used for the APU has been 

certified to EPA emission standards you 

may calculate the APU’s emissions 

based upon existing EPA-certification 

information about the APU’s engine. In 

this case, calculate the APU’s emissions 

as follows: 

(i) For each pollutant determine the 

brake-specific standard/FEL to which 

the APU engine was originally EPAcertified. 

(ii) Determine the APU engine’s cycleweighted power when operating in the 

locomotive. 

(iii) Multiply each of the APU’s 

applicable brake-specific standards/ 

FELs by the APU engine’s cycleweighted power. The results are the 

APU’s emissions rates (in g/hr). 

(iv) Use these emissions rates as the 

locomotive’s idle emissions rates when 

the locomotive is shutdown and the 

APU is running. Do not apply a 

deterioration factor to these values. 

(4) Other. You may ask us to approve 

an alternative means to account for APU 

emissions. 

§ 1033.515 Discrete-mode steady-state 

emission tests of locomotives and 

locomotive engines. 

This section describes how to test 

locomotives at each notch setting so that 

emissions can be weighted according to 

either the line-haul duty cycle or the 

switch duty cycle. The locomotive test 

cycle consists of a warm-up followed by 

a sequence of nominally steady-state 

discrete test modes, as described in 

Table 1 to this section. The test modes 

are steady-state with respect to operator 

demand, which is the notch setting for 

the locomotive. Engine speeds and loads 

are not necessarily steady-state. 

(a) Follow the provisions of 40 CFR 

part 1065, subpart F for general pre-test 

procedures (including engine and 

sampling system pre-conditioning 

which is included as engine warm-up). 

You may operate the engine in any way 

you choose to warm it up prior to 

beginning the sample preconditioning 

specified in 40 CFR part 1065. 

(b) Begin the test by operating the 

locomotive over the pre-test portion of 

the cycle specified in Table 1 to this 

section. For locomotives not equipped 

with catalysts, you may begin the test as 

soon as the engine reaches its lowest 

idle setting. For catalyst-equipped 

locomotives, you may begin the test in 

normal idle mode if the engine does not 

reach its lowest idle setting within 15 

minutes. If you do start in normal idle, 

run the low idle mode after normal idle, 

then resume the specified mode 

sequence (without repeating the normal 

idle mode). 

(c) Measure emissions during the rest 

of the test cycle. 

(1) Each test mode begins when the 

operator demand to the locomotive or 

engine is set to the applicable notch 

setting. 

(2) Start measuring gaseous emissions, 

power, and fuel consumption at the start 

of the test mode A and continue until 

the completion of test mode 8. You may 

zero and span analyzers between modes 

(or take other actions consistent with 

good engineering judgment). 

(i) The sample period over which 

emissions for the mode are averaged 

generally begins when the operator 

demand is changed to start the test 

mode and ends within 5 seconds of the 

minimum sampling time for the test 

mode is reached. However, you need to 

shift the sampling period to account for 

sample system residence times. Follow 

the provisions of 40 CFR 1065.308 and 

1065.309 to time align emission and 

work measurements. 

(ii) The sample period is 300 seconds 

for all test modes except mode 10. The 

sample period for test mode 8 is 600 

seconds. 

(3) If gaseous emissions are sampled 

using a batch-sampling method, begin 

proportional sampling at the beginning 

of each sampling period and terminate 

sampling once the minimum time in 

each test mode is reached, ± 5 seconds. 

(4) If applicable, begin the smoke test 

at the start of the test mode A. Continue 

collecting smoke data until the 

completion of test mode 8. Refer to 

§ 1033.101 to determine applicability of 

smoke testing and § 1033.525 for details 

on how to conduct a smoke test. 

(5) Begin proportional sampling of PM 

emissions at the beginning of each 

sampling period and terminate sampling 

once the minimum time in each test 

mode is reached, ± 5 seconds, unless 

good engineering judgment requires you 

sample for a longer period to allow for 

collection of a sufficiently large PM 

sample. 

(6) Proceed through each test mode in 

the order specified in Table 1 to this 

section until the locomotive test cycle is 

completed. 

(7) At the end of each numbered test 

mode, you may continue to operate 

sampling and dilution systems to allow 

corrections for the sampling system’s 

response time. 

(8) Following the completion of Mode 

8, conduct the post sampling procedures 

in § 1065.530. Note that cycle validation 

criteria do not apply to testing of 

complete locomotives. 

TABLE 1 TO § 1033.515.—LOCOMOTIVE TEST CYCLE 

Test mode Notch setting Time in mode 

(minutes) 1 

Sample averaging 

period for emissions 1 

Pre-test idle ............................................................ 

A ............................................................................. 

B ............................................................................. 

Lowest idle setting ...................... 

Low idle 2 .................................... 

Normal idle ................................. 

10 to 15 3 .................................... 

5 to 10 ........................................ 

5 to 10 ........................................ 

Not applicable 

300 ± 5 seconds 

300 ± 5 seconds 
mstockstill on PROD1PC66 with RULES3


37220 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

TABLE 1 TO § 1033.515.—LOCOMOTIVE TEST CYCLE—Continued 

Test mode Notch setting Time in mode 

(minutes) 1 

Sample averaging 

period for emissions 1 

C ............................................................................ 

1 ............................................................................. 

2 ............................................................................. 

3 ............................................................................. 

4 ............................................................................. 

5 ............................................................................. 

6 ............................................................................. 

7 ............................................................................. 

8 ............................................................................. 

Dynamic brake 2 ......................... 

Notch 1 ....................................... 

Notch 2 ....................................... 

Notch 3 ....................................... 

Notch 4 ....................................... 

Notch 5 ....................................... 

Notch 6 ....................................... 

Notch 7 ....................................... 

Notch 8 ....................................... 

5 to 10 ........................................ 

5 to 10 ........................................ 

5 to 10 ........................................ 

5 to 10 ........................................ 

5 to 10 ........................................ 

5 to 10 ........................................ 

5 to 10 ........................................ 

5 to 10 ........................................ 

10 to 15 ...................................... 

300 ± 5 seconds 

300 ± 5 seconds 

300 ± 5 seconds 

300 ± 5 seconds 

300 ± 5 seconds 

300 ± 5 seconds 

300 ± 5 seconds 

300 ± 5 seconds 

600 ± 5 seconds 

1 The time in each notch and sample averaging period may be extended as needed to allow for collection of a sufficiently large PM sample. 

2 Omit if not so equipped. 


3 See paragraph (b) of this section for alternate pre-test provisions. 


(f) There are two approaches for 

sampling PM emissions during discretemode steady-state testing as described 

in this paragraph (f). 

(1) Engines certified to a PM 

standard/FEL at or above 0.05 g/bhp-hr. 

Use a separate PM filter sample for each 

test mode of the locomotive test cycle 

according to the procedures specified in 

paragraph (a) through (e) of this section. 

You may ask to use a shorter sampling 

period if the total mass expected to be 

collected would cause unacceptably 

high pressure drop across the filter 

before reaching the end of the required 

sampling time. We will not allow 

sampling times less than 60 seconds. 

When we conduct locomotive emission 

tests, we will adhere to the time limits 

for each of the numbered modes in 

Table 1 to § 1033.515. 

(2) Engines certified to a PM 

standard/FEL below 0.05 g/bhp-hr. (i) 

You may use separate PM filter samples 

for each test mode as described in 

paragraph (f)(1) of this section; however, 

we recommend that you do not. The low 

rate of sample filter loading will result 

in very long sampling times and the 

large number of filter samples may 

induce uncertainty stack-up that will 

lead to unacceptable PM measurement 

accuracy. Instead, we recommend that 

you measure PM emissions as specified 

in paragraph (f)(2)(ii) of this section. 

(ii) You may use a single PM filter for 

sampling PM over all of the test modes 

of the locomotive test cycle as specified 

in this paragraph (f)(2). Vary the sample 

time to be proportional to the applicable 

line-haul or switch weighting factors 

specified in § 1033.530 for each mode. 

The minimum sampling time for each 

mode is 400 seconds multiplied by the 

weighting factor. For example, for a 

mode with a weighting factor of 0.030, 

the minimum sampling time is 12.0 

seconds. PM sampling in each mode 

must be proportional to engine exhaust 

flow as specified in 40 CFR part 1065. 

Begin proportional sampling of PM 

emissions at the beginning of each test 

mode as is specified in paragraph (c) of 

this section. End the sampling period 

for each test mode so that sampling 

times are proportional to the weighting 

factors for the applicable duty cycles. If 

necessary, you may extend the time 

limit for each of the test modes beyond 

the sampling times in Table 1 to 

§ 1033.515 to increase the sampled mass 

of PM emissions or to account for 

proper weighting of the PM emission 

sample over the entire cycle, using good 

engineering judgment. 

(g) This paragraph (g) describes how 

to test locomotive engines when not 

installed in a locomotive. Note that the 

test procedures for dynamometer engine 

testing of locomotive engines are 

intended to produce emission 

measurements that are essentially 

identical to emission measurements 

produced during testing of complete 

locomotives using the same engine 

configuration. The following 

requirements apply for all engine tests: 

(1) Specify a second-by-second set of 

engine speed and load points that are 

representative of in-use locomotive 

operation for each of the set-points of 

the locomotive test cycle described in 

Table 1 to § 1033.515, including 

transitions from one notch to the next. 

This is your reference cycle for 

validating your cycle. You may ignore 

points between the end of the sampling 

period for one mode and the point at 

which you change the notch setting to 

begin the next mode. 

(2) Keep the temperature of the air 

entering the engine after any charge air 

cooling to within 5 °C of the typical 

intake manifold air temperature when 

the engine is operated in the locomotive 

under similar ambient conditions. 

(3) Proceed with testing as specified 

for testing complete locomotives as 

specified in paragraphs (a) through (f) of 

this section. 

§ 1033.520 Alternative ramped modal 

cycles. 

(a) Locomotive testing over a ramped 

modal cycle is intended to improve 

measurement accuracy at low emission 

levels by allowing the use of batch 

sampling of PM and gaseous emissions 

over multiple locomotive notch settings. 

Ramped modal cycles combine multiple 

test modes of a discrete-mode steadystate into a single sample period. Time 

in notch is varied to be proportional to 

weighting factors. The ramped modal 

cycle for line-haul locomotives is shown 

in Table 1 to this section. The ramped 

modal cycle for switch locomotives is 

shown in Table 2 to this section. Both 

ramped modal cycles consist of a warmup followed by three test phases that are 

each weighted in a manner that 

maintains the duty cycle weighting of 

the line-haul and switch locomotive 

duty cycles in § 1033.530. You may use 

ramped modal cycle testing for any 

locomotives certified under this part. 

(b) Ramped modal testing requires 

continuous gaseous analyzers and three 

separate PM filters (one for each phase). 

You may collect a single batch sample 

for each test phase, but you must also 

measure gaseous emissions 

continuously to allow calculation of 

notch caps as required under 

§ 1033.101. 

(c) You may operate the engine in any 

way you choose to warm it up. Then 

follow the provisions of 40 CFR part 

1065, subpart F for general pre-test 

procedures (including engine and 

sampling system pre-conditioning). 

(d) Begin the test by operating the 

locomotive over the pre-test portion of 

the cycle. For locomotives not equipped 

with catalysts, you may begin the test as 

soon as the engine reaches its lowest 

idle setting. For catalyst-equipped 

locomotives, you may begin the test in 

normal idle mode if the engine does not 

reach its lowest idle setting within 15 

minutes. If you do start in normal idle, 

run the low idle mode after normal idle, 
mstockstill on PROD1PC66 with RULES3


Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37221 

then resume the specified mode 

sequence (without repeating the normal 

idle mode). 

(e) Start the test according to 40 CFR 

1065.530. 

(1) Each test phase begins when 

operator demand is set to the first 

operator demand setting of each test 

phase of the ramped modal cycle. Each 

test phase ends when the time in mode 

is reached for the last mode in the test 

phase. 

(2) For PM emissions (and other batch 

sampling), the sample period over 

which emissions for the phase are 

averaged generally begins within 10 

seconds after the operator demand is 

changed to start the test phase and ends 

within 5 seconds of the sampling time 

for the test mode is reached. (see Table 

1 to this section). You may ask to delay 

the start of the sample period to account 

for sample system residence times 

longer than 10 seconds. 

(3) Use good engineering judgment 

when transitioning between phases. 

(i) You should come as close as 

possible to simultaneously: 

(A) Ending batch sampling of the 

previous phase. 

(B) Starting batch sampling of the next 

phase. 

(C) Changing the operator demand to 

the notch setting for the first mode in 

the next phase. 

(ii) Avoid the following: 

(A) Overlapping batch sampling of the 

two phases. 

(B) An unnecessarily long delay 

before starting the next phase. 

(iii) For example, the following 

sequence would generally be 

appropriate: 

(A) End batch sampling for phase 2 

after 240 seconds in notch 7. 

(B) Switch the operator demand to 

notch 8 one second later. 

(C) Begin batch sampling for phase 3 

one second after switching to notch 8. 

(4) If applicable, begin the smoke test 

at the start of the first test phase of the 

applicable ramped modal cycle. 

Continue collecting smoke data until the 

completion of final test phase. Refer to 

§ 1033.101 to determine applicability of 

the smoke standards and § 1033.525 for 

details on how to conduct a smoke test. 

(5) Proceed through each test phase of 

the applicable ramped modal cycle in 

the order specified until the test is 

completed. 

(6) If you must void a test phase you 

may repeat the phase. To do so, begin 

with a warm engine operating at the 

notch setting for the last mode in the 

previous phase. You do not need to 

repeat later phases if they were valid. 

(Note: you must report test results for all 

voided tests and test phases.) 

(7) Following the completion of the 

third test phase of the applicable 

ramped modal cycle, conduct the post 

sampling procedures specified in 40 

CFR 1065.530. 

TABLE 1 TO § 1033.520.—LINE-HAUL LOCOMOTIVE RAMPED MODAL CYCLE 

RMC test phase Weighting 

factor 

RMC 

mode 

Time in 

mode 

(seconds) 

Notch setting 

Pre-test idle ............................................................................................................ 

Phase 1 .................................................................................................................. 

(Idle test) ................................................................................................................ 

NA ............ 

.................. 

0.380 ....... 

NA ........... 

A .............. 

B .............. 

600 to 900 

600 ........... 

600 .......... 

Lowest idle setting.1 

Low Idle.2 

Normal Idle. 

Phase Transition 

Phase 2 .................................................................................................................. 

.................. 

.................. 

.................. 

.................. 

.................. 

0.389 ....... 

C .............. 

1 ............... 

2 ............... 

3 ............... 

4 ............... 

5 ............... 

1000 ........ 

520 ........... 

520 ........... 

416 ........... 

352 ........... 

304 .......... 

Dynamic Brake.3 

Notch 1. 

Notch 2. 

Notch 3. 

Notch 4. 

Notch 5. 

Phase Transition 

Phase 3 .................................................................................................................. 

.................. 

.................. 

0.231 ....... 

6 ............... 

7 ............... 

8 ............... 

144 ........... 

111 ........... 

600 .......... 

Notch 6. 

Notch 7. 

Notch 8. 

1 See paragraph (d) of this section for alternate pre-test provisions. 


2 Operate at normal idle for modes A and B if not equipped with multiple idle settings. 


3 Operate at normal idle if not equipped with a dynamic brake. 


TABLE 2 TO § 1033.520.—SWITCH LOCOMOTIVE RAMPED MODAL CYCLE 

RMC test phase Weighting 

factor 

RMC 

mode 

Time in 

mode 

(seconds) 

Notch setting 

Pre-test idle ............................................................................................................ 

Phase 1 .................................................................................................................. 

(Idle test) ................................................................................................................ 

NA ............ 

.................. 

0.598 ....... 

NA ........... 

A .............. 

B .............. 

600 to 900 

600 ........... 

600 .......... 

Lowest idle setting.1 

Low Idle.2 

Normal Idle. 

Phase Transition 

Phase 2 .................................................................................................................. 

.................. 

.................. 

.................. 

.................. 

0.377 ....... 

1 ............... 

2 ............... 

3 ............... 

4 ............... 

5 ............... 

868 ........... 

861 ........... 

406 ........... 

252 ........... 

252 .......... 

Notch 1. 

Notch 2. 

Notch 3. 

Notch 4. 

Notch 5. 

mstockstill on PROD1PC66 with RULES3ER06MY08.010</MATH>

37222 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

TABLE 2 TO § 1033.520.—SWITCH LOCOMOTIVE RAMPED MODAL CYCLE—Continued 

RMC test phase Weighting 

factor 

RMC 

mode 

Time in 

mode 

(seconds) 

Notch setting 

Phase Transition 

Phase 3 .................................................................................................................. 

.................. 

.................. 

0.025 ....... 

6 ............... 

7 ............... 

8 ............... 

1080 ........ 

144 ........... 

576 .......... 

Notch 6. 

Notch 7. 

Notch 8. 

1 See paragraph (d) of this section for alternate pre-test provisions. 


2 Operate at normal idle for modes A and B if not equipped with multiple idle settings. 


(f) Calculate your cycle-weighted 

brake-specific emission rates as follows: 

(1) For each test phase j: 

(i) Calculate emission rates (Eij) for 

each pollutant i as the total mass 

emissions divided by the total time in 

the phase. 

(ii) Calculate average power (Pj) as the 

total work divided by the total time in 

the phase. 

(2) For each pollutant, calculate your 

cycle-weighted brake-specific emission 

rate using the following equation, where 

wj is the weighting factor for phase j: 

w E1 i + wE + 1 2 i2 wE 3 i3 E = ij w P11 + wP 2 + 2 wP 3 3 

§ 1033.525 Smoke testing. 

This section describes the equipment 

and procedures for testing for smoke 

emissions when is required. 

(a) This section specifies how to 

measure smoke emissions using a fullflow, open path light extinction 

smokemeter. A light extinction meter 

consists of a built-in light beam that 

traverses the exhaust smoke plume that 

issues from exhaust the duct. The light 

beam must be at right angles to the axis 

of the plume. Align the light beam to go 

through the plume along the hydraulic 

diameter (defined in 1065.1001) of the 

exhaust stack. Where it is difficult to 

align the beam to have a path length 

equal to the hydraulic diameter (such as 

a long narrow rectangular duct), you 

may align the beam to have a different 

path length and correct it to be 

equivalent to a path length equal to the 

hydraulic diameter. The light extinction 

meter must meet the requirements of 

paragraph (b) of this section and the 

following requirements: 

(1) Use an incandescent light source 

with a color temperature range of 2800K 

to 3250K, or a light source with a 

spectral peak between 550 and 570 

nanometers. 

(2) Collimate the light beam to a 

nominal diameter of 3 centimeters and 

an angle of divergence within a 6 degree 

included angle. 

(3) Use a photocell or photodiode 

light detector. If the light source is an 

incandescent lamp, use a detector that 

has a spectral response similar to the 

photopic curve of the human eye (a 

maximum response in the range of 550 

to 570 nanometers, to less than four 

percent of that maximum response 

below 430 nanometers and above 680 

nanometers). 

(4) Attach a collimating tube to the 

detector with apertures equal to the 

beam diameter to restrict the viewing 

angle of the detector to within a 16 

degree included angle. 

(5) Amplify the detector signal 

corresponding to the amount of light. 

(6) You may use an air curtain across 

the light source and detector window 

assemblies to minimize deposition of 

smoke particles on those surfaces, 

provided that it does not measurably 

affect the opacity of the plume. 

(7) Minimize distance from the optical 

centerline to the exhaust outlet; in no 

case may it be more than 3.0 meters. 

The maximum allowable distance of 

unducted space upstream of the optical 

centerline is 0.5 meters. Center the full 

flow of the exhaust stream between the 

source and detector apertures (or 

windows and lenses) and on the axis of 

the light beam. 

(8) You may use light extinction 

meters employing substantially 

identical measurement principles and 

producing substantially equivalent 

results, but which employ other 

electronic and optical techniques. 

(b) All smokemeters must meet the 

following specifications: 

(1) A full-scale deflection response 

time of 0.5 second or less. 

(2) You may attenuate signal 

responses with frequencies higher than 

10 Hz with a separate low-pass 

electronic filter with the following 

performance characteristics: 

(i) Three decibel point: 10 Hz. 

(ii) Insertion loss: 0.0 ± 0.5 dB. 

(iii) Selectivity: 12 dB down at 40 Hz 

minimum. 

(iv) Attenuation: 27 dB down at 40 Hz 

minimum. 

(c) Perform the smoke test by 

continuously recording smokemeter 

response over the entire locomotive test 

cycle in percent opacity to within one 

percent resolution and also 

simultaneously record operator demand 

set point (e.g., notch position). Compare 

the recorded opacities to the smoke 

standards applicable to your 

locomotive. 

(d) You may use a partial flow 

sampling smokemeter if you correct for 

the path length of your exhaust plume. 

If you use a partial flow sampling meter, 

follow the instrument manufacturer’s 

installation, calibration, operation, and 

maintenance procedures. 

§ 1033.530 Duty cycles and calculations. 

This section describes how to apply 

the duty cycle to measured emission 

rates to calculate cycle-weighted average 

emission rates. 

(a) Standard duty cycles and 

calculations. Tables 1 and 2 of this 

section show the duty cycle to use to 

calculate cycle-weighted average 

emission rates for locomotives equipped 

with two idle settings, eight propulsion 

notches, and at least one dynamic brake 

notch and tested using the Locomotive 

Test Cycle. Use the appropriate 

weighting factors for your locomotive 

application and calculate cycleweighted average emissions as specified 

in 40 CFR part 1065, subpart G. 
mstockstill on PROD1PC66 with RULES3


Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37223 

TABLE 1 TO § 1033.530.—STANDARD DUTY CYCLE WEIGHTING FACTORS FOR CALCULATING EMISSION RATES FOR
 

LOCOMOTIVES WITH MULTIPLE IDLE SETTINGS
 

Notch setting Test mode 

Line-haul 

weighting 

factors 

Line-haul 

weighting 

factors 

(no dynamic 

brake) 

Switch 

weighting 

factors 

Low Idle ............................................................................................................................. A .............. 0.190 0.190 0.299 

Normal Idle ........................................................................................................................ B .............. 0.190 0.315 0.299 

Dynamic Brake .................................................................................................................. C .............. 0.125 (1) 0.000 

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

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

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

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

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

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

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

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

1 Not applicable. 

TABLE 2 TO § 1033.530.—STANDARD DUTY CYCLE WEIGHTING FACTORS FOR CALCULATING EMISSION RATES FOR
 

LOCOMOTIVES WITH A SINGLE IDLE SETTING
 

Notch setting Test mode Line-haul 

Line-haul 

(no dynamic 

brake) 

Switch 

Normal Idle ........................................................................................................................ 

Dynamic Brake .................................................................................................................. 

Notch 1 .............................................................................................................................. 

Notch 2 .............................................................................................................................. 

Notch 3 .............................................................................................................................. 

Notch 4 .............................................................................................................................. 

Notch 5 .............................................................................................................................. 

Notch 6 .............................................................................................................................. 

Notch 7 .............................................................................................................................. 

Notch 8 .............................................................................................................................. 

A .............. 

C .............. 

1 ............... 

2 ............... 

3 ............... 

4 ............... 

5 ............... 

6 ............... 

7 ............... 

8 ............... 

0.380 

0.125 

0.065 

0.065 

0.052 

0.044 

0.038 

0.039 

0.030 

0.162 

0.505 

(1) 

0.065 

0.065 

0.052 

0.044 

0.038 

0.039 

0.030 

0.162 

0.598 

0.000 

0.124 

0.123 

0.058 

0.036 

0.036 

0.015 

0.002 

0.008 

1 Not applicable. 

(b) Idle and dynamic brake notches. 

The test procedures generally require 

you to measure emissions at two idle 

settings and one dynamic brake, as 

follows: 

(1) If your locomotive is equipped 

with two idle settings and one or more 

dynamic brake settings, measure 

emissions at both idle settings and the 

worst case dynamic brake setting, and 

weight the emissions as specified in the 

applicable table of this section. Where it 

is not obvious which dynamic brake 

setting represents worst case, do one of 

the following: 

(i) You may measure emissions and 

power at each dynamic brake point and 

average them together. 

(ii) You may measure emissions and 

power at the dynamic brake point with 

the lowest power. 

(2) If your locomotive is equipped 

with two idle settings and is not 

equipped with dynamic brake, use a 

normal idle weighting factor of 0.315 for 

the line-haul cycle. If your locomotive is 

equipped with only one idle setting and 

no dynamic brake, use an idle weighting 

factor of 0.505 for the line-haul cycle. 

(c) Nonstandard notches or no 

notches. If your locomotive is equipped 

with more or less than 8 propulsion 

notches, recommend an alternate test 

cycle based on the in-use locomotive 

configuration. Unless you have data 

demonstrating that your locomotive will 

be operated differently from 

conventional locomotives, recommend 

weighting factors that are consistent 

with the power weightings of the 

specified duty cycle. For example, the 

average load factor for your 

recommended cycle (cycle-weighted 

power divided by rated power) should 

be equivalent to those of conventional 

locomotives. We may also allow the use 

of the standard power levels shown in 

Table 3 to this section for nonstandard 

locomotive testing subject to our prior 

approval. This paragraph (c) does not 

allow engines to be tested without 

consideration of the actual notches that 

will be used. 

TABLE 3 TO § 1033.530.—STANDARD 

NOTCH POWER LEVELS EXPRESSED 

AS A PERCENTAGE OF RATED 

POWER 

Normal Idle ................................... 0.00 

Dynamic Brake ............................. 0.00 

Notch 1 ......................................... 4.50 

Notch 2 ......................................... 11.50 

Notch 3 ......................................... 23.50 

Notch 4 ......................................... 35.00 

Notch 5 ......................................... 48.50 

Notch 6 ......................................... 64.00 

Notch 7 ......................................... 85.00 

Notch 8 ......................................... 100.00 

Percent 

(d) Optional Ramped Modal Cycle 

Testing. Tables 1 and 2 of § 1033.520 

show the weighting factors to use to 

calculate cycle-weighted average 

emission rates for the applicable 

locomotive ramped modal cycle. Use 

the weighting factors for the ramped 

modal cycle for your locomotive 

application and calculate cycleweighted average emissions as specified 

in 40 CFR part 1065, subpart G. 
mstockstill on PROD1PC66 with RULES3


37224 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

(e) Automated Start-Stop. For 

locomotive equipped with features that 

shut the engine off after prolonged 

periods of idle, multiply the measured 

idle mass emission rate over the idle 

portion of the applicable test cycles by 

a factor equal to one minus the 

estimated fraction reduction in idling 

time that will result in use from the 

shutdown feature. Do not apply this 

factor to the weighted idle power. 

Application of this adjustment is subject 

to our approval. This paragraph (e) does 

not apply if the locomotive is (or will 

be) covered by a separate certificates for 

idle control. 

(f) Multi-engine locomotives. This 

paragraph (f) applies for locomotives 

using multiple engines where all 

engines are identical in all material 

respects. In cases where we allow 

engine dynamometer testing, you may 

test a single engine consistent with good 

engineering judgment, as long as you 

test it at the operating points at which 

the engines will operate when installed 

in the locomotive (excluding stopping 

and starting). Weigh the results to reflect 

the power demand/power-sharing of the 

in-use configuration for each notch 

setting. 

(g) Representative test cycles for 

freshly manufactured locomotives. As 

specified in this paragraph (g), 

manufacturers may be required to use 

an alternate test cycle for freshly 

manufactured Tier 3 and later 

locomotives. 

(1) If you determine that you are 

adding design features that will make 

the expected average in-use duty cycle 

for any of your freshly manufactured 

locomotive engine families significantly 

different from the otherwise applicable 

test cycle (including weighting factors), 

you must notify us and recommend an 

alternate test cycle that represents the 

expected average in-use duty cycle. You 

should also obtain preliminary approval 

before you begin collecting data to 

support an alternate test cycle. We will 

specify whether to use the default duty 

cycle, your recommended cycle, or a 

different cycle, depending on which 

cycle we believe best represents 

expected in-use operation. 

(2) The provisions of this paragraph 

(g) apply differently for different types 

of locomotives, as follows: 

(i) For Tier 4 and later line-haul 

locomotives, use the cycle required by 

(g)(1) of this section to show compliance 

with the line-haul cycle standards. 

(ii) For Tier 3 and later switch 

locomotives, use the cycle required by 

(g)(1) of this section to show compliance 

with the switch cycle standards. 

(iii) For Tier 3 line-haul locomotives, 

if we specify an alternate cycle, use it 

to show compliance with the line-haul 

cycle standards. If you include the 

locomotives in the ABT program of 

subpart H of this part, calculate linehaul cycle credits (positive or negative) 

using the alternate cycle and the linehaul cycle standards. Your locomotive 

is deemed to also generate an equal 

amount of switch cycle credits. 

(3) For all locomotives certified using 

an alternate cycle, include a description 

of the cycle in the owners manual such 

that the locomotive can be 

remanufactured using the same cycle. 

(4) For example, if your freshly 

manufactured line-haul locomotives are 

equipped with load control features that 

modify how the locomotive will operate 

when it is in a consist, and such features 

will cause the locomotives to operate 

differently from the otherwise 

applicable line-haul cycle, we may 

require you to certify using an alternate 

cycle. 

(5) See paragraph (h) of this section 

for cycle-changing design features that 

also result in energy savings. 

(h) Calculation adjustments for 

energy-saving design features. The 

provisions of this paragraph (h) apply 

for locomotives equipped with energysaving locomotive design features. They 

do not apply for features that only 

improve the engine’s brake-specific fuel 

consumption. 

(1) Manufacturers/remanufacturers 

choosing to adjust emissions under this 

paragraph (h) must do all of the 

following for certification: 

(i) Describe the energy-saving features 

in your application for certification. 

(ii) Describe in your installation 

instruction and/or maintenance 

instructions all steps necessary to utilize 

the energy-saving features. 

(2) If your design feature will also 

affect the locomotive’s duty cycle, you 

must comply with the requirements of 

paragraph (g) of this section. 

(3) Calculate energy the savings as 

described in this paragraph (h)(3). 

(i) Estimate the expected mean in-use 

fuel consumption rate (on a BTU per 

ton-mile basis) with and without the 

energy saving design feature, consistent 

with the specifications of paragraph 

(h)(4) of this section. The energy savings 

is the ratio of fuel consumed from a 

locomotive operating with the new 

feature to fuel consumed from a 

locomotive operating without the 

feature under identical conditions. 

Include an estimate of the 80 percent 

confidence interval for your estimate of 

the mean, and other statistical 

parameters we specify. 

(ii) Your estimate must be based on 

in-use operating data, consistent with 

good engineering judgment. Where we 

have previously certified your design 

feature under this paragraph (h), we 

may require you to update your analysis 

based on all new data that are available. 

You must obtain preliminary approval 

before you begin collecting operational 

data for this purpose. 

(iii) We may allow you to consider the 

effects of your design feature separately 

for different route types, regions, or 

railroads. We may require that you 

certify these different locomotives in 

different engine families and may 

restrict their use to the specified 

applications. 

(iv) Design your test plan so that the 

operation of the locomotives with and 

without is as similar as possible in all 

material aspects (other than the design 

feature being evaluated). Correct all data 

for any relevant differences, consistent 

with good engineering judgment. 

(v) Do not include any brake-specific 

energy savings in your calculated 

values. If it is not possible to exclude 

such effects from your data gathering, 

you must correct for these effects, 

consistent with good engineering 

judgment. 

(4) Calculate adjustment factors as 

described in this paragraph (h)(4). If the 

energy savings will apply broadly, 

calculate and apply the adjustment on a 

cycle-weighted basis. Otherwise, 

calculate and apply the adjustment 

separately for each notch. To apply the 

adjustment, multiply the emissions 

(either cycle-weighted or notch-specific, 

as applicable) by the adjustment. Use 

the lower bound of the 80 percent 

confidence interval of the estimate of 

the mean as your estimated energy 

savings rate. We may cap your energy 

savings rate for this paragraph (h)(4) at 

80 percent of the estimate of the mean. 

Calculate the emission adjustment 

factors as: 

AF = 1.000—(energy savings rate) 

§ 1033.535 Adjusting emission levels to 

account for infrequently regenerating 

aftertreatment devices. 

This section describes how to adjust 

emission results from locomotives using 

aftertreatment technology with 

infrequent regeneration events that 

occur during testing. See paragraph (e) 

of this section for how to adjust ramped 

modal testing. See paragraph (f) of this 

section for how to adjust discrete-mode 

testing. For this section, ‘‘regeneration’’ 

means an intended event during which 

emission levels change while the system 

restores aftertreatment performance. For 

example, hydrocarbon emissions may 

increase temporarily while oxidizing 

accumulated particulate matter in a 

trap. Also for this section, ‘‘infrequent’’ 

refers to regeneration events that are 
mstockstill on PROD1PC66 with RULES3


Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37225 

expected to occur on average less than 

once per sample period. 

(a) Developing adjustment factors. 

Develop an upward adjustment factor 

and a downward adjustment factor for 

each pollutant based on measured 

emission data and observed 

regeneration frequency. Adjustment 

factors should generally apply to an 

entire engine family, but you may 

develop separate adjustment factors for 

different configurations within an 

engine family. If you use adjustment 

factors for certification, you must 

identify the frequency factor, F, from 

paragraph (b) of this section in your 

application for certification and use the 

adjustment factors in all testing for that 

engine family. You may use carryover or 

carry-across data to establish adjustment 

factors for an engine family, as 

described in § 1033.235, consistent with 

good engineering judgment. All 

adjustment factors for regeneration are 

additive. Determine adjustment factors 

separately for different test segments as 

described in paragraphs (e) and (f) of 

this section. You may use either of the 

following different approaches for 

locomotives that use aftertreatment with 

infrequent regeneration events: 

(1) You may disregard this section if 

you determine that regeneration does 

not significantly affect emission levels 

for an engine family (or configuration) 

or if it is not practical to identify when 

regeneration occurs. If you do not use 

adjustment factors under this section, 

your locomotives must meet emission 

standards for all testing, without regard 

to regeneration. 

(2) You may ask us to approve an 

alternate methodology to account for 

regeneration events. We will generally 

limit approval to cases in which your 

locomotives use aftertreatment 

technology with extremely infrequent 

regeneration and you are unable to 

apply the provisions of this section. 

(b) Calculating average emission 

factors. Calculate the average emission 

factor (EFA) based on the following 

equation: 

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

Where: 

F = the frequency of the regeneration event 

during normal in-use operation, 

expressed in terms of the fraction of 

equivalent tests during which the 

regeneration occurs. You may determine 

F from in-use operating data or running 

replicate tests. For example, if you 

observe that the regeneration occurs 125 

times during 1000 MW-hrs of operation, 

and your locomotive typically 

accumulates 1 MW-hr per test, F would 

be (125) ÷ (1000) × (1) = 0.125. 

EFH = measured emissions from a test 

segment in which the regeneration 

occurs. 

EFL = measured emissions from a test 

segment in which the regeneration does 

not occur. 

(c) Applying adjustment factors. 

Apply adjustment factors based on 

whether regeneration occurs during the 

test run. You must be able to identify 

regeneration in a way that is readily 

apparent during all testing. 

(1) If regeneration does not occur 

during a test segment, add an upward 

adjustment factor to the measured 

emission rate. Determine the upward 

adjustment factor (UAF) using the 

following equation: 

UAF = EFA¥EFL 

(2) If regeneration occurs or starts to 

occur during a test segment, subtract a 

downward adjustment factor from the 

measured emission rate. Determine the 

downward adjustment factor (DAF) 

using the following equation: 

DAF = EFH¥EFA 

(d) Sample calculation. If EFL is 0.10 

g/bhp-hr, EFH is 0.50 g/ bhp-hr, and F 

is 0.10 (the regeneration occurs once for 

each ten tests), then: 

EFA = (0.10)(0.50 g/ bhp-hr) + 

(1.00¥0.10)(0.10 g/ bhp-hr) = 0.14 

g/ bhp-hr. 

UAF = 0.14 g/ bhp-hr¥0.10 g/ bhp-hr = 

0.04 g/ bhp-hr. 

DAF = 0.50 g/ bhp-hr¥0.14 g/ bhp-hr = 

0.36 g/ bhp-hr 

(e) Ramped modal testing. Develop 

separate adjustment factors for each test 

phase. If a regeneration has started but 

has not been completed when you reach 

the end of a test phase, use good 

engineering judgment to reduce your 

downward adjustments to be 

proportional to the emission impact that 

occurred in the test phases. 

(f) Discrete-mode testing. Develop 

separate adjustment factors for each test 

mode. If a regeneration has started but 

has not been completed when you reach 

the end of the sampling time for a test 

mode extend the sampling period for 

that mode until the regeneration is 

completed. 

Subpart G—Special Compliance 

Provisions 

§ 1033.601 General compliance provisions. 

Locomotive manufacturer/ 

remanufacturers, as well as owners and 

operators of locomotives subject to the 

requirements of this part, and all other 

persons, must observe the provisions of 

this part, the requirements and 

prohibitions in 40 CFR part 1068, and 

the provisions of the Clean Air Act. The 

provisions of 40 CFR part 1068 apply for 

locomotives as specified in that part, 

except as otherwise specified in this 

section. 

(a) Meaning of manufacturer. When 

used in 40 CFR part 1068, the term 

‘‘manufacturer’’ means manufacturer 

and/or remanufacturer. 

(b) Engine rebuilding. The provisions 

of 40 CFR 1068.120 do not apply when 

remanufacturing locomotives under a 

certificate of conformity issued under 

this part. 

(c) Exemptions. (1) The exemption 

provisions of 40 CFR 1068.240 (i.e., 

exemptions for replacement engines) do 

not apply for domestic or imported 

locomotives. (Note: You may introduce 

into commerce freshly manufactured 

replacement engines under this part, 

provided the locomotives into which 

they are installed are covered by a 

certificate of conformity. 

(2) The exemption provisions of 40 

CFR 1068.250 and 1068.255 (i.e., 

exemptions for hardship relief) do not 

apply for domestic or imported 

locomotives. See § 1033.620 for 

provisions related to hardship relief. 

(3) The exemption provisions of 40 

CFR 1068.260 (i.e., exemptions for 

delegated assembly) do not apply for 

domestic or imported locomotives, 

except as specified in § 1033.630. 

(4) The provisions for importing 

engines and equipment under the 

identical configuration exemption of 40 

CFR 1068.315(i) do not apply for 

locomotives. 

(5) The provisions for importing 

engines and equipment under the 

ancient engine exemption of 40 CFR 

1068.315(j) do not apply for 

locomotives. 

(d) SEAs, defect reporting, and recall. 

The provisions of 40 CFR part 1068, 

subpart E (i.e., SEA provisions) do not 

apply for locomotives. Except as noted 

in this paragraph (d), the provisions of 

40 CFR part 1068, subpart F, apply to 

certificate holders for locomotives as 

specified for manufacturers in that part. 

(1) When there are multiple persons 

meeting the definition of manufacturer 

or remanufacturer, each person meeting 

the definition of manufacturer or 

remanufacturer must comply with the 

requirements of 40 CFR part 1068, 

subpart F, as needed so that the 

certificate holder can fulfill its 

obligations under those subparts. 

(2) The defect investigation 

requirements of 40 CFR 1068.501(a)(5), 

(b)(1) and (b)(2) do not apply for 

locomotives. Instead, use good 

engineering judgment to investigate 

emission-related defects consistent with 

normal locomotive industry practice for 

investigating defects. You are not 

required to track parts shipments as 

indicators of possible defects. 

(e) Introduction into commerce. The 

placement of a new locomotive or new 
mstockstill on PROD1PC66 with RULES3


37226 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

locomotive engine back into service 

following remanufacturing is a violation 

of 40 CFR 1068.101(a)(1), unless it has 

a valid certificate of conformity for its 

model year and the required label. 

§ 1033.610 Small railroad provisions. 

In general, the provisions of this part 

apply for all locomotives, including 

those owned by Class II and Class III 

railroads. This section describes how 

these provisions apply for railroads 

meeting the definition of ‘‘small 

railroad’’ in § 1033.901. (Note: The term 

‘‘small railroad’’ excludes all Class II 

railroads and some Class III railroads, 

such as those owned by large parent 

companies.) 

(a) Locomotives become subject to the 

provisions of this part when they 

become ‘‘new’’ as defined in § 1033.901. 

Under that definition, a locomotive is 

‘‘new’’ when first assembled, and 

generally becomes ‘‘new’’ again when 

remanufactured. As an exception to this 

general concept, locomotives that are 

owned and operated by railroads 

meeting the definition of ‘‘small 

railroad’’ in § 1033.901 do not become 

‘‘new’’ when remanufactured, unless 

they were previously certified to EPA 

emission standards. Certificate holders 

may require written confirmation from 

the owner/operator that the locomotive 

qualifies as a locomotive that is owned 

and operated by a small railroad. Such 

written confirmation to a certificate 

holder is deemed to also be a 

submission to EPA and is thus subject 

to the reporting requirements of 40 CFR 

1068.101. 

(b) The provisions of subpart I of this 

part apply to all owners and operators 

of locomotives subject to this part 1033. 

However, the regulations of that subpart 

specify some provisions that apply only 

for Class I freight railroads, and others 

that apply differently to Class I freight 

railroads and other railroads. 

(c) We may exempt new locomotives 

that are owned or operated by small 

railroads from the prohibition against 

remanufacturing a locomotive without a 

certificate of conformity as specified in 

this paragraph (c). This exemption is 

only available in cases where no 

certified remanufacturing system is 

available for the locomotive. For 

example, it is possible that no 

remanufacturer will certify a system for 

very old locomotive models that 

comprise a tiny fraction of the fleet and 

that are remanufactured infrequently. 

We will grant the exemption in all cases 

in which no remanufacturing system 

has been certified for the applicable 

engine family and model year. We may 

also grant an exemption where we 

determine that a certified system is 

unavailable. We may consider the issue 

of excessive costs in determining the 

availability of certified systems. If we 

grant this exemption for a previously 

certified locomotive, you are required to 

return the locomotive to its previously 

certified configuration. Send your 

request for such exemptions to the 

Designated Compliance Officer. 

(d) Non-Class I railroads that do not 

meet the definition of ‘‘small railroad’’ 

in § 1033.901 may ask that their 

remanufactured locomotives be 

excluded from the definition of ‘‘new’’ 

in § 1033.901 in cases where no certified 

remanufacturing system is available for 

the locomotive. We will grant the 

exemption in all cases in which no 

remanufacturing system has been 

certified for the applicable engine 

family and model year. If we grant this 

exemption for a previously certified 

locomotive, you are required to return 

the locomotive to its previously certified 

configuration. Send your request for 

such exemptions to the Designated 

Compliance Officer. 

§ 1033.615 Voluntarily subjecting 

locomotives to the standards of this part. 

The provisions of this section specify 

the cases in which an owner or 

manufacturer of a locomotive or similar 

piece of equipment can subject it to the 

standards and requirements of this part. 

Once the locomotive or equipment 

becomes subject to the locomotive 

standards and requirements of this part, 

it remains subject to the standards and 

requirements of this part for the 

remainder of its service life. 

(a) Equipment excluded from the 

definition of ‘‘locomotive’’. (1) 

Manufacturers/remanufacturers of 

equipment that is excluded from the 

definition of ‘‘locomotive’’ because of its 

total power, but would otherwise meet 

the definition of locomotive may ask to 

have it considered to be a locomotive. 

To do this, submit an application for 

certification as specified in subpart C of 

this part, explaining why it should be 

considered to be a locomotive. If we 

approve your request, it will be deemed 

to be a locomotive for the remainder of 

its service life. 

(2) In unusual circumstances, we may 

deem other equipment to be 

locomotives (at the request of the owner 

or manufacturer/remanufacturer) where 

such equipment does not conform 

completely to the definition of 

locomotive, but is functionally 

equivalent to a locomotive. 

(b) Locomotives excluded from the 

definition of ‘‘new’’. Owners of 

remanufactured locomotives excluded 

from the definition of ‘‘new’’ in 

§ 1033.901 under paragraph (2) of that 

definition may choose to upgrade their 

locomotives to subject their locomotives 

to the standards and requirements of 

this part by complying with the 

specifications of a certified 

remanufacturing system, including the 

labeling specifications of § 1033.135. 

§ 1033.620 Hardship provisions for 

manufacturers and remanufacturers. 

(a) If you qualify for the economic 

hardship provisions specified in 40 CFR 

1068.245, we may approve a period of 

delayed compliance for up to one model 

year total. 

(b) The provisions of this paragraph 

(b) are intended to address problems 

that could occur near the date on which 

more stringent emission standards 

become effective, such as the transition 

from the Tier 2 standards to the Tier 3 

standards for line-haul locomotives on 

January 1, 2012. 

(1) In appropriate extreme and 

unusual circumstances that are clearly 

outside the control of the manufacturer 

and could not have been avoided by the 

exercise of prudence, diligence, and due 

care, we may permit you, for a brief 

period, to introduce into commerce 

locomotives which do not comply with 

the applicable emission standards if all 

of the following conditions apply: 

(i) You cannot reasonably 

manufacture the locomotives in such a 

manner that they would be able to 

comply with the applicable standards. 

(ii) The manufacture of the 

locomotives was substantially 

completed prior to the applicability date 

of the standards from which you seek 

the relief. For example, you may not 

request relief for a locomotive that has 

been ordered, but for which you will not 

begin the assembly process prior to the 

applicability date of the standards. On 

the other hand, we would generally 

consider completion of the underframe 

weldment to be a substantial part of the 

manufacturing process. 

(iii) Manufacture of the locomotives 

was previously scheduled to be 

completed at such a point in time that 

locomotives would have been included 

in the previous model year, such that 

they would have been subject to less 

stringent standards, and that such 

schedule was feasible under normal 

conditions. 

(iv) You demonstrate that the 

locomotives comply with the less 

stringent standards that applied to the 

previous model year’s production 

described in paragraph (b)(1)(iii) of this 

section, as prescribed by subpart C of 

this part (i.e., that the locomotives are 

identical to locomotives certified in the 

previous model year). 
mstockstill on PROD1PC66 with RULES3


Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37227 

(v) You exercised prudent planning, 

were not able to avoid the violation, and 

have taken all reasonable steps to 

minimize the extent of the 

nonconformity. 

(vi) We approve your request before 

you introduce the locomotives into 

commerce. 

(2) You must notify us as soon as you 

become aware of the extreme or unusual 

circumstances. 

(3)(i) Include locomotives for which 

we grant relief under this section in the 

engine family for which they were 

originally intended to be included. 

(ii) Where the locomotives are to be 

included in an engine family that was 

certified to an FEL above the applicable 

standard, you must reserve credits to 

cover the locomotives covered by this 

allowance and include the required 

information for these locomotives in the 

end-of-year report required by subpart H 

of this part. 

(c) In granting relief under this 

section, we may also set other 

conditions as appropriate, such as 

requiring payment of fees to negate an 

economic gain that such relief would 

otherwise provide. 

§ 1033.625 Special certification provisions 

for non-locomotive-specific engines. 

You may certify freshly manufactured 

or remanufactured locomotives using 

non-locomotive-specific engines (as 

defined in (1033.901) using the normal 

certification procedures of this part. 

Locomotives certified in that way are 

generally treated the same as other 

locomotives, except where specified 

otherwise. The provisions of this section 

provide for design certification to the 

locomotive standards in this part for 

locomotives using engines included in 

engine families certified under 40 CFR 

part 1039 (or part 89) in limited 

circumstances. 

(a) Remanufactured or freshly 

manufactured switch locomotives 

powered by non-locomotive-specific 

engines may be certified by design 

without the test data required by 

1033.235 if all of the following are true: 

(1) Before being installed in the 

locomotive, the engines were covered by 

a certificate of conformity issued under 

40 CFR Part 1039 (or part 89) that is 

effective for the calendar year in which 

the manufacture or remanufacture 

occurs. You may use engines certified 

during the previous year if it is subject 

to the same standards. You may not 

make any modifications to the engines 

unless we approve them. 

(2) The engines were certified to 

standards that are numerically lower 

than the applicable locomotive 

standards of this part. 

(3) More engines are reasonably 

projected to be sold and used under the 

certificate for non-locomotive use than 

for use in locomotives. 

(4) The number of such locomotives 

certified under this section does not 

exceed 30 in any three-year period. We 

may waive this sales limit for 

locomotive models that have previously 

demonstrated compliance with the 

locomotive standards of § 1033.101 inuse. 

(5) We approved the application as 

specified in paragraph (d) of this 

section. 

(b) To certify your locomotives by 

design under this section, submit your 

application as specified in § 1033.205, 

except include the following instead of 

the locomotive test data otherwise 

required: 

(1) A description of the engines to be 

used, including the name of the engine 

manufacturer and engine family 

identifier for the engines. 

(2) A brief engineering analysis 

describing how the engine’s emission 

controls will function when installed in 

the locomotive throughout the 

locomotive’s useful life. 

(3) The emission data submitted 

under 40 CFR part 1039 (or part 89). 

(c) Locomotives certified under this 

section are subject to all of the same 

requirements of this part unless 

specified otherwise in this section. The 

engines used in such locomotives are 

not considered to be included in the 

otherwise applicable engines family of 

40 CFR part 1039 (or part 89). 

(d) We will approve or deny the 

application as specified in subpart C of 

this part. For example, we will deny 

your application for certification by 

design under this section in any case 

where we have evidence that your 

locomotives will not conform to the 

requirements of this part throughout 

their useful lives. 

§ 1033.630 Staged-assembly and 

delegated assembly exemptions. 

(a) Staged assembly. You may ask us 

to provide a temporary exemption to 

allow you to complete production of 

your engines and locomotives at 

different facilities, as long as you 

maintain control of the engines until 

they are in their certified configuration. 

We may require you to take specific 

steps to ensure that such locomotives 

are in their certified configuration 

before reaching the ultimate purchaser. 

You may request an exemption under 

this paragraph (a) in your application 

for certification, or in a separate 

submission. If you include your request 

in your application, your exemption is 

approved when we grant your 

certificate. Note that no exemption is 

needed to ship an engine that has been 

assembled in its certified configuration, 

is properly labeled, and will not require 

an aftertreatment device to be attached 

when installed in the locomotive. 

(b) Delegated assembly. This 

paragraph (b) applies where the engine 

manufacturer/remanufacturer does not 

complete assembly of the locomotives 

and the engine is shipped after being 

manufactured or remanufactured 

(partially or completely). The provisions 

of this paragraph (b) apply differently 

depending on who holds the certificate 

of conformity and the state of the engine 

when it is shipped. You may request an 

exemption under this paragraph (b) in 

your application for certification, or in 

a separate submission. If you include 

your request in your application, your 

exemption is approved when we grant 

your certificate. A manufacturer/ 

remanufacturer may request an 

exemption under 40 CFR 1068.260 

instead of under this section. 

(1) In cases where an engine has been 

assembled in its certified configuration, 

properly labeled, and will not require an 

aftertreatment device to be attached 

when installed in the locomotive, no 

exemption is needed to ship the engine. 

You do not need an exemption to ship 

engines without specific components if 

they are not emission-related 

components identified in Appendix I of 

40 CFR part 1068. 

(2) In cases where an engine has been 

properly labeled by the certificate 

holder and assembled in its certified 

configuration except that it does not yet 

have a required aftertreatment device, 

an exemption is required to ship the 

engine. You may ask for this exemption 

if you do all of the following: 

(i) You note on the Engine Emission 

Control Information label that the 

locomotive must include the 

aftertreatment device to be covered by 

the certificate. 

(ii) You make clear in your emissionrelated installation instructions that 

installation of the aftertreatment device 

is required for the locomotive to be 

covered by the certificate. 

(3) In cases where an engine will be 

shipped to the certificate holder in an 

uncertified configuration, an exemption 

is required to ship the engine. You may 

ask for this exemption under 40 CFR 

1068.262. 

(c) Other exemptions. In unusual 

circumstances, you may ask us to 

provide an exemption for an assembly 

process that is not covered by the 

provisions of paragraphs (a) and (b) of 

this section. We will make the 

exemption conditional based on you 

complying with requirements that we 
mstockstill on PROD1PC66 with RULES3


37228 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

determine are necessary to ensure that 

the locomotives are assembled in their 

certified configuration before being 

placed (back) into service. 

§ 1033.640 Provisions for repowered and 

refurbished locomotives. 

(a) The provisions of this section 

apply for locomotives that are produced 

from an existing locomotive so that the 

new locomotive contains both 

previously used parts and parts that 

have never been used before. 

(1) Repowered locomotives are used 

locomotives in which a freshly 

manufactured propulsion engine is 

installed. As described in this section, a 

repowered locomotive is deemed to be 

either remanufactured or freshly 

manufactured, depending on the total 

amount of unused parts on the 

locomotive. It may also be deemed to be 

a refurbished locomotive. 

(2) Refurbished locomotives are 

locomotives that contain more unused 

parts than previously used parts. As 

described in this section, a locomotive 

containing more unused parts than 

previously used parts may be deemed to 

be either remanufactured or freshly 

manufactured, depending on the total 

amount of unused parts on the 

locomotive. Note that § 1033.101 defines 

refurbishment of a pre-1973 locomotive 

to be an upgrade of the locomotive. 

(b) A single existing locomotive 

cannot be divided into parts and 

combined with new parts to create more 

than one remanufactured locomotive. 

However, any number of locomotives 

can be divided into parts and combined 

with new parts to create more than one 

remanufactured locomotive, provide the 

number of locomotives created 

(remanufactured and freshly 

manufactured) does not exceed the 

number of locomotives that were 

disassembled. 

(c) You may determine the relative 

amount of previously used parts 

consistent with the specifications of the 

Federal Railroad Administration. 

Otherwise, determine the relative 

amount of previously used parts as 

follows: 

(1) Identify the parts in the fully 

assembled locomotive that have been 

previously used and those that have 

never been used before. 

(2) Weight the unused parts and 

previously used parts by the dollar 

value of the parts. For example, a single 

part valued at $1200 would count the 

same as six parts valued at $200 each. 

Group parts by system where possible 

(such as counting the engine as one 

part) if either all the parts in that system 

are used or all the parts in that system 

are unused. Calculate the used part 

values using dollar values from the 

same year as the new parts. 

(3) Sum the values of the unused 

parts. Also sum the values of the 

previously used parts. The relative 

fraction of used parts is the total value 

of previously used parts divided by the 

combined value of the unused parts and 

previously used parts. 

(c) If the weighted fraction of the 

locomotive that is comprised of 

previously used parts is greater than or 

equal to 25 percent, then the locomotive 

is considered to be a remanufactured 

locomotive and retains its original date 

of manufacture. Note, however, that if 

the weighted fraction of the locomotive 

that is comprised of previously used 

parts is less than 50 percent, then the 

locomotive is also considered to be a 

refurbished locomotive. 

(d) If the weighted fraction of the 

locomotive that is comprised of 

previously used parts is less than 25 

percent, then the locomotive is deemed 

to be a freshly manufactured locomotive 

and the date of original manufacture is 

the most recent date on which the 

locomotive was assembled using less 

than 25 percent previously used parts. 

For example: 

(1) If you produce a new locomotive 

that includes a used frame, but all other 

parts are unused, then the locomotive 

would likely be considered to be a 

freshly manufactured locomotive 

because the value of the frame would 

likely be less than 25 percent of the total 

value of the locomotive. Its date of 

original manufacture would be the date 

on which you complete its assembly. 

(2) If you produce a new locomotive 

by replacing the engine in a 1990 

locomotive with a freshly manufactured 

engine, but all other parts are used, then 

the locomotive would likely be 

considered to be a remanufactured 

locomotive and its date of original 

manufacture is the date on which 

assembly was completed in 1990. (Note: 

such a locomotive would also be 

considered to be a repowered 

locomotive.) 

(e) Locomotives containing used parts 

that are deemed to be freshly 

manufactured locomotives are subject to 

the same provisions as all other freshly 

manufactured locomotives. Other 

refurbished locomotives are subject to 

the same provisions as other 

remanufactured locomotives, with the 

following exceptions: 

(1) Switch locomotives. (i) Prior to 

January 1, 2015, remanufactured Tier 0 

switch locomotives that are deemed to 

be refurbished are subject to the Tier 0 

line-haul cycle and switch cycle 

standards. Note that this differs from the 

requirements applicable to other Tier 0 

switch locomotives, which are not 

subject to the Tier 0 line-haul cycle 

standards. 

(ii) Beginning January 1, 2015, 

remanufactured Tier 3 and earlier 

switch locomotives that are deemed to 

be refurbished are subject to the Tier 3 

switch standards. 

(2) Line-haul locomotives. 

Remanufactured line-haul locomotives 

that are deemed to be refurbished are 

subject to the same standards as freshly 

manufactured line-haul locomotives, 

except that line-haul locomotives with 

rated power less than 3000 hp that are 

refurbished before January 1, 2015 are 

subject to the same standards as 

refurbished switch locomotives under 

paragraph (e)(1)(i) of this section. 

However, line-haul locomotives less 

than 3000 hp may not generate emission 

credits relative to the standards 

specified in paragraph (e)(1)(i) of this 

section. 

(3) Labels for switch and line-haul 

locomotives. Remanufacturers that 

refurbish a locomotive must add a 

secondary locomotive label that 

includes the following: 

(i) The label heading: ‘‘REFURBISHED 

LOCOMOTIVE EMISSION CONTROL 

INFORMATION.’’ 

(ii) The statement identifying when 

the locomotive was refurbished and 

what standards it is subject to, as 

follows: ‘‘THIS LOCOMOTIVE WAS 

REFURBISHED IN [year of 

refurbishment] AND MUST COMPLY 

WITH THE TIER [applicable standard 

level] EACH TIME THAT IT IS 

REMANUFACTURED, EXCEPT AS 

ALLOWED BY 40 CFR 1033.750.’’. 

§ 1033.645 Non-OEM component 

certification program. 

This section describes a voluntary 

program that allows you to get EPA 

approval of components you 

manufacture for use during 

remanufacturing. 

(a) Applicability. This section applies 

only for components replaced during 

remanufacturing. It does not apply for 

other components that are replaced 

during a locomotive’s useful life. 

(1) The following components are 

eligible for approval under this section: 

(i) Cylinder liners. 

(ii) Pistons. 

(iii) Piston rings. 

(iv) Heads. 

(v) Fuel injectors. 

(vi) Turbochargers. 

(vii) Aftercoolers and intercoolers. 

(2) Catalysts and electronic controls 

are not eligible for approval under this 

section. 

(3) We may determine that other types 

of components can be certified under 
mstockstill on PROD1PC66 with RULES3


Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37229 

this section, consistent with good 

engineering judgment. 

(b) Approval. To obtain approval, 

submit your request to the Designated 

Compliance Officer. 

(1) Include all of the following in your 

request: 

(i) A description of the component(s) 

for which you are requesting approval. 

(ii) A list of all engine/locomotive 

models and engine families for which 

your component would be used. You 

may exclude models that are not subject 

to our standards or will otherwise not be 

remanufactured under a certificate of 

conformity. 

(iii) A copy of the maintenance 

instructions for engines using your 

component. You may reference the 

other certificate holder’s maintenance 

instructions in your instructions. For 

example, your instructions may specify 

to follow the other certificate holder’s 

instructions in general, but list one or 

more exceptions to address the specific 

maintenance needs of your component. 

(iv) An engineering analysis 

(including test data in some cases) 

demonstrating to us that your 

component will not cause emissions to 

increase. The analysis must address 

both low-hour and end-of-useful life 

emissions. The amount of information 

required for this analysis is less than is 

required to obtain a certificate of 

conformity under subpart C of this part 

and will vary depending on the type of 

component being certified. 

(v) The following statement signed by 

an authorized representative of your 

company: We submit this request under 

40 CFR 1033.645. All the information in 

this report is true and accurate to the 

best of my knowledge. I know of the 

penalties for violating the Clean Air Act 

and the regulations. (Authorized 

Company Representative) 

(2) If we determine that there is 

reasonable technical basis to believe 

that your component is sufficiently 

equivalent that it will not increase 

emissions, we will approve your request 

and you will be a certificate holder for 

your components with respect to actual 

emissions performance for all 

locomotives that use those components 

(in accordance with this section). 

(c) Liability. Being a certificate holder 

under this section means that if in-use 

testing indicates that a certified 

locomotive using one or more of your 

approved components does not comply 

with an applicable emission standard, 

we will presume that you and other 

certificate holders are liable for the 

noncompliance. However, we will not 

hold you liable in cases where you 

convince us that your components did 

not cause the noncompliance. 

Conversely, we will not hold other 

certificate holders liable for 

noncompliance caused solely by your 

components. You are also subject to the 

warranty and defect reporting 

requirements of this part for your 

certified components. Other 

requirements of this part apply as 

specified in § 1033.1. 

(d) In-use testing. Locomotives 

containing your components must be 

tested according to the provisions of this 

paragraph (d). 

(1) Except as specified in paragraph 

(d)(5) of this section, you must test at 

least one locomotive if 250 locomotives 

use your component under this section. 

You must test one additional locomotive 

for the next additional 500 locomotives 

that use your component under this 

section. After that, we may require you 

to test one additional locomotive for 

each additional 1000 locomotives that 

use your component under this section. 

These numbers apply across model 

years. For example, if your component 

is used in 125 remanufactures per year 

under this section, you must test one of 

the first 250 locomotives, one of the 

next 500 locomotives, and up to one 

every eight years after that. Do not count 

locomotives that use your components 

but are not covered by this section. 

(2) Except for the first locomotive you 

test for a specific component under this 

section, locomotives tested under this 

paragraph (d) must be past the half-way 

point of the useful life in terms of MWhrs. For the first locomotive you test, 

select a locomotive that has operated 

between 25 and 50 percent of its useful 

life. 

(3) Unless we approve a different 

schedule, you must complete testing 

and report the results to us within 180 

days of the earliest point at which you 

could complete the testing based on the 

hours of operation accumulated by the 

locomotives. For example, if 250 or 

more locomotives use your part under 

this section, and the first of these to 

reach 25 percent of its useful life does 

so on March 1st of a given year, you 

must complete testing of one of the first 

250 locomotives and report to us by 

August 28th of that year. 

(4) Unless we approve different test 

procedures, you must test the 

locomotive according to the procedures 

specified in subpart F of this part. 

(5) If any locomotives fail to meet all 

standards, we may require you to test 

one additional locomotive for each 

locomotive that fails. You may choose to 

accept that your part is causing an 

emission problem rather than 

continuing testing. You may also test 

additional locomotives at any time. We 

will consider failure rates, average 

emission levels and the existence of any 

defects among other factors in 

determining whether to pursue remedial 

action. We may order a recall pursuant 

to 40 CFR part 1068 before you 

complete testing additional locomotives. 

(6) You may ask us to allow you to 

rely on testing performed by others 

instead of requiring you to perform 

testing. For example, if a railroad tests 

a locomotive with your component as 

part of its testing under § 1033.810, you 

may ask to submit those test data as 

fulfillment of your test obligations 

under this paragraph (d). If a given test 

locomotive uses different components 

certified under this section that were 

manufactured by different 

manufacturers (such as rings from one 

manufacturer and cylinder liners from 

another manufacturer), a single test of it 

may be counted towards both 

manufacturers’ test obligations. In 

unusual circumstances, you may also 

ask us to grant you hardship relief from 

the testing requirements of this 

paragraph (d). In determining whether 

to grant you relief, we will consider all 

relevant factors including the extent of 

the financial hardship to your company 

and whether the test data are available 

from other sources, such as testing 

performed by a railroad. 

(e) Components certified under this 

section may be used when 

remanufacturing Category 2 engines 

under 40 CFR part 1042. 

§ 1033.650 Incidental use exemption for 

Canadian and Mexican locomotives. 

You may ask us to exempt from the 

requirements and prohibitions of this 

part locomotives that are operated 

primarily outside of the United States 

and that enter the United States 

temporarily from Canada or Mexico. We 

will approve this exemption only where 

we determine that the locomotive’s 

operation within the United States will 

not be extensive and will be incidental 

to its primary operation. For example, 

we would generally exempt locomotives 

that will not operate more than 25 miles 

from the border and will operate in the 

United States less than 5 percent of their 

operating time. For existing operations, 

you must request this exemption before 

January 1, 2011. In your request, 

identify the locomotives for which you 

are requesting an exemption, and 

describe their projected use in the 

United States. We may grant the 

exemption broadly or limit the 

exemption to specific locomotives and/ 

or specific geographic areas. However, 

we will typically approve exemptions 

for specific rail facilities rather than 

specific locomotives. In unusual 

circumstances, such as cases in which 
mstockstill on PROD1PC66 with RULES3


37230 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

new rail facilities are created, we may 

approve requests submitted after 

January 1, 2011. 

§ 1033.655 Special provisions for certain 

Tier 0/Tier 1 locomotives. 

(a) The provisions of this section 

apply only for the following 

locomotives (and locomotives in the 

same engine families as these 

locomotives): 

(1) Locomotives listed in Table 1 of 

this section originally manufactured 

1986–1994 by General Electric Company 

that have never been equipped with 

separate loop aftercooling. The section 

also applies for the equivalent passenger 

locomotives. 

TABLE 1 TO § 1033.655 

8–40C ........................
 P32ACDM 

8–40B ........................
 P42DC 

8–32B ........................
 8–40BPH 

8–40CW ....................
 P40DC 

8–40BW ....................
 8–32BWH 

8–40CM .....................
 C39–8 

8–41CW ....................
 B39–8E 

8–44CW 

(2) SD70MAC and SD70IAC 

locomotives originally manufactured 

1996–2000 by EMD. 

(b) Any certifying remanufacturer may 

request relief for the locomotives 

covered by this section. 

(c) You may ask us to allow these 

locomotives to exceed otherwise 

applicable line-haul cycle NOX standard 

for high ambient temperatures and/or 

altitude because of limitations of the 

cooling system. However, the NOX 

emissions may exceed the otherwise 

applicable standard only to the extent 

necessary. Relief is limited to the 

following conditions: 

(1) For General Electric locomotives, 

you may ask for relief for ambient 

temperatures above 23 °C and/or 

barometric pressure below 97.5 kPa 

(28.8 in. Hg). NOX emissions may not 

exceed 9.5 g/bhp-hr over the line-haul 

cycle for any temperatures up to 105 °F 

and any altitude up to 7000 feet above 

sea level. 

(2) For EMD locomotives, you may 

ask for relief for ambient temperatures 

above 30 °C and/or barometric pressure 

below 97.5 kPa (28.8 in. Hg). NOX 

emissions may not exceed 8.0 g/bhp-hr 

over the line-haul cycle for any 

temperatures up to 105 °F and any 

altitude up to 7000 feet above sea level. 

(d) All other standards and 

requirements in this part apply as 

specified. 

(e) To request this relief, submit to the 

Designated Compliance Officer along 

with your application for certification 

an engineering analysis showing how 

your emission controls operate for the 

following conditions: 

(1) Temperatures 23–40 °C at any 

altitude up to 7000 feet above sea level. 

(2) Altitudes 1000–7000 feet above sea 

level for any temperature from 15–40 °C. 

Subpart H—Averaging, Banking, and 

Trading for Certification 

§ 1033.701 General provisions. 

(a) You may average, bank, and trade 

(ABT) emission credits for purposes of 

certification as described in this subpart 

to show compliance with the standards 

of this part. Participation in this 

program is voluntary. 

(b) Section 1033.740 restricts the use 

of emission credits to certain averaging 

sets. 

(c) The definitions of Subpart J of this 

part apply to this subpart. The following 

definitions also apply: 

(1) Actual emission credits means 

emission credits you have generated 

that we have verified by reviewing your 

final report. 

(2) Applicable emission standard 

means an emission standard that is 

specified in subpart B of this part. Note 

that for other subparts, ‘‘applicable 

emission standard’’ is defined to also 

include FELs. 

(3) Averaging set means a set of 

locomotives in which emission credits 

may be exchanged only with other 

locomotives in the same averaging set. 

(4) Broker means any entity that 

facilitates a trade of emission credits 

between a buyer and seller. 

(5) Buyer means the entity that 

receives emission credits as a result of 

a trade. 

(6) Reserved emission credits means 

emission credits you have generated 

that we have not yet verified by 

reviewing your final report. 

(7) Seller means the entity that 

provides emission credits during a 

trade. 

(8) Trade means to exchange emission 

credits, either as a buyer or seller. 

(9) Transfer means to convey control 

of credits generated for an individual 

locomotive to the purchaser, owner, or 

operator of the locomotive at the time of 

manufacture or remanufacture; or to 

convey control of previously generated 

credits from the purchaser, owner, or 

operator of an individual locomotive to 

the manufacturer/remanufacturer at the 

time of manufacture/remanufacture. 

(d) You may not use emission credits 

generated under this subpart to offset 

any emissions that exceed an FEL or 

standard. This applies for all testing, 

including certification testing, in-use 

testing, selective enforcement audits, 

and other production-line testing. 

However, if emissions from a 

locomotive exceed an FEL or standard 

(for example, during a selective 

enforcement audit), you may use 

emission credits to recertify the engine 

family with a higher FEL that applies 

only to future production. 

(e) Engine families that use emission 

credits for one or more pollutants may 

not generate positive emission credits 

for another pollutant. 

(f) Emission credits may be used in 

the model year they are generated or in 

future model years. Emission credits 

may not be used for past model years. 

(g) You may increase or decrease an 

FEL during the model year by amending 

your application for certification under 

§ 1033.225. The new FEL may apply 

only to locomotives you have not 

already introduced into commerce. Each 

locomotive’s emission control 

information label must include the 

applicable FELs. You must conduct 

production line testing to verify that the 

emission levels are achieved. 

(h) Credits may be generated by any 

certifying manufacturer/remanufacturer 

and may be held by any of the following 

entities: 

(1) Locomotive or engine 

manufacturers. 

(2) Locomotive or engine 

remanufacturers. 

(3) Locomotive owners. 

(4) Locomotive operators. 

(5) Other entities after notification to 

EPA. 

(i) All locomotives that are certified to 

an FEL that is different from the 

emission standard that would otherwise 

apply to the locomotives are required to 

comply with that FEL for the remainder 

of their service lives, except as allowed 

by § 1033.750. 

(1) Manufacturers must notify the 

purchaser of any locomotive that is 

certified to an FEL that is different from 

the emission standard that would 

otherwise apply that the locomotive is 

required to comply with that FEL for the 

remainder of its service life. 

(2) Remanufacturers must notify the 

owner of any locomotive or locomotive 

engine that is certified to an FEL that is 

different from the emission standard 

that would otherwise apply that the 

locomotive (or the locomotive in which 

the engine is used) is required to 

comply with that FEL for the remainder 

of its service life. 

(j) The FEL to which the locomotive 

is certified must be included on the 

locomotive label required in § 1033.135. 

This label must include the notification 

specified in paragraph (i) of this section. 
mstockstill on PROD1PC66 with RULES3


Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37231 


§ 1033.705 Calculating emission credits. 

The provisions of this section apply 

separately for calculating emission 

credits for NOX or PM. 

(a) Calculate positive emission credits 

for an engine family that has an FEL 

below the otherwise applicable 

emission standard. Calculate negative 

emission credits for an engine family 

that has an FEL above the otherwise 

applicable emission standard. Do not 

round until the end of year report. 

(b) For each participating engine 

family, calculate positive or negative 

emission credits relative to the 

otherwise applicable emission standard. 

For the end of year report, round 

calculated emission credits to the 

nearest one hundredth of a megagram 

(0.01 Mg). Round your end of year 

emission credit balance to the nearest 

megagram (Mg). Use consistent units 

throughout the calculation. When useful 

life is expressed in terms of megawatthrs, calculate credits for each engine 

family from the following equation: 

Emission credits = (Std¥FEL) × (1.341) 

× (UL) × (Production) × (Fp) × (10¥3 

kW-Mg/MW-g). 

Where: 

Std = the applicable NOX or PM emission 

standard in g/bhp-hr (except that Std = 

previous FEL in g/bhp-hr for locomotives 

that were certified under this part to an 

FEL other than the standard during the 

previous useful life). 

FEL = the family emission limit for the 

engine family in g/bhp-hr. 

UL = the sales-weighted average useful life in 

megawatt-hours (or the subset of the 

engine family for which credits are being 

calculated), as specified in the 

application for certification. 

Production = the number of locomotives 

participating in the averaging, banking, 

and trading program within the given 

engine family during the calendar year 

(or the number of locomotives in the 

subset of the engine family for which 

credits are being calculated). Quarterly 

production projections are used for 

initial certification. Actual applicable 

production/sales volumes are used for 

end-of-year compliance determination. 

Fp = the proration factor as determined in 

paragraph (d) of this section. 

(c) When useful life is expressed in 

terms of miles, calculate the useful life 

in terms of megawatt-hours (UL) by 

dividing the useful life in miles by 

100,000, and multiplying by the salesweighted average rated power of the 

engine family. For example, if your 

useful life is 800,000 miles for a family 

with an average rated power of 3,500 

hp, then your equivalent MW-hr useful 

life would be 28,000 MW-hrs. Credits 

are calculated using this UL value in the 

equations of paragraph (b) of this 

section. 

(d) The proration factor is an estimate 

of the fraction of a locomotive’s service 

life that remains as a function of age. 

The proration factor is 1.00 for freshly 

manufactured locomotives. 

(1) The locomotive’s age is the length 

of time in years from the date of original 

manufacture to the date at which the 

remanufacture (for which credits are 

being calculated) is completed, rounded 

to the next higher year. 

(2) The proration factors for line-haul 


locomotives ages 1 through 20 are 


specified in Table 1 to this section. For 


line-haul locomotives more than 20 


through 40 are specified in Table 2 to 


this section. For switch locomotives 


more than 40 years old, use the 


proration factor for 40 year old 


locomotives. 


years old, use the proration factor for 20 


year old locomotives. The proration 


factors for switch locomotives ages 1 


(3) For repower engines, the proration 

factor is based on the age of the 

locomotive chassis, not the age of the 

engine, except for remanufactured 

locomotives that qualify as refurbished. 

The minimum proration factor for 

remanufactured locomotives that meet 

the definition of refurbished but not 

freshly manufactured is 0.60. (Note: The 

proration factor is 1.00 for all 

locomotives that meet the definition of 

freshly manufactured.) 

TABLE 1 TO § 1033.705.—PRORATION 

FACTORS FOR LINE-HAUL LOCOMOTIVES 

Proration Locomotive age (years) factor (Fp) 

1 ............................................
 0.96 

2 ............................................
 0.92 

3 ............................................
 0.88 

4 ............................................
 0.84 

5 ............................................
 0.81 

6 ............................................
 0.77 

7 ............................................
 0.73 

8 ............................................
 0.69 

9 ............................................
 0.65 

10 ..........................................
 0.61 

11 ..........................................
 0.57 

12 ..........................................
 0.54 

13 ..........................................
 0.50 

14 ..........................................
 0.47 

15 ..........................................
 0.43 

16 ..........................................
 0.40 

17 ..........................................
 0.36 

18 ..........................................
 0.33 

19 ..........................................
 0.30 

20 ..........................................
 0.27 

TABLE 2 TO § 1033.705.—PRORATION
 

FACTORS FOR SWITCH LOCOMOTIVES
 

Proration Locomotive age (years) factor (Fp) 

1 ............................................
 0.98 

TABLE 2 TO § 1033.705.—PRORATION 

FACTORS FOR SWITCH LOCOMOTIVES—Continued 

Proration Locomotive age (years) factor (Fp) 

2 ............................................
 0.96 

3 ............................................
 0.94 

4 ............................................
 0.92 

5 ............................................
 0.90 

6 ............................................
 0.88 

7 ............................................
 0.86 

8 ............................................
 0.84 

9 ............................................
 0.82 

10 ..........................................
 0.80 

11 ..........................................
 0.78 

12 ..........................................
 0.76 

13 ..........................................
 0.74 

14 ..........................................
 0.72 

15 ..........................................
 0.70 

16 ..........................................
 0.68 

17 ..........................................
 0.66 

18 ..........................................
 0.64 

19 ..........................................
 0.62 

20 ..........................................
 0.60 

21 ..........................................
 0.58 

22 ..........................................
 0.56 

23 ..........................................
 0.54 

24 ..........................................
 0.52 

25 ..........................................
 0.50 

26 ..........................................
 0.48 

27 ..........................................
 0.46 

28 ..........................................
 0.44 

29 ..........................................
 0.42 

30 ..........................................
 0.40 

31 ..........................................
 0.38 

32 ..........................................
 0.36 

33 ..........................................
 0.34 

34 ..........................................
 0.32 

35 ..........................................
 0.30 

36 ..........................................
 0.28 

37 ..........................................
 0.26 

38 ..........................................
 0.24 

39 ..........................................
 0.22 

40 ..........................................
 0.20 

(e) In your application for 

certification, base your showing of 

compliance on projected production 

volumes for locomotives that will be 

placed into service in the United States. 

As described in § 1033.730, compliance 

with the requirements of this subpart is 

determined at the end of the model year 

based on actual production volumes for 

locomotives that will be placed into 

service in the United States. Do not 

include any of the following 

locomotives to calculate emission 

credits: 

(1) Locomotives permanently 

exempted under subpart G of this part 

or under 40 CFR part 1068. 

(2) Exported locomotives. You may 

ask to include locomotives sold to 

Mexican or Canadian railroads if they 

will likely operate within the United 

States and you include all such 

locomotives (both credit using and 

credit generating locomotives). 
mstockstill on PROD1PC66 with RULES3


37232 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

(3) Locomotives not subject to the 

requirements of this part, such as those 

excluded under § 1033.5. 

(4) Any other locomotives, where we 

indicate elsewhere in this part 1033 that 

they are not to be included in the 

calculations of this subpart. 

§ 1033.710 Averaging emission credits. 

(a) Averaging is the exchange of 

emission credits among your engine 

families. You may average emission 

credits only as allowed by § 1033.740. 

(b) You may certify one or more 

engine families to an FEL above the 

applicable emission standard, subject to 

the FEL caps and other provisions in 

subpart B of this part, if you show in 

your application for certification that 

your projected balance of all emissioncredit transactions in that model year is 

greater than or equal to zero. 

(c) If you certify an engine family to 

an FEL that exceeds the otherwise 

applicable emission standard, you must 

obtain enough emission credits to offset 

the engine family’s deficit by the due 

date for the final report required in 

§ 1033.730. The emission credits used to 

address the deficit may come from your 

other engine families that generate 

emission credits in the same model 

year, from emission credits you have 

banked, or from emission credits you 

obtain through trading or by transfer. 

§ 1033.715 Banking emission credits. 

(a) Banking is the retention of 

emission credits by the manufacturer/ 

remanufacturer generating the emission 

credits (or owner/operator, in the case of 

transferred credits) for use in averaging, 

trading, or transferring in future model 

years. You may use banked emission 

credits only as allowed by § 1033.740. 

(b) You may use banked emission 

credits from the previous model year for 

averaging, trading, or transferring before 

we verify them, but we may revoke 

these emission credits if we are unable 

to verify them after reviewing your 

reports or auditing your records. 

(c) Reserved credits become actual 

emission credits only when we verify 

them after reviewing your final report. 

§ 1033.720 Trading emission credits. 

(a) Trading is the exchange of 

emission credits between certificate 

holders. You may use traded emission 

credits for averaging, banking, or further 

trading transactions. Traded emission 

credits may be used only as allowed by 

§ 1033.740. 

(b) You may trade actual emission 

credits as described in this subpart. You 

may also trade reserved emission 

credits, but we may revoke these 

emission credits based on our review of 

your records or reports or those of the 

company with which you traded 

emission credits. 

(c) If a negative emission credit 

balance results from a transaction, both 

the buyer and seller are liable, except in 

cases we deem to involve fraud. See 

§ 1033.255(e) for cases involving fraud. 

We may void the certificates of all 

engine families participating in a trade 

that results in a manufacturer/ 

remanufacturer having a negative 

balance of emission credits. See 

§ 1033.745. 

§ 1033.722 Transferring emission credits. 

(a) Credit transfer is the conveying of 

control over credits, either: 

(1) From a certifying manufacturer/ 

remanufacturer to an owner/operator. 

(2) From an owner/operator to a 

certifying manufacturer/remanufacturer. 

(b) Transferred credits can be: 

(1) Used by a certifying manufacturer/ 

remanufacturer in averaging. 

(2) Transferred again within the 

model year. 

(3) Reserved for later banking. 

Transferred credits may not be traded 

unless they have been previously 

banked. 

(c) Owners/operators participating in 

credit transfers must submit the reports 

specified in § 1033.730. 

§ 1033.725 Requirements for your 

application for certification. 

(a) You must declare in your 

application for certification your intent 

to use the provisions of this subpart for 

each engine family that will be certified 

using the ABT program. You must also 

declare the FELs you select for the 

engine family for each pollutant for 

which you are using the ABT program. 

Your FELs must comply with the 

specifications of subpart B of this part, 

including the FEL caps. FELs must be 

expressed to the same number of 

decimal places as the applicable 

emission standards. 

(b) Include the following in your 

application for certification: 

(1) A statement that, to the best of 

your belief, you will not have a negative 

balance of emission credits for any 

averaging set when all emission credits 

are calculated at the end of the year. 

(2) Detailed calculations of projected 

emission credits (positive or negative) 

based on projected production volumes. 

§ 1033.730 ABT reports. 

(a) If any of your engine families are 

certified using the ABT provisions of 

this subpart, you must send an end-ofyear report within 90 days after the end 

of the model year and a final report 

within 270 days after the end of the 

model year. We may waive the 

requirement to send the end-of year 

report, as long as you send the final 

report on time. 

(b) Your end-of-year and final reports 

must include the following information 

for each engine family participating in 

the ABT program: 

(1) Engine family designation. 

(2) The emission standards that would 

otherwise apply to the engine family. 

(3) The FEL for each pollutant. If you 

changed an FEL during the model year, 

identify each FEL you used and 

calculate the positive or negative 

emission credits under each FEL. Also, 

describe how the applicable FEL can be 

identified for each locomotive you 

produced. For example, you might keep 

a list of locomotive identification 

numbers that correspond with certain 

FEL values. 

(4) The projected and actual 

production volumes for the model year 

that will be placed into service in the 

United States as described in 

§ 1033.705. If you changed an FEL 

during the model year, identify the 

actual production volume associated 

with each FEL. 

(5) Rated power for each locomotive 

configuration, and the sales-weighted 

average locomotive power for the engine 

family. 

(6) Useful life. 

(7) Calculated positive or negative 

emission credits for the whole engine 

family. Identify any emission credits 

that you traded or transferred, as 

described in paragraph (d)(1) or (e) of 

this section. 

(c) Your end-of-year and final reports 

must include the following additional 

information: 

(1) Show that your net balance of 

emission credits from all your engine 

families in each averaging set in the 

applicable model year is not negative. 

(2) State whether you will retain any 

emission credits for banking. 

(3) State that the report’s contents are 

accurate. 

(d) If you trade emission credits, you 

must send us a report within 90 days 

after the transaction, as follows: 

(1) As the seller, you must include the 

following information in your report: 

(i) The corporate names of the buyer 

and any brokers. 

(ii) A copy of any contracts related to 

the trade. 

(iii) The engine families that 

generated emission credits for the trade, 

including the number of emission 

credits from each family. 

(2) As the buyer, you must include the 

following information in your report: 

(i) The corporate names of the seller 

and any brokers. 
mstockstill on PROD1PC66 with RULES3


Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37233 

(ii) A copy of any contracts related to 

the trade. 

(iii) How you intend to use the 

emission credits, including the number 

of emission credits you intend to apply 

to each engine family (if known). 

(e) If you transfer emission credits, 

you must send us a report within 90 

days after the first transfer to an owner/ 

operator, as follows: 

(1) Include the following information: 

(i) The corporate names of the owner/ 

operator receiving the credits. 

(ii) A copy of any contracts related to 

the trade. 

(iii) The serial numbers and engine 

families for the locomotive that 

generated the transferred emission 

credits and the number of emission 

credits from each family. 

(2) The requirements of this paragraph 

(e) apply separately for each owner/ 

operator. 

(3) We may require you to submit 

additional 90-day reports under this 

paragraph (e). 

(f) Send your reports electronically to 

the Designated Compliance Officer 

using an approved information format. 

If you want to use a different format, 

send us a written request with 

justification for a waiver. 

(g) Correct errors in your end-of-year 

report or final report as follows: 

(1) You may correct any errors in your 

end-of-year report when you prepare the 

final report, as long as you send us the 

final report by the time it is due. 

(2) If you or we determine within 270 

days after the end of the model year that 

errors mistakenly decreased your 

balance of emission credits, you may 

correct the errors and recalculate the 

balance of emission credits. You may 

not make these corrections for errors 

that are determined more than 270 days 

after the end of the model year. If you 

report a negative balance of emission 

credits, we may disallow corrections 

under this paragraph (g)(2). 

(3) If you or we determine anytime 

that errors mistakenly increased your 

balance of emission credits, you must 

correct the errors and recalculate the 

balance of emission credits. 

(h) We may modify these 

requirements for owners/operators 

required to submit reports because of 

their involvement in credit transferring. 

§ 1033.735 Required records. 

(a) You must organize and maintain 

your records as described in this 

section. We may review your records at 

any time. 

(b) Keep the records required by this 

section for eight years after the due date 

for the end-of-year report. You may not 

use emission credits on any engines if 

you do not keep all the records required 

under this section. You must therefore 

keep these records to continue to bank 

valid credits. Store these records in any 

format and on any media, as long as you 

can promptly send us organized, written 

records in English if we ask for them. 

You must keep these records readily 

available. We may review them at any 

time. 

(c) Keep a copy of the reports we 

require in § 1033.730. 

(d) Keep the following additional 

records for each locomotive you 

produce that generates or uses emission 

credits under the ABT program: 

(1) Engine family designation. 

(2) Locomotive identification number. 

You may identify these numbers as a 

range. 

(3) FEL. If you change the FEL after 

the start of production, identify the date 

that you started using the new FEL and 

give the engine identification number 

for the first engine covered by the new 

FEL. 

(4) Rated power and useful life. 

(5) Purchaser and destination for 

freshly manufactured locomotives; or 

owner for remanufactured locomotives. 

(e) We may require you to keep 

additional records or to send us relevant 

information not required by this section, 

as allowed under the Clean Air Act. 

§ 1033.740 Credit restrictions. 

Use of emission credits generated 

under this part 1033 or 40 CFR part 92 

is restricted depending on the standards 

against which they were generated. 

(a) Credits from 40 CFR part 92. NOX 

and PM credits generated under 40 CFR 

part 92 may be used under this part in 

the same manner as NOX and PM credits 

generated under this part. 

(b) General cycle restriction. 

Locomotives subject to both switch 

cycle standards and line-haul cycle 

standards (such as Tier 2 locomotives) 

may generate both switch and line-haul 

credits. Except as specified in paragraph 

(c) of this section, such credits may only 

be used to show compliance with 

standards for the same cycle for which 

they were generated. For example, a 

Tier 2 locomotive that is certified to a 

switch cycle NOX FEL below the 

applicable switch cycle standard and a 

line-haul cycle NOX FEL below the 

applicable line-haul cycle standard may 

generate switch cycle NOX credits for 

use in complying with switch cycle 

NOX standards and a line-haul cycle 

NOX credits for use in complying with 

line-haul cycle NOX standards. 

(c) Single cycle locomotives. As 

specified in § 1033.101, Tier 0 switch 

locomotives, Tier 3 and later switch 

locomotives, and Tier 4 and later linehaul locomotives are not subject to both 

switch cycle and line-haul cycle 

standards. 

(1) When using credits generated by 

locomotives covered by paragraph (b) of 

this section for single cycle locomotives 

covered by this paragraph (c), you must 

use both switch and line-haul credits as 

described in this paragraph (c)(1). 

(i) For locomotives subject only to 

switch cycle standards, calculate the 

negative switch credits for the credit 

using locomotive as specified in 

§ 1033.705. Such locomotives also 

generate an equal number of negative 

line-haul cycle credits (in Mg). 

(ii) For locomotives subject only to 

line-haul cycle standards, calculate the 

negative line-haul credits for the credit 

using locomotive as specified in 

§ 1033.705. Such locomotives also 

generate an equal number of negative 

switch cycle credits (in Mg). 

(2) Credits generated by Tier 0, Tier 3, 

or Tier 4 switch locomotives may be 

used to show compliance with any 

switch cycle or line-haul cycle 

standards. 

(3) Credits generated by any line-haul 

locomotives may not be used by Tier 3 

or later switch locomotives. 

(d) Tier 4 credit use. The number of 

Tier 4 locomotives that can be certified 

using credits in any year may not 

exceed 50 percent of the total number of 

Tier 4 locomotives you produce in that 

year for U.S. sales. 

(e) Other restrictions. Other sections 

of this part may specify additional 

restrictions for using emission credits 

under certain special provisions. 

§ 1033.745 Compliance with the provisions 

of this subpart. 

The provisions of this section apply to 

certificate holders. 

(a) For each engine family 

participating in the ABT program, the 

certificate of conformity is conditional 

upon full compliance with the 

provisions of this subpart during and 

after the model year. You are 

responsible to establish to our 

satisfaction that you fully comply with 

applicable requirements. We may void 

the certificate of conformity for an 

engine family if you fail to comply with 

any provisions of this subpart. 

(b) You may certify your engine 

family to an FEL above an applicable 

emission standard based on a projection 

that you will have enough emission 

credits to offset the deficit for the engine 

family. However, we may void the 

certificate of conformity if you cannot 

show in your final report that you have 

enough actual emission credits to offset 

a deficit for any pollutant in an engine 

family. 
mstockstill on PROD1PC66 with RULES3


37234 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

(c) We may void the certificate of 

conformity for an engine family if you 

fail to keep records, send reports, or give 

us information we request. 

(d) You may ask for a hearing if we 

void your certificate under this section 

(see § 1033.920). 

§ 1033.750 Changing a locomotive’s FEL 

at remanufacture. 

Locomotives are generally required to 

be certified to the previously applicable 

emission standard or FEL when 

remanufactured. This section describes 

provisions that allow a remanufactured 

locomotive to be certified to a different 

FEL (higher or lower). 

(a) A remanufacturer may choose to 

certify a remanufacturing system to 

change the FEL of a locomotive from a 

previously applicable FEL or standard. 

Any locomotives remanufactured using 

that system are required to comply with 

the revised FEL for the remainder of 

their service lives, unless it is changed 

again under this section during a later 

remanufacture. Remanufacturers 

changing an FEL must notify the owner 

of the locomotive that it is required to 

comply with that FEL for the remainder 

of its service life. 

(b) Calculate the credits needed or 

generated as specified in § 1033.705, 

except as specified in this paragraph. If 

the locomotive was previously certified 

to an FEL for the pollutant, use the 

previously applicable FEL as the 

standard. 

Subpart I—Requirements for Owners 

and Operators 

§ 1033.801 Applicability. 

The requirements of this subpart are 

applicable to railroads and all other 

owners and operators of locomotives 

subject to the provisions of this part, 

except as otherwise specified. The 

prohibitions related to maintenance in 

§ 1033.815 also applies to anyone 

performing maintenance on a 

locomotive subject to the provisions of 

this part. 

§ 1033.805 Remanufacturing 

requirements. 

(a) See the definition of 

‘‘remanufacture’’ in § 1033.901 to 

determine if you are remanufacturing 

your locomotive or engine. (Note: 

Replacing power assemblies one at a 

time may qualify as remanufacturing, 

depending on the interval between 

replacement.) 

(b) See the definition of ‘‘new’’ in 

§ 1033.901 to determine if 

remanufacturing your locomotive makes 

it subject to the requirements of this 

part. If the locomotive is considered to 

be new, it is subject to the certification 

requirements of this part, unless it is 

exempt under subpart G of this part. 

The standards to which your locomotive 

is subject will depend on factors such as 

the following: 

(1) Its date of original manufacture. 

(2) The FEL to which it was 

previously certified, which is listed on 

the ‘‘Locomotive Emission Control 

Information’’ label. 

(3) Its power rating (whether it is 

above or below 2300 hp). 

(4) The calendar year in which it is 

being remanufactured. 

(c) You may comply with the 

certification requirements of this part 

for your remanufactured locomotive by 

either obtaining your own certificate of 

conformity as specified in subpart C of 

this part or by having a certifying 

remanufacturer include your locomotive 

under its certificate of conformity. In 

either case, your remanufactured 

locomotive must be covered by a 

certificate before it is reintroduced into 

service. 

(d) If you do not obtain your own 

certificate of conformity from EPA, 

contact a certifying remanufacturer to 

have your locomotive included under 

its certificate of conformity. Confirm 

with the certificate holder that your 

locomotive’s model, date of original 

manufacture, previous FEL, and power 

rating allow it to be covered by the 

certificate. You must do all of the 

following: 

(1) Comply with the certificate 

holder’s emission-related installation 

instructions, which should include the 

following: 

(i) A description of how to assemble 

and adjust the locomotive so that it will 

operate according to design 

specifications in the certificate. See 

paragraph (e) of this section for 

requirements related to the parts you 

must use. 

(ii) Instructions to remove the Engine 

Emission Control Information label and 

replace it with the certificate holder’s 

new label. Note: In most cases, you must 

not remove the Locomotive Emission 

Control Information label. 

(2) Provide to the certificate holder 

the information it identifies as necessary 

to comply with the requirements of this 

part. For example, the certificate holder 

may require you to provide the 

information specified by § 1033.735. 

(e) For parts unrelated to emissions 

and emission-related parts not 

addressed by the certificate holder in 

the emission-related installation 

instructions, you may use parts from 

any source. For emission-related parts 

listed by the certificate holder in the 

emission-related installation 

instructions, you must either use the 

specified parts or parts certified under 

§ 1033.645 for remanufacturing. If you 

believe that the certificate holder has 

included as emission-related parts, parts 

that are actually unrelated to emissions, 

you may ask us to exclude such parts 

from the emission-related installation 

instructions. Note: This paragraph (e) 

does not apply with respect to parts for 

maintenance other than 

remanufacturing; see § 1033.815 for 

provisions related to general 

maintenance. 

(f) Failure to comply with this section 

is a violation of 40 CFR 1068.101(a)(1). 

§ 1033.810 In-use testing program. 

(a) Applicability. This section applies 

to all Class I freight railroads. It does not 

apply to other owner/operators. 

(b) Testing requirements. Annually 

test a sample of locomotives in your 

fleet. For purposes of this section, your 

fleet includes both the locomotives that 

you own and the locomotives that you 

are leasing. Use the test procedures in 

subpart F of this part, unless we 

approve different procedures. 

(1) Except for the cases described in 

paragraph (b)(2) of this section, test at 

least 0.075 percent of the average 

number of locomotives in your fleet 

during the previous calendar year (i.e., 

determine the number to be tested by 

multiplying the number of locomotives 

in the fleet by 0.00075 and rounding up 

to the next whole number). 

(2) We may allow you to test a smaller 

number of locomotives if we determine 

that the number of tests otherwise 

required by this section is not necessary. 

(c) Test locomotive selection. Unless 

we specify a different option, select test 

locomotives as specified in paragraph 

(c)(1) of this section (Option 1). In no 

case may you exclude locomotives 

because of visible smoke, a history of 

durability problems, or other evidence 

of malmaintenance. You may test more 

locomotives than is required by this 

section. 

(1) Option 1. To the extent possible, 

select locomotives from each 

manufacturer and remanufacturer, and 

from each tier level (e.g., Tier 0, Tier 1 

and Tier 2) in proportion to their 

numbers in the your fleet. Exclude 

locomotives tested during the previous 

year. If possible, select locomotives that 

have been operated for at least 100 

percent of their useful lives. Where 

there are multiple locomotives meeting 

the requirements of this paragraph 

(c)(1), randomly select the locomotives 

to be tested from among those 

locomotives. If the number of certified 

locomotives that have been operated for 

at least 100 percent of their useful lives 

is not large enough to fulfill the testing 
mstockstill on PROD1PC66 with RULES3


Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37235 

requirement, test locomotives still 

within their useful lives as follows: 

(i) Test locomotives in your fleet that 

are nearest to the end of their useful 

lives. You may identify such 

locomotives as a range of values 

representing the fraction of the useful 

life already used up for the locomotives. 

(ii) For example, you may determine 

that 20 percent of your fleet has been 

operated for at least 75 percent of their 

useful lives. In such a case, select 

locomotives for testing that have been 

operated for at least 75 percent of their 

useful lives. 

(2) Option 2. If you hold a certificate 

for some of your locomotives, you may 

ask us to allow you to select up to two 

locomotives as specified in subpart E of 

this part, and count those locomotives 

toward both your testing obligations of 

that subpart and this section. 

(3) Option 3. You may ask us to allow 

you to test locomotives that use parts 

covered under § 1033.645. If we do, it 

does not change the number of 

locomotives that you must test. 

(4) Option 4. We may require that you 

test specific locomotives, including 

locomotives that do not meet the criteria 

specified in any of the options in this 

section. If we do, we will specify which 

locomotives to test by January 1 of the 

calendar year for which testing is 

required. 

(d) Reporting requirements. Report all 

testing done in compliance with the 

provisions of this section to us within 

45 calendar days after the end of each 

calendar year. At a minimum, include 

the following: 

(1) Your full corporate name and 

address. 

(2) For each locomotive tested, all the 

following: 

(i) Corporate name of the 

manufacturer and last remanufacturer(s) 

of the locomotive (including both 

certificate holder and installer, where 

different), and the corporate name of the 

manufacturer or last remanufacturer(s) 

of the engine if different than that of the 

manufacturer/remanufacturer(s) of the 

locomotive. 

(ii) Year (and month if known) of 

original manufacture of the locomotive 

and the engine, and the manufacturer’s 

model designation of the locomotive 

and manufacturer’s model designation 

of the engine, and the locomotive 

identification number. 

(iii) Year (and month if known) that 

the engine last underwent 

remanufacture, the engine 

remanufacturer’s designation that 

reflects (or most closely reflects) the 

engine after the last remanufacture, and 

the engine family identification. 

(iv) The number of MW-hrs and miles 

(where available) the locomotive has 

been operated since its last 

remanufacture. 

(v) The emission test results for all 

measured pollutants. 

(e) You do not have to submit a report 

for any year in which you performed no 

emission testing under this section. 

(f) You may ask us to allow you to 

submit equivalent emission data 

collected for other purposes instead of 

some or all of the test data required by 

this section. If we allow it in advance, 

you may report emission data collected 

using other testing or sampling 

procedures instead of some or all of the 

data specified by this section. 

(g) Submit all reports to the 

Designated Compliance Officer. 

(h) Failure to comply fully with this 

section is a violation of 40 CFR 

1068.101(a)(2). 

§ 1033.815 Maintenance, operation, and 

repair. 

All persons who own, operate, or 

maintain locomotives are subject to this 

section, except where we specify that a 

requirement applies to the owner. 

(a) Unless we allow otherwise, all 

owners of locomotives subject to the 

provisions of this part must ensure that 

all emission-related maintenance is 

performed on the locomotives, as 

specified in the maintenance 

instructions provided by the certifying 

manufacturer/remanufacturer in 

compliance with § 1033.125 (or 

maintenance that is equivalent to the 

maintenance specified by the certifying 

manufacturer/remanufacturer in terms 

of maintaining emissions performance). 

(b) Perform unscheduled maintenance 

in a timely manner. This includes 

malfunctions identified through the 

locomotive’s emission control 

diagnostics system and malfunctions 

discovered in components of the 

diagnostics system itself. For most 

repairs, this paragraph (b) requires that 

the maintenance be performed no later 

than the locomotive’s next periodic (92-

day) inspection. See paragraph (e) of 

this section, for reductant 

replenishment requirements in a 

locomotive equipped with an SCR 

system. 

(c) Use good engineering judgment 

when performing maintenance of 

locomotives subject to the provisions of 

this part. You must perform all 

maintenance and repair such that you 

have a reasonable technical basis for 

believing the locomotive will continue 

(after the maintenance or repair) to meet 

the applicable emission standards and 

FELs to which it was certified. 

(d) The owner of the locomotive must 

keep records of all maintenance and 

repairs that could reasonably affect the 

emission performance of any locomotive 

subject to the provisions of this part. 

Keep these records for eight years. 

(e) For locomotives equipped with 

emission controls requiring the use of 

specific fuels, lubricants, or other fluids, 

proper maintenance includes complying 

with the manufacturer/remanufacturer’s 

specifications for such fluids when 

operating the locomotives. This 

requirement applies without regard to 

whether misfueling permanently 

disables the emission controls. The 

following additional provisions apply 

for locomotives equipped with SCR 

systems requiring the use of urea or 

other reductants: 

(1) You must plan appropriately to 

ensure that reductant will be available 

to the locomotive during operation. 

(2) If the SCR diagnostic indicates (or 

you otherwise determine) that either 

reductant supply or reductant quality in 

the locomotive is inadequate, you must 

replace the reductant as soon as 

practical. 

(3) If you operate a locomotive 

without the appropriate urea or other 

reductant, you must report such 

operation to us within 30 days. Note 

that such operation violates the 

requirement of this paragraph (e); 

however, we may consider mitigating 

factors (such as how long the 

locomotive was operated without the 

appropriate urea or other reductant) in 

determining whether to assess penalties 

for such violations. 

(f) Failure to fully comply with this 

section is a violation of 40 CFR 

1068.101(b). 

§ 1033.820 In-use locomotives. 

(a) We may require you to supply inuse locomotives to us for testing. We 

will specify a reasonable time and place 

at which you must supply the 

locomotives and a reasonable period 

during which we will keep them for 

testing. We will make reasonable 

allowances for you to schedule the 

supply of locomotives to minimize 

disruption of your operations. The 

number of locomotives that you must 

supply is limited as follows: 

(1) We will not require a Class I 

railroad to supply more than five 

locomotives per railroad per calendar 

year. 

(2) We will not require a non-Class I 

railroad (or other entity subject to the 

provisions of this subpart) to supply 

more than two locomotives per railroad 

per calendar year. We will request 

locomotives under this paragraph (a)(2) 

only for purposes that cannot be 
mstockstill on PROD1PC66 with RULES3


37236 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

accomplished using locomotives 

supplied under paragraph (a)(1) of this 

section. 

(b) You must make reasonable efforts 

to supply manufacturers/ 

remanufacturers with the test 

locomotives needed to fulfill the in-use 

testing requirements in subpart E of this 

part. 

(c) Failure to fully comply with this 

section is a violation of 40 CFR 

1068.101(a)(2). 

§ 1033.825 Refueling requirements. 

(a) If your locomotive operates using 

a volatile fuel, your refueling equipment 

must be designed and used to minimize 

the escape of fuel vapors. This means 

you may not use refueling equipment in 

a way that renders any refueling 

emission controls inoperative or reduces 

their effectiveness. 

(b) If your locomotive operates using 

a gaseous fuel, the hoses used to refuel 

it may not be designed to be bled or 

vented to the atmosphere under normal 

operating conditions. 

(c) Failing to fully comply with the 

requirements of this section is a 

violation of 40 CFR 1068.101(b). 

Subpart J—Definitions and Other 

Reference Information 

§ 1033.901 Definitions. 

The following definitions apply to 

this part. The definitions apply to all 

subparts unless we note otherwise. All 

undefined terms have the meaning the 

Clean Air Act gives to them. The 

definitions follow: 

Adjustable parameter means any 

device, system, or element of design that 

someone can adjust (including those 

which are difficult to access) and that, 

if adjusted, may affect emissions or 

locomotive performance during 

emission testing or normal in-use 

operation. This includes, but is not 

limited to, parameters related to 

injection timing and fueling rate. You 

may ask us to exclude a parameter if 

you show us that it will not be adjusted 

in a way that affects emissions during 

in-use operation. 

Aftertreatment means relating to a 

catalytic converter, particulate filter, or 

any other system, component, or 

technology mounted downstream of the 

exhaust valve (or exhaust port) whose 

design function is to reduce emissions 

in the locomotive exhaust before it is 

exhausted to the environment. Exhaustgas recirculation (EGR) is not 

aftertreatment. 

Alcohol fuel means a fuel consisting 

primarily (more than 50 percent by 

weight) of one or more alcohols: e.g., 

methyl alcohol, ethyl alcohol. 

Alternator/generator efficiency means 

the ratio of the electrical power output 

from the alternator/generator to the 

mechanical power input to the 

alternator/generator at the operating 

point. Note that the alternator/generator 

efficiency may be different at different 

operating points. For example, the 

Institute of Electrical and Electronic 

Engineers Standard 115 (‘‘Test 

Procedures for Synchronous Machines’’) 

is an appropriate test procedure for 

determining alternator/generator 

efficiency. Other methods may also be 

used consistent with good engineering 

judgment. 

Applicable emission standard or 

applicable standard means a standard to 

which a locomotive is subject; or, where 

a locomotive has been or is being 

certified to another standard or FEL, the 

FEL or other standard to which the 

locomotive has been or is being certified 

is the applicable standard. This 

definition does not apply to Subpart H 

of this part. 

Auxiliary emission control device 

means any element of design that senses 

temperature, locomotive speed, engine 

RPM, transmission gear, or any other 

parameter for the purpose of activating, 

modulating, delaying, or deactivating 

the operation of any part of the 

emission-control system. 

Auxiliary engine means a nonroad 

engine that provides hotel power or 

power during idle, but does not provide 

power to propel the locomotive. 

Averaging means the exchange of 

emission credits among engine families 

within a given manufacturer’s, or 

remanufacturer’s product line. 

Banking means the retention of 

emission credits by a credit holder for 

use in future calendar year averaging or 

trading as permitted by the regulations 

in this part. 

Brake power means the sum of the 

alternator/generator input power and 

the mechanical accessory power, 

excluding any power required to 

circulate engine coolant, circulate 

engine lubricant, supply fuel to the 

engine, or operate aftertreatment 

devices. 

Calibration means the set of 

specifications, including tolerances, 

specific to a particular design, version, 

or application of a component, or 

components, or assembly capable of 

functionally describing its operation 

over its working range. 

Carryover means the process of 

obtaining a certificate for one model 

year using the same test data from the 

preceding model year, as described in 

§ 1033.235(d). This generally requires 

that the locomotives in the engine 

family do not differ in any aspect 

related to emissions. 

Certification means the process of 

obtaining a certificate of conformity for 

an engine family that complies with the 

emission standards and requirements in 

this part, or relating to that process. 

Certified emission level means the 

highest deteriorated emission level in an 

engine family for a given pollutant from 

a given test cycle. 

Class I freight railroad means a Class 

I railroad that primarily transports 

freight rather than passengers. 

Class I railroad means a railroad that 

has been classified as a Class I railroad 

by the Surface Transportation Board. 

Class II railroad means a railroad that 

has been classified as a Class II railroad 

by the Surface Transportation Board. 

Class III railroad means a railroad that 

has been classified as a Class III railroad 

by the Surface Transportation Board. 

Clean Air Act means the Clean Air 

Act, as amended, 42 U.S.C. 7401–7671q. 

Configuration means a unique 

combination of locomotive hardware 

and calibration within an engine family. 

Locomotives within a single 

configuration differ only with respect to 

normal production variability (or factors 

unrelated to engine performance or 

emissions). 

Crankcase emissions means airborne 

substances emitted to the atmosphere 

from any part of the locomotive 

crankcase’s ventilation or lubrication 

systems. The crankcase is the housing 

for the crankshaft and other related 

internal parts. 

Days means calendar days, unless 

otherwise specified. For example, where 

we specify working days, we mean 

calendar days excluding weekends and 

U.S. national holidays. 

Design certify or certify by design 

means to certify a locomotive based on 

inherent design characteristics rather 

than your test data, such as allowed 

under § 1033.625. All other 

requirements of this part apply for such 

locomotives. 

Designated Compliance Officer means 

the Manager, Heavy Duty and Nonroad 

Engine Group (6403–J), U.S. 

Environmental Protection Agency, 1200 

Pennsylvania Ave., NW., Washington, 

DC 20460. 

Deteriorated emission level means the 

emission level that results from 

applying the appropriate deterioration 

factor to the official emission result of 

the emission-data locomotive. 

Deterioration factor means the 

relationship between emissions at the 

end of useful life and emissions at the 

low-hour test point, expressed in one of 

the following ways: 
mstockstill on PROD1PC66 with RULES3


Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37237 

(1) For multiplicative deterioration 

factors, the ratio of emissions at the end 

of useful life to emissions at the lowhour test point. 

(2) For additive deterioration factors, 

the difference between emissions at the 

end of useful life and emissions at the 

low-hour test point. 

Discrete-mode means relating to the 

discrete-mode type of steady-state test 

described in § 1033.515. 

Emission control system means any 

device, system, or element of design that 

controls or reduces the regulated 

emissions from a locomotive. 

Emission credits represent the amount 

of emission reduction or exceedance, by 

a locomotive engine family, below or 

above the emission standard, 

respectively. Emission reductions below 

the standard are considered as ‘‘positive 

credits,’’ while emission exceedances 

above the standard are considered as 

‘‘negative credits.’’ In addition, 

‘‘projected credits’’ refer to emission 

credits based on the projected 

applicable production/sales volume of 

the engine family. ‘‘Reserved credits’’ 

are emission credits generated within a 

calendar year waiting to be reported to 

EPA at the end of the calendar year. 

‘‘Actual credits’’ refer to emission 

credits based on actual applicable 

production/sales volume as contained 

in the end-of-year reports submitted to 

EPA. 

Emission-data locomotive means a 

locomotive or engine that is tested for 

certification. This includes locomotives 

tested to establish deterioration factors. 

Emission-related maintenance means 

maintenance that substantially affects 

emissions or is likely to substantially 

affect emission deterioration. 

Engine family has the meaning given 

in § 1033.230. 

Engine used in a locomotive means an 

engine incorporated into a locomotive 

or intended for incorporation into a 

locomotive (whether or not it is used for 

propelling the locomotive). 

Engineering analysis means a 

summary of scientific and/or 

engineering principles and facts that 

support a conclusion made by a 

manufacturer/remanufacturer, with 

respect to compliance with the 

provisions of this part. 

EPA Enforcement Officer means any 

officer or employee of the 

Environmental Protection Agency so 

designated in writing by the 

Administrator or his/her designee. 

Exempted means relating to a 

locomotive that is not required to meet 

otherwise applicable standards. 

Exempted locomotives must conform to 

regulatory conditions specified for an 

exemption in this part 1033 or in 40 

CFR part 1068. Exempted locomotives 

are deemed to be ‘‘subject to’’ the 

standards of this part, even though they 

are not required to comply with the 

otherwise applicable requirements. 

Locomotives exempted with respect to a 

certain tier of standards may be required 

to comply with an earlier tier of 

standards as a condition of the 

exemption; for example, locomotives 

exempted with respect to Tier 3 

standards may be required to comply 

with Tier 2 standards. 

Excluded means relating to a 

locomotive that either has been 

determined not to be a locomotive (as 

defined in this section) or otherwise 

excluded under section § 1033.5. 

Excluded locomotives are not subject to 

the standards of this part. 

Exhaust emissions means substances 

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

atmosphere from any opening 

downstream from the exhaust port or 

exhaust valve of a locomotive engine. 

Exhaust-gas recirculation means a 

technology that reduces emissions by 

routing exhaust gases that had been 

exhausted from the combustion 

chamber(s) back into the locomotive to 

be mixed with incoming air before or 

during combustion. The use of valve 

timing to increase the amount of 

residual exhaust gas in the combustion 

chamber(s) that is mixed with incoming 

air before or during combustion is not 

considered exhaust-gas recirculation for 

the purposes of this part. 

Freshly manufactured locomotive 

means a new locomotive that contains 

fewer than 25 percent previously used 

parts (weighted by the dollar value of 

the parts) as described in § 1033.640. 

Freshly manufactured engine means a 

new engine that has not been 

remanufactured. An engine becomes 

freshly manufactured when it is 

originally manufactured. 

Family emission limit (FEL) means an 

emission level declared by the 

manufacturer/remanufacturer to serve in 

place of an otherwise applicable 

emission standard under the ABT 

program in subpart H of this part. The 

family emission limit must be expressed 

to the same number of decimal places as 

the emission standard it replaces. The 

family emission limit serves as the 

emission standard for the engine family 

with respect to all required testing. 

Fuel system means all components 

involved in transporting, metering, and 

mixing the fuel from the fuel tank to the 

combustion chamber(s), including the 

fuel tank, fuel tank cap, fuel pump, fuel 

filters, fuel lines, carburetor or fuelinjection components, and all fuelsystem vents. 

Fuel type means a general category of 

fuels such as diesel fuel or natural gas. 

There can be multiple grades within a 

single fuel type, such as high-sulfur or 

low-sulfur diesel fuel. 

Gaseous fuel means a fuel which is a 

gas at standard temperature and 

pressure. This includes both natural gas 

and liquefied petroleum gas. 

Good engineering judgment means 

judgments made consistent with 

generally accepted scientific and 

engineering principles and all available 

relevant information. See 40 CFR 1068.5 

for the administrative process we use to 

evaluate good engineering judgment. 

Green Engine Factor means a factor 

that is applied to emission 

measurements from a locomotive or 

locomotive engine that has had little or 

no service accumulation. The Green 

Engine Factor adjusts emission 

measurements to be equivalent to 

emission measurements from a 

locomotive or locomotive engine that 

has had approximately 300 hours of use. 

High-altitude means relating to an 

altitude greater than 4000 feet (1220 

meters) and less than 7000 feet (2135 

meters), or equivalent observed 

barometric test conditions 

(approximately 79 to 88 kPa). 

High-sulfur diesel fuel means one of 

the following: 

(1) For in-use fuels, high-sulfur diesel 

fuel means a diesel fuel with a 

maximum sulfur concentration greater 

than 500 parts per million. 

(2) For testing, high-sulfur diesel fuel 

has the meaning given in 40 CFR part 

1065. 

Hotel power means the power 

provided by an engine on a locomotive 

to operate equipment on passenger cars 

of a train; e.g., heating and air 

conditioning, lights, etc. 

Hydrocarbon (HC) means the 

hydrocarbon group (THC, NMHC, or 

THCE) on which the emission standards 

are based for each fuel type as described 

in § 1033.101. 

Identification number means a unique 

specification (for example, a model 

number/serial number combination) 

that allows someone to distinguish a 

particular locomotive from other similar 

locomotives. 

Idle speed means the speed, 

expressed as the number of revolutions 

of the crankshaft per unit of time (e.g., 

rpm), at which the engine is set to 

operate when not under load for 

purposes of propelling the locomotive. 

There are typically one or two idle 

speeds on a locomotive as follows: 

(1) Normal idle speed means the idle 

speed for the idle throttle-notch position 

for locomotives that have one throttlenotch position, or the highest idle speed 
mstockstill on PROD1PC66 with RULES3


37238 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

for locomotives that have two idle 

throttle-notch positions. 

(2) Low idle speed means the lowest 

idle speed for locomotives that have two 

idle throttle-notch positions. 

Inspect and qualify means to 

determine that a previously used 

component or system meets all 

applicable criteria listed for the 

component or system in a certificate of 

conformity for remanufacturing (such as 

to determine that the component or 

system is functionally equivalent to one 

that has not been used previously). 

Installer means an individual or entity 

that assembles remanufactured 

locomotives or locomotive engines. 

Line-haul locomotive means a 

locomotive that does not meet the 

definition of switch locomotive. Note 

that this includes both freight and 

passenger locomotives. 

Liquefied petroleum gas means the 

commercial product marketed as 

propane or liquefied petroleum gas. 

Locomotive means a self-propelled 

piece of on-track equipment designed 

for moving or propelling cars that are 

designed to carry freight, passengers or 

other equipment, but which itself is not 

designed or intended to carry freight, 

passengers (other than those operating 

the locomotive) or other equipment. The 

following other equipment are not 

locomotives (see 40 CFR parts 86, 89, 

and 1039 for this diesel-powered 

equipment): 

(1) Equipment designed for operation 

both on highways and rails is not a 

locomotive. 

(2) Specialized railroad equipment for 

maintenance, construction, postaccident recovery of equipment, and 

repairs; and other similar equipment, 

are not locomotives. 

(3) Vehicles propelled by engines 

with total rated power of less than 750 

kW (1006 hp) are not locomotives, 

unless the owner (which may be a 

manufacturer) chooses to have the 

equipment certified to meet the 

requirements of this part (under 

§ 1033.615). Where equipment is 

certified as a locomotive pursuant to 

this paragraph (3), it is subject to the 

requirements of this part for the 

remainder of its service life. For 

locomotives propelled by two or more 

engines, the total rated power is the sum 

of the rated power of each engine. 

Locomotive engine means an engine 

that propels a locomotive. 

Low-hour means relating to a 

locomotive with stabilized emissions 

and represents the undeteriorated 

emission level. This would generally 

involve less than 300 hours of 

operation. 

Low mileage locomotive means a 

locomotive during the interval between 

the time that normal assembly 

operations and adjustments are 

completed and the time that either 

10,000 miles of locomotive operation or 

300 additional operating hours have 

been accumulated (including emission 

testing if performed). Note that we may 

deem locomotives with additional 

operation to be low mileage 

locomotives, consistent with good 

engineering judgment. 

Low-sulfur diesel fuel means one of 

the following: 

(1) For in-use fuels, low-sulfur diesel 

fuel means a diesel fuel market as lowsulfur diesel fuel having a maximum 

sulfur concentration of 500 parts per 

million. 

(2) For testing, low-sulfur diesel fuel 

has the meaning given in 40 CFR part 

1065. 

Malfunction means a condition in 

which the operation of a component in 

a locomotive or locomotive engine 

occurs in a manner other than that 

specified by the certifying 

manufacturer/remanufacturer (e.g., as 

specified in the application for 

certification); or the operation of the 

locomotive or locomotive engine in that 

condition. 

Manufacture means the physical and 

engineering process of designing, 

constructing, and assembling a 

locomotive or locomotive engine. 

Manufacturer has the meaning given 

in section 216(1) of the Clean Air Act 

with respect to freshly manufactured 

locomotives or engines. In general, this 

term includes any person who 

manufactures a locomotive or engine for 

sale in the United States or otherwise 

introduces a new locomotive or engine 

into commerce in the United States. 

This includes importers who import 

locomotives or engines for resale. 

Manufacturer/remanufacturer means 

the manufacturer of a freshly 

manufactured locomotive or engine or 

the remanufacturer of a remanufactured 

locomotive or engine, as applicable. 

Model year means a calendar year in 

which a locomotive is manufactured or 

remanufactured. 

New, when relating to a locomotive or 

locomotive engine, has the meaning 

given in paragraph (1) of this definition, 

except as specified in paragraph (2) of 

this definition: 

(1) A locomotive or engine is new if 

its equitable or legal title has never been 

transferred to an ultimate purchaser. 

Where the equitable or legal title to a 

locomotive or engine is not transferred 

prior to its being placed into service, the 

locomotive or engine ceases to be new 

when it is placed into service. A 

locomotive or engine also becomes new 

if it is remanufactured or refurbished (as 

defined in this section). A 

remanufactured locomotive or engine 

ceases to be new when placed back into 

service. With respect to imported 

locomotives or locomotive engines, the 

term ‘‘new locomotive’’ or ‘‘new 

locomotive engine’’ also means a 

locomotive or locomotive engine that is 

not covered by a certificate of 

conformity under this part or 40 CFR 

part 92 at the time of importation, and 

that was manufactured or 

remanufactured after the effective date 

of the emission standards in 40 CFR part 

92 which would have been applicable to 

such locomotive or engine had it been 

manufactured or remanufactured for 

importation into the United States. Note 

that replacing an engine in one 

locomotive with an unremanufactured 

used engine from a different locomotive 

does not make a locomotive new. 

(2) The provisions of paragraph (1) of 

this definition do not apply for the 

following cases: 

(i) Locomotives and engines that were 

originally manufactured before January 

1, 1973 are not considered to become 

new when remanufactured unless they 

have been upgraded (as defined in this 

section). The provisions of paragraph (1) 

of this definition apply for locomotives 

that have been upgraded. 

(ii) Locomotives that are owned and 

operated by a small railroad and that 

have never been remanufactured into a 

certified configuration are not 

considered to become new when 

remanufactured. The provisions of 

paragraph (1) of this definition apply for 

locomotives that have previously been 

remanufactured into a certified 

configuration. 

(iii) Locomotives originally certified 

under (1033.150(e) do not become new 

when remanufactured, except as 

specified in § 1033.615. 

(iv) Locomotives that operate only on 

non-standard gauge rails do not become 

new when remanufactured if no 

certified remanufacturing system is 

available for them. 

Nonconforming means relating to a 

locomotive that is not covered by a 

certificate of conformity prior to 

importation or being offered for 

importation (or for which such coverage 

has not been adequately demonstrated 

to EPA); or a locomotive which was 

originally covered by a certificate of 

conformity, but which is not in a 

certified configuration, or otherwise 

does not comply with the conditions of 

that certificate of conformity. (Note: 

Domestic locomotives and locomotive 

engines not covered by a certificate of 

conformity prior to their introduction 
mstockstill on PROD1PC66 with RULES3


Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37239 

into U.S. commerce are considered to be 

noncomplying locomotives and 

locomotive engines.) 

Non-locomotive-specific engine 

means an engine that is sold for and 

used in non-locomotive applications 

much more than for locomotive 

applications. 

Nonmethane hydrocarbon has the 

meaning given in 40 CFR 1065.1001. 

This generally means the difference 

between the emitted mass of total 

hydrocarbons and the emitted mass of 

methane. 

Nonroad means relating to nonroad 

engines as defined in 40 CFR 1068.30. 

Official emission result means the 

measured emission rate for an emissiondata locomotive on a given duty cycle 

before the application of any 

deterioration factor, but after the 

application of regeneration adjustment 

factors, Green Engine Factors, and/or 

humidity correction factors. 

Opacity means the fraction of a beam 

of light, expressed in percent, which 

fails to penetrate a plume of smoke, as 

measured by the procedure specified in 

§ 1033.525. 

Original manufacture means the event 

of freshly manufacturing a locomotive 

or locomotive engine. The date of 

original manufacture is the date of final 

assembly, except as provided in 

§ 1033.640. Where a locomotive is 

manufactured under § 1033.620(b), the 

date of original manufacture is the date 

on which the final assembly of 

locomotive was originally scheduled. 

Original remanufacture means the 

first remanufacturing of a locomotive at 

which the locomotive is subject to the 

emission standards of this part. 

Owner/operator means the owner 

and/or operator of a locomotive. 

Owners manual means a written or 

electronic collection of instructions 

provided to ultimate purchasers to 

describe the basic operation of the 

locomotive. 

Oxides of nitrogen has the meaning 

given in 40 CFR part 1065. 

Particulate trap means a filtering 

device that is designed to physically 

trap all particulate matter above a 

certain size. 

Passenger locomotive means a 

locomotive designed and constructed 

for the primary purpose of propelling 

passenger trains, and providing power 

to the passenger cars of the train for 

such functions as heating, lighting and 

air conditioning. 

Petroleum fuel means gasoline or 

diesel fuel or another liquid fuel 

primarily derived from crude oil. 

Placed into service means put into 

initial use for its intended purpose after 

becoming new. 

Power assembly means the 

components of an engine in which 

combustion of fuel occurs, and consists 

of the cylinder, piston and piston rings, 

valves and ports for admission of charge 

air and discharge of exhaust gases, fuel 

injection components and controls, 

cylinder head and associated 

components. 

Primary fuel means the type of fuel 

(e.g., diesel fuel) that is consumed in the 

greatest quantity (mass basis) when the 

locomotive is operated in use. 

Produce means to manufacture or 

remanufacture. Where a certificate 

holder does not actually assemble the 

locomotives or locomotive engines that 

it manufactures or remanufactures, 

produce means to allow other entities to 

assemble locomotives under the 

certificate holder’s certificate. 

Railroad means a commercial entity 

that operates locomotives to transport 

passengers or freight. 

Ramped-modal means relating to the 

ramped-modal type of testing in subpart 

F of this part. 

Rated power has the meaning given in 

§ 1033.140. 

Refurbish has the meaning given in 

§ 1033.640. 

Remanufacture means one of the 

following: 

(1)(i) To replace, or inspect and 

qualify, each and every power assembly 

of a locomotive or locomotive engine, 

whether during a single maintenance 

event or cumulatively within a five-year 

period. 

(ii) To upgrade a locomotive or 

locomotive engine. 

(iii) To convert a locomotive or 

locomotive engine to enable it to operate 

using a fuel other than it was originally 

manufactured to use. 

(iv) To install a remanufactured 

engine or a freshly manufactured engine 

into a previously used locomotive. 

(v) To repair a locomotive engine that 

does not contain power assemblies to a 

condition that is equivalent to or better 

than its original condition with respect 

to reliability and fuel consumption. 

(2) Remanufacture also means the act 

of remanufacturing. 

Remanufacture system or 

remanufacturing system means all 

components (or specifications for 

components) and instructions necessary 

to remanufacture a locomotive or 

locomotive engine in accordance with 

applicable requirements of this part or 

40 CFR part 92. 

Remanufactured locomotive means 

either a locomotive powered by a 

remanufactured locomotive engine, a 

repowered locomotive, or a refurbished 

locomotive. 

Remanufactured locomotive engine 

means a locomotive engine that has 

been remanufactured. 

Remanufacturer has the meaning 

given to ‘‘manufacturer’’ in section 

216(1) of the Clean Air Act with respect 

to remanufactured locomotives. (See 

§§ 1033.1 and 1033.601 for applicability 

of this term.) This term includes: 

(1) Any person that is engaged in the 

manufacture or assembly of 

remanufactured locomotives or 

locomotive engines, such as persons 

who: 

(i) Design or produce the emissionrelated parts used in remanufacturing. 

(ii) Install parts in an existing 

locomotive or locomotive engine to 

remanufacture it. 

(iii) Own or operate the locomotive or 

locomotive engine and provide 

specifications as to how an engine is to 

be remanufactured (i.e., specifying who 

will perform the work, when the work 

is to be performed, what parts are to be 

used, or how to calibrate the adjustable 

parameters of the engine). 

(2) Any person who imports 

remanufactured locomotives or 

remanufactured locomotive engines. 

Repower means replacement of the 

engine in a previously used locomotive 

with a freshly manufactured locomotive 

engine. See § 1033.640. 

Repowered locomotive means a 

locomotive that has been repowered 

with a freshly manufactured engine. 

Revoke has the meaning given in 40 

CFR 1068.30. In general this means to 

terminate the certificate or an 

exemption for an engine family. 

Round means to round numbers as 

specified in 40 CFR 1065.1001. 

Service life means the total life of a 

locomotive. Service life begins when the 

locomotive is originally manufactured 

and continues until the locomotive is 

permanently removed from service. 

Small manufacturer/remanufacturer 

means a manufacturer/remanufacturer 

with 1,000 or fewer employees. For 

purposes of this part, the number of 

employees includes all employees of the 

manufacturer/remanufacturer’s parent 

company, if applicable. 

Small railroad means a railroad 

meeting the criterion of paragraph (1) of 

this definition, but not either of the 

criteria of paragraphs (2) and (3) of this 

definition. 

(1) To be considered a small railroad, 

a railroad must qualify as a small 

business under the Small Business 

Administration’s regulations in 13 CFR 

part 121. 

(2) Class I and Class II railroads (and 

their subsidiaries) are not small 

railroads. 

(3) Intercity passenger and commuter 

railroads are excluded from this 
mstockstill on PROD1PC66 with RULES3


37240 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

definition of small railroad. Note that 

this paragraph (3) does not exclude 

tourist railroads. 

Specified adjustable range means the 

range of allowable settings for an 

adjustable component specified by a 

certificate of conformity. 

Specified by a certificate of 

conformity or specified in a certificate of 

conformity means stated or otherwise 

specified in a certificate of conformity 

or an approved application for 

certification. 

Sulfur-sensitive technology means an 

emission-control technology that would 

experience a significant drop in 

emission control performance or 

emission-system durability when a 

locomotive is operated on low-sulfur 

fuel with a sulfur concentration of 300 

to 500 ppm as compared to when it is 

operated on ultra low-sulfur fuel (i.e., 

fuel with a sulfur concentration less 

than 15 ppm). Exhaust-gas recirculation 

is not a sulfur-sensitive technology. 

Suspend has the meaning given in 40 

CFR 1068.30. In general this means to 

temporarily discontinue the certificate 

or an exemption for an engine family. 

Switch locomotive means a 

locomotive that is powered by an engine 

with a maximum rated power (or a 

combination of engines having a total 

rated power) of 2300 hp or less. Include 

auxiliary engines in your calculation of 

total power if the engines are 

permanently installed on the locomotive 

and can be operated while the main 

propulsion engine is operating. Do not 

count the power of auxiliary engines 

that operate only to reduce idling time 

of the propulsion engine. 

Test locomotive means a locomotive 

or engine in a test sample. 

Test sample means the collection of 

locomotives or engines selected from 

the population of an engine family for 

emission testing. This may include 

testing for certification, production-line 

testing, or in-use testing. 

Tier 0 or Tier 0+ means relating to the 

Tier 0 emission standards, as shown in 

§ 1033.101. 

Tier 1 or Tier 1+ means relating to the 

Tier 1 emission standards, as shown in 

§ 1033.101. 

Tier 2 or Tier 2+ means relating to the 

Tier 2 emission standards, as shown in 

§ 1033.101. 

Tier 3 means relating to the Tier 3 

emission standards, as shown in 

§ 1033.101. 

Tier 4 means relating to the Tier 4 

emission standards, as shown in 

§ 1033.101. 

Total hydrocarbon has the meaning 

given in 40 CFR 1065.1001. This 

generally means the combined mass of 

organic compounds measured by the 

specified procedure for measuring total 

hydrocarbon, expressed as a 

hydrocarbon with an atomic hydrogento-carbon ratio of 1.85:1. 

Total hydrocarbon equivalent has the 

meaning given in 40 CFR 1065.1001. 

This generally means the sum of the 

carbon mass contributions of nonoxygenated hydrocarbons, alcohols and 

aldehydes, or other organic compounds 

that are measured separately as 

contained in a gas sample, expressed as 

exhaust hydrocarbon from petroleumfueled locomotives. The hydrogen-tocarbon ratio of the equivalent 

hydrocarbon is 1.85:1. 

Ultimate purchaser means the first 

person who in good faith purchases a 

new locomotive for purposes other than 

resale. 

Ultra low-sulfur diesel fuel means one 

of the following: 

(1) For in-use fuels, ultra low-sulfur 

diesel fuel means a diesel fuel marketed 

as ultra low-sulfur diesel fuel having a 

maximum sulfur concentration of 15 

parts per million. 

(2) For testing, ultra low-sulfur diesel 

fuel has the meaning given in 40 CFR 

part 1065. 

Upcoming model year means for an 

engine family the model year after the 

one currently in production. 

Upgrade means one of the following 

types of remanufacturing. 

(1) Repowering a locomotive that was 

originally manufactured prior to January 

1, 1973. 

(2) Refurbishing a locomotive that was 

originally manufactured prior to January 

1, 1973 in a manner that is not freshly 

manufacturing. 

(3) Modifying a locomotive that was 

originally manufactured prior to January 

1, 1973 (or a locomotive that was 

originally manufactured on or after 

January 1, 1973, and that is not subject 

to the emission standards of this part), 

such that it is intended to comply with 

the Tier 0 standards. See § 1033.615. 

Useful life means the period during 

which the locomotive engine is 

designed to properly function in terms 

of reliability and fuel consumption, 

without being remanufactured, specified 

as work output or miles. It is the period 

during which a new locomotive is 

required to comply with all applicable 

emission standards. See § 1033.101(g). 

Void has the meaning given in 40 CFR 

1068.30. In general this means to 

invalidate a certificate or an exemption 

both retroactively and prospectively. 

Volatile fuel means a volatile liquid 

fuel or any fuel that is a gas at 

atmospheric pressure. Gasoline, natural 

gas, and LPG are volatile fuels. 

Volatile liquid fuel means any liquid 

fuel other than diesel or biodiesel that 

is a liquid at atmospheric pressure and 

has a Reid Vapor Pressure higher than 

2.0 pounds per square inch. 

We (us, our) means the Administrator 

of the Environmental Protection Agency 

and any authorized representatives. 

§ 1033.905 Symbols, acronyms, and 

abbreviations. 

The following symbols, acronyms, 

and abbreviations apply to this part: 

AECD auxiliary emission control device. 


AESS automatic engine stop/start 


CFR Code of Federal Regulations. 


CO carbon monoxide. 


CO2 carbon dioxide. 


EPA Environmental Protection Agency. 


FEL Family Emission Limit. 


g/bhp-hr grams per brake horsepower-hour. 


HC hydrocarbon. 


hp horsepower. 


LPG liquefied petroleum gas. 


LSD low sulfur diesel. 


MW megawatt. 


NIST National Institute of Standards and 


Technology. 

NMHC nonmethane hydrocarbons. 

NOX oxides of nitrogen. 

PM particulate matter. 

rpm revolutions per minute. 

SAE Society of Automotive Engineers. 

SCR selective catalytic reduction. 

SEA Selective Enforcement Audit. 

THC total hydrocarbon. 

THCE total hydrocarbon equivalent. 

UL useful life. 

ULSD ultra low sulfur diesel. 

U.S.C. United States Code. 

§ 1033.915 Confidential information. 

(a) Clearly show what you consider 

confidential by marking, circling, 

bracketing, stamping, or some other 

method. 

(b) We will store your confidential 

information as described in 40 CFR part 

2. Also, we will disclose it only as 

specified in 40 CFR part 2. This applies 

both to any information you send us and 

to any information we collect from 

inspections, audits, or other site visits. 

(c) If you send us a second copy 

without the confidential information, 

we will assume it contains nothing 

confidential whenever we need to 

release information from it. 

(d) If you send us information without 

claiming it is confidential, we may make 

it available to the public without further 

notice to you, as described in 40 CFR 

2.204. 

§ 1033.920 How to request a hearing. 

(a) You may request a hearing under 

certain circumstances, as described 

elsewhere in this part. To do this, you 

must file a written request, including a 

description of your objection and any 

supporting data, within 30 days after we 

make a decision. 

(b) For a hearing you request under 

the provisions of this part, we will 
mstockstill on PROD1PC66 with RULES3


Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37241 

approve your request if we find that 

your request raises a substantial factual 

issue. 

(c) If we agree to hold a hearing, we 

will use the procedures specified in 40 

CFR part 1068, subpart G. 

PART 1039—CONTROL OF EMISSIONS 

FROM NEW AND IN-USE NONROAD 

COMPRESSION-IGNITION ENGINES 

■ 39. The authority citation for part 

1039 continues to read as follows: 

Authority: 42 U.S.C. 7401–7671q. 

Subpart F—[Amended] 

■ 40. Section 1039.505 is amended by 

revising paragraphs (a)(1) introductory 

text, (c), and (d) and adding paragraph 

(g) to read as follows: 

§ 1039.505 How do I test engines using 

steady-state duty cycles, including rampedmodal testing? 

* * * * * 

(a) * * * 

(1) For discrete-mode testing, sample 

emissions separately for each mode, 

then calculate an average emission level 

for the whole cycle using the weighting 

factors specified for each mode. 

Calculate cycle statistics and compare 

with the established criteria as specified 

in 40 CFR 1065.514 to confirm that the 

test is valid. Operate the engine and 

sampling system as follows: 

* * * * * 

(c) During idle mode, operate the 

engine at its warm idle speed as 

described in 40 CFR part 1065. 

(d) For constant-speed engines whose 

design prevents full-load operation for 

extended periods, you may ask for 

approval under 40 CFR 1065.10(c) to 

replace full-load operation with the 

maximum load for which the engine is 

designed to operate for extended 

periods. 

* * * * * 

(g) To allow non-motoring 

dynamometers on cycles with idle, you 

may omit additional points from the 

duty-cycle regression as follows: 

(1) For variable-speed engines with 

low-speed governors, you may omit 

speed, torque, and power points from 

the duty-cycle regression statistics if the 

following are met: 

(i) The engine operator demand is at 

its minimum. 

(ii) The dynamometer demand is at its 

minimum. 

(iii) It is an idle point fnref = 0 % (idle) 

and Tref = 0 % (idle). 

(iv) Tref < T ≤ 5 % · Tmax mapped. 

(2) For variable-speed engines without 

low-speed governors, you may omit 

torque and power points from the dutycycle regression statistics if the 

following are met: 

(i) The dynamometer demand is at its 

minimum. 

(ii) It is an idle point fnref = 0 % (idle) 

and Tref = 0 % (idle). 

(iii) fnref ¥ (2 % · fntest) < fn < fnref + 

(2 % · fntest). 

(iv) Tref < T ≤ 5 % · Tmax mapped. 

Subpart G—[Amended] 

■ 41. Section 1039.645 is amended by 

revising paragraph (b)(1) to read as 

follows: 

§ 1039.645 What special provisions apply 

to engines used for transportation 

refrigeration units? 

* * * * * 

(b) * * * 

(1) The following duty cycle applies 

for discrete-mode testing: 

TABLE 1 OF § 1039.645.—DISCRETE-MODE CYCLE FOR TRU ENGINES 

Mode number Engine speed 1 Torque 

(percent) 2 

Weighting 

factors 

1 ..................................... 

2 ..................................... 

3 ..................................... 

4 ..................................... 

Maximum test speed ................................................................................................... 

Maximum test speed ................................................................................................... 

Intermediate test speed ............................................................................................... 

Intermediate test speed ............................................................................................... 

75 

50 

75 

50 

0.25 

0.25 

0.25 

0.25 

1 Speed terms are defined in 40 CFR part 1065. 


2 The percent torque is relative to the maximum torque at the given engine speed. 


* * * * * Appendix II to Part 1039—Steady-State Duty (1) The following duty cycle applies for 

Appendices—[Amended] Cycles discrete-mode testing: 

(a) The following duty cycles apply for 

■ 42. Appendix II to part 1039 is revised constant-speed engines: 

to read as follows: 

D2 mode number Engine speed Torque 

(percent) 1 

Weighting 

factors 

1 ..................................... Engine governed ......................................................................................................... 100 0.05 

2 ..................................... Engine governed ......................................................................................................... 75 0.25 

3 ..................................... Engine governed ......................................................................................................... 50 0.30 

4 ..................................... Engine governed ......................................................................................................... 25 0.30 

5 ..................................... Engine governed ......................................................................................................... 10 0.10 

1 The percent torque is relative to maximum test torque. 

(2) The following duty cycle applies for 

ramped-modal testing: 

RMC mode Time in mode 

(seconds) Engine speed Torque (percent) 1, 2 

1a Steady-state .............................. 

1b Transition .................................. 

2a Steady-state .............................. 

53 

20 

101 

Engine governed .................................................................................. 

Engine governed .................................................................................. 

Engine governed .................................................................................. 

100. 

Linear transition. 

10. 
mstockstill on PROD1PC66 with RULES3


37242 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

RMC mode Time in mode 

(seconds) Engine speed Torque (percent) 1, 2 

2b Transition .................................. 

3a Steady-state .............................. 

3b Transition .................................. 

4a Steady-state .............................. 

4b Transition .................................. 

5 Steady-state ................................ 

20 

277 

20 

339 

20 

350 

Engine governed .................................................................................. 

Engine governed .................................................................................. 

Engine governed .................................................................................. 

Engine governed .................................................................................. 

Engine governed .................................................................................. 

Engine governed .................................................................................. 

Linear transition. 

75. 

Linear transition. 

25. 

Linear transition. 

50. 

1 The percent torque is relative to maximum test torque. 

2 Advance from one mode to the next within a 20-second transition phase. During the transition phase, command a linear progression from the 

torque setting of the current mode to the torque setting of the next mode. 

(b) The following duty cycles apply for (1) The following duty cycle applies for 

variable-speed engines with maximum discrete-mode testing: 

engine power below 19 kW: 

G2 mode number Engine speed 1 Torque 

(percent) 2 

Weighting 

factors 

1 ..................................... 

2 ..................................... 

3 ..................................... 

4 ..................................... 

5 ..................................... 

6 ..................................... 

Maximum test speed ................................................................................................... 

Maximum test speed ................................................................................................... 

Maximum test speed ................................................................................................... 

Maximum test speed ................................................................................................... 

Maximum test speed ................................................................................................... 

Warm idle .................................................................................................................... 

100 

75 

50 

25 

10 

0 

0.09 

0.20 

0.29 

0.30 

0.07 

0.05 

1 Speed terms are defined in 40 CFR part 1065. 


2 The percent torque is relative to the maximum torque at the commanded test speed. 


(2) The following duty cycle applies for 

ramped-modal testing: 

RMC mode Time in mode 

(seconds) Engine speed 1, 3 Torque (percent) 2, 3 

1a Steady-state .............................. 41 Warm idle ............................................................................................. 0. 

1b Transition .................................. 20 Linear transition ................................................................................... Linear transition. 

2a Steady-state .............................. 135 Maximum test speed ............................................................................ 100. 

2b Transition .................................. 20 Maximum test speed ............................................................................ Linear transition. 

3a Steady-state .............................. 112 Maximum test speed ............................................................................ 10. 

3b Transition .................................. 20 Maximum test speed ............................................................................ Linear transition. 

4a Steady-state .............................. 337 Maximum test speed ............................................................................ 75. 

4b Transition .................................. 20 Maximum test speed ............................................................................ Linear transition. 

5a Steady-state .............................. 518 Maximum test speed ............................................................................ 25. 

5b Transition .................................. 20 Maximum test speed ............................................................................ Linear transition. 

6a Steady-state .............................. 494 Maximum test speed ............................................................................ 50. 

6b Transition .................................. 20 Linear transition ................................................................................... Linear transition. 

7 Steady-state ................................ 43 Warm idle ............................................................................................. 0. 

1 Speed terms are defined in 40 CFR part 1065. 

2 The percent torque is relative to the maximum torque at the commanded engine speed. 

3 Advance from one mode to the next within a 20-second transition phase. During the transition phase, command a linear progression from the 

torque setting of the current mode to the torque setting of the next mode, and simultaneously command a similar linear progression for engine 

speed if there is a change in speed setting. 

(c) The following duty cycles apply for (1) The following duty cycle applies for 

variable-speed engines with maximum discrete-mode testing: 

engine power at or above 19 kW: 

C1 mode number Engine speed 1 Torque 

(percent) 2 

Weighting 

factors 

1 ..................................... 

2 ..................................... 

3 ..................................... 

4 ..................................... 

5 ..................................... 

6 ..................................... 

7 ..................................... 

8 ..................................... 

Maximum test speed ................................................................................................... 

Maximum test speed ................................................................................................... 

Maximum test speed ................................................................................................... 

Maximum test speed ................................................................................................... 

Intermediate test speed ............................................................................................... 

Intermediate test speed ............................................................................................... 

Intermediate test speed ............................................................................................... 

Warm idle .................................................................................................................... 

100 

75 

50 

10 

100 

75 

50 

0 

0.15 

0.15 

0.15 

0.10 

0.10 

0.10 

0.10 

0.15 

1 Speed terms are defined in 40 CFR part 1065. 


2 The percent torque is relative to the maximum torque at the commanded test speed. 

mstockstill on PROD1PC66 with RULES3


Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37243 

(2) The following duty cycle applies for 

ramped-modal testing: 

RMC mode Time in mode 

(seconds) Engine speed 1, 3 Torque 

(percent) 2, 3 

1a Steady-state .............................. 126 Warm Idle ............................................................................................. 0. 

1b Transition .................................. 20 Linear Transition .................................................................................. Linear Transition. 

2a Steady-state .............................. 159 Intermediate Speed .............................................................................. 100. 

2b Transition .................................. 20 Intermediate Speed .............................................................................. Linear Transition. 

3a Steady-state .............................. 160 Intermediate Speed .............................................................................. 50. 

3b Transition .................................. 20 Intermediate Speed .............................................................................. Linear Transition. 

4a Steady-state .............................. 162 Intermediate Speed .............................................................................. 75. 

4b Transition .................................. 20 Linear Transition .................................................................................. Linear Transition. 

5a Steady-state .............................. 246 Maximum Test Speed .......................................................................... 100. 

5b Transition .................................. 20 Maximum Test Speed .......................................................................... Linear Transition. 

6a Steady-state .............................. 164 Maximum Test Speed .......................................................................... 10. 

6b Transition .................................. 20 Maximum Test Speed .......................................................................... Linear Transition. 

7a Steady-state .............................. 248 Maximum Test Speed .......................................................................... 75. 

7b Transition .................................. 20 Maximum Test Speed .......................................................................... Linear Transition. 

8a Steady-state .............................. 247 Maximum Test Speed .......................................................................... 50. 

8b Transition .................................. 20 Linear Transition .................................................................................. Linear Transition. 

9 Steady-state ................................ 128 Warm Idle ............................................................................................. 0. 

1 Speed terms are defined in 40 CFR part 1065. 

2 The percent torque is relative to the maximum torque at the commanded engine speed. 

3 Advance from one mode to the next within a 20-second transition phase. During the transition phase, command a linear progression from the 

torque setting of the current mode to the torque setting of the next mode, and simultaneously command a similar linear progression for engine 

speed if there is a change in speed setting. 

■ 43. Appendix III and Appendix IV of 

part 1039 are removed and reserved. 

■ 44. A new part 1042 is added to 

subchapter U of chapter I to read as 

follows: 

PART 1042—CONTROL OF EMISSIONS 

FROM NEW AND IN-USE MARINE 

COMPRESSION-IGNITION ENGINES 

AND VESSELS 

Subpart A—Overview and Applicability 

Sec. 


1042.1 Applicability. 


1042.2 Who is responsible for compliance? 


1042.5 Exclusions. 


1042.10 Organization of this part. 


1042.15 Do any other regulation parts apply 


to me? 

Subpart B—Emission Standards and 

Related Requirements 

1042.101 Exhaust emission standards. 

1042.107 Evaporative emission standards. 

1042.110 Recording reductant use and other 

diagnostic functions. 

1042.115 Other requirements. 

1042.120 Emission-related warranty 

requirements. 

1042.125 Maintenance instructions for 

Category 1 and Category 2 engines. 

1042.130 Installation instructions for vessel 

manufacturers. 

1042.135 Labeling. 

1042.140 Maximum engine power, 

displacement, and power density. 

1042.145 Interim provisions. 

Subpart C—Certifying Engine Families 

1042.201 General requirements for 

obtaining a certificate of conformity. 

1042.205 Application requirements. 

1042.210 Preliminary approval. 

1042.220 Amending maintenance 

instructions. 

1042.225 Amending applications for 

certification. 

1042.230 Engine families. 

1042.235 Emission testing required for a 

certificate of conformity. 

1042.240 Demonstrating compliance with 

exhaust emission standards. 

1042.245 Deterioration factors. 

1042.250 Recordkeeping and reporting. 

1042.255 EPA decisions. 

Subpart D—Testing Production-Line 

Engines 

1042.301 General provisions. 


1042.305 Preparing and testing production-


line engines. 

1042.310 Engine selection. 

1042.315 Determining compliance. 

1042.320 What happens if one of my 

production-line engines fails to meet 

emission standards? 

1042.325 What happens if an engine family 

fails the production-line testing 

requirements? 

1042.330 Selling engines from an engine 

family with a suspended certificate of 

conformity. 

1042.335 Reinstating suspended 

certificates. 

1042.340 When may EPA revoke my 

certificate under this subpart and how 

may I sell these engines again? 

1042.345 Reporting. 

1042.350 Recordkeeping. 

Subpart E—In-Use Testing 

1042.401 General Provisions. 

Subpart F—Test Procedures 

1042.501 How do I run a valid emission 

test? 

1042.505 Testing engines using discretemode or ramped-modal duty cycles. 

1042.515 Test procedures related to not-toexceed standards. 

1042.520 What testing must I perform to 

establish deterioration factors? 

1042.525 How do I adjust emission levels to 

account for infrequently regenerating 

aftertreatment devices? 

Subpart G—Special Compliance Provisions 

1042.601. General compliance provisions 

for marine engines and vessels. 

1042.605 Dressing engines already certified 

to other standards for nonroad or heavyduty highway engines for marine use. 

1042.610 Certifying auxiliary marine 

engines to land-based standards. 

1042.615 Replacement engine exemption. 

1042.620 Engines used solely for 

competition. 

1042.625 Special provisions for engines 

used in emergency applications. 

1042.630 Personal-use exemption. 

1042.635 National security exemption. 

1042.640 Special provisions for branded 

engines. 

1042.650 Migratory vessels. 

1042.660 Requirements for vessel 

manufacturers, owners, and operators. 

Subpart H—Averaging, Banking, and 

Trading for Certification 

1042.701 General provisions. 

1042.705 Generating and calculating 

emission credits. 

1042.710 Averaging emission credits. 

1042.715 Banking emission credits. 

1042.720 Trading emission credits. 

1042.725 Information required for the 

application for certification. 

1042.730 ABT reports. 

1042.735 Recordkeeping. 

1042.745 Noncompliance. 

Subpart I—Special Provisions for 

Remanufactured Marine Engines 

1042.801 General provisions. 

1042.810 Requirements for owner/operators 

and installers during remanufacture. 

1042.815 Demonstrating availability. 

mstockstill on PROD1PC66 with RULES3ER06MY08.011</GPH>

37244 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

1042.820 Emission standards and required 

emission reductions for remanufactured 

engines. 

1042.825 Baseline determination. 

1042.830 Labeling. 

1042.835 Certification of remanufactured 

engines. 

1042.836 Marine certification of locomotive 

remanufacturing systems. 

1042.840 Application requirements for 

remanufactured engines. 

1042.845 Remanufactured engine families. 

1042.850 Exemptions and hardship relief. 

Subpart J—Definitions and Other Reference 

Information 

1042.901 Definitions. 

1042.905 Symbols, acronyms, and 

abbreviations. 

1042.910 Reference materials. 


1042.915 Confidential information. 


1042.920 Hearings. 


1042.925 Reporting and recordkeeping 


requirements. 

Appendix I to Part 1042—Summary of 

Previous Emission Standards 

Appendix II to Part 1042—Steady-state Duty 

Cycles 

Appendix III to Part 1042—Not-to-Exceed 

Zones 

Authority: 42 U.S.C. 7401–7671q. 

Subpart A—Overview and Applicability 

§ 1042.1 Applicability. 

Except as provided in § 1042.5, the 

regulations in this part 1042 apply for 

all new compression-ignition marine 

engines with per-cylinder displacement 

below 30.0 liters per cylinder and 

vessels containing such engines. See 

§ 1042.901 for the definitions of engines 

and vessels considered to be new. This 

part 1042 applies as follows: 

(a) This part 1042 applies for freshly 

manufactured marine engines starting 

with the model years noted in the 

following tables: 

BILLING CODE 1505–01–D 

BILLING CODE 1505–01–C