37096 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

1North American Industry Classification System 

(NAICS). 

ENVIRONMENTAL PROTECTION 

AGENCY 

40 CFR Parts 9, 85, 86, 89, 92, 94, 1033, 

1039, 1042, 1065, and 1068 

[EPA–HQ–OAR–2003–0190; FRL–8545–3] 

RIN 2060–AM06 

Control of Emissions of Air Pollution 

From Locomotive Engines and Marine 

Compression-Ignition Engines Less 

Than 30 Liters per Cylinder; 

Republication 

Editorial Note: FR Doc. E8–7999 was 

originally published at pages 25098 to 25352 

in the issue of Tuesday, May 6, 2008. This 

document included numerous typographical 

and other errors that were inadvertently 

introduced in the printing process. Because 

of the number of errors, this document is 

being republished in its entirety. This 

republication does not change the effective 

date of the original document. 

AGENCY: Environmental Protection 

Agency (EPA). 

ACTION: Final rule. 

SUMMARY: EPA is adopting a 

comprehensive program to dramatically 

reduce pollution from locomotives and 

marine diesel engines. The controls will 

apply to all types of locomotives, 

including line-haul, switch, and 

passenger, and all types of marine diesel 

engines below 30 liters per cylinder 

displacement, including commercial 

and recreational, propulsion and 

auxiliary. The near-term emission 

standards for newly-built engines will 

phase in starting in 2009. The near-term 

program also includes new emission 

limits for existing locomotives and 

marine diesel engines that apply when 

they are remanufactured, and take effect 

as soon as certified remanufacture 

systems are available, as early as 2008. 

The long-term emissions standards for 

newly-built locomotives and marine 

diesel engines are based on the 

application of high-efficiency catalytic 

aftertreatment technology. These 

standards begin to take effect in 2015 for 

locomotives and in 2014 for marine 

diesel engines. We estimate particulate 

matter (PM) reductions of 90 percent 

and nitrogen oxides (NOX) reductions of 

80 percent from engines meeting these 

standards, compared to engines meeting 

the current standards. 

We project that by 2030, this program 

will reduce annual emissions of NOX

and PM by 800,000 and 27,000 tons, 

respectively. EPA projects these 

reductions will annually prevent up to 

1,100 PM-related premature deaths, 280 

ozone-related premature deaths, 120,000 

lost work days, 120,000 school day 

absences, and 1.1 million minor 

restricted-activity days. The annual 

monetized health benefits of this rule in 

2030 will range from $9.2 billion to $11 

billion, assuming a 3 percent discount 

rate, or between $8.4 billion to $10 

billion, assuming a 7% discount rate. 

The estimated annual social cost of the 

program in 2030 is projected to be $740 

million, significantly less than the 

estimated benefits. 

DATES: This rule is effective on July 7, 

2008. The incorporation by reference of 

certain publications listed in this 

regulation is approved by the Director of 

the Federal Register as of July 7, 2008. 

ADDRESSES: EPA has established a 

docket for this action under Docket ID 

No. EPA–HQ–2003–0190. All 

documents in the docket are listed on 

the www.regulations.gov web site. 

Although listed in the index, some 

information is not publicly available, 

e.g., CBI or other information whose 

disclosure is restricted by statute. 

Certain other material, such as 

copyrighted material, is not placed on 

the Internet and will be publicly 

available only in hard copy form. 

Publicly available docket materials are 

available either electronically through 

www.regulations.gov or in hard copy at 

the Air Docket, EPA/DC, EPA West, 

Room 3334, 1301 Constitution Ave., 

NW., Washington, DC. The Public 

Reading Room is open from 8:30 a.m. to 

4:30 p.m., Monday through Friday, 

excluding legal holidays. The telephone 

number for the Public Reading Room is 

(202) 566–1744, and the telephone 

number for the Air Docket is (202) 566– 

1742. 

FOR FURTHER INFORMATION CONTACT: John 

Mueller, U.S. EPA, Office of 

Transportation and Air Quality, 

Assessment and Standards Division 

(ASD), Environmental Protection 

Agency, 2000 Traverwood Drive, Ann 

Arbor, MI 48105; telephone number: 

(734) 214–4275; fax number: (734) 214– 

4816; e-mail address: 

Mueller.John@epa.gov, or Assessment 

and Standards Division Hotline; 

telephone number: (734) 214–4636. 

SUPPLEMENTARY INFORMATION: 

Does This Action Apply to Me? 

• Locomotives 

Entities potentially affected by this 

action are those that manufacture, 

remanufacture or import locomotives or 

locomotive engines; and those that own 

or operate locomotives. Regulated 

categories and entities include: 

Category NAICS code 1 Examples of potentially affected entities 

Industry .... 333618, 336510 Manufacturers, remanufacturers and importers of locomotives and locomotive engines. 

Industry .... 482110, 482111, 

482112 

Railroad owners and operators. 

Industry .... 488210 Engine repair and maintenance. 

This table is not intended to be 

exhaustive, but rather provides a guide 

for readers regarding entities likely to be 

regulated by this action. This table lists 

the types of entities that EPA is now 

aware could potentially be regulated by 

this action. Other types of entities not 

listed in the table could also be 

regulated. To determine whether your 

company is regulated by this action, you 

should carefully examine the 

applicability criteria in 40 CFR 92.1, 

1033.1, 1065.1, and 1068.1. If you have 

questions, consult the person listed in 

the preceding FOR FURTHER INFORMATION

CONTACT section. 

• Marine Engines and Vessels 

Entities potentially affected by this 

action are companies and persons that 

manufacture, sell, or import into the 

United States new marine compressionignition engines, companies and 

persons that rebuild or maintain these 

engines, companies and persons that 

make vessels that use such engines, and 

the owners/operators of such vessels. 

Affected categories and entities include: 

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Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37097 

2Marine diesel engines at or above 30 liters per 

cylinder, called Category 3 engines, are typically 

used for propulsion power on ocean-going ships. 

EPA is addressing Category 3 engines through 

separate actions, including a planned rulemaking 

for a new tier of federal standards (see Advance 

Notice of Proposed Rulemaking published 

December 7, 2007 at 72 FR 69522) and participation 

on the U.S. delegation to the International Maritime 

Organization for negotiations of new international 

standards (see http://www.epa.gov/otaq/ 

oceanvessels.com for information on both of those 

actions), as well as EPA’s Clean Ports USA Initiative 

(see http://www.epa.gov/cleandiesel/ports/ 

index.htm). 

Category NAICS code 1 Examples of potentially affected entities 

Industry .... 333618 Manufacturers of new marine diesel engines. 

Industry .... 33661 and 

346611 

Ship and boat building; ship building and repairing. 

Industry .... 811310 Engine repair, remanufacture, and maintenance. 

Industry .... 483 Water transportation, freight and passenger. 

Industry .... 487210 and Sightseeing Transportation, Water. 

Industry .... 4883 Support Activities for Water Transportation. 

Industry .... 1141 Fishing. 

Industry .... 336612 Boat building (watercraft not built in shipyards and typically of the type suitable or intended for personal use). 

This table is not intended to be 

exhaustive, but rather provides a guide 

for readers regarding entities likely to be 

regulated by this action. This table lists 

the types of entities that EPA is now 

aware could potentially be regulated by 

this action. Other types of entities not 

listed in the table could also be 

regulated. To determine whether your 

company is regulated by this action, you 

should carefully examine the 

applicability criteria in 40 CFR 94.1, 

1042.1, 1065.1, and 1068.1. If you have 

questions, consult the person listed in 

the preceding FOR FURTHER INFORMATION

CONTACT section. 

Outline of This Preamble 

I. Overview 

A. What Is EPA Finalizing and How Does 

It Differ From the Proposal? 

B. Why Is EPA Taking This Action? 

II. Air Quality and Health Impacts 

A. Overview 

B. Public Health Impacts 

C. Environmental Impacts 

D. Other Criteria Pollutants Affected by 

This Final Rule 

E. Emissions from Locomotive and Marine 

Diesel Engines 

III. Emission Standards 

A. What Locomotives and Marine Engines 

Are Covered? 

B. What Standards Are We Adopting? 

C. Are the Standards Feasible? 

IV. Certification and Compliance Program 

A. Issues Common to Locomotives and 

Marine Engines 

B. Compliance Issues Specific to 

Locomotives 

C. Compliance Issues Specific to Marine 

Engines 

V. Costs and Economic Impacts 

A. Engineering Costs 

B. Cost Effectiveness 

C. EIA 

VI. Benefits 

VII. Alternative Program Options 

A. Summary of Alternatives 

B. Summary of Results 

VIII. Public Participation 

IX. Statutory and Executive Order Reviews 

A. Executive Order 12866: Regulatory 

Planning and Review 

B. Paperwork Reduction Act 

C. Regulatory Flexibility Act 

D. Unfunded Mandates Reform Act 

E. Executive Order 13132 (Federalism) 

F. Executive Order 13175 (Consultation 

and Coordination With Indian Tribal 

Governments) 

G. Executive Order 13045: Protection of 

Children From Environmental Health 

and Safety Risks 

H. Executive Order 13211: Actions That 

Significantly Affect Energy Supply, 

Distribution, or Use 

I. National Technology Transfer 

Advancement Act 

J. Executive Order 12898: Federal Actions 

to Address Environmental Justice in 

Minority Populations and Low-Income 

Populations 

K. Congressional Review Act 

X. Statutory Provisions and Legal Authority 

I. Overview 

This final rule completes an 

important step in EPA’s ongoing 

National Clean Diesel Campaign (NCDC) 

by adding new programs for 

locomotives and marine diesel engines 

to the clean diesel initiatives we have 

already undertaken for highway, other 

nonroad, and stationary diesel engines. 

As detailed below, it significantly 

strengthens the locomotive and marine 

diesel programs we proposed last year 

(72 FR 15938, April 3, 2007), especially 

in controlling emissions during the 

critical early years through the early 

introduction of advanced technologies 

and the more complete coverage of 

existing engines. When fully 

implemented, this coordinated set of 

new programs will reduce harmful 

diesel engine emissions to a small 

fraction of their previous levels. 

The new programs address all types of 

diesel locomotives— line-haul, switch, 

and passenger rail, and all types of 

marine diesel engines below 30 liters 

per cylinder displacement (hereafter 

referred to as ‘‘marine diesel engines’’).2

These engines are used to power a wide 

variety of vessels, from small fishing 

and recreational boats to large tugs and 

Great Lakes freighters. They are also 

used to generate auxiliary vessel power, 

including on ocean-going ships. 

Emissions of fine particulate matter 

(PM2.5) and nitrogen oxides (NOX) from 

these diesel engines contribute to 

nonattainment of the National Ambient 

Air Quality Standards (NAAQS) for 

PM2.5 and ozone. Today, locomotives 

and marine diesel engines account for 

about 20 percent of mobile source NOX

emissions and 25 percent of mobile 

source diesel PM2.5 emissions in the 

U.S. Absent this final action, by 2030 

the relative contributions of NOX and 

PM2.5 from these engines would have 

grown to 35 and 65 percent, 

respectively. 

We are finalizing a comprehensive 

three-part program to address this 

problem. First, we are adopting 

stringent emission standards for existing 

locomotives and for existing commercial 

marine diesel engines above 600 

kilowatt (kW) (800 horsepower (hp)). 

These standards apply when the engines 

are remanufactured. This part of the 

program will take effect as soon as 

certified remanufacture systems are 

available, for some engines as early as 

a few months from now. Under our 

existing program, locomotives have 

been certified to one of three tiers of 

standards: Tier 0 for locomotives 

originally built between 1973 and 2001, 

Tier 1 for those built between 2002 and 

2004, and Tier 2 for those built in or 

after 2005. Under this new program, 

certified locomotive remanufacture 

systems must be made available by 2010 

for Tier 0 and Tier 1 locomotives, and 

by 2013 for Tier 2 locomotives. 

Remanufacture systems that are certified 

for use in marine engine remanufactures 

are likewise required to be used. We are 

not, however, setting a specific 

compliance date for certified marine 

diesel remanufacture systems because 

we expect that engine manufacturers 

will be well motivated by the market 

opportunity to certify emissionscompliant systems. 

Second, we are adopting a set of nearterm emission standards, referred to as 

Tier 3, for newly-built locomotives and 

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37098 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

3Low and high benefits estimates are derived 

from a range of ozone-related premature mortality 

studies (including an assumption of no causality) 

and PM2.5-related premature mortality based on the 

ACS study (Pope et al., 2002). Benefits also include 

PM2.5- and ozone-related morbidity benefits. See 

section VI for a complete discussion and analysis 

of benefits associated with the final rule. 

marine engines. The Tier 3 standards 

reflect the application of technologies to 

reduce engine-out particulate matter 

(PM) and NOX. 

Third, we are adopting longer-term 

standards, referred to as Tier 4, for 

newly-built locomotives and marine 

engines. Tier 4 standards reflect the 

application of high-efficiency catalytic 

aftertreatment technology enabled by 

the availability of ultra-low sulfur diesel 

fuel (ULSD). These standards take effect 

in 2015 for locomotives, and phase in 

over time for marine engines, beginning 

in 2014. Finally, we are adopting 

provisions in all three parts of the 

program to eliminate emissions from 

unnecessary locomotive idling. 

Locomotives and marine diesel 

engines designed to these Tier 4 

standards will achieve PM reductions of 

90 percent and NOX reductions of 80 

percent, compared to engines meeting 

the current Tier 2 standards. The new 

standards will also yield sizeable 

reductions in emissions of nonmethane 

hydrocarbons (NMHC), carbon 

monoxide (CO), and hazardous 

compounds known as air toxics. Table 

I–1 summarizes the PM and NOX

emission reductions for the new 

standards compared to today’s (Tier 2) 

emission standards; for remanufactured 

engines, the comparison is to the 

current standards for each tier of 

locomotives covered, and to typical 

unregulated levels for marine engines. 

TABLE I–1.—REDUCTIONS FROM LEVELS OF EXISTING STANDARDS

Sector Standards tier PM 

(percent) 

NOX

(percent) 

Locomotives ......................................... Remanufactured Tier 0 .................................................................................... 60 15–20. 

Remanufactured Tier 1 .................................................................................... 50 

Remanufactured Tier 2 .................................................................................... 50 

Tier 3 ............................................................................................................... 50 

Tier 4 ............................................................................................................... 90 80. 

All tiers—idle emissions .................................................................................. 50 50. 

Marine Diesel Engines a ...................... Remanufactured Engines ................................................................................ 25–60 Up to 20. 

Tier 3 ............................................................................................................... 50 20. 

Tier 4 ............................................................................................................... 90 80. 

Note: (a) Standards vary by displacement and within power categories. Reductions indicated are typical. 

On a nationwide annual basis, these 

reductions will amount to 800,000 tons 

of NOX and 27,000 tons of PM by 2030, 

resulting annually in the prevention of 

up to 1,100 PM-related premature 

deaths, 280 ozone-related premature 

deaths, 120,000 lost work days, 120,000 

school day absences, and 1.1 million 

minor restricted-activity days. We 

estimate the annual monetized health 

benefits of this rule in 2030 will range 

from $9.2 billion to $11 billion, 

assuming a 3 percent discount rate, or 

between $8.4 billion to $10 billion, 

assuming a 7% discount rate.3 The 

estimated annual social cost of the 

program in 2030 is projected to be $740 

million, significantly less than the 

estimated benefits. 

A. What Is EPA Finalizing and How 

Does it Differ From the Proposal? 

This final rule makes a number of 

important changes to the program set 

out in our Notice of Proposed 

Rulemaking (NPRM). Among these are 

changes that will yield significantly 

greater overall NOX and PM reductions, 

especially in the critical early years of 

the program: The adoption of standards 

for remanufactured marine engines and 

a 2-year pull-ahead of the Tier 4 NOX

requirements for line-haul locomotives 

and for 2000–3700 kW (2760–4900 hp) 

marine engines. 

The major elements of the final 

program are summarized below. We are 

also revising existing testing, 

certification, and compliance provisions 

to better ensure emissions control in 

use. Detailed provisions and our 

justifications for them are discussed in 

sections III and IV. Section VII of this 

preamble describes a number of 

alternatives that we considered in 

developing the rule. After evaluating the 

alternatives, we believe that our new 

program provides the best opportunity 

for achieving timely and very 

substantial emissions reductions from 

locomotive and marine diesel engines. It 

balances a number of key factors: (1) 

Achieving very significant emissions 

reductions as early as possible, (2) 

providing appropriate lead time to 

develop and apply advanced control 

technologies, and (3) coordinating 

requirements in this final rule with 

existing highway and nonroad diesel 

engine programs. The provisions we are 

finalizing that are different from the 

proposed program are: 

• The adoption of standards for 

remanufactured marine diesel engines 

to address emissions from the existing 

fleet (this was presented as one of the 

proposal alternatives), 

• Inclusion of Tier 4 NOX controls on 

2015–2016 model year locomotives at 

initial build rather than at first 

remanufacture, 

• A two-year pull-ahead of the Tier 4 

NOX standard for 2000–3700 kW marine 

engines to 2014, 

• Inclusion of Class II railroads in the 

remanufactured locomotives program, 

• No Tier 4 standards for the small 

fleet of large recreational vessels at this 

time, 

• A revised approach to migratory 

vessels that spend part of their time 

overseas, 

• Credit for locomotive design 

measures that reduce emissions as part 

of efforts to improve efficiency, 

• A number of changes to test and 

compliance requirements detailed in 

sections III and IV. 

Overall, our comprehensive three-part 

approach to setting standards for 

locomotives and marine diesel engines 

will provide very large reductions in 

PM, NOX, and toxic compounds, both in 

the near-term (as early as 2008), and in 

the long-term. These reductions will be 

achieved in a manner that: (1) Leverages 

technology developments in other diesel 

sectors, (2) aligns well with the clean 

diesel fuel requirements already being 

implemented, and (3) provides the lead 

time needed to deal with the significant 

engineering design workload that is 

involved. 

(1) Locomotive Emission Standards 

We are setting stringent exhaust 

emission standards for newly-built and 

remanufactured locomotives, furthering 

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Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37099 

the initiative for cleaner locomotives 

started in 2004 with the establishment 

of the ULSD locomotive fuel program, 

and adding this important category of 

engines to the highway and nonroad 

diesel applications already covered 

under EPA’s National Clean Diesel 

Campaign. 

Briefly, for newly-built line-haul 

locomotives we are setting a new Tier 3 

PM standard of 0.10 grams per brake 

horsepower-hour (g/bhp-hr), based on 

improvements to existing engine 

designs. This standard will take effect in 

2012. We are also setting new Tier 4 

standards of 0.03 g/bhp-hr for PM and 

1.3 g/bhp-hr for NOX, based on the 

evolution of high-efficiency catalytic 

aftertreatment technologies now being 

developed and introduced in the 

highway diesel sector. The Tier 4 

standards will take effect in 2015. We 

are requiring that remanufactured Tier 2 

locomotives meet a PM standard of 0.10 

g/bhp-hr, based on the same engine 

design improvements as Tier 3 

locomotives, and that remanufactured 

Tier 0 and Tier 1 locomotives meet a 

0.22 g/bhp-hr PM standard. We are also 

requiring that remanufactured Tier 0 

locomotives meet a NOX standard of 7.4 

g/bhp-hr, the same level as current Tier 

1 locomotives, or 8.0 g/bhp-hr if the 

locomotive is not equipped with a 

separate loop intake air cooling system. 

Section III provides a detailed 

discussion of these new standards, and 

section IV details improvements being 

made to the applicable test, 

certification, and compliance programs. 

In setting our original locomotive 

emission standards in 1998, the historic 

pattern of transitioning older line-haul 

locomotives to road- and yard-switcher 

service resulted in our making little 

distinction between line-haul and 

switch locomotives. Because of the 

increase in the size of new locomotives 

in recent years, that pattern cannot be 

sustained by the railroad industry, as 

today’s 4000+ hp (3000+ kW) 

locomotives are poorly suited for 

switcher duty. Furthermore, although 

there is still a fairly sizeable legacy fleet 

of older smaller line-haul locomotives 

that could find their way into the 

switcher fleet, essentially the only 

newly-built switchers put into service 

over the last two decades have been of 

radically different design, employing 

one to three smaller high-speed diesel 

engines designed for use in nonroad 

applications. We are establishing new 

standards and special certification 

provisions for newly-built and 

remanufactured switch locomotives that 

take these factors into account. 

Locomotives spend a substantial 

amount of time idling, during which 

they emit harmful pollutants, consume 

fuel, create noise, and increase 

maintenance costs. We are requiring 

that idle controls, such as Automatic 

Engine Stop/Start Systems (AESS), be 

included on all newly-built Tier 3 and 

Tier 4 locomotives. We also are 

requiring that they be installed on all 

existing locomotives that are subject to 

the new remanufactured engine 

standards, at the point of first 

remanufacture under the standards, 

unless already equipped with idle 

controls. Additional idle emissions 

control beyond AESS is encouraged in 

our program by factoring it into the 

certification test program. 

(2) Marine Engine Emission Standards 

We are setting emissions standards for 

newly-built and remanufactured marine 

diesel engines with displacements up to 

30 liters per cylinder (referred to as 

Category 1 and 2, or C1 and C2, 

engines). Newly-built engines subject to 

the new standards include those used in 

commercial, recreational, and auxiliary 

power applications, and those below 37 

kW (50 hp) that were previously 

regulated in our nonroad diesel 

program. 

The new marine diesel engine 

standards include stringent enginebased Tier 3 standards for newly-built 

marine diesel engines that phase in 

beginning in 2009. These are followed 

by aftertreatment-based Tier 4 standards 

for engines above 600 kW (800 hp) that 

phase in beginning in 2014. The specific 

levels and implementation dates for the 

Tier 3 and Tier 4 standards vary by 

engine size and power. This yields an 

array of emission standards levels and 

start dates that help ensure the most 

stringent standards feasible at the 

earliest possible time for each group of 

newly-built marine engines, while 

helping engine and vessel 

manufacturers implement the program 

in a manner that minimizes their costs 

for emission reductions. The new 

standards and implementation 

schedules, as well as their technological 

feasibility, are described in detail in 

section III of this preamble. 

We are also adopting standards to 

address the considerable impact of 

emissions from large marine diesel 

engines installed in vessels in the 

existing fleet. These standards apply to 

commercial marine diesel engines above 

600 kW when these engines are 

remanufactured, and take effect as soon 

as certified remanufacture systems are 

available. The final requirements are 

different from the programmatic 

alternative on which we sought 

comment in that there is no mandatory 

date by which marine remanufacture 

systems must be made available. 

However, systems for the larger 

Category 2 marine diesel engines are 

expected to become available at the 

same time as the locomotive 

remanufacture systems for similar 

engines, as early as 2008, because 

Category 2 marine diesel engines are 

often derived from locomotive engines. 

This new marine remanufacture 

program is described in more detail in 

section III.B(2)(b). We intend to revisit 

this program in the future to evaluate 

the extent to which remanufacture 

systems are being introduced into the 

market without a mandatory 

requirement, and to determine if the 

program should be extended to small 

commercial and recreational engines as 

well. 

Taken together, the program elements 

described above constitute a 

comprehensive program that addresses 

the problems caused by locomotive and 

marine diesel emissions from both a 

near-term and long-term perspective. It 

does this while providing for an orderly 

and cost-effective implementation 

schedule for the railroads, vessel 

owners, manufacturers, and 

remanufacturers. 

B. Why Is EPA Taking This Action? 

(1) Locomotives and Marine Diesels 

Contribute to Serious Air Pollution 

Problems 

As we discuss extensively in both the 

proposal and today’s action, EPA 

strongly believes it is appropriate to take 

steps now to reduce future emissions 

from locomotive and marine diesel 

engines. Emissions from these engines 

generate significant emissions of PM2.5

and NOX that contribute to 

nonattainment of the National Ambient 

Air Quality Standards for PM2.5 and 

ozone. NOX is a key precursor to ozone 

and secondary PM formation. These 

engines also emit hazardous air 

pollutants or air toxics, which are 

associated with serious adverse health 

effects. Finally, emissions from 

locomotive and marine diesel engines 

cause harm to public welfare, including 

contributing to visibility impairment 

and other harmful environmental 

impacts across the U.S. 

The health and environmental effects 

associated with these emissions are a 

classic example of a negative externality 

(an activity that imposes 

uncompensated costs on others). With a 

negative externality, an activity’s social 

cost (the cost borne to society imposed 

as a result of the activity taking place) 

exceeds its private cost (the cost to those 

directly engaged in the activity). In this 

case, as described below and in section 

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37100 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

4U.S. EPA (2002) Health Assessment Document 

for Diesel Engine Exhaust. EPA/600/8–90/057F. 

Office of Research and Development, Washington 

DC. This document is available electronically at 

http://cfpub.epa.gov/ncea/cfm/ 

recordisplay.cfm?deid=29060. 

5 Kinnee, E.J.; Touman, J.S.; Mason, R.; Thurman, 

J.; Beidler, A.; Bailey, C.; Cook, R. (2004) Allocation 

of onroad mobile emissions to road segments for air 

toxics modeling in an urban area. Transport. Res. 

Part D 9: 139–150. 

6State of California Air Resources Board. 

Roseville Rail Yard Study. Stationary Source 

Division, October 14, 2004. This document is 

available electronically at: http://www.arb.ca.gov/ 

diesel/documents/rrstudy.htm and State of 

California Air Resources Board. Diesel Particulate 

Matter Exposure Assessment Study for the Ports of 

Los Angeles and Long Beach, April 2006. This 

document is available electronically at: http:// 

www.arb.ca.gov/regact/marine2005/ 

portstudy0406.pdf. 

7This type of screening-level analysis is an 

inexact tool and not appropriate for regulatory 

decisionmaking; it is useful in beginning to 

understand potential impacts and for illustrative 

purposes. Additionally, the emissions inventories 

used as inputs for the analyses are not official 

estimates and likely underestimate overall 

emissions because they are not inclusive of all 

emission sources at the individual ports in the 

sample. For example, most inventories included 

emissions from ocean-going vessels (powered by 

Category 3 engines), as well as some commercial 

vessel categories, including harbor crafts, (powered 

by Category 1 and 2 engines), cargo handling 

equipment, locomotives, and heavy-duty vehicles. 

This final rule will not address emissions from 

ocean-going vessels, cargo handling equipment or 

heavy-duty vehicles. 

8 ICF International. September 28, 2007. 

Estimation of diesel particulate matter 

concentration isopleths for marine harbor areas and 

rail yards. Memorandum to EPA under Work 

Assignment Number 0–3, Contract Number EP–C– 

06–094. This memo is available in Docket EPA– 

HQ–OAR–2003–0190. 

9 ICF International. September 28, 2007. 

Estimation of diesel particulate matter population 

exposure near selected harbor areas and rail yards. 

Memorandum to EPA under Work Assignment 

Number 0–3, Contract Number EP–C–06–094. This 

memo is available in Docket EPA–HQ–OAR–2003– 

0190. 

10The Agency selected a representative sample of 

the top 150 U.S. ports including coastal, inland, and 

Great Lake ports. In selecting a sample of rail yards 

the Agency identified a subset from the hundreds 

of rail yards operated by Class I Railroads. 

II, emissions from locomotives and 

marine diesel engines and vessels 

impose public health and 

environmental costs on society. 

However, these added costs are not 

reflected in the costs of those using 

these engines and equipment. The 

current market and regulatory scheme 

do not correct this externality because 

firms in the market are rewarded for 

minimizing their production costs, 

including the costs of pollution control, 

and do not benefit from reductions in 

emissions. In addition, firms that may 

take steps to use equipment that reduces 

air pollution may find themselves at a 

competitive disadvantage compared to 

firms that do not. The emission 

standards that EPA is finalizing help 

address this market failure and reduce 

the negative externality from these 

emissions by providing a regulatory 

incentive for engine and locomotive 

manufacturers to produce engines and 

locomotives that emit fewer harmful 

pollutants and for railroads and vessel 

builders and owners to use those 

cleaner engines. 

Emissions from locomotive and 

marine diesel engines account for 

substantial portions of the country’s 

current ambient PM2.5 and NOX levels. 

We estimate that today these engines 

account for about 20 percent of mobile 

source NOX emissions and about 25 

percent of mobile source diesel PM2.5

emissions. Under this rulemaking, by 

2030, NOX emissions from these diesel 

engines will be reduced annually by 

800,000 tons and PM2.5 emissions by 

27,000 tons, and these reductions will 

grow beyond 2030 as fleet turnover to 

the cleanest engines continues. 

EPA has already taken steps to bring 

emissions levels from highway and 

nonroad diesel vehicles and engines to 

very low levels over the next decade, 

while the per horsepower-hour emission 

levels for locomotive and marine diesel 

engines remain at much higher levels— 

comparable to the emissions for 

highway trucks in the early 1990s. 

Both ozone and PM2.5 contribute to 

serious public health problems, 

including premature mortality, 

aggravation of respiratory and 

cardiovascular disease (as indicated by 

increased hospital admissions and 

emergency room visits, school absences, 

loss work days, and restricted activity 

days), changes in lung function and 

increased respiratory symptoms, altered 

respiratory defense mechanisms, and 

chronic bronchitis. Diesel exhaust is of 

special public health concern, and since 

2002 EPA has classified exposure to 

diesel exhaust as likely to be 

carcinogenic to humans by inhalation 

from environmental exposures.4 Recent 

studies are showing that populations 

living near large diesel emission sources 

such as major roadways, rail yards, and 

marine ports are likely to experience 

greater diesel exhaust exposure levels 

than the overall U.S. population, putting 

them at greater health risks.5, 6

EPA recently conducted an initial 

screening-level analysis 7 of selected 

marine port areas and rail yards to better 

understand the populations that are 

exposed to diesel particulate matter 

(DPM) emissions from these facilities.8, 9

This screening-level analysis focused on 

a representative selection of national 

marine ports and rail yards.10 Of the 47 

marine ports and 37 rail yards selected, 

the results indicate that at least 13 

million people, including a 

disproportionate number of low-income 

households, African-Americans, and 

Hispanics, living in the vicinity of these 

facilities, are being exposed to ambient 

DPM levels that are 2.0 μg/m3 and 0.2 

μg/m3 above levels found in areas 

further from these facilities. Because 

those populations exposed to DPM 

emissions from marine ports and rail 

yards are more likely to be low-income 

and minority residents, these 

populations will benefit from the 

controls being finalized in this action. 

The detailed findings of this study are 

available in the public docket for this 

rulemaking. 

Today, millions of Americans 

continue to live in areas that do not 

meet existing air quality standards. 

Currently, ozone concentrations 

exceeding the 8-hour ozone NAAQS 

occur over wide geographic areas, 

including most of the nation’s major 

population centers. As of October 10, 

2007, approximately 88 million people 

live in 39 designated areas (which 

include all or part of 208 counties) that 

either do not meet the current PM2.5

NAAQS or contribute to violations in 

other counties, and 144 million people 

live in 81 areas (which include all or 

part of 368 counties) designated as not 

in attainment for the 8-hour ozone 

NAAQS. These numbers do not include 

the people living in areas where there is 

a significant future risk of failing to 

maintain or achieve either the current or 

future PM2.5 or ozone NAAQS. 

In addition to public health impacts, 

there are public welfare and 

environmental impacts associated with 

ozone and PM2.5 emissions. Ozone 

causes damage to vegetation which 

leads to crop and forestry economic 

losses, as well as harm to national parks, 

wilderness areas, and other natural 

systems. NOX and direct emissions of 

PM2.5 can contribute to the impairment 

of visibility in many parts of the U.S., 

where people live, work, and recreate, 

including national parks, wilderness 

areas, and mandatory class I federal 

areas. The deposition of airborne 

particles can also reduce the aesthetic 

appeal of buildings and culturally 

important objects through soiling and 

can contribute directly (or in 

conjunction with other pollutants) to 

structural damage by means of corrosion 

or erosion. Finally, NOX emissions from 

diesel engines contribute to the 

acidification, nitrification, and 

eutrophication of water bodies. 

While EPA has already adopted many 

emission control programs that are 

expected to reduce ambient ozone and 

PM2.5 levels, including the Clean Air 

Interstate Rule (CAIR) (70 FR 25162, 

May 12, 2005) and the Clean Air 

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11Two examples of state and local actions are: 

California Air Resources Board (2006). Emission 

Reduction Plan for Ports and Goods Movements 

(April 2006), Available electronically at 

www.arb.ca.gov/gmp/docs/ 

finalgmpplan090905.pdf; Connecticut Department 

of Environmental Protection (2006). Connecticut’s 

Clean Diesel Plan (January 2006). See http:// 

www.dep.state.ct.us/air2/diesel/index.htm for 

description of initiative. 

Nonroad Diesel Rule (69 FR 38957, June 

29, 2004), the Heavy Duty Engine and 

Vehicle Standards and Highway Diesel 

Fuel Sulfur Control Requirements (66 

FR 5002, Jan. 18, 2001), and the Tier 2 

Vehicle and Gasoline Sulfur Program 

(65 FR 6698, Feb. 10, 2000), the 

additional PM2.5 and NOX emission 

reductions resulting from this rule will 

assist states in attaining and 

maintaining the Ozone and the PM2.5

NAAQS both near term and in the 

decades to come. 

In September 2006, EPA finalized 

revised PM2.5 NAAQS standards and 

over the next few years the EPA will 

undergo the process of designating areas 

that do not meet this new standard. EPA 

modeling, conducted as part of 

finalizing the revised NAAQS, projects 

that in 2015 up to 52 counties with 53 

million people may violate either the 

daily or annual standards for PM2.5 (or 

both), while an additional 27 million 

people in 54 counties may live in areas 

that have air quality measurements 

within 10 percent of the revised 

NAAQS. Even in 2020 up to 48 

counties, with 54 million people, may 

still not be able to meet the revised 

PM2.5 NAAQS and an additional 25 

million people, living in 50 counties, 

are projected to have air quality 

measurements within 10 percent of the 

revised standards. The locomotive and 

marine diesel PM2.5 reductions resulting 

from this rulemaking are needed by a 

number of states to both attain and 

maintain the revised PM2.5 NAAQS. 

State and local governments continue 

working to protect the health of their 

citizens and comply with requirements 

of the Clean Air Act (CAA or ‘‘the Act’’). 

As part of this effort they recognize the 

need to secure additional major 

reductions in both diesel PM2.5 and NOX

emissions by undertaking numerous 

state-level actions.11 However, they have 

also urged Agency action to finalize a 

strong locomotive and marine diesel 

engine program that will provide crucial 

emission reductions both in the near 

and long-term. 

The federal program finalized today 

results in earlier and significantly 

greater NOX and PM reductions from the 

locomotive and marine sector than the 

proposed program because of the firstever national standards for 

remanufactured marine engines and the 

starting of Tier 4 NOX requirements for 

line-haul locomotives and for 2000– 

3700 kW (2760–4900 hp) marine 

engines two years earlier than proposed. 

These changes reflect important 

cooperative efforts by the regulated 

industry to implement cleaner 

technology as early as possible. While 

the program finalized today will help 

many states and communities achieve 

cleaner air, for some areas, such as the 

South Coast of California, the reductions 

achieved through this rule will not 

alone enable them to meet their nearterm ozone and PM air quality goals. 

This was also the case for our 1998 

locomotive rulemaking, where the State 

of California worked with Class I 

railroads operating in southern 

California to develop a Memoranda of 

Understanding (MOU) ensuring that the 

cleanest technologies enabled by federal 

rules were expeditiously introduced in 

areas of California with greatest air 

quality improvement needs. EPA 

continues to support California’s efforts 

to reconcile likely future growth in the 

locomotive and marine sector with the 

public health protection needs of the 

area, and today’s final rule includes 

provisions which are well-suited to 

encouraging early deployment of 

cleaner technologies through the 

development of similar programs. 

In addition to these new standards, 

EPA has a number of voluntary 

programs that help enable government, 

industry, and local communities to 

address challenging air quality 

problems. The EPA SmartWay program 

has worked with railroads to encourage 

them to reduce unnecessary locomotive 

idling and will continue to promote the 

use of innovative idle reduction 

technologies that can substantially 

reduce locomotive emissions while 

reducing fuel consumption. EPA’s 

National Clean Diesel Campaign, 

through its Clean Ports USA program is 

working with port authorities, terminal 

operators, and trucking and rail 

companies to promote cleaner diesel 

technologies and emission reduction 

strategies through education, incentives, 

and financial assistance. Part of these 

efforts involves voluntary retrofit 

programs that can further reduce 

emissions from the existing fleet of 

diesel engines. Finally, EPA is 

implementing a new Sustainable Ports 

Strategy which will allow EPA to 

partner with ports, business partners, 

communities and other stakeholders to 

become world leaders in sustainability, 

including achieving cleaner air. This 

new strategy builds on the success of 

collaborative work EPA has been doing 

in partnership with the American 

Association of Port Authorities (AAPA), 

and through port related efforts of Clean 

Ports USA, SmartWay, EPA’s Regional 

Diesel Collaboratives and other 

programs. Together these approaches 

augment the regulations being finalized 

today, helping states and communities 

achieve larger reductions sooner in the 

areas of our country that need them the 

most. 

(2) Advanced Technologies Can Be 

Applied 

Air pollution from locomotive and 

marine diesel exhaust is a challenging 

problem. However, we believe it can be 

addressed effectively through a 

combination of engine-out emission 

reduction technologies and highefficiency catalytic aftertreatment 

technologies. As discussed in greater 

detail in section III.C, the development 

of these aftertreatment technologies for 

highway and nonroad diesel 

applications has advanced rapidly in 

recent years, so that new engines can 

achieve very large emission reductions 

in PM and NOX (in excess of 90 and 80 

percent, respectively). 

High-efficiency PM control 

technologies are being broadly used in 

many parts of the world and are being 

used domestically to comply with EPA’s 

heavy-duty truck standards that started 

taking effect in the 2007 model year. 

These technologies are highly durable 

and robust in use and have proved 

extremely effective in reducing exhaust 

hydrocarbon (HC) and carbon monoxide 

emissions. 

Control of NOX emissions from 

locomotive and marine diesel engines 

can also be achieved with highefficiency exhaust emission control 

technologies. Such technologies are 

expected to be used to meet the 

stringent NOX standards included in 

EPA’s heavy-duty highway diesel and 

nonroad Tier 4 programs and have been 

in production for heavy-duty trucks in 

Europe since 2005 and in many 

stationary source applications 

throughout the world. 

Section III.C discusses additional 

engineering challenges in applying 

these technologies to newly-built 

locomotive and marine engines, as well 

as the development steps that we expect 

to be taken to resolve the challenges. 

With the lead time available and the 

assurance of ULSD for the locomotive 

and marine sectors in 2012, as provided 

by our 2004 final rule for nonroad 

engines and fuel, we are confident the 

application of advanced technology to 

locomotives and marine diesel engines 

will proceed at a reasonable rate of 

progress and will result in systems 

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capable of achieving the new standards 

on time. 

(3) Basis for Action Under the Clean Air 

Act 

Authority for the actions promulgated 

in this document is granted to the EPA 

by sections 114, 203, 205, 206, 207, 208, 

213, 216, and 301(a) of the Clean Air 

Act as amended in 1990 (42 U.S.C. 

7414, 7522, 7524, 7525, 7541, 7542, 

7547, 7550 and 7601(a)). 

Authority to Set Standards. EPA is 

promulgating emissions standards for 

new marine diesel engines pursuant to 

its authority under section 213(a)(3) and 

(4) of the CAA. EPA is promulgating 

emission standards for new locomotives 

and new engines used in locomotives 

pursuant to its authority under section 

213(a)(5) of the CAA. 

EPA has previously determined that 

certain existing locomotive engines, 

when they are remanufactured, are 

returned to as-new condition and are 

expected to have the same performance, 

durability, and reliability as freshlymanufactured locomotive engines. 

Consequently we set emission standards 

for these remanufactured engines that 

apply at the time of remanufacture 

(defined as ‘‘to replace, or inspect and 

qualify, each and every power assembly 

of a locomotive or locomotive engine, 

whether during a single maintenance 

event or cumulatively within a five-year 

period * * *’’ (see 61 FR 53102, 

October 4, 1996; 40 CFR 92.2). In this 

action we are adopting new tiers of 

standards for both freshly manufactured 

and remanufactured locomotives and 

locomotive engines. 

In the proposal for this rulemaking we 

also discussed applying a similar 

approach to marine diesel engines. 

Many marine diesel engines, 

particularly those above 600 kW (800 

hp), periodically undergo a maintenance 

process that returns them to as-new 

condition. A full rebuild that brings an 

engine back to as-new condition 

includes a complete overhaul of the 

engine, including piston, rings, liners, 

turbocharger, heads, bearings, and 

geartrain/camshaft removal and 

replacement. Engine manufacturers 

typically provide instructions for such a 

full rebuild. Marine diesel engine 

owners complete this process to 

maintain engine reliability, durability, 

and performance over the life of their 

vessel, and to avoid the need to repower 

(replace the engine) before their vessel 

wears out. A commercial marine vessel 

can be in operation in excess of 40 

years, which means that a marine diesel 

engine may be remanufactured to asnew condition three or more times 

before the vessel is scrapped. 

Because these remanufactured 

engines are returned to as-new 

condition, section 213(a)(3) and (4) give 

EPA the authority to set emission 

standards for those engines. We are 

adopting requirements for 

remanufactured marine diesel engines, 

described in section III.B(2)(b) of this 

action. For the purpose of this program, 

we are defining remanufacture as the 

replacement of all cylinder liners, either 

in one maintenance event or over the 

course of five years (for the purpose of 

this program, ‘‘replacement’’ includes 

the removing, inspecting and 

requalifying a liner). While replacement 

of cylinder liners is only one element of 

a full rebuild, it is common to all 

rebuilds. Marine diesel engines that do 

not have their cylinder liners replaced 

all at once or within a five-year period, 

or that do not perform cylinder liner 

replacement at all, are not considered to 

be returned to as-new condition and 

therefore are not considered to be 

remanufactured. Those engines will not 

be subject to the marine remanufacture 

requirements. 

Pollutants That Can Be Regulated. 

CAA section 213(a)(3) directs the 

Administrator to set NOX, volatile 

organic compounds (VOCs), or carbon 

monoxide standards for classes or 

categories of engines such as marine 

diesel engines that contribute to ozone 

or carbon monoxide concentrations in 

more than one nonattainment area. 

These ‘‘standards shall achieve the 

greatest degree of emission reduction 

achievable through the application of 

technology which the Administrator 

determines will be available for the 

engines or vehicles, giving appropriate 

consideration to cost, lead time, noise, 

energy, and safety factors associated 

with the application of such 

technology.’’ 

CAA section 213(a)(4) authorizes the 

Administrator to establish standards to 

control emissions of pollutants which 

‘‘may reasonably be anticipated to 

endanger public health and welfare’’ 

where the Administrator determines, as 

it has done for emissions of PM, that 

nonroad engines as a whole contribute 

significantly to such air pollution. The 

Administrator may promulgate 

regulations that are deemed appropriate, 

taking into account costs, noise, safety, 

and energy factors, for classes or 

categories of new nonroad vehicles and 

engines which cause or contribute to 

such air pollution. 

Level of the Standards. CAA section 

213(a)(5) directs EPA to adopt emission 

standards for new locomotives and new 

engines used in locomotives that 

achieve the ‘‘greatest degree of 

emissions reductions achievable 

through the use of technology that the 

Administrator determines will be 

available for such vehicles and engines, 

taking into account the cost of applying 

such technology within the available 

time period, the noise, energy, and 

safety factors associated with the 

applications of such technology.’’ 

Section 213(a)(5) does not require any 

review of the contribution of locomotive 

emissions to pollution, though EPA 

does provide such information in this 

rulemaking. As described in section III 

of this preamble and in chapter 4 of the 

final Regulatory Impact Analysis (RIA), 

EPA has evaluated the available 

information to determine the technology 

that will be available for locomotives 

and engines subject to EPA standards. 

Certification and Implementation. 

EPA is also acting under its authority to 

implement and enforce both the marine 

diesel emission standards and the 

locomotive emission standards. Section 

213(d) provides that the standards EPA 

adopts for both new locomotive and 

marine diesel engines ‘‘shall be subject 

to sections 206, 207, 208, and 209’’ of 

the Clean Air Act, with such 

modifications that the Administrator 

deems appropriate to the regulations 

implementing these sections. In 

addition, the locomotive and marine 

standards ‘‘shall be enforced in the same 

manner as [motor vehicle] standards 

prescribed under section 202’’ of the 

Act. Section 213(d) also grants EPA 

authority to promulgate or revise 

regulations as necessary to determine 

compliance with, and enforce, standards 

adopted under section 213. 

Technological Feasibility and Cost of 

Standards. The evidence provided in 

section III.C of this Preamble and in 

chapter 4 of the RIA indicates that the 

stringent emission standards we are 

setting today for newly-built and 

remanufactured locomotive and marine 

diesel engines are feasible and reflect 

the greatest degree of emission 

reduction achievable through the use of 

technology that will be available in the 

model years to which they apply. We 

have given appropriate consideration to 

costs in setting these standards. Our 

review of the costs and costeffectiveness of these standards indicate 

that they will be reasonable and 

comparable to the cost-effectiveness of 

other emission reduction strategies that 

EPA has required in prior rulemakings. 

We have also reviewed and given 

appropriate consideration to the energy 

factors of this rule in terms of fuel 

efficiency as well as any safety and 

noise factors associated with these 

standards. 

Health and Environmental Need for 

the Standards. The information in 

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12Nationwide locomotive and marine diesel 

engines comprise approximately 3 percent of the 

nonroad mobile sources hydrocarbon inventory. 

EPA National Air Quality and Emissions Trends 

Report 1999. March 2001, Document Number: EPA 

454/R–0–004. This document is available in Docket 

EPA–HQ–OAR–2003–0190. This document is 

available electronically at: http://www.epa.gov/air/ 

airtrends/aqtrnd99/. 

section II of this Preamble and chapter 

2 of the RIA regarding air quality and 

public health impacts provides strong 

evidence that emissions from marine 

diesel engines and locomotives 

significantly and adversely impact 

public health or welfare. EPA has 

already found in previous rules that 

emissions from new marine diesel 

engines contribute to ozone and carbon 

monoxide concentrations in more than 

one area which has failed to attain the 

ozone and carbon monoxide NAAQS 

(64 FR 73300, December 29, 1999). EPA 

has also previously determined that it is 

appropriate to establish PM standards 

for marine diesel engines under section 

213(a)(4), and the additional 

information on the carcinogenicity of 

exposure to diesel exhaust noted above 

reinforces this finding. In addition, we 

have already found that emissions from 

nonroad engines as a whole 

significantly contribute to air pollution 

that may reasonably be anticipated to 

endanger public welfare due to regional 

haze and visibility impairment (67 FR 

68241, Nov. 8, 2002). We find here, 

based on the information in the NPRM 

and in section II of this preamble and 

Chapters 2 and 3 of the final RIA, that 

emissions from the new marine diesel 

engines likewise contribute to regional 

haze and to visibility impairment. 

The PM and NOX emission reductions 

resulting from these standards are 

important to states’ efforts in attaining 

and maintaining the ozone and the 

PM2.5 NAAQS in the near term and in 

the decades to come. As noted above, 

the risk to human health and welfare 

will be significantly reduced by the 

standards finalized in today’s action. 

II. Air Quality and Health Impacts 

The locomotive and marine diesel 

engines subject to this final rule 

generate significant emissions of 

particulate matter (PM) and nitrogen 

oxides (NOX) that contribute to 

nonattainment of the National Ambient 

Air Quality Standards (NAAQS) for 

PM2.5 and ozone. These engines also 

emit hazardous air pollutants or air 

toxics that are associated with serious 

adverse health effects and contribute to 

visibility impairment and other harmful 

environmental impacts across the U.S. 

By 2030, these standards are expected 

to reduce annual locomotive and marine 

diesel engine PM2.5 emissions by 27,000 

tons; NOX emissions by 800,000 tons; 

and volatile organic compound (VOC) 

emissions by 43,000 tons as well as 

reducing carbon monoxide (CO) and 

toxic compounds known as air toxics.12

We project that reductions of PM2.5, 

NOX, and VOC emissions from 

locomotive and marine diesel engines 

will produce nationwide air quality 

improvements. According to air quality 

modeling performed in conjunction 

with this rule, all 39 current PM2.5

nonattainment areas will experience a 

decrease in their projected 2030 design 

values. Likewise the 133 mandatory 

class I federal areas that EPA modeled 

will all see improvements in their 

visibility. This rule will also result in 

nationwide ozone benefits. In 2030, 573 

counties (of 579 that have monitored 

data) experience at least a 0.1 ppb 

decrease in their ozone design values. 

A. Overview 

From a public health perspective, we 

are concerned with locomotive and 

marine diesel engines’ contributions to 

atmospheric levels of particulate matter 

in general, diesel PM2.5 in particular, 

various gaseous air toxics, and ozone. 

Today, locomotive and marine diesel 

engine emissions represent a substantial 

portion of the U.S. mobile source diesel 

PM2.5 and NOX inventories, 

approximately 20 percent of mobile 

source NOX and 25 percent of mobile 

source diesel PM2.5. Over time, the 

relative contribution of these diesel 

engines to air quality problems is 

expected to increase as the emission 

contribution from other mobile sources 

decreases and the usage of locomotives 

and marine vessels increases. By 2030, 

without the additional emissions 

controls finalized in today’s rule, 

locomotive and marine diesel engines 

will emit about 65 percent of the total 

mobile source diesel PM2.5 emissions 

and 35 percent of the total mobile 

source NOX emissions. 

Based on the most recent data 

available for this rule, air quality 

problems continue to persist over a 

wide geographic area of the United 

States. As of October 10, 2007 there are 

approximately 88 million people living 

in 39 designated areas (which include 

all or part of 208 counties) that either do 

not meet the current PM2.5 NAAQS or 

contribute to violations in other 

counties, and 144 million people living 

in 81 areas (which include all or part of 

366 counties) designated as not in 

attainment for the 8-hour ozone 

NAAQS. These numbers do not include 

the people living in areas where there is 

a significant future risk of failing to 

maintain or achieve either the current or 

future PM2.5 or ozone NAAQS. Figure 

II–1 illustrates the widespread nature of 

these problems. This figure depicts 

counties which are currently designated 

nonattainment for either or both the 8- 

hour ozone NAAQS and PM2.5 NAAQS. 

It also shows the location of mandatory 

class I federal areas for visibility. 

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13See section II.B.(1)(c) and II.B.(2)(c) for a 

summary of the impact emission reductions from 

locomotive and marine diesel engines will have on 

air quality in current PM2.5 and ozone 

nonattainment areas. 

14U.S. EPA (2002) Health Assessment Document 

for Diesel Engine Exhaust. EPA/600/8–90/057F. 

Office of Research and Development, Washington, 

DC. This document is available in Docket EPA–HQ– 

OAR–2003–0190. This document is available 

electronically at http://cfpub.epa.gov/ncea/cfm/ 

recordisplay.cfm?deid=29060. 

15 Kinnee, E.J.; Touma, J.S.: Mason, R.; Thurman, 

J.; Beidler, A.; Bailey, C.; Cook, R. (2004) Allocation 

of onroad mobile emissions to road segments for air 

toxics modeling in an urban area. Transport. Res. 

Part D 9:139–150; also see Cohen, J.; Cook, R; 

Bailey, C.R.; Carr, E. (2005) Relationship between 

motor vehicle emissions of hazardous pollutants, 

roadway proximity, and ambient concentrations in 

Portland, Oregon. Environ. Modeling & Software 20: 

7–12. 

16Hand, R.; Di, P; Servin, A.; Hunsaker, L.; Suer, 

C. (2004) Roseville Rail Yard Study. California Air 

Resources Board. This document is available in 

Docket EPA–HQ–OAR–2003–0190. [Online at 

http://www.arb.ca.gov/diesel/documents/ 

rrstudy.htm]. 

17 Di P.; Servin, A.; Rosenkranz, K.; Schwehr, B.; 

Tran, H. (April 2006); Diesel Particulate Matter 

Exposure Assessment Study for the Ports of Los 

Angeles and Long Beach. State of California Air 

Resources Board. 18This type of screening-level analysis is an 

inexact tool and not appropriate for regulatory 

decision-making; it is useful in beginning to 

understand potential impacts and for illustrative 

purposes. Additionally, the emissions inventories 

used as inputs for the analyses are not official 

estimates and likely underestimate overall 

emissions because they are not inclusive of all 

emission sources at the individual ports in the 

sample. For example, most inventories included 

emissions from ocean-going vessels (powered by 

Category 3 engines), as well as some commercial 

vessel categories, including harbor crafts (powered 

by Category 1 and 2 engines), cargo handling 

equipment, locomotives, and heavy-duty vehicles. 

This final rule will not address emissions from 

ocean-going vessels, cargo handling equipment or 

heavy-duty vehicles. 19 ICF International. September 28, 2007. 

Estimation of diesel particulate matter 

concentration isopleths for marine harbor areas and 

rail yards. Memorandum to EPA under Work 

Assignment Number 0–3, Contract Number EP–C– 

06–094. This memo is available in Docket EPA– 

HQ–OAR–2003–0190. 

20 ICF International. September 28, 2007. 

Estimation of diesel particulate matter population 

exposure near selected harbor areas and rail yards. 

Memorandum to EPA under Work Assignment 

Number 0–3, Contract Number EP–C–06–094. This 

memo is available in Docket EPA–HQ–OAR–2003– 

0190. 

21The Agency selected a representative sample of 

the top 150 U.S. ports including coastal, inland and 

Great Lake ports. In selecting a sample of rail yards 

the Agency identified a subset from the hundreds 

of rail yards operated by Class I Railroads. 

The engine standards finalized in this 

rule will help reduce emissions of PM, 

NOX, VOCs, CO, and air toxics and their 

associated health and environmental 

effects. Emissions from locomotives and 

diesel marine engines contribute to PM 

and ozone concentrations in many, if 

not all, of these nonattainment areas.13

The engine standards being finalized 

today will become effective as early as 

2008, making the expected PM2.5, NOX, 

and VOC inventory reductions from this 

rulemaking critical to a number of states 

as they seek to either attain or maintain 

the current PM2.5 or ozone NAAQS. 

Beyond the impact locomotive and 

marine diesel engines have on our 

nation’s ambient air quality the diesel 

exhaust emissions from these engines 

are also of particular concern since 

exposure to diesel exhaust is classified 

as likely to be carcinogenic to humans 

by inhalation from environmental levels 

of exposure.14 Many people spend a 

large portion of time in or near areas of 

concentrated locomotive or marine 

diesel emissions, near rail yards, marine 

ports, railways, and waterways. Recent 

studies show that populations living 

near large diesel emission sources such 

as major roadways,15 rail yards 16 and 

marine ports 17 are likely to experience 

greater diesel exhaust exposure levels 

than the overall U.S. population, putting 

them at a greater health risk. 

EPA recently conducted an initial 

screening-level analysis 18 of selected 

marine port areas and rail yards to better 

understand the populations that are 

exposed to diesel particulate matter 

(DPM) emissions from these 

facilities.19, 20 This screening-level 

analysis focused on a representative 

selection of national marine ports and 

rail yards.21 Of the 47 marine ports and 

37 rail yards selected, the results 

indicate that at least 13 million people, 

including a disproportionate number of 

low-income households, AfricanAmericans, and Hispanics, living in the 

vicinity of these facilities, are being 

exposed to ambient DPM levels that are 

2.0 μg/m3 and 0.2 μg/m3 above levels 

found in areas further from these 

facilities. Because those populations 

exposed to DPM emissions from marine 

ports and rail yards are more likely to 

be low-income and minority residents, 

these populations will benefit from the 

controls being finalized in this action. 

The detailed findings of this study are 

available in the public docket for this 

rulemaking. 

In the following sections we review 

important public health effects linked to 

pollutants emitted from locomotive and 

marine diesel engines. First, the human 

health effects caused by the pollutants 

and their current and projected ambient 

levels are discussed. Following the 

discussion of health effects, the 

modeled air quality benefits resulting 

from this action and the welfare effects 

associated with emissions from diesel 

engines are presented. Finally, the 

locomotive and marine engine emission 

inventories for the primary pollutants 

affected by this rule are provided. In 

summary, the emission reductions from 

this rule will contribute to controlling 

the health and welfare problems 

associated with ambient PM and ozone 

levels and with diesel-related air toxics. 

Taken together, the materials in this 

section and in the proposal describe the 

need for tightened emission standards 

for both locomotive and marine diesel 

engines and the air quality and public 

health benefits resulting from this 

program. This section is not an 

exhaustive treatment of these issues. For 

a fuller understanding of the topics 

treated here, you should refer to the 

extended presentations in Chapter 2, 3 

and 5 of the Regulatory Impact Analysis 

(RIA) accompanying this final rule. 

B. Public Health Impacts 

(1) Particulate Matter 

The locomotive and marine engine 

standards detailed in this action will 

result in significant reductions in 

primary (directly emitted) PM2.5

emissions. In addition, the standards 

finalized today will reduce emissions of 

NOX and VOCs, which contribute to the 

formation of secondary PM2.5. 

Locomotive and marine diesel engines 

emit high levels of NOX, which react in 

the atmosphere to form secondary PM2.5

(namely ammonium nitrate). These 

engines also emit SO2 and VOC, which 

react in the atmosphere to form 

secondary PM2.5 composed of sulfates 

and organic carbonaceous PM2.5. This 

rule will reduce both primary and 

secondary PM. 

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22U.S. EPA (2004) Air Quality Criteria for 

Particulate Matter (Oct 2004), Volume I Document 

No. EPA600/P–99/002aF and Volume II Document 

No. EPA600/P–99/002bF. This document is 

available in Docket EPA–HQ–OAR–2003–0190. 

23U.S. EPA (2005) Review of the National 

Ambient Air Quality Standard for Particulate 

Matter: Policy Assessment of Scientific and 

Technical Information, OAQPS Staff Paper. EPA– 

452/R–05–005. This document is available in 

Docket EPA–HQ–OAR–2003–0190. 

24 Dockery, DW; Pope, CA III: Xu, X; et al. 1993. 

An association between air pollution and mortality 

in six U.S. cities. N Engl J Med 329:1753–1759. 

25Pope, C. A., III; Burnett, R. T.; Thun, M. J.; 

Calle, E. E.; Krewski, D.; Ito, K.; Thurston, G. D. 

(2002) Lung cancer, cardiopulmonary mortality, 

and long-term exposure to fine particulate air 

pollution. J. Am. Med. Assoc. 287:1132–1141. 

26Riediker, M.; Cascio, W.E.; Griggs, T.R.; et al. 

(2004) Particulate matter exposure in cars is 

associated with cardiovascular effects in healthy 

young men. Am J Respir Crit Care Med 169: 934– 

940. 

27 Van Vliet, P.; Knape, M.; de Hartog, J.; Janssen, 

N.; Harssema, H.; Brunekreef, B. (1997). Motor 

vehicle exhaust and chronic respiratory symptoms 

in children living near freeways. Env. Research 74: 

122–132. 

28Brunekreef, B., Janssen, N.A.H.; de Hartog, J.; 

Harssema, H.; Knape, M.; van Vliet, P. (1997). Air 

pollution from truck traffic and lung function in 

children living near roadways. Epidemiology 

8:298–303. 

29 Kim, J.J.; Smorodinsky, S.; Lipsett, M.; Singer, 

B.C.; Hodgson, A.T.; Ostro, B. (2004). Traffic-related 

air pollution near busy roads: The East Bay 

children’s respiratory health study. Am. J. Respir. 

Crit. Care Med. 170: 520–526. 

30State of California Air Resources Board. 

Roseville Rail Yard Study. Stationary Source 

Division, October 14, 2004. This document is 

available in Docket EPA–HQ–OAR–2003–0190. 

This document is available electronically at: http:// 

www.arb.ca.gov/diesel/documents/rrstudy.htm. 

31State of California Air Resources Board. Diesel 

Particulate Matter Exposure Assessment Study for 

the Ports of Los Angeles and Long Beach, April 

2006. This document is available in Docket EPA– 

HQ–OAR–2003–0190. This document is available 

electronically at: ftp://ftp.arb.ca.gov/carbis/msprog/ 

offroad/marinevess/documents/portstudy0406.pdf. 

(a) Background 

Particulate matter (PM) represents a 

broad class of chemically and physically 

diverse substances. It can be principally 

characterized as discrete particles that 

exist in the condensed (liquid or solid) 

phase spanning several orders of 

magnitude in size. PM is further 

described by breaking it down into size 

fractions. PM10 refers to particles 

generally less than or equal to 10 

micrometers (μm) in diameter. PM2.5

refers to fine particles, generally less 

than or equal to 2.5 μm in diameter. 

Inhalable (or ‘‘thoracic’’) coarse particles 

refer to those particles generally greater 

than 2.5 μm but less than or equal to 10 

μm in diameter. Ultrafine PM refers to 

particles less than 100 nanometers (0.1 

μm) in diameter. Larger particles tend to 

be removed by the respiratory clearance 

mechanisms (e.g. coughing), whereas 

smaller particles are deposited deeper in 

the lungs. 

Fine particles are produced primarily 

by combustion processes and by 

transformations of gaseous emissions 

(e.g., SOx, NOX and VOC) in the 

atmosphere. The chemical and physical 

properties of PM2.5 may vary greatly 

with time, region, meteorology, and 

source category. Thus, PM2.5 may 

include a complex mixture of different 

pollutants including sulfates, nitrates, 

organic compounds, elemental carbon 

and metal compounds. These particles 

can remain in the atmosphere for days 

to weeks and travel hundreds to 

thousands of kilometers. 

The primary PM2.5 NAAQS includes a 

short-term (24-hour) and a long-term 

(annual) standard. The 1997 PM2.5

NAAQS established by EPA set the 24- 

hour standard at a level of 65 μg/m3

based on the 98th percentile 

concentration averaged over three years. 

The annual standard specifies an 

expected annual arithmetic mean not to 

exceed 15 μg/m3 averaged over three 

years. 

EPA has recently amended the 

NAAQS for PM2.5 (71 FR 61144, October 

17, 2006). The final rule, signed on 

September 21, 2006, addressed revisions 

to the primary and secondary NAAQS 

for PM to provide increased protection 

of public health and welfare, 

respectively. The level of the 24-hour 

PM2.5 NAAQS was revised from 65 μg/ 

m3 to 35 μg/m3 and the level of the 

annual PM2.5 NAAQS was retained at 15 

μg/m3. With regard to the secondary 

standards for PM2.5, EPA has revised 

these standards to be identical in all 

respects to the revised primary 

standards. 

(b) Health Effects of PM2.5

Scientific studies show ambient PM is 

associated with a series of adverse 

health effects. These health effects are 

discussed in detail in the 2004 EPA 

Particulate Matter Air Quality Criteria 

Document (PM AQCD), and the 2005 

PM Staff Paper.22, 23 Further discussion 

of health effects associated with PM can 

also be found in the RIA for this rule. 

Health effects associated with shortterm exposures (hours to days) to 

ambient PM include premature 

mortality, increased hospital 

admissions, heart and lung diseases, 

increased cough, adverse lowerrespiratory symptoms, decrements in 

lung function and changes in heart rate 

rhythm and other cardiac effects. 

Studies examining populations exposed 

to different levels of air pollution over 

a number of years, including the 

Harvard Six Cities Study and the 

American Cancer Society Study, show 

associations between long-term 

exposure to ambient PM2.5 and both 

total and cardiovascular and respiratory 

mortality.24 In addition, a reanalysis of 

the American Cancer Society Study 

shows an association between fine 

particle and sulfate concentrations and 

lung cancer mortality.25

The health effects of PM2.5 have been 

further documented in local impact 

studies which have focused on health 

effects due to PM2.5 exposures measured 

on or near roadways. These studies take 

into account all air pollution sources, 

including both spark-ignition (gasoline) 

and diesel powered vehicles, and 

indicate that exposure to PM2.5

emissions near roadways, which are 

dominated by mobile sources, are 

associated with potentially serious 

health effects. For instance, a recent 

study found associations between 

concentrations of cardiac risk factors in 

the blood of healthy young police 

officers and PM2.5 concentrations 

measured in vehicles.26 Also, a number 

of studies have shown associations 

between residential or school outdoor 

concentrations of some fine particle 

constituents that are found in motor 

vehicle exhaust, and adverse respiratory 

outcomes, including asthma prevalence 

in children who live near major 

roadways.27, 28, 29 Although the engines 

considered in this rule differ from those 

in these studies with respect to their 

applications and fuel qualities, these 

studies provide an indication of the 

types of health effects that might be 

expected to be associated with personal 

exposure to PM2.5 emissions from large 

marine diesel and locomotive engines. 

Recent new studies from the State of 

California provide evidence that PM2.5

emissions within marine ports and rail 

yards can contribute significantly to 

elevated ambient concentrations near 

these sources.30, 31 A substantial number 

of people experience exposure to 

locomotive and marine diesel engine 

emissions, raising potential health 

concerns. The controls finalized in this 

action will help reduce exposure to 

PM2.5, specifically exposure to marine 

port and rail yard related diesel PM2.5

sources. Additional information on 

marine port and rail yard emissions and 

ambient exposures can be found in 

Chapter 2 of the RIA. 

(c) Current and Projected PM2.5 Levels 

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32A listing of the PM2.5 nonattainment areas is 

included in the RIA for this rule. 

33U.S. EPA Air Quality Criteria for Ozone and 

Related Photochemical Oxidants (Final). U.S. 

Environmental Protection Agency, Washington, DC, 

EPA 600/R–05/004aF–cF, 2006. This document is 

available in Docket EPA–HQ–OAR–2003–0190. 

This document may be accessed electronically at: 

http://www.epa.gov/ttn/naaqs/standards/ozone/ 

s_o3_cr_cd.html. 

34EPA proposed to set the 8-hour primary ozone 

standard to a level within the range of 0.070–0.075 

ppm. The agency also requested comments on 

alternative levels of the 8-hour primary ozone 

standard, within a range from 0.060 ppm up to and 

including retention of the current standard (0.084 

ppm). EPA also proposed two options for the 

secondary ozone standard. One option would 

establish a new form of standard designed 

specifically to protect sensitive plants from damage 

caused by repeated ozone exposure throughout the 

growing season. This cumulative standard would 

add daily ozone concentrations across a threemonth period. EPA proposed to set the level of the 

cumulative standard within the range of 7 to 21 

ppm-hours. The other option would follow the 

Continued 

PM2.5 concentrations exceeding the 

level of the PM2.5 NAAQS occur in 

many parts of the country.32 In 2005 

EPA designated 39 nonattainment areas 

for the 1997 PM2.5 NAAQS (70 FR 943, 

January 5, 2005). These areas are 

comprised of 208 full or partial counties 

with a total population exceeding 88 

million. The 1997 PM2.5 NAAQS was 

recently revised and the 2006 PM2.5

NAAQS became effective on December 

18, 2006. Table II–1 presents the 

number of counties in areas currently 

designated as nonattainment for the 

1997 PM2.5 NAAQS as well as the 

number of additional counties that have 

monitored data that is violating the 2006 

PM2.5 NAAQS. 

TABLE II–1.—FINE PARTICLE STANDARDS: CURRENT NONATTAINMENT AREAS AND OTHER VIOLATING COUNTIES

Nonattainment areas/other violating counties Number of 

counties Population a

1997 PM2.5 Standards: 39 areas currently designated ........................................................................................... 208 88,394,000 

2006 PM2.5 Standards: counties with violating monitors b ....................................................................................... 49 18,198,676 

Total .................................................................................................................................................................. 257 106,595,676 

Notes: 

(a)Population numbers are from 2000 census data. (b)This table provides an estimate of the counties violating the 2006 PM2.5 NAAQS based on 2003–05 air quality data. The areas designated 

as nonattainment for the 2006 PM2.5 NAAQS will be based on 3 years of air quality data from later years. Also, the county numbers in the summary table includes only the counties with monitors violating the 2006 PM2.5 NAAQS. The monitored county violations may be an underestimate 

of the number of counties and populations that will eventually be included in areas with multiple counties designated nonattainment. 

A number of state governments have 

told EPA that they need the reductions 

this rule will provide in order to meet 

and maintain the PM2.5 NAAQS. Areas 

designated as not attaining the 1997 

PM2.5 NAAQS will need to attain the 

1997 standards in the 2010 to 2015 time 

frame, and then maintain them 

thereafter. The attainment dates 

associated with the potential new 2006 

PM2.5 nonattainment areas are likely to 

be in the 2015 to 2020 timeframe. The 

emission standards finalized in this 

action become effective as early as 2008 

making the NOX, PM, and VOC 

inventory reductions from this 

rulemaking useful to states in attaining 

or maintaining the PM2.5 NAAQS. 

EPA has already adopted many 

emission control programs that are 

expected to reduce ambient PM2.5 levels 

and which will assist in reducing the 

number of areas that fail to achieve the 

PM2.5 NAAQS. Even so, our air quality 

modeling for this final rule projects that 

in 2020, with all current controls but 

excluding the reductions achieved 

through this rule, up to 11 counties with 

a population of 24 million may not 

attain the current annual PM2.5 standard 

of 15 μg/m3. These numbers do not 

account for additional areas that have 

air quality measurements within 10 

percent of the annual PM2.5 standard. 

These areas, although not violating the 

standards, will also benefit from the 

additional reductions from this rule 

ensuring long-term maintenance of the 

PM2.5 NAAQS. 

Air quality modeling performed for 

this final rule shows that in 2020 and 

2030 all 39 current PM2.5 nonattainment 

areas will experience decreases in their 

PM2.5 design values. For areas with 

current PM2.5 design values greater than 

15 μg/m3 the modeled future-year 

population weighted PM2.5 design 

values are expected to decrease on 

average by 0.08 μg/m3 in 2020 and by 

0.16 μg/m3 in 2030. The maximum 

decrease for future-year PM2.5 design 

values will be 0.38 μg/m3 in 2020 and 

0.81 μg/m3 in 2030. The air quality 

modeling methodology and the 

projected reductions are discussed in 

more detail in Chapter 2 of the RIA. 

(2) Ozone 

The locomotive and marine engine 

standards finalized in this action are 

expected to result in significant 

reductions of NOX and VOC emissions. 

NOX and VOC contribute to the 

formation of ground-level ozone 

pollution or smog. People in many areas 

across the U.S. continue to be exposed 

to unhealthy levels of ambient ozone. 

(a) Background 

Ground-level ozone pollution is 

typically formed by the reaction of 

volatile organic compounds (VOC) and 

nitrogen oxides (NOX) in the lower 

atmosphere in the presence of heat and 

sunlight. These pollutants, often 

referred to as ozone precursors, are 

emitted by many types of pollution 

sources, such as highway and nonroad 

motor vehicles and engines, power 

plants, chemical plants, refineries, 

makers of consumer and commercial 

products, industrial facilities, and 

smaller area sources. 

The science of ozone formation, 

transport, and accumulation is 

complex.33 Ground-level ozone is 

produced and destroyed in a cyclical set 

of chemical reactions, many of which 

are sensitive to temperature and 

sunlight. When ambient temperatures 

and sunlight levels remain high for 

several days and the air is relatively 

stagnant, ozone and its precursors can 

build up and result in more ozone than 

typically occurs on a single hightemperature day. Ozone can also be 

transported into an area from pollution 

sources found hundreds of miles 

upwind, resulting in elevated ozone 

levels even in areas with low local VOC 

or NOX emissions. 

The current ozone NAAQS, 

established by EPA in 1997, has an 8- 

hour averaging time. The 8-hour ozone 

NAAQS is met at an ambient air quality 

monitoring site when the average of the 

annual fourth-highest daily maximum 8- 

hour average ozone concentration over 

three years is less than or equal to 0.084 

ppm. On June 20, 2007, EPA proposed 

to strengthen the ozone NAAQS, the 

proposed revisions reflect new scientific 

evidence about ozone and its effects on 

people and public welfare.34 The final 

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37108 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

current practice of making the secondary standard 

equal to the proposed 8-hour primary standard. 

35U.S. EPA Air Quality Criteria for Ozone and 

Related Photochemical Oxidants (Final). U.S. 

Environmental Protection Agency, Washington, DC, 

EPA 600/R–05/004aF–cF, 2006. This document is 

available in Docket EPA–HQ–OAR–2003–0190. 

This document may be accessed electronically at: 

http://www.epa.gov/ttn/naaqs/standards/ozone/ 

s_o3_cr_cd.html. 

36U.S. EPA (2007) Review of the National 

Ambient Air Quality Standards for Ozone, Policy 

Assessment of Scientific and Technical 

Information. OAQPS Staff Paper.EPA–452/R–07– 

003. This document is available in Docket EPA– 

HQ–OAR–2003–0190. This document is available 

electronically at: http:www.epa.gov/ttn/naaqs/ 

standards/ozone/s_o3_cr_.html. 

37A listing of the 8-hour ozone nonattainment 

areas is included in the RIA for this rule. 38The Los Angeles South Coast Air Basin 8-hour 

ozone nonattainment area will have to attain before 

June 15, 2021. 

39We expect many of the 8-hour ozone 

nonattainment areas to adopt additional emission 

reduction programs but we are unable to quantify 

or rely upon future reductions from additional state 

and local programs that have not yet been adopted. 

40Ozone design values are reported in parts per 

million (ppm) as specified in 40 CFR part 50. Due 

to the scale of the design value changes in this 

action, results have been presented in parts per 

billion (ppb) format. 

ozone NAAQS rule is scheduled for 

March 2008. 

(b) Health Effects of Ozone 

The health and welfare effects of 

ozone are well documented and are 

assessed in EPA’s 2006 ozone Air 

Quality Criteria Document (ozone 

AQCD) and EPA Staff Paper.35, 36 Ozone 

can irritate the respiratory system, 

causing coughing, throat irritation, and/ 

or uncomfortable sensation in the chest. 

Ozone can reduce lung function and 

make it more difficult to breathe deeply; 

breathing may also become more rapid 

and shallow than normal, thereby 

limiting a person’s activity. Ozone can 

also aggravate asthma, leading to more 

asthma attacks that require medical 

attention and/or the use of additional 

medication. There is evidence of an 

elevated risk of mortality associated 

with acute exposure to ozone, especially 

in the summer or warm season when 

ozone levels are typically high. Animal 

toxicological evidence indicates that 

with repeated exposure, ozone can 

inflame and damage the lining of the 

lungs, which may lead to permanent 

changes in lung tissue and irreversible 

reductions in lung function. People who 

are more susceptible to effects 

associated with exposure to ozone can 

include children, the elderly, and 

individuals with respiratory disease 

such as asthma. Those with greater 

exposures to ozone, for instance due to 

time spent outdoors (e.g., children and 

outdoor workers), are also of particular 

concern. 

The recent ozone AQCD also 

examined relevant new scientific 

information that has emerged in the past 

decade, including the impact of ozone 

exposure on such health effects as 

changes in lung structure and 

biochemistry, inflammation of the 

lungs, exacerbation and causation of 

asthma, respiratory illness-related 

school absence, hospital admissions and 

premature mortality. Animal 

toxicological studies have suggested 

potential interactions between ozone 

and PM with increased responses 

observed to mixtures of the two 

pollutants compared to either ozone or 

PM alone. The respiratory morbidity 

observed in animal studies along with 

the evidence from epidemiologic studies 

supports a causal relationship between 

acute ambient ozone exposures and 

increased respiratory-related emergency 

room visits and hospitalizations in the 

warm season. In addition, there is 

suggestive evidence of a contribution of 

ozone to cardiovascular-related 

morbidity and non-accidental and 

cardiopulmonary mortality. 

(c) Current and Projected Ozone Levels 

Ozone concentrations exceeding the 

level of the 8-hour ozone NAAQS occur 

over wide geographic areas, including 

most of the nation’s major population 

centers.37 As of October 10, 2007, there 

were approximately 144 million people 

living in 81 areas (which include all or 

part of 366 counties) designated as not 

in attainment with the 8-hour ozone 

NAAQS. These numbers do not include 

the people living in areas where there is 

a future risk of failing to maintain or 

attain the 8-hour ozone NAAQS. 

States with 8-hour ozone 

nonattainment areas are required to take 

action to bring those areas into 

compliance in the future. Based on the 

final rule designating and classifying 8- 

hour ozone nonattainment areas (69 FR 

23951, April 30, 2004), most 8-hour 

ozone nonattainment areas will be 

required to attain the ozone NAAQS in 

the 2007 to 2013 time frame and then 

maintain the NAAQS thereafter.38 Many 

of these nonattainment areas will need 

to adopt additional emission reduction 

programs and the NOX and VOC 

reductions from this final action are 

particularly important for these states. 

In addition, EPA’s review of the ozone 

NAAQS is currently underway with a 

final rule scheduled for March 2008. If 

the ozone NAAQS is revised then new 

nonattainment areas will be designated. 

While EPA is not relying on it for 

purposes of justifying this rule, the 

emission reductions from this 

rulemaking will also be helpful to states 

if EPA revises the ozone NAAQS to be 

more stringent. 

EPA has already adopted many 

emission control programs that are 

expected to reduce ambient ozone 

levels. These control programs are 

described in section I.B.1 of this 

preamble. As a result of these programs, 

the number of areas that fail to meet the 

8-hour ozone NAAQS in the future is 

expected to decrease. Based on the air 

quality modeling performed for this 

rule, which does not include any 

additional local controls, we estimate 

nine counties (where 22 million people 

are projected to live) will exceed the 8- 

hour ozone NAAQS in 2020.39 An 

additional 39 counties (where 29 

million people are projected to live) are 

expected to be within 10 percent of 

violating the 8-hour ozone NAAQS in 

2020. 

This rule results in reductions in 

nationwide ozone levels. The air quality 

modeling projects that in 2030, 573 

counties (of 579 that have monitored 

data) experience at least a 0.1 ppb 

decrease in their ozone design values. 

There are three nonattainment areas in 

southern California, the Los AngelesSouth Coast Air Basin nonattainment 

area, the Riverside Co. (Coachella 

Valley) nonattainment area and the Los 

Angeles—San Bernardino (W. Mojave) 

nonattainment area, which will 

experience 8-hour ozone design value 

increases due to the NOX disbenefits 

which occur in these VOC-limited 

ozone nonattainment areas. Briefly, NOX

reductions at certain times and in some 

areas can lead to increased ozone levels. 

The air quality modeling methodology 

(Section 2.3), the projected reductions 

(Section 2.2.4), and the limited NOX

disbenefits (Section 2.2.4.2.1), are 

discussed in more detail in Chapter 2 of 

the RIA. 

Results from the air quality modeling 

conducted for this final rule indicate 

that the locomotive and marine diesel 

engine emission reductions in 2020 and 

2030 will improve both the average and 

population-weighted average ozone 

concentrations for the U.S. In addition, 

the air quality modeling shows that on 

average this final rule will help bring 

counties closer to ozone attainment as 

well as assist counties whose ozone 

concentrations are within ten percent 

below the standard. For example, in 

projected nonattainment counties, on a 

population-weighted basis, the 8-hour 

ozone design value will on average 

decrease by 0.13 ppb in 2020 and 0.62 

ppb in 2030.40

The impact of the reductions has also 

been analyzed with respect to those 

areas that have the highest design 

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Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37109 

41To express chronic noncancer hazards, we used 

the RfC as part of a calculation called the hazard 

quotient (HQ), which is the ratio between the 

concentration to which a person is exposed and the 

RfC. (RfC is defined by EPA as, ‘‘an estimate of a 

continuous inhalation exposure to the human 

population, including sensitive subgroups, with 

uncertainty spanning perhaps an order of 

magnitude, which is likely to be without 

appreciable risks of deleterious noncancer effects 

during a lifetime.’’) A value of the HQ less than one 

indicates that the exposure is lower than the RfC 

and that no adverse health effects would be 

expected. Combined noncancer hazards were 

calculated using the hazard index (HI), defined as 

the sum of hazard quotients for individual air toxic 

compounds that affect the same target organ or 

system. As with the hazard quotient, a value of the 

HI at or below 1.0 will likely not result in adverse 

effects over a lifetime of exposure. However, a value 

of the HI greater than 1.0 does not necessarily 

suggest a likelihood of adverse effects. Furthermore, 

the HI cannot be translated into a probability that 

adverse effects will occur and is not likely to be 

proportional to risk. 

42U.S. EPA (2006) National-Scale Air Toxics 

Assessment for 1999. This material is available 

electronically at http://www.epa.gov/ttn/atw/ 

nata1999/risksum.html. 

43U.S. EPA (2003) Integrated Risk Information 

System File of Acrolein. National Center for 

Environmental Assessment, Office of Research and 

Development, Washington, D.C. 2003. This material 

is available electronically at http://www.epa.gov/ 

iris/subst/0364.htm. 

44U.S. EPA (2006) National-Scale Air Toxics 

Assessment for 1999. This material is available 

electronically at http://www.epa.gov/ttn/atw/ 

nata1999/risksum.html. 

45U.S. EPA (2006) National-Scale Air Toxics 

Assessment for 1999. http://www.epa.gov/ttn/atw/ 

nata1999. 

46U.S. EPA (2002) Health Assessment Document 

for Diesel Engine Exhaust. EPA/600/8–90/057F 

Office of Research and Development, Washington 

DC. Pp1–1 1–2. This document is available 

electronically at http://cfpub.epa.gov/ncea/cfm/ 

recordisplay.cfm?deid=29060. This document can 

be found in Docket EPA–HQ–OAR–2003–0190. 

47U.S. EPA (2002) Health Assessment Document 

for Diesel Engine Exhaust. EPA/600/8–90/057F 

Office of Research and Development, Washington, 

DC. This document is available electronically at 

http://cfpub.epa.gov/ncea/cfm/ 

recordisplay.cfm?deid=29060. This document can 

be found in Docket EPA–HQ–OAR–2003–0190. 

values, at or above 85 ppb, in 2020. We 

project there will be nine U.S. counties 

with design values at or above 85 ppb 

in 2020. After implementation of this 

rule, we project that one of these nine 

counties will drop below 85 ppb. 

Further, two of the nine counties will be 

at least 10 percent closer to a design 

value of less than 85 ppb, and on 

average all nine counties will be about 

18 percent closer to a design value of 

less than 85 ppb. 

(3) Air Toxics 

People experience elevated risk of 

cancer and other noncancer health 

effects from exposure to the class of 

pollutants known collectively as ‘‘air 

toxics’’. Mobile sources are responsible 

for a significant portion of this 

exposure. According to the National Air 

Toxic Assessment (NATA) for 1999, 

mobile sources, including locomotive 

and marine diesel marine engines, were 

responsible for 44 percent of outdoor 

toxic emissions and almost 50 percent 

of the cancer risk among the 133 

pollutants quantitatively assessed in the 

1999 NATA. Benzene is the largest 

contributor to cancer risk of all the 

assessed pollutants and mobile sources 

were responsible for about 68 percent of 

all benzene emissions in 1999. Although 

the 1999 NATA did not quantify cancer 

risks associated with exposure to diesel 

exhaust, EPA has concluded that diesel 

exhaust ranks with other emissions that 

the national-scale assessment suggests 

pose the greatest relative risk. 

According to the 1999 NATA, nearly 

the entire U.S. population was exposed 

to an average level of air toxics that has 

the potential for adverse respiratory 

noncancer health effects. This potential 

was indicated by a hazard index (HI) 

greater than 1.41 Mobile sources were 

responsible for 74 percent of the 

potential noncancer hazard from 

outdoor air toxics in 1999. About 91 

percent of this potential noncancer 

hazard was from acrolein; 42 however, 

the confidence in the RfC for acrolein is 

medium 43 and confidence in NATA 

estimates of population noncancer 

hazard from ambient exposure to this 

pollutant is low.44 It is important to note 

that NATA estimates of noncancer 

hazard do not include the adverse 

health effects associated with 

particulate matter identified in EPA’s 

Particulate Matter Air Quality Criteria 

Document. Gasoline and diesel engine 

emissions contribute significantly to 

particulate matter concentration. 

The NATA modeling framework has a 

number of limitations which prevent its 

use as the sole basis for setting 

regulatory standards. These limitations 

and uncertainties are discussed on the 

1999 NATA website.45 Even so, this 

modeling framework is very useful in 

identifying air toxic pollutants and 

sources of greatest concern, setting 

regulatory priorities, and informing the 

decision making process. 

The following section provides a brief 

overview of air toxics which are 

associated with nonroad engines, 

including locomotive and marine diesel 

engines, and provides a discussion of 

the health risks associated with each air 

toxic. 

(a) Diesel Exhaust (DE) 

Locomotive and marine diesel engines 

emit diesel exhaust (DE), a complex 

mixture comprised of carbon dioxide, 

oxygen, nitrogen, water vapor, carbon 

monoxide, nitrogen compounds, sulfur 

compounds and numerous lowmolecular-weight hydrocarbons. A 

number of these gaseous hydrocarbon 

components are individually known to 

be toxic, including aldehydes, benzene 

and 1,3-butadiene. The diesel 

particulate matter (DPM) present in 

diesel exhaust consists of fine particles 

(< 2.5 μm), including a subgroup with 

a large number of ultrafine particles (< 

0.1 μm). These particles have a large 

surface area which makes them an 

excellent medium for adsorbing 

organics and their small size makes 

them highly respirable and able to reach 

the deep lung. Many of the organic 

compounds present on the particles and 

in the gases are individually known to 

have mutagenic and carcinogenic 

properties. Diesel exhaust varies 

significantly in chemical composition 

and particle sizes between different 

engine types (heavy-duty, light-duty), 

engine operating conditions (idle, 

accelerate, decelerate), and fuel 

formulations (high/low sulfur fuel). 

Also, there are emissions differences 

between on-road and nonroad engines 

because the nonroad engines are 

generally of older technology. This is 

especially true for locomotive and 

marine diesel engines.46

After being emitted in the engine 

exhaust, diesel exhaust undergoes 

dilution as well as chemical and 

physical changes in the atmosphere. 

The lifetime for some of the compounds 

present in diesel exhaust ranges from 

hours to days. 

(i) Diesel Exhaust: Potential Cancer 

Effects 

In EPA’s 2002 Diesel Health 

Assessment Document (Diesel HAD),47

exposure to diesel exhaust was 

classified as likely to be carcinogenic to 

humans by inhalation from 

environmental exposures, in accordance 

with the revised draft 1996/1999 EPA 

cancer guidelines. A number of other 

agencies (National Institute for 

Occupational Safety and Health, the 

International Agency for Research on 

Cancer, the World Health Organization, 

California EPA, and the U.S. 

Department of Health and Human 

Services) have made similar 

classifications. However, EPA also 

concluded in the Diesel HAD that it is 

not possible currently to calculate a 

cancer unit risk for diesel exhaust due 

to a variety of factors that limit the 

current studies, such as limited 

quantitative exposure histories in 

occupational groups investigated for 

lung cancer. 

For the Diesel HAD, EPA reviewed 22 

epidemiologic studies on the subject of 

the carcinogenicity of workers exposed 

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37110 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

48Bhatia, R., Lopipero, P., Smith, A. (1998) Diesel 

exposure and lung cancer. Epidemiology 9(1):84– 

91. 49Lipsett, M; Campleman, S; (1999) Occupational 

exposure to diesel exhaust and lung cancer: a metaanalysis. Am J Public Health 80(7): 1009–1017. 

50 Ishinishi, N; Kuwabara, N; Takaki, Y; et al. 

(1988) Long-term inhalation experiments on diesel 

exhaust. In: Diesel exhaust and health risks. Results 

of the HERP studies. Ibaraki, Japan: Research 

Committee for HERP Studies; pp. 11–84. 

51Heinrich, U; Fuhst, R; Rittinghausen, S; et al. 

(1995) Chronic inhalation exposure of Wistar rats 

and two different strains of mice to diesel engine 

exhaust, carbon black, and titanium dioxide. Inhal. 

Toxicol. 7:553–556. 

52Mauderly, JL; Jones, RK; Griffith, WC; et al. 

(1987) Diesel exhaust is a pulmonary carcinogen in 

rats exposed chronically by inhalation. Fundam. 

Appl. Toxicol. 9:208–221. 

53Nikula, KJ; Snipes, MB; Barr, EB; et al. (1995) 

Comparative pulmonary toxicities and 

carcinogenicities of chronically inhaled diesel 

exhaust and carbon black in F344 rats. Fundam. 

Appl. Toxicol. 25:80–94. 

54 ‘‘Health Assessment Document for Diesel 

Engine Exhaust,’’ U.S. Environmental Protection 

Agency, 600/8–90/057F, http://www.epa.gov/ttn/ 

atw/dieselfinal.pdf, May 2002, p. 9–9. 

55 Kilburn (2000) See HAD Chapter 5–7. 

56Hart, JE; Laden F; Schenker, M.B.; and 

Garshick, E. Chronic Obstructive Pulmonary 

Disease Mortality in Diesel-Exposed Railroad 

Workers; Environmental Health Perspective July 

2006: 1013–1016. 

to diesel exhaust in various 

occupations, finding increased lung 

cancer risk, although not always 

statistically significant, in 8 out of 10 

cohort studies and 10 out of 12 casecontrol studies within several 

industries, including railroad workers. 

Relative risk for lung cancer associated 

with exposure ranged from 1.2 to 1.5, 

although a few studies show relative 

risks as high as 2.6. Additionally, the 

Diesel HAD also relied on two 

independent meta-analyses, which 

examined 23 and 30 occupational 

studies respectively, which found 

statistically significant increases in 

smoking-adjusted relative lung cancer 

risk associated with exposure to diesel 

exhaust, of 1.33 to 1.47. These metaanalyses demonstrate the effect of 

pooling many studies and in this case 

show the positive relationship between 

diesel exhaust exposure and lung cancer 

across a variety of diesel exhaustexposed occupations.48, 49

In the absence of a cancer unit risk, 

the Diesel HAD sought to provide 

additional insight into the significance 

of the diesel exhaust-cancer hazard by 

estimating possible ranges of risk that 

might be present in the population. An 

exploratory analysis was used to 

characterize a possible risk range by 

comparing a typical environmental 

exposure level for highway diesel 

sources to a selected range of 

occupational exposure levels. The 

occupationally observed risks were then 

proportionally scaled according to the 

exposure ratios to obtain an estimate of 

the possible environmental risk. A 

number of calculations are needed to 

accomplish this, and these can be seen 

in the EPA Diesel HAD. The outcome 

was that environmental risks from 

diesel exhaust exposure could range 

from a low of 10¥4 to 10¥5 to as high 

as 10¥3, reflecting the range of 

occupational exposures that could be 

associated with the relative and absolute 

risk levels observed in the occupational 

studies. Because of uncertainties, the 

analysis acknowledged that the risks 

could be lower than 10¥4 or 10¥5, and 

a zero risk from diesel exhaust exposure 

was not ruled out. 

Retrospective health studies of 

railroad workers have played an 

important part in determining that 

exposure to diesel exhaust is likely to be 

carcinogenic to humans by inhalation 

from environmental exposures. Key 

evidence of the diesel exhaust exposure 

linkage to lung cancer comes from two 

retrospective case-control studies of 

railroad workers which are discussed at 

length in the Diesel HAD and 

summarized in Chapter 2 of the RIA. 

(ii) Diesel Exhaust: Other Health Effects 

Noncancer health effects of acute and 

chronic exposure to diesel exhaust 

emissions are also of concern to the 

EPA. EPA derived a diesel exhaust 

reference concentration (RfC) from 

consideration of four well-conducted 

chronic rat inhalation studies showing 

adverse pulmonary effects.50, 51, 52, 53 The 

RfC is 5 μg/m3 for diesel exhaust as 

measured by diesel PM. This RfC does 

not consider allergenic effects such as 

those associated with asthma or 

immunologic effects. There is growing 

evidence, discussed in the Diesel HAD, 

that exposure to diesel exhaust can 

exacerbate these effects, but the 

exposure-response data are presently 

lacking to derive an RfC. The EPA 

Diesel HAD states, ‘‘With DPM [diesel 

particulate matter] being a ubiquitous 

component of ambient PM, there is an 

uncertainty about the adequacy of the 

existing DE [diesel exhaust] noncancer 

database to identify all of the pertinent 

DE-caused noncancer health hazards.’’ 

(p. 9–19). The Diesel HAD concludes 

‘‘that acute exposure to DE [diesel 

exhaust] has been associated with 

irritation of the eye, nose, and throat, 

respiratory symptoms (cough and 

phlegm), and neurophysiological 

symptoms such as headache, 

lightheadedness, nausea, vomiting, and 

numbness or tingling of the 

extremities.’’ 54

Exposure to diesel exhaust has also 

been shown to cause serious noncancer 

effects in occupational exposure studies. 

One study of railroad workers and 

electricians, cited in the Diesel HAD,55

found that exposure to diesel exhaust 

resulted in neurobehavioral 

impairments in one or more areas 

including reaction time, balance, blink 

reflex latency, verbal recall, and color 

vision confusion indices. Pulmonary 

function tests also showed that 10 of the 

16 workers had airway obstruction and 

another group of 10 of 16 workers had 

chronic bronchitis, chest pain, tightness, 

and hyperactive airways. Finally, a 

variety of studies have been published 

subsequent to the completion of the 

Diesel HAD. One such study, published 

in 2006,56 found that railroad engineers 

and conductors with diesel exhaust 

exposure from operating trains had an 

increased incidence of chronic 

obstructive pulmonary disease (COPD) 

mortality. The odds of COPD mortality 

increased with years on the job so that 

those who had worked more than 16 

years as an engineer or conductor after 

1959 had an increased risk of 1.61 (95% 

confidence interval, 1.12–2.30). EPA is 

assessing the significance of this study 

within the context of the broader 

literature. 

(iii) Ambient PM2.5 Levels and Exposure 

to Diesel Exhaust PM 

The Diesel HAD also briefly 

summarizes health effects associated 

with ambient PM and discusses the 

EPA’s annual PM2.5 NAAQS of 15 μg/ 

m3. There is a much more extensive 

body of human data showing a wide 

spectrum of adverse health effects 

associated with exposure to ambient 

PM, of which diesel exhaust is an 

important component. The PM2.5

NAAQS is designed to provide 

protection from the noncancer and 

premature mortality effects of PM2.5 as 

a whole. 

(iv) Diesel Exhaust PM Exposures 

Exposure of people to diesel exhaust 

depends on their various activities, the 

time spent in those activities, the 

locations where these activities occur, 

and the levels of diesel exhaust 

pollutants in those locations. The major 

difference between ambient levels of 

diesel particulate and exposure levels 

for diesel particulate is that exposure 

accounts for a person moving from 

location to location, proximity to the 

emission source, and whether the 

exposure occurs in an enclosed 

environment. 

Occupational Exposures 

Occupational exposures to diesel 

exhaust from mobile sources, including 

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57 Diesel HAD Page 2–110, 8–12; Woskie, SR; 

Smith, TJ; Hammond, SK: et al. (1988a) Estimation 

of the DE exposures of railroad workers: II. National 

and historical exposures. Am J Ind Med 12:381– 

394. 

58Hand, R.; Pingkuan, D.; Servin, A.; Hunsaker, 

L.; Suer, C. (2004) Roseville rail yard study. 

California Air Resources Board. [Online at http:// 

www.arb.ca.gov/diesel/documents/rrstudy.htm] 

This document can be found in Docket EPA–HQ– 

OAR–2003–0190. 

59State of California Air Resources Board. Diesel 

Particulate Matter Exposure Assessment Study for 

the Ports of Los Angeles and Long Beach, April 

2006. This document is available in Docket EPA– 

HQ–OAR–2003–0190. This document is available 

electronically at: 

ftp://ftp.arb.ca.gov/carbis/msprog/offroad/ 

marinevess/documents/portstudy0406.pdf. 

60These studies are available in Docket EPA–HQ– 

OAR–2003–0190. Studies are also available at 

http://www.arb.ca.gov/railyard/hra/hra.htm. 

61 ICF International. September 28, 2007. 

Estimation of diesel particulate matter 

concentration isopleths for marine harbor areas and 

rail yards. Memorandum to EPA under Work 

Assignment Number 0–3, Contract Number EP–C– 

06–094. This memo is available in Docket EPA– 

HQ–OAR–2003–0190. 

62 ICF International. September 28, 2007. 

Estimation of diesel particulate matter population 

exposure near selected harbor areas and rail yards. 

Memorandum to EPA under Work Assignment 

Number 0–3, Contract Number EP–C–06–094. This 

memo is available in Docket EPA–HQ–OAR–2003– 

0190. 

63The Agency selected a representative sample of 

the top 150 U.S. ports including coastal, inland, and 

Great Lake ports. In selecting a sample of rail yards 

the Agency identified a subset from the hundreds 

of rail yards operated by Class I Railroads. 

locomotive engines and marine diesel 

engines, can be several orders of 

magnitude greater than typical 

exposures in the non-occupationally 

exposed population. 

Over the years, diesel particulate 

exposures have been measured for a 

number of occupational groups. A wide 

range of exposures have been reported, 

from 2 μg/m3 to 1,280 μg/m3, for a 

variety of occupations. Studies have 

shown that miners and railroad workers 

typically have higher diesel exposure 

levels than other occupational groups 

studied, including firefighters, truck 

dock workers, and truck drivers (both 

short and long haul).57 As discussed in 

the Diesel HAD, the National Institute of 

Occupational Safety and Health 

(NIOSH) has estimated a total of 

1,400,000 workers are occupationally 

exposed to diesel exhaust from on-road 

and nonroad vehicles including 

locomotive and marine diesel engines. 

Elevated Concentrations and Ambient 

Exposures in Mobile Source-Impacted 

Areas 

Regions immediately downwind of 

rail yards and marine ports may 

experience elevated ambient 

concentrations of directly-emitted PM2.5

from diesel engines. Due to the unique 

nature of rail yards and marine ports, 

emissions from a large number of diesel 

engines are concentrated in a small area. 

Furthermore, emissions occur at or near 

ground level, allowing emissions of 

diesel engines to reach nearby receptors 

without fully mixing with background 

air. 

A 2004 study conducted by the 

California Air Resources Board (CARB) 

examined the air quality impacts of 

railroad operations at the J.R. Davis Rail 

Yard, the largest service and 

maintenance rail facility in the western 

United States.58 The yard occupies 950 

acres along a one-quarter mile wide and 

four-mile long section of land in 

Roseville, CA. The study developed an 

emissions inventory for the facility for 

the year 2000 and modeled ambient 

concentrations of diesel PM using a 

well-accepted dispersion model 

(ISCST3). The study estimated 

substantially elevated diesel PM 

concentrations in an area 5,000 meters 

from the facility, with higher 

concentrations closer to the rail yard. 

Using local meteorological data, annual 

average contributions from the rail yard 

to ambient diesel PM concentrations 

under prevailing wind conditions were 

1.74, 1.18, 0.80, and 0.25 μg/m3 at 

receptors located 200, 500, 1000, and 

5000 meters from the yard, respectively. 

Several tens of thousands of people live 

within the area estimated to experience 

substantial increases in annual average 

ambient PM2.5 as a result of these rail 

yard emissions. 

Another study from CARB evaluated 

air quality impacts of diesel engine 

emissions within the Ports of Long 

Beach and Los Angeles in California, 

one of the largest ports in the U.S.59

Like the earlier rail yard study, the port 

study employed the ISCST3 dispersion 

model. Using local meteorological data, 

annual average concentrations were 

substantially elevated over an area 

exceeding 200,000 acres. Because the 

ports are located near heavily-populated 

areas, the modeling indicated that over 

700,000 people lived in areas with at 

least 0.3 μg/m3 of port-related diesel PM 

in ambient air, about 360,000 people 

lived in areas with at least 0.6 μg/m3 of 

diesel PM, and about 50,000 people 

lived in areas with at least 1.5 ug/m3 of 

ambient diesel PM directly from the 

port. Most recently, CARB released 

several additional Railyard Health Risk 

Assessments which all show that diesel 

PM emissions result in significantly 

higher pollution risks in nearby 

communities.60 Together these studies 

highlight the substantial contribution 

these facilities make to elevated ambient 

concentrations in populated areas. 

As mentioned in section II.A of this 

preamble, EPA recently conducted an 

initial screening-level analysis of a 

representative selection of national 

marine port areas and rail yards to begin 

to better understand the populations 

that are exposed to DPM emissions from 

these facilities.61, 62 As part of this study, 

a computer geographic information 

system (GIS) was used to identify the 

locations and property boundaries of 47 

marine ports and 37 rail yard 

facilities.63 Census information was 

used to estimate the size and 

demographic characteristics of the 

population living in the vicinity of the 

ports and rail yards. The results indicate 

that at least 13 million people, 

including a disproportionate number of 

low-income, African-Americans, and 

Hispanics, live in the vicinity of these 

facilities and are being exposed to 

ambient DPM levels that are 2.0 μg/m3

and 0.2 μg/m3 above levels found in 

areas further from these facilities. These 

populations will benefit from the 

controls being finalized in this action. 

This study is discussed in greater detail 

in chapter 2 of the RIA and detailed 

findings of this study are available in 

the public docket for this rulemaking. 

(b) Other Air Toxics—benzene, 1,3- 

butadiene, formaldehyde, acetaldehyde, 

acrolein, POM, naphthalene 

Locomotive and marine diesel engine 

exhaust emissions also contribute to 

ambient levels of other air toxics known 

or suspected as human or animal 

carcinogens, or that have noncancer 

health effects. These other air toxics 

include benzene, 1,3-butadiene, 

formaldehyde, acetaldehyde, acrolein, 

polycyclic organic matter (POM), and 

naphthalene. All of these compounds, 

except acetaldehyde, were identified as 

national or regional cancer risk or 

noncancer hazard drivers in the 1999 

National-Scale Air Toxics Assessment 

(NATA) and have significant inventory 

contributions from mobile sources. That 

is, for a significant portion of the 

population, these compounds pose a 

significant portion of the total cancer 

and noncancer risk from breathing 

outdoor air toxics. The reductions in 

locomotive and marine diesel engine 

emissions finalized in this rulemaking 

will help reduce exposure to these 

harmful substances. 

Benzene: EPA has characterized 

benzene as a known human carcinogen 

(causing leukemia) by all routes of 

exposure, and concludes that exposure 

is associated with additional health 

effects, including genetic changes in 

both humans and animals and increased 

proliferation of bone marrow cells in 

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37112 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

64U.S. EPA. 2000. Integrated Risk Information 

System File for Benzene. This material is available 

electronically at http://www.epa.gov/iris/subst/ 

0276.htm. 

65 International Agency for Research on Cancer 

(IARC). 1982. Monographs on the evaluation of 

carcinogenic risk of chemicals to humans, Volume 

29, Some industrial chemicals and dyestuffs, World 

Health Organization, Lyon, France, p. 345–389. 

66 Irons, R.D.; Stillman, W.S.; Colagiovanni, D.B.; 

Henry, V.A. 1992. Synergistic action of the benzene 

metabolite hydroquinone on myelopoietic 

stimulating activity of granulocyte/macrophage 

colony-stimulating factor in vitro, Proc. Natl. Acad. 

Sci. 89:3691–3695. 

67 International Agency for Research on Cancer 

(IARC). 1987. Monographs on the evaluation of 

carcinogenic risk of chemicals to humans, Volume 

29, Supplement 7, Some industrial chemicals and 

dyestuffs, World Health Organization, Lyon, France. 

68U.S. Department of Health and Human Services 

National Toxicology Program 11th Report on 

Carcinogens available at: http://ntp.niehs.nih.gov/ 

go/16183. 

69Aksoy, M. (1989). Hematotoxicity and 

carcinogenicity of benzene. Environ. Health 

Perspect. 82: 193–197. 

70 Goldstein, B.D. (1988). Benzene toxicity. 

Occupational medicine. State of the Art Reviews. 3: 

541–554. 

71Rothman, N., G.L. Li, M. Dosemeci, W.E. 

Bechtold, G.E. Marti, Y.Z. Wang, M. Linet, L.Q. Xi, 

W. Lu, M.T. Smith, N. Titenko-Holland, L.P. Zhang, 

W. Blot, S.N. Yin, and R.B. Hayes (1996) 

Hematotoxicity among Chinese workers heavily 

exposed to benzene. Am. J. Ind. Med. 29: 236–246. 

72U.S. EPA (2002) Toxicological Review of 

Benzene (Noncancer Effects). Environmental 

Protection Agency, Integrated Risk Information 

System (IRIS), Research and Development, National 

Center for Environmental Assessment, Washington 

DC. This material is available electronically at 

http://www.epa.gov/iris/subst/0276.htm. 

73Qu, O.; Shore, R.; Li, G.; Jin, X.; Chen, C.L.; 

Cohen, B.; Melikian, A.; Eastmond, D.; Rappaport, 

S.; Li, H.; Rupa, D.; Suramaya, R.; Songnian, W.; 

Huifant, Y.; Meng, M.; Winnik, M.; Kwok, E.; Li, Y.; 

Mu, R.; Xu, B.; Zhang, X.; Li, K. (2003) HEI Report 

115, Validation & Evaluation of Biomarkers in 

Workers Exposed to Benzene in China. 

74Qu, Q., R. Shore, G. Li, X. Jin, L.C. Chen, B. 

Cohen, et al. (2002) Hematological changes among 

Chinese workers with a broad range of benzene 

exposures. Am. J. Industr. Med. 42: 275–285. 

75Lan, Qing, Zhang, L., Li, G., Vermeulen, R., et 

al. (2004) Hematotoxically in Workers Exposed to 

Low Levels of Benzene. Science 306: 1774–1776. 

76Turtletaub, K.W. and Mani, C. (2003) Benzene 

metabolism in rodents at doses relevant to human 

exposure from Urban Air. Research Reports Health 

Effect Inst. Report No.113. 

77U.S. EPA (2002) Health Assessment of 1,3- 

Butadiene. Office of Research and Development, 

National Center for Environmental Assessment, 

Washington Office, Washington, DC. Report No. 

EPA600–P–98–001F. This document is available 

electronically at http://www.epa.gov/iris/supdocs/ 

buta-sup.pdf. 

78U.S. EPA (2002) Full IRIS Summary for 1,3- 

butadiene (CASRN 106–99–0). Environmental 

Protection Agency, Integrated Risk Information 

System (IRIS), Research and Development, National 

Center for Environmental Assessment, Washington, 

DC http://www.epa.gov/iris/subst/0139.htm. 

79 International Agency for Research on Cancer 

(IARC) (1999) Monographs on the evaluation of 

carcinogenic risk of chemicals to humans, Volume 

71, Re-evaluation of some organic chemicals, 

hydrazine and hydrogen peroxide and Volume 97 

(in preparation), World Health Organization, Lyon, 

France. 

80U.S. Department of Health and Human Services 

(2005) National Toxicology Program 11th Report on 

Carcinogens available at: ntp.niehs.nih.gov/ 

index.cfm?objectid=32BA9724-F1F6-975E7FCE50709CB4C932. 

81Bevan, C.; Stadler, J.C.; Elliot, G.S.; et al. (1996) 

Subchronic toxicity of 4-vinylcyclohexene in rats 

and mice by inhalation. Fundam. Appl. Toxicol. 

32:1–10. 

82U.S. EPA (1987) Assessment of Health Risks to 

Garment Workers and Certain Home Residents from 

Exposure to Formaldehyde, Office of Pesticides and 

Toxic Substances, April 1987. 

83Hauptmann, M.; Lubin, J.H.; Stewart, P.A.; 

Hayes, R.B.; Blair, A. 2003. Mortality from 

lymphohematopoetic malignancies among workers 

in formaldehyde industries. Journal of the National 

Cancer Institute 95: 1615–1623. 

84Hauptmann, M.; Lubin, J.H.; Stewart, P.A.; 

Hayes, R.B.; Blair, A. 2004. Mortality from solid 

cancers among workers in formaldehyde industries. 

American Journal of Epidemiology 159: 1117–1130. 

85Pinkerton, L.E. 2004. Mortality among a cohort 

of garment workers exposed to formaldehyde: an 

update. Occup. Environ. Med. 61: 193–200. 

86Coggon, D, EC Harris, J Poole, KT Palmer. 2003. 

Extended follow-up of a cohort of British chemical 

workers exposed to formaldehyde. J National 

Cancer Inst. 95:1608–1615. 

87 International Agency for Research on Cancer 

(IARC). 2006. Formaldehyde, 2-Butoxyethanol and 

1-tert-Butoxypropan-2-ol. Volume 88. (in 

preparation), World Health Organization, Lyon, 

France. 

88U.S. Department of Health and Human Services 

Agency for Toxic Substances and Disease Registry. 

1999. Toxicological Profile for formaldehyde. 

Available at http://www.atsdr.cdc.gov/toxprofiles/ 

tp111.html. 

89U.S. EPA. 1991. Integrated Risk Information 

System File of Acetaldehyde. Research and 

Development, National Center for Environmental 

mice.64, 65, 66 EPA states in its IRIS 

database that data indicate a causal 

relationship between benzene exposure 

and acute lymphocytic leukemia and 

suggests a relationship between benzene 

exposure and chronic non-lymphocytic 

leukemia and chronic lymphocytic 

leukemia. The IARC has determined 

that benzene is a human carcinogen and 

the U.S. DHHS has characterized 

benzene as a known human 

carcinogen.67, 68

A number of adverse noncancer 

health effects including blood disorders, 

such as preleukemia and aplastic 

anemia, have also been associated with 

long-term exposure to benzene.69, 70 The 

most sensitive noncancer effect 

observed in humans, based on current 

data, is the depression of the absolute 

lymphocyte count in blood.71, 72 In 

addition, recent work, including studies 

sponsored by the Health Effects Institute 

(HEI), provides evidence that 

biochemical responses are occurring at 

lower levels of benzene exposure than 

previously known.73, 74, 75, 76 EPA’s IRIS 

program has not yet evaluated these 

new data. 

1,3-Butadiene: EPA has characterized 

1,3–butadiene as carcinogenic to 

humans by inhalation.77, 78 The IARC 

has determined that 1, 3-butadiene is a 

human carcinogen and the U.S. DHHS 

has characterized 1,3-butadiene as a 

known human carcinogen.79, 80 There 

are numerous studies consistently 

demonstrating that 1,3-butadiene is 

metabolized into genotoxic metabolites 

by experimental animals and humans. 

The specific mechanisms of 1,3- 

butadiene-induced carcinogenesis are 

unknown; however, the scientific 

evidence strongly suggests that the 

carcinogenic effects are mediated by 

genotoxic metabolites. Animal data 

suggest that females may be more 

sensitive than males for cancer effects 

associated with 1,3-butadiene exposure; 

while there are insufficient data in 

humans from which to draw 

conclusions about sensitive 

subpopulations. 

1,3-Butadiene also causes a variety of 

reproductive and developmental effects 

in mice; no human data on these effects 

are available. The most sensitive effect 

was ovarian atrophy observed in a 

lifetime bioassay of female mice.81

Formaldehyde: Since 1987, EPA has 

classified formaldehyde as a probable 

human carcinogen based on evidence in 

humans and in rats, mice, hamsters, and 

monkeys.82 EPA is currently reviewing 

recently published epidemiological 

data. For instance, research conducted 

by the National Cancer Institute (NCI) 

found an increased risk of 

nasopharyngeal cancer and 

lymphohematopoietic malignancies 

such as leukemia among workers 

exposed to formaldehyde.83, 84 NCI is 

currently updating these studies. A 

recent National Institute of 

Occupational Safety and Health 

(NIOSH) study of garment workers also 

found increased risk of death due to 

leukemia among workers exposed to 

formaldehyde.85 Extended follow-up of 

a cohort of British chemical workers did 

not find evidence of an increase in 

nasopharyngeal or 

lymphohematopoietic cancers, but a 

continuing statistically significant 

excess in lung cancers was reported.86

Recently, the IARC re-classified 

formaldehyde as a human carcinogen 

(Group 1).87

Formaldehyde exposure also causes a 

range of noncancer health effects, 

including irritation of the eyes (burning 

and watering of the eyes), nose and 

throat. Decreased pulmonary function 

has been observed in humans. Effects 

from repeated exposure in humans 

include respiratory tract irritation, 

chronic bronchitis and nasal epithelial 

lesions.88

Acetaldehyde: EPA has characterized 

acetaldehyde as a probable human 

carcinogen, based on nasal tumors in 

rats.89 Acetaldehyde is reasonably 

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Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37113 

Assessment, Washington, DC. This material is 

available electronically at http://www.epa.gov/iris/ 

subst/0290.htm. 

90U.S. Department of Health and Human Services 

National Toxicology Program 11th Report on 

Carcinogens available at: ntp.niehs.nih.gov/ 

index.cfm?objectid=32BA9724-F1F6-975E7FCE50709CB4C932. 

91 International Agency for Research on Cancer 

(IARC). 1999. Re-evaluation of some organic 

chemicals, hydrazine, and hydrogen peroxide. IARC 

Monographs on the Evaluation of Carcinogenic Risk 

of Chemical to Humans, Vol 71. Lyon, France. 

92U.S. EPA. 1991. Integrated Risk Information 

System File of Acetaldehyde. This material is 

available electronically at http://www.epa.gov/iris/ 

subst/0290.htm. 

93Appleman, L.M., R.A. Woutersen, V.J. Feron, 

R.N. Hooftman, and W.R.F. Notten. 1986. Effects of 

the variable versus fixed exposure levels on the 

toxicity of acetaldehyde in rats. J. Appl. Toxicol. 6: 

331–336. 

94Appleman, L.M., R.A. Woutersen, and V.J. 

Feron. 1982. Inhalation toxicity of acetaldehyde in 

rats. I. Acute and subacute studies. Toxicology. 23: 

293–297. 

95Myou, S.; Fujimura, M.; Nishi K.; Ohka, T.; and 

Matsuda, T. 1993. Aerosolized acetaldehyde 

induces histamine-mediated bronchoconstriction in 

asthmatics. Am. Rev. Respir. Dis. 148(4 Pt 1): 940– 

3. 

96Weber-Tschopp, A; Fischer, T; Gierer, R; et al. 

(1977) Experimentelle reizwirkungen von Acrolein 

auf den Menschen. Int Arch Occup Environ Hlth. 

40(2):117–130. In German. 

97Sim, VM; Pattle, RE. (1957) Effect of possible 

smog irritants on human subjects. J Am Med Assoc. 

165(15):1908–1913. 

98Morris JB, Symanowicz PT, Olsen JE, et al. 

2003. Immediate sensory nerve-mediated 

respiratory responses to irritants in healthy and 

allergic airway-diseased mice. J Appl Physiol. 

94(4):1563–1571. 

99Sim VM, Pattle RE. Effect of possible smog 

irritants on human subjects. JAMA. 165: 1980–2010, 

1957. 

100U.S. EPA. (2003). Integrated Risk Information 

System File of Acrolein. Research and 

Development, National Center for Environmental 

Assessment, Washington, DC. This material is 

available at http://www.epa.gov/iris/subst/ 

0364.htm. 

101 International Agency for Research on Cancer 

(IARC). 1995. Monographs on the evaluation of 

carcinogenic risk of chemicals to humans, Volume 

63, Dry cleaning, some chlorinated solvents and 

other industrial chemicals, World Health 

Organization, Lyon, France. 

102Perera, F.P.; Rauh, V.; Tsai, W–Y.; et al. (2002) 

Effect of transplacental exposure to environmental 

pollutants on birth outcomes in a multiethnic 

population. Environ Health Perspect. 111: 201–205. 

103Perera, F.P.; Rauh, V.; Whyatt, R.M.; Tsai, 

W.Y.; Tang, D.; Diaz, D.; Hoepner, L.; Barr, D.; Tu, 

Y.H.; Camann, D.; Kinney, P. (2006) Effect of 

prenatal exposure to airborne polycyclic aromatic 

hydrocarbons on neurodevelopment in the first 3 

years of life among inner-city children. Environ 

Health Perspect. 114: 1287–1292. 

104U.S. EPA (2004) Toxicological Review of 

Naphthalene (Reassessment of the Inhalation 

Cancer Risk), Environmental Protection Agency, 

Integrated Risk Information System, Research and 

Development, National Center for Environmental 

Assessment, Washington, DC. This material is 

available electronically at http://www.epa.gov/iris/ 

subst/0436.htm. 

105Oak Ridge Institute for Science and Education 

(2004) External Peer Review for the IRIS 

Reassessment of the Inhalation Carcinogenicity of 

Naphthalene. August 2004. http://cfpub.epa.gov/ 

ncea/cfm/recordisplay.cfm?deid=84403. 

106National Toxicology Program (NTP). (2004). 

11th Report on Carcinogens. Public Health Service, 

U.S. Department of Health and Human Services, 

Research Triangle Park, NC. Available from: 

http://ntp-server.niehs.nih.gov. 

107 International Agency for Research on Cancer 

(IARC) (2002) Monographs on the Evaluation of the 

Carcinogenic Risk of Chemicals for Humans. Vol. 

82. Lyon, France. 

anticipated to be a human carcinogen by 

the U.S. Department of Health and 

Human Services (DHHS) in the 11th 

Report on Carcinogens and is classified 

as possibly carcinogenic to humans 

(Group 2B) by the International Agency 

for Research on Carcinogens (IARC).90, 91

EPA is currently conducting a 

reassessment of cancer and noncancer 

risk from inhalation exposure to 

acetaldehyde. 

The primary noncancer effects of 

exposure to acetaldehyde vapors 

include irritation of the eyes, skin, and 

respiratory tract.92 In short-term (4 

week) rat studies, compound-related 

histopathological changes were 

observed only in the respiratory system 

at various concentration levels of 

exposure.93, 94 Data from these studies 

were used by EPA to develop an 

inhalation reference concentration. 

Some asthmatics have been shown to be 

a sensitive subpopulation to decrements 

in functional expiratory volume (FEV1 

test) and bronchoconstriction upon 

acetaldehyde inhalation.95

Acrolein: Acrolein is extremely acrid 

and irritating to humans when inhaled, 

with acute exposure resulting in upper 

respiratory tract irritation, mucus 

hypersecretion and congestion. Levels 

considerably lower than 1 ppm (2.3 mg/ 

m3) elicit subjective complaints of eye 

and nasal irritation and a decrease in 

the respiratory rate.96, 97 Lesions to the 

lungs and upper respiratory tract of rats, 

rabbits, and hamsters have been 

observed after subchronic exposure to 

acrolein. Based on animal data, 

individuals with compromised 

respiratory function (e.g., emphysema, 

asthma) are expected to be at increased 

risk of developing adverse responses to 

strong respiratory irritants such as 

acrolein. This was demonstrated in mice 

with allergic airway-disease by 

comparison to non-diseased mice in a 

study of the acute respiratory irritant 

effects of acrolein.98 EPA is currently in 

the process of conducting an assessment 

of acute exposure effects for acrolein. 

The intense irritancy of this carbonyl 

has been demonstrated during 

controlled tests in human subjects who 

suffer intolerable eye and nasal mucosal 

sensory reactions within minutes of 

exposure.99

EPA determined in 2003 that the 

human carcinogenic potential of 

acrolein could not be determined 

because the available data were 

inadequate. No information was 

available on the carcinogenic effects of 

acrolein in humans and the animal data 

provided inadequate evidence of 

carcinogenicity.100 The IARC 

determined in 1995 that acrolein was 

not classifiable as to its carcinogenicity 

in humans.101

Polycyclic Organic Matter (POM): 

POM is generally defined as a large class 

of organic compounds which have 

multiple benzene rings and a boiling 

point greater than 100 degrees Celsius. 

Many of the compounds included in the 

class of compounds known as POM are 

classified by EPA as probable human 

carcinogens based on animal data. One 

of these compounds, naphthalene, is 

discussed separately below. Polycyclic 

aromatic hydrocarbons (PAHs) are a 

subset of POM that contain only 

hydrogen and carbon atoms. A number 

of PAHs are known or suspected 

carcinogens. Recent studies have found 

that maternal exposures to PAHs (a 

subclass of POM) in a population of 

pregnant women were associated with 

several adverse birth outcomes, 

including low birth weight and reduced 

length at birth, as well as impaired 

cognitive development at age 

three.102, 103 EPA has not yet evaluated 

these recent studies. 

Naphthalene: Naphthalene is found in 

small quantities in gasoline and diesel 

fuels but is primarily a product of 

combustion. EPA recently released an 

external review draft of a reassessment 

of the inhalation carcinogenicity of 

naphthalene.104 The draft reassessment 

recently completed external peer 

review.105 Based on external peer 

review comments received to date, 

additional analyses are being 

undertaken. This external review draft 

does not represent official agency 

opinion and was released solely for the 

purposes of external peer review and 

public comment. Once EPA evaluates 

public and peer reviewer comments, the 

document will be revised. The National 

Toxicology Program listed naphthalene 

as ‘‘reasonably anticipated to be a 

human carcinogen’’ in 2004 on the basis 

of bioassays reporting clear evidence of 

carcinogenicity in rats and some 

evidence of carcinogenicity in mice.106

California EPA has released a new risk 

assessment for naphthalene, and the 

IARC has reevaluated naphthalene and 

re-classified it as Group 2B: Possibly 

carcinogenic to humans.107 Naphthalene 

also causes a number of chronic noncancer effects in animals, including 

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108U.S. EPA (1998) Toxicological Review of 

Naphthalene, Environmental Protection Agency, 

Integrated Risk Information System, Research and 

Development, National Center for Environmental 

Assessment, Washington, DC. This material is 

available electronically at http://www.epa.gov/iris/ 

subst/0436.htm. 

109U.S. EPA (2004) Air Quality Criteria for 

Particulate Matter (Oct 2004), Volume I Document 

No. EPA600/P–99/002aF and Volume II Document 

No. EPA600/P–99/002bF. This document is 

available in Docket EPA–HQ–OAR–2003–0190. 

110U.S. EPA (2005) Review of the National 

Ambient Air Quality Standard for Particulate 

Matter: Policy Assessment of Scientific and 

Technical Information, OAQPS Staff Paper. EPA– 

452/R–05–005. This document is available in 

Docket EPA–HQ–OAR–2003–0190. 

111These areas are defined in section 162 of the 

Act as those national parks exceeding 6,000 acres, 

wilderness areas and memorial parks exceeding 

5,000 acres, and all international parks which were 

in existence on August 7, 1977. 

112U.S. EPA (2002). Latest Findings on National 

Air Quality—2002 Status and Trends. EPA 454/K– 

03–001. 

113U.S. EPA. Air Quality Designations and 

Classifications for the Fine Particles (PM2.5) 

National Ambient Air Quality Standards, December 

17, 2004. (70 FR 943, Jan 5, 2005) This document 

is also available on the Web at: http://www.epa.gov/ 

pmdesignations/. 

114U.S. EPA. Regional Haze Regulations, July 1, 

1999. (64 FR 35714, July 1, 1999). 

abnormal cell changes and growth in 

respiratory and nasal tissues.108

C. Environmental Impacts 

There are a number of public welfare 

effects associated with the presence of 

ozone, NOX and PM2.5 in the ambient 

air. In this section we discuss visibility, 

the impact of deposition on ecosystems 

and materials, and the impact of ozone 

on plants, including trees, agronomic 

crops and urban ornamentals. 

(1) Visibility 

Visibility can be defined as the degree 

to which the atmosphere is transparent 

to visible light. Airborne particles 

degrade visibility by scattering and 

absorbing light. Visibility is important 

because it has direct significance to 

people’s enjoyment of daily activities in 

all parts of the country. Individuals 

value good visibility for the well-being 

it provides them directly, where they 

live and work and in places where they 

enjoy recreational opportunities. 

Visibility is also highly valued in 

significant natural areas such as 

national parks and wilderness areas and 

special emphasis is given to protecting 

visibility in these areas. For more 

information on visibility, see the final 

2004 PM AQCD as well as the 2005 PM 

Staff Paper.109, 110

EPA is pursuing a two-part strategy to 

address visibility. First, to address the 

welfare effects of PM on visibility, EPA 

has set secondary PM2.5 standards 

which act in conjunction with the 

establishment of a regional haze 

program. In setting this secondary 

standard, EPA has concluded that PM2.5

causes adverse effects on visibility in 

various locations, depending on PM 

concentrations and factors such as 

chemical composition and average 

relative humidity. Second, section 169 

of the Clean Air Act provides additional 

authority to address existing visibility 

impairment and prevent future visibility 

impairment in the 156 national parks, 

forests and wilderness areas categorized 

as mandatory class I federal areas (62 FR 

38680–81, July 18, 1997).111 In July 

1999, the regional haze rule (64 FR 

35714) was put in place to protect the 

visibility in mandatory class I federal 

areas. Visibility can be said to be 

impaired in both PM2.5 nonattainment 

areas and mandatory class I federal 

areas. 

Locomotives and marine engines 

contribute to visibility concerns in these 

areas through their primary PM2.5

emissions and their NOX emissions 

which contribute to the formation of 

secondary PM2.5. 

Current Visibility Impairment 

As of October 10, 2007, almost 90 

million people live in nonattainment 

areas for the 1997 PM2.5 NAAQS. These 

populations, as well as large numbers of 

individuals who travel to these areas, 

are likely to experience visibility 

impairment. In addition, while visibility 

trends have improved in mandatory 

class I federal areas the most recent data 

show that these areas continue to suffer 

from visibility impairment.112 In 

summary, visibility impairment is 

experienced throughout the U.S., in 

multi-state regions, urban areas, and 

remote mandatory class I federal 

areas.113, 114

Future Visibility Impairment 

Air quality modeling conducted for 

this final rule was used to project 

visibility conditions in 133 mandatory 

class I federal areas across the U.S. in 

2020 and 2030. The results indicate that 

improvement in visibility will occur in 

all mandatory class I federal areas 

although all areas will continue to have 

annual average deciview levels above 

background in 2020 and 2030. Chapter 

2 of the RIA contains more detail on the 

visibility portion of the air quality 

modeling. 

(2) Plant and Ecosystem Effects of 

Ozone 

Elevated ozone levels contribute to 

environmental effects, with impacts to 

plants and ecosystems being of most 

concern. Ozone can produce both acute 

and chronic injury in sensitive species 

depending on the concentration level 

and the duration of the exposure. Ozone 

effects also tend to accumulate over the 

growing season of the plant, so that even 

low concentrations experienced for a 

longer duration have the potential to 

create chronic stress on vegetation. 

Ozone damage to plants includes visible 

injury to leaves and a reduction in food 

production through impaired 

photosynthesis, both of which can lead 

to reduced crop yields, forestry 

production, and use of sensitive 

ornamentals in landscaping. In addition, 

the reduced food production in plants 

and subsequent reduced root growth 

and storage below ground, can result in 

other, more subtle plant and ecosystems 

impacts. These include increased 

susceptibility of plants to insect attack, 

disease, harsh weather, interspecies 

competition and overall decreased plant 

vigor. The adverse effects of ozone on 

forest and other natural vegetation can 

potentially lead to species shifts and 

loss from the affected ecosystems, 

resulting in a loss or reduction in 

associated ecosystem goods and 

services. Lastly, visible ozone injury to 

leaves can result in a loss of aesthetic 

value in areas of special scenic 

significance like national parks and 

wilderness areas. The final 2006 Criteria 

Document presents more detailed 

information on ozone effects on 

vegetation and ecosystems. 

As discussed above, locomotive and 

marine diesel engine emissions of NOX

contribute to ozone and therefore the 

NOX standards will help reduce crop 

damage and stress on vegetation from 

ozone. 

(3) Atmospheric Deposition 

Wet and dry deposition of ambient 

particulate matter delivers a complex 

mixture of metals (e.g., mercury, zinc, 

lead, nickel, aluminum, cadmium), 

organic compounds (e.g., POM, dioxins, 

furans) and inorganic compounds (e.g., 

nitrate, sulfate) to terrestrial and aquatic 

ecosystems. The chemical form of the 

compounds deposited is impacted by a 

variety of factors including ambient 

conditions (e.g., temperature, humidity, 

oxidant levels) and the sources of the 

material. Chemical and physical 

transformations of the particulate 

compounds occur in the atmosphere as 

well as the media onto which they 

deposit. These transformations in turn 

influence the fate, bioavailability and 

potential toxicity of these compounds. 

Atmospheric deposition has been 

identified as a key component of the 

environmental and human health 

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115U.S. EPA (2000). Deposition of Air Pollutants 

to the Great Waters: Third Report to Congress. 

Office of Air Quality Planning and Standards. EPA– 

453/R–00–0005. This document is available in 

Docket EPA–HQ–OAR–2003–0190. 

116U.S. EPA (2004). National Coastal Condition 

Report II. Office of Research and Development/ 

Office of Water. EPA–620/R–03/002. This document 

is available in Docket EPA–HQ–OAR–2003–0190. 

117 Gao, Y., E.D. Nelson, M.P. Field, et al. 2002. 

Characterization of atmospheric trace elements on 

PM2.5 particulate matter over the New York-New 

Jersey harbor estuary. Atmos. Environ. 36: 1077– 

1086. 

118 Kim, G., N. Hussain, J.R. Scudlark, and T.M. 

Church. 2000. Factors influencing the atmospheric 

depositional fluxes of stable Pb, 210Pb, and 7Be 

into Chesapeake Bay. J. Atmos. Chem. 36: 65–79. 

119Lu, R., R.P. Turco, K. Stolzenbach, et al. 2003. 

Dry deposition of airborne trace metals on the Los 

Angeles Basin and adjacent coastal waters. J. 

Geophys. Res. 108(D2, 4074): AAC 11–1 to 11–24. 

120Marvin, C.H., M.N. Charlton, E.J. Reiner, et al. 

2002. Surficial sediment contamination in Lakes 

Erie and Ontario: A comparative analysis. J. Great 

Lakes Res. 28(3): 437–450. 

121U.S. EPA (2005). Review of the National 

Ambient Air Quality Standards for Particulate 

Matter: Policy Assessment of Scientific and 

Technical Information, OAQPS Staff Paper. This 

document is available in Docket EPA–HQ–OAR– 

2003–0190. 

122U.S. EPA (2000). Air Quality Criteria for 

Carbon Monoxide, EPA/600/P–99/001F. This 

document is available in Docket EPA–HQ–OAR– 

2003–0190. 

hazard posed by several pollutants 

including mercury, dioxin and PCBs.115

Adverse impacts on water quality can 

occur when atmospheric contaminants 

deposit to the water surface or when 

material deposited on the land enters a 

water body through runoff. Potential 

impacts of atmospheric deposition to 

water bodies include those related to 

both nutrient and toxic inputs. Adverse 

effects to human health and welfare can 

occur from the addition of excess 

particulate nitrate nutrient enrichment, 

which contributes to toxic algae blooms 

and zones of depleted oxygen, which 

can lead to fish kills, frequently in 

coastal waters. Particles contaminated 

with heavy metals or other toxins may 

lead to the ingestion of contaminated 

fish, ingestion of contaminated water, 

damage to the marine ecology, and 

limited recreational uses. Several 

studies have been conducted in U.S. 

coastal waters and in the Great Lakes 

Region in which the role of ambient PM 

deposition and runoff is 

investigated.116, 117, 118, 119, 120

Adverse impacts on soil chemistry 

and plant life have been observed for 

areas heavily impacted by atmospheric 

deposition of nutrients, metals and acid 

species, resulting in species shifts, loss 

of biodiversity, forest decline and 

damage to forest productivity. Potential 

impacts also include adverse effects to 

human health through ingestion of 

contaminated vegetation or livestock (as 

in the case for dioxin deposition), 

reduction in crop yield, and limited use 

of land due to contamination. 

The NOX, VOC and PM standards 

finalized in this action will help reduce 

the environmental impacts of 

atmospheric deposition. 

(4) Materials Damage and Soiling 

The deposition of airborne particles 

can reduce the aesthetic appeal of 

buildings and culturally important 

articles through soiling, and can 

contribute directly (or in conjunction 

with other pollutants) to structural 

damage by means of corrosion or 

erosion.121 Particles affect materials 

principally by promoting and 

accelerating the corrosion of metals, by 

degrading paints, and by deteriorating 

building materials such as concrete and 

limestone. Particles contribute to these 

effects because of their electrolytic, 

hygroscopic, and acidic properties, and 

their ability to adsorb corrosive gases 

(principally sulfur dioxide). The rate of 

metal corrosion depends on a number of 

factors, including the deposition rate 

and nature of the pollutant; the 

influence of the metal protective 

corrosion film; the amount of moisture 

present; variability in the 

electrochemical reactions; the presence 

and concentration of other surface 

electrolytes; and the orientation of the 

metal surface. 

The PM2.5 standards finalized in this 

action will help reduce the airborne 

particles that contribute to materials 

damage and soiling. 

D. Other Criteria Pollutants Affected by 

This Final Rule 

Locomotive and marine diesel engines 

account for about 1 percent of the 

mobile source carbon monoxide (CO) 

inventory. Carbon monoxide (CO) is a 

colorless, odorless gas produced 

through the incomplete combustion of 

carbon-based fuels. The current primary 

NAAQS for CO are 35 ppm for the 1- 

hour average and 9 ppm for the 8-hour 

average. These values are not to be 

exceeded more than once per year. As 

of October 10, 2007, there are 854 

thousand people living in 4 areas (made 

up of 5 counties) that are designated as 

nonattainment for CO. 

Carbon monoxide enters the 

bloodstream through the lungs, forming 

carboxyhemoglobin and reducing the 

delivery of oxygen to the body’s organs 

and tissues. The health threat from CO 

is most serious for those who suffer 

from cardiovascular disease, 

particularly those with angina or 

peripheral vascular disease. Healthy 

individuals also are affected, but only at 

higher CO levels. Exposure to elevated 

CO levels is associated with impairment 

of visual perception, work capacity, 

manual dexterity, learning ability and 

performance of complex tasks. Carbon 

monoxide also contributes to ozone 

nonattainment since carbon monoxide 

reacts photochemically in the 

atmosphere to form ozone. Additional 

information on CO related health effects 

can be found in the Air Quality Criteria 

for Carbon Monoxide.122

E. Emissions from Locomotive and 

Marine Diesel Engines 

(1) Overview 

The engine standards in this final rule 

will affect emissions of PM2.5, NOX, 

VOCs, CO, and air toxics for locomotive 

and marine diesel engines. Based on our 

analysis for this rulemaking, we 

estimate that in 2001 locomotive and 

marine diesel engines contributed 

almost 60,000 tons (18 percent) to the 

national mobile source diesel PM2.5

inventory and about 2.0 million tons (16 

percent) to the mobile source NOX

inventory. In 2030, absent the standards 

finalized today, these engines will 

contribute about 50,000 tons (65 

percent) to the mobile source diesel 

PM2.5 inventory and almost 1.6 million 

tons (35 percent) to the mobile source 

NOX inventory. Under today’s final 

standards, by 2030, annual NOX

emissions from these engines will be 

reduced by 800,000 tons, PM2.5

emissions by 27,000 tons, and VOC 

emissions by 43,000 tons. 

Locomotive and marine diesel engine 

emissions are expected to continue to be 

a significant part of the mobile source 

emissions inventory, both nationally 

and in ozone and PM2.5 nonattainment 

areas, in the coming years. Absent the 

standards finalized today, we expect 

overall emissions from these engines to 

decrease modestly over the next ten to 

fifteen years then remain relatively flat 

through 2025 due to existing regulations 

such as lower fuel sulfur requirements, 

the phase-in of locomotive and marine 

diesel Tier 1 and Tier 2 engine 

standards, and the current Tier 0 

locomotive remanufacturing 

requirements. Starting after 2025, 

emission inventories from these engines 

once again begin increasing due to 

growth in the locomotive and marine 

sectors, see Table II–2. 

Each sub-section below discusses one 

of the affected pollutants, including 

expected emissions reductions 

associated with the final standards. 

Table II–2 summarizes the impacts of 

this rule for 2012, 2015, 2020, 2030 and 

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2040. Further details on our inventory estimates are available in chapter 3 of 

the RIA. 

BILLING CODE 1505–01–D 

BILLING CODE 1505–01–C 

(2) PM2.5 Emission Reductions 

As described earlier, EPA believes 

that reductions of diesel PM2.5

emissions are an important part of the 

nation’s progress toward clean air. PM2.5

reductions resulting from this final rule 

will reduce hazardous air pollutants or 

air toxics from these engines, reduce 

diesel exhaust exposure in communities 

near these emissions sources, and help 

areas address visibility and other 

environmental impacts associated with 

PM2.5 emissions. 

In 2001, annual emissions from 

locomotive and marine diesel engines 

totaled about 60,000 tons (18 percent) of 

the national mobile source diesel PM2.5

inventory and by 2030 these engines, 

absent this final rule, contribute about 

50,000 tons (65 percent) of the mobile 

source diesel PM2.5 inventory. Both 

Table II–2 and Figure II–2 show that 

PM2.5 emissions are relatively flat 

through 2030 before beginning to rise 

again due to growth in these sectors. 

Table II–2 and Figure II–2 present 

PM2.5 emission reductions from 

locomotive and marine diesel engines 

with the final standards required in this 

rule. Emissions of PM2.5 drop in 2012 

and 2015 by 4,200 and 7,300 tons 

respectively. By 2020, annual PM2.5

reductions total 14,500 tons and by 2030 

emissions are reduced further by 27,000 

tons annually. Significant reductions 

from these engines continue through 

2040 when approximately 37,000 tons 

of PM2.5 are annually eliminated as a 

result of this rule. 

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BILLING CODE 1505–01–C 

(3) NOX Emissions Reductions 

In 2001 annual emissions from 

locomotive and marine diesel engines 

totaled about 2.0 million tons. Due to 

earlier engine standards for these 

engines, annual NOX emissions drop to 

approximately 1.6 million tons in 2030. 

Both Table II–2 and Figure II–3 show 

NOX emissions remaining fairly flat 

through 2030 before beginning to rise 

again due to growth in these sectors. 

As shown in Table II–2 and Figure 

II–3, in the near term this rule reduces 

annual NOX emissions from the current 

national inventory baseline by 87,000 

tons in 2012 and 161,000 tons in 2015. 

By 2020, annual NOX emissions are cut 

by 371,000 tons and by 2030—795,000 

tons are eliminated. As with PM2.5

emissions, a yearly decline in NOX

emissions continues through 2040 when 

more than 1.1 million tons of NOX are 

annually reduced from locomotive and 

marine diesel engines. 

These numbers are comparable to 

emission reductions projected in 2030 

for our already established Clean Air 

Nonroad Diesel (CAND) program. Table 

II–3 provides the 2030 NOX emission 

reductions (and PM reductions) for this 

rule compared to the Heavy-Duty 

Highway rule and CAND rule. The 2030 

NOX reductions of about 738,000 tons 

for the CAND rule are slightly less than 

those from this rule. 

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BILLING CODE 1505–01–C 

TABLE II–3.—PROJECTED 2030 EMISSIONS REDUCTIONS FROM RECENT

MOBILE SOURCE RULES

[Short tons] 

Rule NOX PM2.5

Locomotive and 

Marine ........... 795,000 27,000 

Clean Air 

Nonroad Diesel .................. 738,000 129,000 

Heavy-Duty 

Highway ........ 2,600,000 109,000 

(4) Volatile Organic Compounds 

Emissions Reductions 

Emissions of volatile organic 

compounds (VOCs) from locomotive 

and marine diesel engines are shown in 

Table II–2, along with the estimates of 

the reductions we expect from the HC 

standard in our rule in 2012, 2015, 

2020, 2030 and 2040. In 2012, 8,000 

tons of VOCs are reduced and in 2015 

15,000 tons are annually eliminated 

from the inventory. By 2020, reductions 

will expand to 28,000 tons annually 

from these engines. Over the next ten 

years, annual reductions from 

controlled locomotive and marine diesel 

engines will produce annual VOC 

reductions of 43,000 tons in 2030 and 

55,000 tons in 2040. Figure II–4 shows 

our estimate of VOC emissions between 

2006 and 2040 both with and without 

this rule. 

BILLING CODE 1505–01–D 


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123All of the regulatory parts referenced in this 

preamble are parts in Title 40 of the Code of Federal 

Regulations, unless otherwise noted. 

BILLING CODE 1505–01–C 

III. Emission Standards 

This section details the emission 

standards, implementation dates, and 

other major requirements of the new 

program. Following brief summaries of 

the types of locomotives and marine 

engines covered, we describe the 

provisions for: 

• Standards for remanufactured Tier 

0, 1, and 2 locomotives, 

• Tier 3 and Tier 4 standards for 

newly-built line-haul locomotives, 

• Standards and other provisions for 

switch locomotives, 

• Requirements to reduce idling 

locomotive emissions, 

• Tier 3 and Tier 4 standards for 

newly-built marine diesel engines, and 

• Standards for remanufactured 

marine diesel engines. 

An assessment of the technological 

feasibility of the standards follows the 

program description. To ensure that the 

benefits of the standards are realized 

throughout the useful life of these 

engines, and to incorporate lessons 

learned over the last few years from the 

existing test and compliance programs, 

we are also revising test procedures and 

related certification requirements, and 

adding comparable provisions for 

remanufactured marine diesel engines. 

These are described in section IV. 

A. What Locomotives and Marine 

Engines Are Covered? 

The regulations being adopted affect 

locomotives currently regulated under 

part 92 and marine diesel engines and 

vessels currently regulated under parts 

89, 1039, and 94, as described below.123

In addition, they apply to existing 

marine diesel engines above 600 kW 

(800 hp). 

With some exceptions, the locomotive 

regulations apply for all locomotives 

originally built in or after 1973 that 

operate extensively within the United 

States. See section IV.B for a discussion 

of the exemption for locomotives that 

are used only incidentally within the 

U.S. The exceptions include historic 

steam-powered locomotives and 

locomotives powered solely by an 

external source of electricity. In 

addition, the regulations generally do 

not apply to some existing locomotives 

owned by small businesses. 

Furthermore, engines used in 


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124Marine diesel engines at or above 30 liters per 

cylinder, called Category 3 engines, are typically 

used for propulsion power on ocean-going ships. 

EPA is addressing Category 3 engines through 

separate actions, including a planned rulemaking 

for a new tier of federal standards (see Advance 

Notice of Proposed Rulemaking published 

December 7, 2007 at 72 FR 69522) and participation 

on the U.S. delegation to the International Maritime 

Organization for negotiations of new international 

standards (see http://www.epa.gov/otaq/ 

oceanvessels.com for information on both of those 

actions), as well as EPA’s Clean Ports USA Initiative 

(see http://www.epa.gov/cleandiesel/ports/ 

index.htm). 125See ‘‘Revision of the MARPOL Annex VI, the 

NOX Technical Code and Related Guidelines; 

Development of Standards for NOX, PM, and SOX,’’ 

submitted by the United States, BLG 11/15, SubCommittee on Bulk Liquids and Gases, 11th 

Session, Agenda Item 5, February 9, 2007, Docket 

ID EPA–HQ–OAR–2007–0121–0034. This 

document, along with the U.S. Statement 

concerning the same, is also available on our Web 

site: www.epa.gov/otaq/oceanvessels.com. 

126See 72 FR 68518, December 5, 2007 for the 

new regulatory deadline for the final rule for an 

additional tier of standards for Category 3 

rulemaking (final rule by December 17, 2009). 

locomotive-type vehicles with less than 

750 kW (1006 hp) total power (used 

primarily for railway maintenance), 

engines used only for hotel power (for 

passenger railcar equipment), and 

engines that are used in self-propelled 

passenger-carrying railcars, are 

excluded from these regulations. The 

engines used in these smaller 

locomotive-type vehicles are generally 

subject to the nonroad engine 

requirements of Parts 89 and 1039. 

The marine diesel engine program 

applies to all propulsion and auxiliary 

engines with per cylinder displacement 

up to 30 liters.124 For purposes of these 

standards, these marine diesel engines 

are categorized both by per cylinder 

displacement and by maximum engine 

power. 

According to our existing definitions, 

a marine engine is defined as an engine 

that is installed or intended to be 

installed on a marine vessel. Engines 

that are on a vessel but that are not 

‘‘installed’’ are generally considered to 

be land-based nonroad engines and are 

regulated under 40 CFR part 89 or part 

1039. Consistent with our current 

marine diesel engine program, the 

standards adopted in this rule apply to 

engines manufactured for sale in the 

United States or imported into the 

United States beginning with the 

effective date of the standards. The 

standards also apply to any engine 

installed for the first time in a marine 

vessel after it has been used in another 

application subject to different emission 

standards. In other words, an existing 

nonroad diesel engine would become a 

new marine diesel engine, and subject 

to the marine diesel engine standards, 

when it is marinized for use in a marine 

application. 

Consistent with our current program, 

the marine engine standards we are 

finalizing will not apply to marine 

diesel engines installed on foreign 

vessels. While we received many 

comments requesting that we extend the 

new standards to engines on foreign 

vessels operating in the United States, 

we have determined that it is 

appropriate to postpone this decision to 

our rulemaking for Category 3 marine 

diesel engines. This will allow us to 

consider all engines on an ocean-going 

vessel as a system; this may facilitate 

the application of advanced emission 

control technologies because these 

engines often share a common fuel and/ 

or exhaust system. This approach is also 

consistent with the United States 

Government’s proposal to amend Annex 

VI of the International Convention for 

the Prevention of Pollution from Ships 

(MARPOL) currently under 

consideration at the International 

Maritime Organization (IMO), which 

calls for significant emission reductions 

from all engines on ocean-going 

vessels.125 EPA expects to finalize new 

Category 3 engine emission standards in 

late 2009.126

B. What Standards Are We Adopting? 

(1) Locomotive Standards 

(a) Line-Haul Locomotives 

We are setting new emission 

standards for newly-built and 

remanufactured line-haul locomotives. 

Our standards for newly-built line-haul 

locomotives will be implemented in two 

tiers: Tier 3, based on engine design 

improvements, and Tier 4, based on the 

application of the high-efficiency 

catalytic aftertreatment technologies 

now being developed and introduced in 

the highway diesel sector. Our 

standards for remanufactured line-haul 

locomotives apply to all Tier 0, 1, and 

2 locomotives and are based on engine 

design improvements. Table III–1 

summarizes the line-haul locomotive 

standards and implementation dates. 

The feasibility of the new standards and 

the technologies involved are discussed 

in detail in section III.C. 

TABLE III.—1 LINE-HAUL LOCOMOTIVE STANDARDS

[g/bhp-hr] 

Standards apply to Take effect in year PM NOX HC 

Remanufactured Tier 0 without separate loop intake air cooling.2008 as Available, 2010 Required ....................... 0.22 8.0 1.00 

Remanufactured Tier 0 with separate loop intake 

air cooling.

2008 as Available, 2010 Required ....................... 0.22 7.4 0.55 

Remanufactured Tier 1 ......................................... 2008 as Available, 2010 Required ....................... 0.22 7.4 0.55 

Remanufactured Tier 2 ......................................... 2008 as Available, 2013 Required ....................... 0.10 5.5 0.30 

New Tier 3 ............................................................ 2012 ...................................................................... 0.10 5.5 0.30 

New Tier 4 ............................................................ 2015 ...................................................................... 0.03 1.3 0.14 

(i) Remanufactured Locomotives 

As proposed, we are setting new 

standards for the existing fleet of Tier 0, 

Tier 1, and Tier 2 locomotives, to apply 

at the time of remanufacture. These 

standards will also apply at the first 

remanufacture of Tier 2 locomotives 

added to the fleet between now and the 

start of Tier 3. 

Commenters have suggested that EPA 

adopt a naming convention for the 

standards tiers to avoid confusion over 

whether, for example, the terms ‘‘Tier 0 

standards’’ and ‘‘Tier 0 locomotives’’ are 

referring to the ‘‘old’’ Tier 0 standards 

adopted in 1998 or the ‘‘new’’ Tier 0 

standards promulgated in this rule. A 

similar confusion may exist for old and 

new Tier 1 and Tier 2 standards, 

including for marine engines. The 

confusion is compounded by the fact 

that many of the locomotives previously 

subject to the old Tier 0 standards will 

now be subject to the new Tier 1 

standards, and so a Tier 0 locomotive 

that is upgraded to meet them could 

fairly be called a Tier 1 locomotive, and 

likewise for Tier 2/Tier 3 standards. 

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In response, we are adopting a simple 

approach whereby a Tier 0 locomotive 

remanufactured under the more 

stringent Tier 0 standards we are 

adopting in this rule will be designated 

a Tier 0+ locomotive. A Tier 0 

locomotive originally manufactured 

with a separate loop intake air cooling 

system that is remanufactured to the 

Tier 1+ standards will be designated as 

a Tier 1+ locomotive. We are adopting 

the same approach for Tier 1 and Tier 

2 locomotives. That is, those 

remanufactured under the new 

standards would be called Tier 1+ and 

Tier 2+ locomotives, respectively. We 

are also suggesting that in many 

contexts, including a number of places 

in this final rule, there is really no need 

to make distinctions of this sort, as no 

ambiguity arises. In these contexts it 

would be perfectly acceptable to drop 

the ‘‘+’’ designation and simply refer to 

Tier 0, 1, and 2 locomotives and 

standards. 

As described in section IV.B(3), the 

new Tier 0+, 1+, and 2+ standards (and 

corresponding switch-cycle standards) 

may apply when a Tier 0, 1, or 2 

locomotive is remanufactured anytime 

after this final rule takes effect, if a 

certified remanufacture system is 

available. However, this early 

certification is voluntary on the part of 

the manufacturers, and so if no 

emissions control system is certified 

early for a locomotive, these standards 

will instead apply beginning January 1, 

2010 for Tier 0 and 1, and no later than 

January 1, 2013 for Tier 2. We are also 

adopting the proposed reasonable cost 

provision, described in section IV.B(3), 

to protect against the unlikely event that 

the only certified systems made in the 

early program phase are exorbitantly 

priced. 

Although under this approach, 

certification of new remanufacture 

systems in the early phase of the 

program is voluntary, we believe that 

developers will strive to certify systems 

to the new standards as early as 

possible, even in 2008, to establish these 

products in the market, especially for 

the locomotive models anticipated to 

have significant numbers coming due 

for remanufacture in the next few years. 

This focus on higher volume products 

also maximizes the potential for large 

emission reductions very early in this 

program, greatly offsetting the effect of 

slow turnover to new Tier 3 and Tier 4 

locomotives inherent in this sector. 

These remanufactured locomotive 

standards represent PM reductions of 

about 50 percent for Tier 0 and Tier 1 

locomotives, and NOX reductions of 

about 20 percent for Tier 0+ locomotives 

with separate loop aftercooling. 

Significantly, these reductions will be 

substantial in the early years. This will 

be important to State Implementation 

Plans (SIPs) being developed to achieve 

attainment with the NAAQS, owing to 

the 2008 start date and relatively rapid 

remanufacture schedule (roughly every 

7 years, though it varies by locomotive 

model and age). 

Some commenters argued for delaying 

the remanufactured locomotive 

standards and some argued for 

accelerating them. However, little 

technical justification was provided on 

either side and, after reconsideration, 

we believe the proposed standards and 

dates are appropriate. However, based 

on the comments, we have identified 

two current Tier 0 locomotive models 

that are not likely to meet the new 

standards under the full range of 

required test conditions, owing to 

limitations in the original locomotive 

design. These are the General Electric 

(GE) Dash-8 locomotives not equipped 

with separate loop aftercooling, and the 

Electro-Motive Diesel (EMD) SD70MAC 

locomotives that are equipped with 

separate loop aftercooling. As a result, 

we are allowing an exception in ambient 

temperature and altitude conditions 

under which these models, when 

remanufactured, must meet the new 

standards, as detailed in the Part 1033 

regulations. These exceptions are 

limited to the extent that it is 

technically feasible to meet the relevant 

standards under most in-use conditions. 

(ii) Newly-Built Locomotives 

We are adopting the proposed Tier 3 

and Tier 4 line-haul locomotive 

standards but with an earlier start date 

for Tier 4 NOX, along with an additional 

compliance flexibility option. We 

requested comment in the NPRM on 

whether additional NOX emission 

reductions would be feasible and 

appropriate for Tier 3 locomotives in the 

2012 timeframe, based on 

reoptimization of existing Tier 2 NOX

control technologies, or the addition of 

new engine-based technologies such as 

exhaust gas recirculation (EGR). 

Manufacturers submitted detailed 

technical comments indicating that 

achieving such reductions would result 

in a large fuel economy penalty, a major 

engine redesign that would hamper Tier 

4 technology development, or both. Our 

own review of the technical options 

leads us to the same conclusion and we 

are therefore finalizing the Tier 3 

emissions standards as proposed. 

We proposed to allow manufacturers 

to defer meeting the Tier 4 NOX

standard on newly-built locomotives 

until the 2017 model year, in order to 

work through any implementation and 

technological issues that might arise 

with advanced NOX control technology. 

Even so, we expected that 

manufacturers would undertake a single 

comprehensive redesign program for 

Tier 4, relying on the same basic 

locomotive platform and overall 

emission control space allocations for 

all Tier 4 product years. With this in 

mind, we proposed that locomotives 

certified under Tier 4 in 2015 and 2016 

without Tier 4 NOX control systems 

should have these systems added when 

they undergo their first remanufacture 

and be subject to the Tier 4 NOX

standard thereafter. 

We received many comments from 

state and local air quality agencies, and 

from environmental organizations, 

arguing that earlier implementation of 

these advanced technologies is 

technologically feasible and 

emphatically stating that they were 

needed to address the nation’s air 

quality problems. Further review of the 

test data available for the proposed rule 

and of new test data available since the 

proposal supports the argument for 

earlier implementation of Tier 4 NOX

controls. This information is discussed 

in detail in section III.C. Consequently, 

after considering this data and industry 

comments regarding feasibility, we have 

concluded that the progress made in the 

development of NOX aftertreatment 

technology has been such that this 

proposed allowance to defer NOX

control is not consistent with our 

obligation under section 213(a)(3) of the 

Clean Air Act to set standards that 

‘‘achieve the greatest degree of emission 

reduction achievable through the 

application of technology which the 

Administrator determines will be 

available for the engines or vehicles, 

giving appropriate consideration to cost, 

lead time, noise, energy, and safety 

factors associated with the application 

of such technology.’’ 

We are therefore not adopting this 

allowance for deferred NOX control in 

2015–2016 Tier 4 locomotives, 

effectively advancing the Tier 4 NOX

standard for locomotives by two years. 

Besides meeting our obligation under 

the Clean Air Act, this change will 

simplify the certification and 

compliance program for all stakeholders 

by providing a single step for Tier 4 

implementation. It will also provide 

substantial additional NOX reductions 

during years that are important to some 

states for NAAQS attainment, thus 

helping to address what was arguably 

the most critical comment we received 

from state and local air agencies and 

environmental organizations. 

We recognize that designing 

locomotives to meet the stringent Tier 4 

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standards in 2015 with the high levels 

of performance and reliability 

demanded by the railroad industry will 

be challenging. As in other recent EPA 

mobile source programs, we proposed 

and are finalizing several compliance 

flexibility measures to aid the transition 

to these very clean technologies. 

Specifically, we are adopting two 

distinct compliance flexibility options 

for NOX that, while ensuring the earliest 

possible introduction of advanced 

emission control, will provide 

locomotive manufacturers some level of 

risk mitigation should the technology 

solutions prove to be less robust than 

we project. The first compliance 

flexibility is consistent with the 

flexibility program described in our 

NPRM providing an in-use compliance 

margin for NOX of 1.3 g/bhp-hr at full 

useful life (i.e., a 2.6 g/bhp-hr emissions 

cap for in-use testing) for the first three 

Tier 4 model years. See section IV.A(8) 

for details on this program. 

The second flexibility provision is an 

alternative NOX compliance option that 

reduces the in-use NOX add-on to 0.6 

g/bhp-hr (i.e., a 1.9 g/bhp-hr emissions 

cap for any in-use testing) for model 

years 2015–2022. While significantly 

tightening the in-use emissions cap, the 

provision provides manufacturers with 

significantly more time to develop 

advanced NOX emission control systems 

using real in-use experiences from the 

locomotive fleet. Complementing this 

focus on improving technology through 

experience with the in-use fleet, this 

provision also allows manufacturers to 

substitute additional in-use tests on 

locomotives in lieu of the typical 

production line testing requirements of 

our locomotive regulations. This 

optional in-use testing would be in 

addition to the current in-use testing 

requirements of our locomotive 

certification program. See section 

IV.A(8) for details on this program. 

For reasons explained in the NPRM, 

Tier 4 line-haul locomotives will not be 

required to meet standards on the 

switch cycle, but we are requiring that 

newly-built Tier 3 locomotives and Tier 

0 through Tier 2 locomotives 

remanufactured under this program be 

subject to switch cycle standards, set at 

levels above the line-haul cycle 

standards. Section III.B(1)(b) provides 

details. 

(b) Switch Locomotives 

The NPRM discussed at some length 

the importance and challenges of 

turning over today’s large switch 

locomotive fleet to clean diesel. In 

response, we proposed standards and 

other provisions aimed at overcoming 

these challenges by encouraging the 

replacement of old high-emitting units 

with newly-built or refurbished 

locomotives powered by very clean 

engines developed for the nonroad 

equipment market. 

We are adopting the new standards 

for switch locomotives that we 

proposed. As proposed, we are also 

continuing the existing Part 92 policy of 

requiring Tier 0 switch locomotives to 

only meet standards on the switch 

cycle, while requiring Tier 1 and Tier 2 

locomotives to meet the applicable 

standards on both the line-haul and 

switch cycles. This policy was adopted 

to ensure that manufacturers design 

emission controls to function broadly 

over all notches. The switch cycle 

standards shown in Table III–2 will 

require emission reductions equivalent 

to those required by our new standards 

that apply over the line-haul cycle. Note 

that these switch cycle standards also 

apply to the Tier 3 and earlier line-haul 

locomotives that are subject to 

compliance requirements on the switch 

cycle, as mentioned above and in 

Section III.B(1)(b). 

We are also adopting the proposed 

Tier 3 and 4 emission standards for 

newly-built switch locomotives, as 

shown in Table III–2. These standards 

are slightly more stringent than the Tier 

3 and Tier 4 line-haul standards. Given 

these more stringent switch cycle 

standards, it is not necessary to require 

to Tier 3 and 4 switchers to meet the 

line-haul standards over the line-haul 

cycle. 

TABLE III.—2 EMISSION STANDARDS FOR SWITCH LOCOMOTIVES

[g/bhp-hr] 

Switch locomotive standards apply to Take effect in year PM NOX HC 

Remanufactured Tier 0 ......................................... 2008 as available, 2010 required ......................... 0.26 11.8 2.10 

Remanufactured Tier 1 ......................................... 2008 as available, 2010 required ......................... 0.26 11.0 1.20 

Remanufactured Tier 2 ......................................... 2008 as available, 2013 required ......................... 0.13 8.1 0.60 

Tier 3 ..................................................................... 2011 ...................................................................... 0.10 5.0 0.60 

Tier 4 ..................................................................... 2015 ...................................................................... 0.03 1.3 0.14 

We are also finalizing the proposed 

streamlined certification option to help 

in the early implementation of the 

switch locomotive program. As 

described in section IV.B(9), during a 

10-year program start-up period aimed 

at encouraging the turnover of the 

existing switcher fleet to the new 

cleaner engines, switch locomotives 

may use nonroad-certified engines 

(Table III–3) without need for an 

additional certification under the 

locomotive program. In the years before 

the nonroad Tier 4 start dates, we are 

making this provision available using 

pre-Tier 4 nonroad engines meeting 

today’s standards of 0.15 g/bhp-hr PM 

and 3.0/4.8 g/bhp-hr NOX+NMHC 

(below/above 750 hp), because 

switchers built with these nonroad 

engines will still be much cleaner than 

those meeting the current switch 

locomotive Tier 2 standards of 0.24 and 

8.1 g/bhp-hr PM and NOX, respectively. 

Commenters suggested that we allow 

the use of even earlier-tier nonroad 

engines under this option, as these 

would still be substantially cleaner than 

the engines being replaced. However, 

we feel this would defeat the purpose of 

the program, and would not be 

justifiable on a feasibility basis, as 

current-tier nonroad engines will be 

available for incorporation into new 

switchers in any year of the program. 

We are adopting other compliance and 

ABT provisions relevant to switch 

locomotives as discussed in section 

IV.B(1), (2), (3), and (9). 

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TABLE III.—3 RELEVANT LARGE NONROAD ENGINE TIER 4 STANDARDS

[g/bhp-hr] 

Engine power Model year PM NOX

At or Below 750 hp .................................................................................................... 2011 

2014 

0.01 

0.01 

3.0 (NOX+NMHC) a

0.30 

750–1200 hp .............................................................................................................. 2011 

2015 

0.075 

0.02 

2.6 

0.50 

Over 1200 hp ............................................................................................................. 2011 

2015 

0.075 

0.02 

0.50 genset; 2.6 non-genset 

0.50 

Note: (a) 0.30 NOX for 50% of sales in 2011–2013, or alternatively 1.5 g NOX for 100% of sales. 

Finally, we are revising the definition 

of a switch locomotive to make clear 

that it is the total switch locomotive 

power rating (including power from any 

auxiliary engines that can operate when 

a main engine is operating), and not the 

individual engine power rating, that 

must be below 2300 hp to qualify, and 

to drop the unnecessary requirement 

that it be designed or used primarily for 

short distance operation. This clears up 

the ambiguity in the Part 92 definition 

over multi-engine switchers. 

(c) Reduction of Locomotive Idling 

Emissions 

We are adopting the proposed 

requirement that an Automatic Engine 

Stop/Start System (AESS) be used on all 

new Tier 3 and Tier 4 locomotives and 

installed on all existing locomotives that 

are subject to the new remanufactured 

engine standards, at the point of first 

remanufacture under the new standards. 

Locomotives equipped with an AESS 

device under this program must shut 

down the locomotive engine after no 

more than 30 continuous minutes of 

idling, and be able to stop and start the 

engine at least six times per day without 

causing engine damage or other serious 

problems. Continued idling is allowed 

under the following conditions: to 

prevent engine damage such as damage 

caused by coolant freezing, to maintain 

air pressure for brakes or starter 

systems, to recharge the locomotive 

battery, to perform necessary 

maintenance, or to otherwise comply 

with applicable government regulations. 

Commenters also pointed out that it 

can sometimes be appropriate to allow 

a locomotive to idle to heat or cool the 

cab, and we are adopting regulations to 

allow it where necessary. Our 

implementation of this provision will 

rely on the strong incentive railroads 

have to limit idling to realize fuel cost 

savings after they have invested capital 

by installing an AESS system on a 

locomotive. We expect the railroads to 

appropriately develop policies 

instructing operators when it is 

acceptable to idle the locomotive to 

provide heating or cooling to the 

locomotive cab. We do not believe that 

those individuals responsible for 

developing railroad policies have any 

incentive to encourage or allow 

unnecessary idling. It is our intention to 

stay abreast of how well this 

combination of idle control systems and 

railroad policies does in fact accomplish 

the intended goal of reducing 

unnecessary idling. In general, we may 

consider it to be circumvention of this 

provision for an individual operator to 

use the AESS system in a manner other 

than that for which the system was 

designed and implemented per a 

railroad’s policy directive. 

A further reduction in idling 

emissions can be achieved through the 

use of onboard auxiliary power units 

(APUs), either as standalone systems or 

in conjunction with an AESS. In 

contrast to AESS, which works to 

reduce unnecessary idling, the APU 

goes further by also reducing the 

amount of time when locomotive engine 

idling is necessary, especially in cold 

weather climates. APUs are small (less 

than 50 hp) diesel engines that stop and 

start themselves as needed to provide: 

heat to both the engine coolant and 

engine oil, power to charge the batteries, 

and power to run accessories such as 

those required for cab comfort. This 

allows the much larger locomotive 

engine to be shut down while the 

locomotive remains in a state of 

readiness, thereby reducing fuel 

consumption without the risk of the 

engine being damaged in cold weather. 

APUs are powered by nonroad engines 

compliant with EPA or State of 

California nonroad engine standards, 

and emit at much lower levels than an 

idling locomotive under current 

standards. 

Some commenters suggested we 

require both an AESS and an APU. 

However, the amount of idle reduction 

an APU can provide is dependent on a 

number of variables, such as the 

function of the locomotive (e.g., a 

switcher or a line-haul), where it 

operates (i.e., geographical area), and its 

operating characteristics (e.g., number of 

hours per day that it operates). As we 

stated in the NPRM, at this time we are 

not requiring that APUs be installed on 

every locomotive because it is not clear 

how much additional benefit they 

would provide outside of regions and 

times of the year where low 

temperatures or other factors that 

warrant the use of an APU exist and 

because they do involve some inherent 

design and operational complexities 

that could not be justified without such 

commensurate benefits. We are, 

however, adopting the proposed 

provision to encourage the additional 

use of APUs by providing in our test 

regulations, a process by which the 

manufacturer can appropriately account 

for the proven emission benefits of a 

more comprehensive idle reduction 

system. 

In response to comment, we are 

adopting a more flexible approach that 

will allow the idle reduction 

requirement for remanufactured Tier 0+, 

1+, and 2+ locomotives to be addressed 

in a separate certification apart from the 

certification of the full remanufacture 

system. Under this approach, 

remanufacturers will be allowed to 

obtain a certificate for a system that 

meets all of the requirements of part 

1033 except for those of § 1033.115(g). 

However, since the idle controls would 

still need to be installed in a certified 

configuration before the remanufactured 

locomotive is returned to service, some 

other entity would need to obtain a 

certificate to cover the requirements of 

§ 1033.115(g). (This separate 

certification approach is somewhat 

analogous to allowing a motor vehicle 

engine manufacturer to hold the 

certificate for exhaust emission 

standards and a motor vehicle 

manufacturer to hold the certificate for 

evaporative emission standards for a 

single motor vehicle.) Note that 

manufacturers of freshly manufactured 

locomotives and their customers will 

also have the choice as to whether the 

AESS is installed as part of the certified 

engine configuration at the factory or by 

an aftermarket company pursuant to a 

separate certification before the freshly 

manufactured locomotive is put into 

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service. These provisions will allow 

more companies to remain in the AESS 

manufacturing market and thus provide 

more choices to the railroads. 

As described in Chapter 5 of the RIA, 

manufacturers of AESS, and 

demonstrations done in partnership 

between government and industry have 

shown that for most locomotives the 

fuel savings that result in the first few 

years after installation of an AESS 

system will offset the cost of adding the 

system to the locomotive. Given these 

short payback times for adding idle 

reduction technologies to a typical 

locomotive, normal market forces have 

led many railroads to retrofit a number 

of their locomotives with such controls. 

However, as is common with pollution, 

market prices generally do not account 

for the external social costs of the idling 

emissions, leading to an 

underinvestment in idling reduction 

systems. This rulemaking addresses 

those locomotives for which the 

railroads judge the fuel savings 

insufficient to justify the cost of the 

retrofit. We believe that applying AESS 

to these locomotives is appropriate 

when one also considers the significant 

emissions reductions that will result. 

(2) Marine Diesel Engine Standards 

(a) Newly-Built Marine Engines 

We are adopting Tier 3 and Tier 4 

emission standards for newly-built 

marine diesel engines with 

displacements under 30 liters per 

cylinder. Our analysis of the feasibility 

of these standards is summarized in 

section III.C and detailed in the RIA. 

We are retaining our existing percylinder displacement approach to 

establishing cutpoints for standards, but 

are revising and refining it in several 

places to ensure that the appropriate 

standards apply to every group of 

engines in this very diverse sector and 

to provide for an orderly phase-in of the 

program to spread out the redesign 

workload burden: 

We are moving the C1/C2 cutpoint 

from 5 liters/cylinder to 7 liters/ 

cylinder, because the latter is a more 

accurate cutpoint between today’s highand medium-speed diesels. 

We are revising the per-cylinder 

displacement cutpoints within Category 

1 to better define the application of 

standards. 

An additional differentiation is made 

between high power density engines 

typically used in planing vessels and 

standard power density engines, with a 

cutpoint between them set at 35 kW/ 

liter (47 hp/liter). 

We are removing the distinction for 

marine diesels under 37 kW (50 hp) in 

Category 1, originally made because 

these were regulated under our nonroad 

engine program. 

Finally, we will further group engines 

by maximum engine power, especially 

in regards to setting appropriate longterm aftertreatment-based standards. 

Note that we are retaining the 

differentiation between recreational and 

non-recreational marine engines within 

Category 1 because there are differences 

in their certification programs. Also, as 

discussed below, we are not finalizing 

Tier 4 standards for recreational marine 

engines at this time. Section IV.C(10) 

clarifies the definition of recreational 

marine diesel engine. 

The new standards and 

implementation schedules are shown on 

Tables III–4 through 7. Briefly 

summarized, the marine diesel 

standards include stringent enginebased Tier 3 standards, phasing in over 

2009–2014. They also include 

aftertreatment-based Tier 4 standards for 

commercial marine engines at or above 

600 kW (800 hp), phasing in over 2014– 

2017. For engines of power levels not 

included in the Tier 3 and Tier 4 tables, 

the previous tier of standards (Tier 2 or 

Tier 3, respectively) continues to apply. 

These standards and implementation 

dates are the same as those proposed 

except: (1) Recreational marine engines 

are not subject to Tier 4 standards; (2) 

The Tier 4 NOX standard for 2000–3700 

kW engines has been pulled forward by 

two years; (3) The proposed optional 

Tier 4 approach coordinated with 

locomotive Tier 4 has been modified; 

and (4) based on comments we received, 

the Tier 3 standards for high power 

density engines in the 3.5 to 7 liter/ 

cylinder category (Table III–5) have 

been adjusted slightly to better align 

them with standards in other categories. 

The first three of these changes are 

discussed in more detail below. See 

section 3.2.1.1 of the Summary and 

Analysis of Comments document for 

discussion of the fourth. 

TABLE III–4.—TIER 3 STANDARDS FOR MARINE DIESEL C1 COMMERCIAL STANDARD POWER DENSITY

Maximum engine power L/cylinder 

PM 

g/bhp-hr 

(g/kW-hr) 

NOX+HC d g/bhp-hr 

(g/kW-hr) Model year 

<19 kW .............................................................................................. <0.9 0.30 (0.40) 5.6 (7.5) 2009 

19 to <75 kW ..................................................................................... <0.9 a 0.22 (0.30) 5.6 (7.5) 2009 

0.22 (0.30) b 3.5 (4.7) b 2014 

75 to <3700 kW ................................................................................. <0.9 0.10 (0.14) 4.0 (5.4) 2012 

0.9–<1.2 0.09 (0.12) 4.0 (5.4) 2013 

1.2–<2.5 0.08 (0.11) c 4.2 (5.6) 2014 

2.5–<3.5 0.08 (0.11) c 4.2 (5.6) 2013 

3.5–<7.0 0.08 (0.11) c 4.3 (5.8) 2012 

Notes: 

(a) <75 kW engines at or above 0.9 L/cylinder are subject to the corresponding 75–3700 kW standards. 

(b) Option: 0.15 g/bhp-hr (0.20 g/kW-hr) PM/4.3 g/bhp-hr (5.8 g/kW-hr) NOX+HC in 2014. 

(c) This standard level drops to 0.07 g/bhp-hr (0.10 g/kW-hr) in 2018 for <600 kW engines. 

(d) Tier 3 NOX+HC standards do not apply to 2000–3700 kW engines. 

TABLE III–5.—TIER 3 STANDARDS FOR MARINE DIESEL C1 RECREATIONAL AND COMMERCIAL HIGH POWER DENSITY

Maximum engine power L/cylinder PM g/bhp-hr 

(g/kW-hr) 

NOX+HC g/bhp-hr 

(g/kW-hr) Model year 

<19 kW .............................................................................................. <0.9 0.30 (0.40) 5.6 (7.5) 2009 

19 to <75 kW ..................................................................................... <0.9 a 0.22 (0.30) 5.6 (7.5) 2009 

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TABLE III–5.—TIER 3 STANDARDS FOR MARINE DIESEL C1 RECREATIONAL AND COMMERCIAL HIGH POWER DENSITY— 

Continued 

Maximum engine power L/cylinder PM g/bhp-hr 

(g/kW-hr) 

NOX+HC g/bhp-hr 

(g/kW-hr) Model year 

0.22 (0.30) b 3.5 (4.7) b 2014 

75 to <3700 kW ................................................................................. <0.9 0.11 (0.15) 4.3 (5.8) 2012 

0.9–<1.2 0.10 (0.14) 4.3 (5.8) 2013 

1.2–<2.5 0.09 (0.12) 4.3 (5.8) 2014 

2.5–<3.5 0.09 (0.12) 4.3 (5.8) 2013 

3.5–<7.0 0.08 (0.11) 4.3 (5.8) 2012 

Notes: 

(a) <75 kW engines at or above 0.9 L/cylinder are subject to the corresponding 75–3700 kW standards. 

(b) Option: 0.15 g/bhp-hr (0.20 g/kW-hr) PM/4.3 g/bhp-hr (5.8 g/kW-hr) NOX+HC in 2014. 

TABLE III–6.—TIER 3 STANDARDS FOR MARINE DIESEL C2 a

Maximum engine power L/cylinder PM g/bhp-hr 

(g/kW-hr) 

NOX+HC b g/ 

bhp-hr 

(g/kW-hr) 

Model year 

<3700 kW ................................................................................................ 7–<15 0.10 (0.14) 4.6 (6.2) 2013 

15–<20 0.20 (0.27) c 5.2 (7.0) 2014 

20–<25 0.20 (0.27) 7.3 (9.8) 2014 

25–<30 0.20 (0.27) 8.2 (11.0) 2014 

Notes: 

(a) See note (c) of Table III–7 for optional Tier 3/Tier 4 standards. 

(b) Tier 3 NOX+HC standards do not apply to 2000–3700 kW engines. 

(c) For engines below 3300 kW in this group, the PM Tier 3 standard is 0.25g/bhp-hr (0.34 g/kW-hr). 

TABLE III–7.—TIER 4 STANDARDS FOR MARINE DIESEL C1 AND C2 

Maximum engine power PM g/bhp-hr 

(g/kW-hr) 

NOX g/bhp-hr 

(g/kW-hr) 

HC g/bhp-hr 

(g/kW-hr) Model year 

At or above 3700 kW .............................................................................. 0.09 (0.12) a 1.3 (1.8) 0.14 (0.19) c 2014 

0.04 (0.06) 1.3 (1.8) 0.14 (0.19) b, c 2016 

2000 to <3700 kW .................................................................................. 0.03 (0.04) 1.3 (1.8) 0.14 (0.19) c, d 2014 

1400 to <2000 kW .................................................................................. 0.03 (0.04) 1.3 (1.8) 0.14 (0.19) c 2016 

600 to <1400 kW .................................................................................... 0.03 (0.04) 1.3 (1.8) 0.14 (0.19) b 2017 

Notes: 

(a) This standard is 0.19 g/bhp-hr (0.25 g/kW-hr) for engines with 15–30 liter/cylinder displacement. 

(b) Optional compliance start dates can be used within these model years; see discussion below. 

(c) Option for C2: Tier 3 PM/NOX+HC at 0.10 / 5.8 g/bhp-hr (0.14/7.8 g/kW-hr) in 2012, and Tier 4 in 2015. 

(d) The Tier 3 PM standards continue to apply for these engines in model years 2014 and 2015 only. 

Engine manufacturers argued that 

modifying standard power density 

engines between 2000 and 3700 kW for 

Tier 3 NOX, and again for Tier 4 NOX

shortly after would be too difficult. 

They argued that these engines could 

meet Tier 4 NOX in 2014, two years 

earlier, if the Tier 3 NOX+HC standard, 

proposed to apply in 2012, 2013, or 

2014, depending on displacement, did 

not have to be met. We have analyzed 

this group of engines and agree that the 

suggested approach would be feasible 

and would have very little detrimental 

effect on NOX reductions in 2012–2013, 

while providing significant additional 

NOX reductions thereafter. We are 

therefore leaving the Tier 3/Tier 4 PM 

standards as proposed but revising the 

NOX implementation schedule as 

suggested by the industry. 

The Tier 3 standards for engines with 

maximum engine power less than 75 

kW (100 hp) are based on the nonroad 

diesel Tier 2 and Tier 3 standards, 

because these smaller marine engines 

are largely derived from (and often 

nearly identical to) the nonroad engine 

designs. The relatively straightforward 

carry-over nature of this approach also 

allows for an early implementation 

schedule, in model year 2009, providing 

substantial early benefits to the 

program. However, some of the nonroad 

engines less than 75 kW are also subject 

to aftertreatment-based Tier 4 nonroad 

standards, and our new program does 

not carry these over into the marine 

sector, due to vessel design and 

operational constraints discussed in 

section III.C. Because of the widespread 

use of both direct- and indirect-injection 

diesel engines in the 19 to 75 kW (25– 

100 hp) engine market today, we are 

making two options available to 

manufacturers for meeting Tier 3 

standards on any engine in this range, 

as indicated in Table III–4. One option 

focuses on lower PM and the other on 

lower NOX, though both require 

substantial reductions in both PM and 

NOX and will take effect in 2014. 

With important exceptions, we are 

subjecting marine diesel engines at or 

above 75 kW (100 hp) to new emissions 

standards in two steps, Tier 3 and Tier 

4. The Tier 3 standards are based on the 

engine-out emission reduction potential 

(apart from the addition of exhaust 

aftertreatment) of the nonroad Tier 4 

diesel engines that will be introduced 

beginning in 2011. The Tier 3 standards 

for C1 engines will phase in over 2012– 

2014. We believe it is appropriate to 

coordinate the marine Tier 3 standards 

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with the nonroad Tier 4 (rather than 

Tier 3) engine developments in this way 

because marine diesel engines are 

largely derived from land-based 

nonroad counterparts, and because the 

advanced fuel and combustion systems 

that we expect the Tier 4 nonroad 

engines to employ will allow 

approximately a 50 percent reduction in 

PM when compared to the reduction 

potential of the nonroad Tier 3 engines. 

Inserting an additional marine engine 

tier based on nonroad Tier 3 engines 

would result in overly short lead time 

and stability periods and/or a delay in 

stringent standards. 

We are applying high-efficiency 

aftertreatment-based Tier 4 standards to 

all commercial and auxiliary C1 and C2 

engines over 600 kW (800 hp). These 

standards will phase in over 2014–2017. 

Marine diesels over 600 kW, though 

fewer in number, are the workhorses of 

the inland waterway and intercoastal 

marine industry, running at high load 

factors, for many hours a day, over 

decades of heavy use. As a result they 

also account for the bulk of marine 

diesel engine emissions. 

After considering the substantial 

number of comments received on the 

feasibility of extending Tier 4 standards 

to engines below 600 kW, we are not at 

this time setting Tier 4 standards for 

these engines. We may do so at some 

point in the future if further technology 

developments show a path to address 

the issues we identify in RIA chapter 4 

with the application of aftertreatment 

technologies to smaller vessels. 

We are also not extending the Tier 4 

program to recreational marine diesel 

engines. In our proposal we indicated 

that at least some recreational vessels, 

those with engines above 2000 kW 

(2760 hp), have the space and design 

layout conducive to aftertreatmentbased controls and professional crews 

who oversee engine operation and 

maintenance. This suggested that 

aftertreatment-based standards would be 

feasible for these larger recreational 

engines. While commenters on the 

proposal did not disagree with these 

views, they pointed out these very large 

recreational vessels often travel outside 

the United States, and, for tax reasons, 

flag outside the U.S. as well. 

Commenters argued that applying Tier 4 

standards to large recreational marine 

diesel engines would further discourage 

U.S.-flagging because vessels with those 

engines would be limited to using only 

those foreign ports that make ULSD and 

reductant for NOX aftertreatment 

available at recreational docking 

facilities, limiting their use and hurting 

the vessel’s resale value. The 

aftertreatment devices used to meet Tier 

4 are expected to be sensitive to sulfur 

in the exhaust and so ULSD must be 

used in these engines. 

In general, we expect ULSD to become 

widely available worldwide, which 

would help reduce these concerns. 

However, there are areas such as Latin 

America and parts of the Caribbean that 

currently do not plan to require use of 

this fuel. Even in countries where ULSD 

is available for highway vehicles but not 

mandated for other mobile sources, 

recreational marinas may choose to not 

make ULSD and reductant available if 

demand is limited to a small number of 

vessels, especially if the storage and 

dispensing costs are high. To the extent 

the fuel requirements for Tier 4 engines 

encourage vessel owners to flag outside 

the United States, the results would be 

increased emissions since the 

international standards for these engines 

are equivalent to EPA’s Tier 1 standards. 

After considering the above, we 

conclude that it is preferable at this time 

to hold recreational engines marine 

diesel engines to the Tier 3 standards. 

We plan to revisit this decision when 

we consider the broader questions of the 

application of our national marine 

diesel engine standards to engines on 

foreign vessels that enter U.S. ports in 

the context of our Category 3 marine 

diesel engine rulemaking. 

There is a group of commercial 

vessels that share some of the 

characteristics of recreational vessels in 

that they also operate outside the United 

States. However, the concerns that lead 

us to exclude recreational vessels from 

the Tier 4 standards (flagging or 

registering in a foreign country and thus 

avoiding all U.S. emission standards; 

resale value) do not generally apply to 

commercial vessels. Unlike recreational 

vessels, the majority of commercial 

vessels with C1 or C2 main propulsion 

engines that operate in the United States 

do not have the option of flagging 

offshore. This is because they are 

engaged full-time in harbor activities in 

U.S. ports or in transporting freight or 

otherwise operating only between two 

U.S. ports, and cabotage laws require 

such vessels be flagged in the United 

States. In addition, most of these vessels 

operate at or between U.S. ports, so 

ULSD availability is not expected to be 

a problem. Finally, the resale of U.S. 

commercial vessels on the world market 

is already affected by other U.S.-specific 

vessel design and operation 

requirements, and these standards are 

not expected to affect that situation. 

Nevertheless, some commercial 

vessels are used in ways that could 

make the use of ULSD and even urea an 

intractable problem. These are 

commercial vessels that are routinely 

operated outside of the United States for 

extended periods of time, including tug/ 

barge cargo vessels operated on circle 

routes between the United States and 

Latin America that routinely refuel in 

places where ULSD is not available, and 

lift boats, utility boats, supply boats and 

crewboats that are used in the offshore 

drilling industry and are contracted to 

work in waters off Latin America or 

Western Africa for up to several years at 

a time without returning to the United 

States. Owners of these vessels informed 

us that requiring them to use Tier 4 

engines will adversely impact their 

business in significant ways since they 

would have to arrange for ULSD and 

urea outside the United States, 

potentially at great additional cost, and 

that this is turn would affect their 

ability to compete with foreign 

transportation providers who do not 

face the same costs. These owners flag 

their vessels in the U.S. to maximize the 

flexibility of their business operations, 

but they informed us that they would 

consider segregating their fleets and 

flagging some elsewhere if they are 

required to use Tier 4 engines. Similar 

to the recreational marine case, the 

engines on reflagged vessels would not 

be subject to any U.S. emission controls 

or compliance requirements. In 

addition, there could be adverse impacts 

on associated industries that use these 

services, if there are fewer vessels 

available for use in the Untied States. 

For all of these reasons, these vessel 

owner/operators encouraged EPA to 

consider a provision that would not 

require these vessels to use Tier 4 

engines. 

We do not expect ULSD availability at 

foreign commercial ports to be a 

widespread problem. Many industrial 

nations already have or are expected to 

shift to ULSD in the near future, 

including Japan (by 2008), Singapore (in 

2007), Mexico (in 2007 for ‘‘Northern 

border areas’’), the EU member states 

(by 2009), and Australia (by 2009). 

Other countries may also make ULSD 

available by 2016, as refineries in other 

countries modify their production to 

supply ULSD to the U.S. markets even 

if they do not require it domestically. 

However, ULSD may be difficult to 

obtain in some areas of the world, 

notably Latin America and Africa. 

Therefore, it is reasonable to include a 

limited compliance exemption from the 

Tier 4 standards for the narrow set of 

vessels that are described above. 

Because the decision of whether a 

Tier 4 engine is required must be made 

at the design phase of a vessel, and not 

after it goes into service, it is preferable 

to define such an exemption based on 

vessel design characteristics instead of 

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127Memorandum to Docket EPA–HQ–OAR– 

2003–0190, Marine Vessels—SOLAS Certification, 

from Jean MarieRevelt, dated January 11, 2007. 

the owner’s intentions for how the 

vessel may ultimately be used. After 

consulting with industry 

representatives, we concluded that the 

most obvious design feature that 

indicates the vessel is intended for 

extensive international use is 

compliance with international safety 

standards. We have concluded that the 

costs of obtaining and maintaining 

certification for the International 

Convention for the Safety of Life at Sea 

(SOLAS) are high enough to discourage 

owners of vessels that will not be used 

outside the United States to obtain 

certification to evade the Tier 4 

standards. These costs can range from 

about $250,000 to $1 million in capital 

costs and from about $50,000 to 

$100,000 in annual operating costs. The 

Port State Information Exchange 

database maintained by the U.S. Coast 

Guard indicates that about 30 percent of 

offshore supply vessels built annually 

are SOLAS certified and that 3 percent 

or fewer passenger vessels and tugs built 

annually are SOLAS certified (based on 

new vessel construction, 1995–2006).127

Therefore, to be eligible for the 

exemption, the owner will be required 

to obtain and maintain relevant 

international safety certification 

pursuant to the requirements of the 

United States Coast Guard and SOLAS 

for the vessel on which an exempted 

engine is installed. 

Vessel owners will be required to 

petition EPA for an exemption for a 

particular vessel in order for an engine 

manufacturer to sell them an exempted 

engine; granting of the exemption will 

not be automatic. In evaluating a request 

for a Tier 4 exemption, we will consider 

the owner’s projections of how and 

where the vessel will be used and the 

availability of ULSD in those areas, as 

well as the mix of SOLAS and nonSOLAS vessels in the owner’s current 

fleet and the extent to which those 

vessels are being or have been operated 

outside the United States. In general, it 

is our expectation that fleets should first 

use existing pre-Tier 4 vessels for 

operations where ULSD may not be 

available. Therefore, we would not 

expect to grant an exemption for a 

vessel that will be part of a fleet that 

does not already have a significant 

percentage of Tier 4 vessels, since a fleet 

with a smaller percentage of Tier 4 

vessels would likely have more pre-Tier 

4 vessels that could be employed in the 

overseas application instead. For 

example, if 30 percent of an owner’s 

current fleet has SOLAS certification, 

we would expect that up to 70 percent 

of the vessels in that fleet could be Tier 

4 compliant without changes in the 

operation of the fleet. We may also ask 

the petitioner to demonstrate that other 

vessels in the petitioner’s fleet remain in 

service outside the United States and 

have not been placed into service 

domestically. EPA does not expect to 

approve applications for the Tier 4 

exemption described in this paragraph 

prior to 2021; we expect that the 

existing fleet of Tier 3 vessels can be 

used for overseas operations during that 

time. If an owner petitions EPA for an 

exemption prior to that year, we may 

request additional information on the 

owner’s expected operation plans for 

that vessel and a more complete 

explanation as to why another vessel in 

the existing fleet could not be redirected 

to the offshore application with the Tier 

4 vessel under construction taking that 

vessel’s place. Finally, a failure to 

maintain SOLAS certification for the 

vessel on which an exempted engine is 

installed would result in a finding of 

noncompliance and the owner would be 

liable for applicable fines and other 

penalties. 

To address the situation in which an 

owner of a vessel with Tier 4 engines 

wants to use that vessel in a country 

that does not have ULSD available, we 

are also including a provision that will 

allow the owner to petition EPA to 

temporarily remove or disable the Tier 

4 controls on vessels that are operated 

solely outside the United States for a 

given period of time. The petitioner will 

need to specify where the vessel will 

operate, how long the vessel will 

operate there, and why the owner will 

be unable to provide ULSD for the 

vessel. The petitioner will also be 

required to describe what actions will 

be taken to disable or disconnect the 

Tier 4 controls. Permission to disable or 

remove the Tier 4 controls will be 

allowed only for the period specified by 

the owner and agreed to by EPA; 

however, the owner may re-petition 

EPA at the end of that period for an 

extension. As part of the approval of 

such a petition, the petitioner will be 

required to agree to re-install or 

reconnect the Tier 4 emission control 

devices prior to re-entry into the United 

States, whether this occurs only at the 

end of the specified period or earlier. 

These provisions for migratory vessels 

are intended to facilitate the use of 

vessels certified to the U.S. federal 

marine diesel emission standards while 

they are operated for extended periods 

in areas that may not have ULSD 

available. It should be noted that vessels 

that receive either limited exemptions 

or that petition EPA to remove or 

disable Tier 4 controls will still be 

subject to the MARPOL emission limits 

when they are operated outside the 

United States. We may review these 

migratory vessel provisions in the 

context of our upcoming Category 3 

marine diesel engine rulemaking. We 

may also revisit this program in the 

future if the number of exemption 

requests appears to be unreasonably 

high or if we find that significant 

numbers of vessels that have obtained 

exemptions from Tier 4 are, in fact, in 

use domestically. 

Note that the implementation 

schedule in the above marine standards 

tables is expressed in terms of model 

years, consistent with past practice and 

the format of our regulations. However, 

in two cases we believe it is appropriate 

to provide a manufacturer the option to 

delay compliance somewhat, as long as 

the standards are implemented within 

the indicated model year. Specifically, 

we are allowing a manufacturer to delay 

Tier 4 compliance within the 2017 

model year for 600–1000 kW (800–1300 

hp) engines by up to 9 months (but no 

later than October 1, 2017) and, for Tier 

4 PM, within the 2016 model year for 

engines at or above 3700 kW (4900 hp) 

by up to 12 months (but no later than 

December 31, 2016). We consider this 

option to delay implementation 

appropriate in order to give some 

flexibility in spreading the 

implementation workload and ensure a 

smooth transition to the long-term Tier 

4 program. 

The Tier 4 standards for locomotives 

and for C2 diesel marine engines of 

comparable size are at the same 

numerical levels but differ somewhat in 

implementation schedule: Locomotive 

Tier 4 standards start in 2015, while 

diesel marine Tier 4 standards start in 

2016 for engines in the 1400–2000 kW 

(1900–2700 hp) range, and in 2014 for 

engines over 2000 kW (with final PM 

standards starting in 2016 for these 

engines). We consider these locomotive 

and marine diesel Tier 4 

implementation schedules to be close 

enough to warrant our adopting a 

marine engine option based on the Tier 

4 locomotive schedule, aimed at 

facilitating continuance of today’s 

frequent practice of developing a 

common engine platform for both 

markets. Commenters on the proposal 

supported this marine engine option, 

but expressed concerns about 

competitiveness issues and argued that 

we should remove the proposed 

restriction to engines of 7–15 liter/ 

cylinder displacement and under 3700 

kW maximum engine power. 

We are adopting this locomotivebased marine engine option, but with 

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37128 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

some changes from the proposed 

approach to address potential 

competitiveness issues, as well as our 

own concern that this option be used 

only for the intended purpose of 

avoiding unnecessary dual design 

efforts. First, we are retaining some 

limits on its scope, specifically to 

engines above both a 7 liters per 

cylinder limit (Category 2 in the marine 

sector) and a 1400 kW (1900 hp) 

maximum engine power. Second, if the 

option is used, its standards must be 

met for all of a manufacturer’s marine 

engines at or above 1400 kW (1900 hp) 

in the same displacement category (that 

is, 7–15, 15–20, 20–25, or 25–30 liters 

per cylinder) in all of the model years 

2012 through 2016. This will help 

ensure the option is not gamed by 

artificially subdividing engine 

platforms. Because the switch 

locomotive program we are establishing 

already includes a similar streamlined 

option allowing the use of land-based 

nonroad engines, we are not extending 

this option to switchers. 

We are adopting another provision to 

help ensure that this locomotive-based 

marine engine option is 

environmentally beneficial and is not 

used to gain a competitive advantage. 

We are requiring that marine engines 

under this option meet Tier 3 standards 

in 2012, the year Tier 3 starts for 

locomotives, with standards 

numerically corresponding to 

locomotive Tier 3 standards levels: 0.14 

g/kW-hr (0.10 g/bhp-hr) PM and 7.8 g/ 

kW-hr NOX+HC (5.8 g/bhp-hr: that is, 

5.5 + 0.30 g/bhp-hr combined NOX and 

HC). Otherwise a manufacturer could 

take advantage of the later-starting 

marine Tier 3 schedule to generate 

credits or allow increased emissions 

from these engines until 2015 when the 

option requires Tier 4 compliance. This 

approach also deals fairly with the 

problem identified in the proposal 

regarding redesigning locomotive-based 

engine platforms to meet the 

numerically lower marine Tier 3 NOX

level. 

Finally, we considered but are not 

adopting a provision that would set a 

total vessel power limit for the Tier 4 

standards. The comments we received 

on this issue lead us to conclude that 

multiple-engine configurations are used 

in vessel designs for specific purposes 

and are not likely to be employed to 

evade the Tier 4 standards. We may 

consider this type of restriction in a 

future action, however, if multipleengine vessels are built in applications 

that have typically used a different 

number of engines in the past. 

(b) Remanufactured Marine Engines 

In addition to the standards for 

newly-built engines, we are adopting for 

the first time emission standards for 

marine diesel engines on existing 

vessels. Many of these existing engines 

will remain in the fleet for 40 years or 

more, making them what would 

otherwise be a substantial source of air 

pollution. The marine remanufacture 

program will provide early PM 

reductions by reducing emissions from 

this legacy fleet sooner than would be 

the case from the retirement of old 

vessels in favor of new vessels with 

cleaner engines. Additional early NOX

reductions are expected to be achieved 

from the use of locomotive 

remanufacture systems recertified under 

this program for Category 2 engines. 

The program we are finalizing is 

modified from what we described in the 

NPRM. In the NPRM we described a 

two-part program that would have 

applied to all commercial marine diesel 

engines above 600 kW when they are 

remanufactured. In the first part, which 

we considered beginning as early as 

2008, vessel owners/operators and 

engine rebuilders who remanufacture 

engines would be required to use a 

certified remanufacture system when an 

engine is remanufactured (defined as 

replacement of all cylinder liners, either 

in one event or over a five-year period) 

if such a certified system is available. In 

the second part, which we considered 

beginning in 2013, a marine diesel 

engine identified by EPA as a high-sales 

volume engine model would have been 

required to meet specified emission 

requirements when it is 

remanufactured. Specifically, the 

remanufacturers or owners of such 

engines would have been required to 

use systems certified to meet the 

standard; if no certified system is 

available, they would have needed to 

either retrofit the engines with emission 

reduction technology that demonstrates 

at least a 25 percent reduction or replace 

the engines with new ones. For engines 

not identified as high-sales volume 

engines, Part 1 would have continued to 

apply. 

Several commenters requested that 

EPA not finalize this program at this 

time but instead consider it in a separate 

rulemaking. They noted that this would 

allow additional time to consider the 

program and its requirements. 

Postponing the program, however, 

would also result in the loss of 

important emission reductions early in 

the program. Delay is also not necessary 

because the program we are adopting 

consists only of the first part of the 

program described in our proposal, 

requiring the owner of a marine diesel 

engine to use a certified marine 

remanufacture system when the engine 

is remanufactured if such a system is 

available. We are not adopting a 

requirement for the mandatory 

availability of remanufacture systems. 

(Under the option discussed in the 

proposal, in certain circumstances, if a 

remanufacture system was not made 

available the owner would have been 

required to retrofit an emission control 

technology, repower the vessel (replace 

its engines) or scrap the vessel.) 

The marine remanufacture program 

we are adopting applies to all 

commercial marine diesel engines with 

maximum engine power greater than 

600 kW and manufactured in 1973 or 

later, through Tier 2. The beginning date 

of 1973 is based on our existing 

locomotive program; many of the 

techniques used to achieve those 

standards are expected to be applicable 

to marine diesel engines over 600 kW. 

As described in more detail below, 

the program draws on aspects of our 

locomotive remanufacture and diesel 

retrofit programs with regard to the 

basic requirements that apply and how 

remanufacture systems are certified. The 

remainder of this section describes the 

main features of the program. The 

technological feasibility of this program 

is described in section III.C, and the 

certification requirements are set out in 

section IV. Small manufacturer, engine 

dresser, vessel builder, and operator 

flexibilities are set out in section 

IV.A(13)(b). 

Similar to the locomotive program, 

the marine program we are finalizing 

applies when a marine diesel engine is 

remanufactured. Covered engines are 

those that are remanufactured to as-new 

condition. Based on discussions with 

engine manufacturers, we have 

determined that replacing all cylinder 

liners is a simple and clear indicator 

that the servicing being done is 

extensive enough for the engine to be 

considered functionally equivalent to a 

freshly manufactured engine, both 

mechanically and in terms of how it is 

used. Therefore, we are defining 

remanufacture as the removal and 

replacement of all cylinder liners, either 

during a single maintenance event or 

over a five-year period. It should be 

noted that marine diesel engines are not 

considered to be remanufactured if the 

rebuilding process falls short of this 

definition (i.e., the cylinder liners are 

removed and replaced over more than a 

five-year period). As with locomotives, 

remanufactured marine diesel engines 

are new until they are sold or placed 

into service. 

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128See Note from Amy Kopin, Mechanical 

Engineer, to Jean Marie Revelt, EPS, Re: Marine 

Remanufacture Program. A copy of this Note is 

available in Docket OAR–2003–0190. 

For the purpose of this program, 

‘‘replace’’ includes removing, 

inspecting, and requalifying a liner. 

This addresses the situation in which an 

engine experiences a cylinder failure 

prior to a scheduled rebuild: The owner 

might replace the failed cylinder right 

away and replace the others at rebuild; 

then, at the time of rebuild, the installer 

would likely inspect the cylinder that 

was a few months old to make sure it 

qualified for continued use according to 

the certificate holder’s instructions. We 

do not think that owners will fail to 

requalify cylinders to avoid the 

remanufacture requirements because 

requalification is done both to ensure 

the continued reliability and durability 

of the engine and as part of surveys 

necessary to retain vessel certification 

for safety and other purposes. The fiveyear provision was first adopted in the 

locomotive program to help ensure that 

the standards are not avoided through 

phased remanufacturing (i.e., not 

replacing the power assemblies all at 

once). It is reasonable to use this 

approach in the marine sector as most 

commercial engines are rebuilt all at 

once, although some owners may 

choose a rolling rebuild approach in 

which a certain number of cylinders are 

rebuilt every year. We may revisit the 

five-year limit after a few years of the 

program to evaluate whether this is the 

appropriate period and whether owners 

are adjusting their rebuild practices, 

particularly with respect to rolling 

rebuilds, to circumvent the regulations 

(see discussion of rolling rebuilds, 

below). 

When an engine is remanufactured, it 

must be certified as meeting the 

emission standards for remanufactured 

engines (by using a certified 

remanufacture system) unless there is 

no certified remanufacturing system 

available for that engine. In other words, 

the owner/operator or installer of a 

covered engine would be required to use 

a certified marine remanufacture system 

when remanufacturing that engine if 

one is available. If there is no certified 

system available at that time, there is no 

requirement. Availability means not 

only that EPA has certified a system, but 

also that it can be obtained and installed 

in a timely manner consistent with 

normal business practices. For example, 

a system would generally not be 

considered to be available if it required 

that the engine be removed from the 

vessel and shipped to a factory to be 

remanufactured unless that is the 

normal rebuild process for that engine. 

Similarly, a system would not be 

considered to be available if the 

component parts are not available for 

purchase in the period normally 

associated with a scheduled rebuild. If 

a certified system is not available there 

is no requirement to comply with this 

program until the next remanufacture, at 

which time the remanufacturer would 

need to check again to see if a system 

is available. Nonavailability due to 

inability to obtain parts may be 

demonstrated by a written record that 

shows a good faith effort to obtain parts. 

Several states and localities have 

voluntary retrofit programs to reduce 

emissions from marine diesel engines. 

These programs encourage vessel 

owners to apply emission reduction 

strategies in return for a financial or 

operational incentive. Retrofit systems 

range from engine adjustments to 

installing different cylinders, fuel 

injectors, turbochargers, or other engine 

components. To receive the incentive, 

the owner must demonstrate the 

reduction, often through emission 

measurements. We received state agency 

comments expressing concern about the 

potential inconsistency between state 

and local retrofit programs and a 

potential marine remanufacture 

program. Specifically, a situation could 

be created in which a vessel owner who 

has already applied a retrofit device 

pursuant to a state or local retrofit 

program would be required to remove 

the voluntary retrofit device and install 

a certified marine remanufacture 

system. We do not want to negatively 

impact the positive benefits that arise 

from state and local retrofit programs, 

especially in those cases in which the 

retrofit achieves a greater reduction 

(e.g., retrofit of a SCR system) than a 

certified marine remanufacture system. 

We also do not want to discourage these 

programs especially in early years 

where states and local programs may 

achieve reductions before certified 

remanufacture systems become 

available. 

Therefore, we are adopting a 

provision that will allow an owner/ 

operator of an engine that is fit with a 

retrofit device prior to 2017 pursuant to 

a state or local retrofit program to 

request a qualified exemption from the 

marine remanufacture requirements for 

that engine. This qualified exemption 

will be available only to engines 

equipped with retrofit device under a 

state or local program before 2017. The 

owner/operator must request the 

exemption prior to a remanufacturing 

event that would otherwise trigger the 

requirement to use a certified 

remanufacture system. The request must 

include documentation that the vessel 

has been retrofit pursuant to a state or 

local retrofit program and a signed 

statement declaring that to be true. 

Except for the initial request for a 

specific vessel and a specific retrofit, a 

request would be considered to be 

approved unless we notify the requestor 

otherwise within 30 days of the date 

that we receive the request. Note that 

the exemption does not apply where the 

sponsoring government specifies that 

inclusion in the retrofit program is not 

intended to provide an exemption from 

the requirements of this subpart. EPA’s 

granting of the exemption is 

conditioned upon the owner/operator’s 

continued use and maintenance of the 

retrofit kit that provides the basis for the 

exemption. 

Beginning in 2017, this exemption 

will no longer be available for new 

retrofits. Engines included in state or 

local retrofit programs will be required 

to use a certified remanufacture system 

if one is available when the engine is 

remanufactured. In this case either the 

certified remanufacture system would 

be part of the retrofit or the vessel owner 

would use a certified remanufacture 

system the next time at the next 

remanufacture event. 

At this time, we are adopting 

standards for remanufacture systems 

only for marine diesel engines over 600 

kW. This 600 kW threshold is 

reasonable because of the long hours of 

use, often at high load, of engines above 

600 kW, and their long services lives. 

These engines are also more likely to 

undergo regular full overhauls, 

returning them to as-new condition. 

Commercial marine diesel engines 

larger than 600 kW typically undergo 

periodic full, like-new rebuilds. These 

large engines are often installed on tugs, 

towboats, ferries, offshore supply 

vessels, lakers, and coasters, which 

require reliable power at all times. 

These vessels are often used for ten or 

more hours a day, every day of the year. 

As a result, these engines are typically 

subject to regular maintenance to ensure 

their dependability. In addition, many 

manufacturers provide guidance for a 

full rebuild to as-new condition. This 

might include replacing piston rings, 

heads, bearings, and gear train/camshaft 

as well as piston liners.128 Rebuilding to 

as-new condition helps ensure smooth 

operation over the full maintenance 

interval. Owners of these vessels are 

also motivated to maintain their engines 

because it is very complicated and 

expensive to repower their vessels; 

replacing an engine may require major 

hull modifications. Because these 

vessels operate for decades, often 40 or 

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more years, their engines may be 

remanufactured to as-new condition 

anywhere from three to six or even more 

times before the vessel is scrapped. 

We are not setting standards for 

marine remanufacture systems for 

engines below 600 kW because we 

currently do not have sufficient data to 

determine the extent that rebuilding of 

engines below 600kW qualifies as 

remanufacturing to an as new condition. 

Smaller commercial engines under 600 

kW or recreational engines typically 

have shorter useful lives than the larger 

engines and do not see as much wear on 

an annual basis. This means it takes 

longer to acquire the hours between 

maintenance intervals. Engines on some 

smaller commercial or recreational 

marine vessels may not be rebuilt at all 

but, instead, are replaced or the vessel 

is scrapped. There may also be other 

technological and cost issues with 

applying remanufacture requirements to 

smaller commercial or recreational 

engines. 

For these reasons, we are finalizing 

only standards for remanufactured 

commercial marine diesel engines above 

600 kW. We may revisit this approach 

after implementing the program to 

evaluate whether other remanufactured 

marine diesel engines should be 

included in the program as well. 

A certified marine remanufacture 

system must achieve a 25 percent 

reduction in PM emissions compared to 

the engine’s measured baseline 

emissions level (the emission level of 

the engine as rebuilt according to the 

manufacturer’s specification but before 

the installation of the remanufacture 

system) without increasing NOX

emissions (within 5 percent). We are not 

finalizing a 0.22 g/kW-hr PM cap, as 

proposed. The percent reduction is 

being adopted because the large range of 

engine platforms on existing marine 

diesel engines makes the selection of an 

effective numeric emission limit 

impractical. A more stringent emission 

limit may prevent the development of 

remanufacture systems for many 

engines, while a less stringent limit 

could allow manufacturers to certify 

remanufacture systems for engines that 

already meet the limit without any 

additional emission benefits. A 

percentage reduction has the advantage 

of allowing more engines to participate 

in the program while ensuring valid 

emission reductions. 

We are not adopting the multi-step 

approach discussed in the proposal. 

This approach, based on the Urban Bus 

program, would have entailed setting 

standards based on reductions of 60 

percent, 40 percent, and 20 percent, and 

requiring that a rebuild use the certified 

kit meeting the most stringent of these 

three standards if available. 

Manufacturers expressed concern that 

such a requirement would discourage 

the development of remanufacture 

systems since they could rapidly 

become obsolete. Owners were 

concerned that they would be subject to 

a moving requirement that would 

complicate their engine maintenance 

and overhaul schedules and could result 

in identical engine models being 

required to use different remanufacture 

systems. They also were concerned that 

such an approach would mean they 

would have to use a different system 

every time they remanufacture, and the 

impacts on engines that are 

remanufactured over several 

maintenance events. For these reasons, 

instead of adopting the multi-step 

approach, we are adopting a single 

emission reduction requirement. If 

several certified systems are available, 

we will allow any of them to be used. 

However, states may develop incentive 

programs to encourage the use of the 

certified remanufacture system with the 

greatest reduction. Also, we may revisit 

the emission level in the future to 

determine if it should be modified to 

reflect advances in applying new PM 

reduction technologies to existing 

marine diesel engines. 

We expect that this PM reduction will 

be met by using incrementally-improved 

components that are replaced when an 

engine is remanufactured, based on 

reduction technologies manufacturers 

are already using or will be using to 

achieve the Tier 3 PM standards. For 

example, a remanufacture system could 

reduce PM emissions by using different 

fuel injectors or different piston rings to 

reduce oil consumption. 

Remanufacturing systems may not 

adversely affect engine reliability, 

durability, or power. 

Some engine manufacturers expressed 

concern about the potential for 

unintended adverse effects on engine 

performance, reliability, or durability 

that could occur if another entity 

develops a remanufacture system for 

their engines. They were particularly 

concerned about being held responsible 

for an emission failure if the 

remanufacture system does not perform 

as intended, or for an engine failure if 

the system causes other engine 

components to fail. To address this 

concern, the program we are finalizing 

requires any person who wishes to 

certify a remanufacture system for an 

engine not produced by that person to 

notify the original engine manufacturer 

and request their comments on the 

remanufacture system. Any comments 

received by the certifier are required to 

be included in the certification 

application, as well as a description of 

how those comments were addressed. 

As we described at proposal, this final 

rule includes a cost cap on marine 

diesel remanufacture systems of $45,000 

per ton of PM reduced, based on the 

incremental cost of the remanufacture 

system (the cost in excess of what a 

rebuild would otherwise cost). This cost 

cap is analogous to the reasonable cost 

limit in the current locomotive 

remanufacturing program and is 

intended to ensure that marine 

remanufacture systems do not impose 

excessively burdensome cost 

requirements on vessel owners that are 

not justified by the benefits of the 

reductions. The $45,000 per ton of PM 

reduced is similar to the cost of a 

number of mobile source retrofit 

programs. This cap includes all costs to 

the vessel owner associated with the 

remanufacture system beyond those 

associated with an engine 

remanufactured without a certified 

system, such as labor for any special 

installation procedures and any 

modifications to the vessel or its 

operation (e.g., fuel consumption 

impacts). 

It may not be possible for the certifier 

to predict the characteristics of all 

vessels that can use the remanufacture 

system and therefore provide a 

comprehensive estimate of the total 

incremental costs of installing the 

remanufacture system. Therefore, in 

addition to an estimate of the vesselrelated installation costs that would 

apply to most vessels, the certifier must 

also provide an estimate of the amount 

of residual incremental costs that would 

be available for installation of the 

remanufacture system on a particular 

vessel without triggering the $45,000 

per ton PM threshold (i.e., the 

maximum amount installation may cost 

for a particular vessel after the cost of 

the remanufacture system is deducted 

from the $45,000 maximum cost). This 

will guide vessel owners in determining 

if the cost of a certified remanufacture 

system will exceed the $45,000 

threshold for a particular vessel. 

We are including a provision that will 

allow a vessel owner to request an 

exemption from EPA if the vessel owner 

can demonstrate to EPA’s satisfaction 

that actual installation cost for his or her 

vessel will exceed the $45,000 per ton 

PM threshold. This may be necessary, 

for example, if a vessel with external 

keel cooling cannot be modified to 

achieve required cooling levels required 

by the remanufacture system without 

extensive modifications to the vessel 

hull. We are also including a small 

business exemption as well as a 

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financial hardship provision (see 

Section IV.A.13(b)(vi and vii)) that 

would allow postponing the 

requirements for owners who can show 

financial hardship. 

Marine remanufacture systems can be 

certified as soon as this rule goes into 

effect. A remanufacture system will be 

considered to be available 120 days after 

we issue a certificate of conformity for 

it or 90 days after we include it on our 

list of certified remanufacture systems, 

whichever is later. Prior to the end of 

that period, a kit will not be considered 

to be ‘‘available.’’ This period allows 

time for owners to arrange for 

remanufacturing with a certified system 

once one that applies to the relevant 

engine has been certified. Once a marine 

remanufacture system is certified, as 

evidenced by an EPA-issued certificate 

of conformity, it will be considered to 

be available until it is withdrawn or the 

certificate holder fails to obtain a 

certificate of conformity for a 

subsequent year. We will maintain a list 

of available remanufacture systems and 

provide access to this list by posting it 

on our website. Owners should consult 

the list prior to any particular 

remanufacturing event to determine 

whether a certified system is available 

and therefore whether they are affected 

by the program. Uncertified systems 

purchased before that date can be used 

as long as they are consistent with the 

normal parts inventory practices of the 

owner or rebuild facility. Stockpiling of 

uncertified remanufacture systems to 

evade the requirements of the program 

is not allowed. 

For engines on a rolling rebuild 

schedule (i.e., cylinder liners are not 

replaced all at once but are replaced in 

sets on a schedule of 5 or fewer years, 

for example 5 sets of 4 liners for a 20- 

cylinder engine on a 5-year schedule), 

the requirement is triggered at the time 

the remanufacture system becomes 

available, with the engine required to be 

in a certified configuration when the 

last set of cylinder liners is replaced. 

The remanufacturing requirements do 

not apply for cylinder-liner 

replacements that occurred before the 

remanufacture system becomes 

available. Any remanufacturing that 

occurs after the system is available 

needs to use the certified system, 

including remanufacturing that occurs 

on a rolling schedule over less than five 

years following the availability of the 

remanufacturing system. If the 

components of a certified remanufacture 

system are not compatible with the 

engine’s current configuration, the 

program allows the owner to postpone 

the installation of the remanufacture 

system until the replacement of the last 

set of cylinder-liners, which would 

occur no later than five years after the 

availability of the system. At that time, 

all engine components must be replaced 

according to the certified remanufacture 

system requirements. 

Initially, we expect marine 

remanufacture systems to be certified 

for C2 engines that are derived from 

certified locomotive remanufacture 

systems. Some of these certified 

locomotive systems are already used on 

C2 marine diesel engines, or can be used 

with modification. The new Tier 0+, 

Tier 1+ and Tier 2+ certified locomotive 

remanufacture systems are likely to be 

capable of being used on marine diesel 

engines without much additional 

development when those certified 

locomotive systems become available, 

for additional reductions. To encourage 

this practice, we are providing a 

streamlined certification process for 

locomotive systems certified to the new 

Tier 0+, Tier 1+, or Tier 2+ standards for 

use on C2 engines. The streamlined 

certification will also be allowed for 

existing Tier 0 locomotive 

remanufacture systems (certified under 

part 92), but those systems can be used 

only on pre-Tier 1 (uncertified) C2 

marine engines, and the use of these 

existing Tier 0 systems will not be 

permitted after systems certified to the 

new Tier 0+ (or Tier 1+ if applicable) 

locomotive standards are made 

available. The streamlined certification 

process will require only an engineering 

analysis demonstrating that the system 

would achieve emission reductions 

from marine engines similar to those 

from locomotives. The streamlined 

certification process will allow 

modifications to the previously certified 

locomotive system as necessary to 

install the system on a C2 marine 

engine. If the manufacturer of a 

locomotive remanufacture system 

chooses to modify that system in a 

substantive way, for example to remove 

NOX emission controls (because the 

marine remanufacture program only 

requires PM reductions), then the 

system will have to be recertified as a 

marine remanufacture system based on 

measured values and subject to all of the 

other certification requirements of the 

marine remanufacture program (see 

section IV). We are not providing a 

similar streamlined certification process 

for C1 marine systems because there are 

currently no certified remanufacture 

systems for C1-equivalent engines 

through our other mobile source 

programs. 

The program described above is 

engine-based in that it assumes that 

remanufacture systems will consist of 

changes to engine components or 

operational settings. At least one user 

asked EPA to consider also allowing 

remanufacture systems consisting of the 

use of specified fuels or fuel additives. 

The program we are adopting will allow 

this type of remanufacture system, 

subject to the following constraints. 

First, the use of a remanufacture 

system based on a fuel or fuel additive 

will not be mandatory if such a system 

is certified. Instead, the use of a fuel or 

fuel additive system will be allowed as 

an alternative compliance mechanism in 

place of an engine-based remanufacture 

system. In other words, if an enginebased remanufacture system is certified, 

owners of the affected engine models 

can either use that engine-based system 

or use a fuel or fuel additive system if 

one has also been certified; if there is no 

certified engine-based system, then 

there is no requirement to use the fuel 

or fuel additive remanufacture system. 

This requirement is necessary because, 

in contrast to an engine-based system, a 

fuel or fuel additive-based system 

requires positive action on the part of 

the owner to achieve the emission 

reductions. In the case of an enginebased system, the owner installs the 

replacement parts at the time of rebuild; 

installation of the parts will achieve the 

required reductions and there is little 

impact on the owner or the vessel’s 

operations. In the case of a fuel or fuel 

additive system, however, the owner 

will be required to use the specified fuel 

or fuel additive at all times; if the owner 

does not take the required action, the 

‘‘system’’ will not be in use. Because a 

fuel or fuel additive-based system will 

require the owner to do something on a 

continuous basis and require additional 

recording and recordkeeping, the 

success of the system requires a positive 

commitment on behalf of the owner/ 

operator. 

Second, the certifier of a 

remanufacture system based on a fuel or 

fuel additive will be required to show 

that use of the fuel or fuel additive 

meets the 25 percent PM reduction 

based on measured values, without 

increasing NOX emissions, for all 

engines to which the system will apply. 

This will require testing an engine with 

and without the use of the specified fuel 

or fuel additive. Different engines may 

be combined into one engine family for 

the purpose of certification, based on 

EPA approval. 

Third, any fuel or fuel additive for 

which certification is sought under the 

marine remanufacture program must 

first be registered under 40 CFR Part 79, 

Registration of Fuels and Fuel 

Additives. This is to ensure that the fuel 

or fuel additive does not contain 

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substances that are otherwise controlled 

by EPA. 

Fourth, as part of the certification, the 

certifier will be required to provide a 

sampling procedure that can be used by 

EPA or other enforcement authorities to 

verify owner compliance onboard and 

for enforcement purposes. That 

procedure should explain how to detect 

if the appropriate level of fuel additive 

or if the appropriate fuel type is actually 

being used onboard on the basis of a 

fuel sample taken from a fuel tank on 

the vessel. In addition to being provided 

to EPA as part of the certification 

process, the certifier will be required to 

provide a copy of this procedure to the 

purchaser as part of the remanufacture 

system package and will be required to 

maintain a copy of the procedure on the 

internet to facilitate in-field compliance 

verification. 

Fifth, the remanufacture system will 

require a notification to be placed at the 

appropriate fill location (either on the 

fuel tank inlet in the case of fuels or preblended fuel additives, or as specified 

on the engine in the case of fuel 

additives not blended in the fuel) that 

indicates the engine is outfitted with a 

fuel or fuel additive remanufacture 

system and that compliant fuel or 

additives must be used at all times. 

Finally, when an owner agrees to use 

a fuel or fuel additive-based 

remanufacture system in lieu of an 

engine-based system, that owner must 

also agree to any recordkeeping 

requirements specified in the 

certification of that system. These may 

include keeping a record of the 

purchase of the specified fuel or fuel 

additive and, in the case of additives, 

the amounts and dates of the additive 

use. These requirements must be set out 

by the certifier as part of the kit, and the 

owner will be deemed to have agreed to 

them by affixing a label to the engine or 

appropriate fuel or fuel additive inlet 

indicating that it is certified with a fuel 

or fuel-additive remanufacture system. 

If an owner or operator chooses a 

certified remanufacture system based on 

a particular fuel or fuel additive to meet 

these remanufacture requirements, the 

failure to use the fuel or fuel additive 

would be a violation of 1068.101(b)(1). 

Allowing the use of fuel or fuel 

additive-based remanufacture systems is 

not intended to be a mechanism to 

require fuel switching for marine diesel 

engines, either to 15 ppm fuel earlier 

than required or to distillate from 

residual fuel for auxiliary engines on 

vessels with Category 3 marine diesel 

engines or for those smaller vessels than 

may currently use residual fuel in their 

C2 main propulsion engines. It is also 

not intended to prevent the use of offspec fuel in marine diesel engines. If 

there is no certified engine-based 

remanufacture system available for an 

engine, a fuel or fuel additive-based kit 

will not be required to be used even if 

one is certified. 

EPA is committed to the development 

and successful operation of a marine 

remanufacture program. We intend to 

assess the effectiveness of this program 

as early as 2012 to ascertain the extent 

to which engine manufacturers are 

providing certified remanufacture 

systems. If remanufacture systems are 

not available or are not in the process 

of being developed and certified at that 

time for a significant number of engines, 

we may consider changes to the 

program. As part of that assessment, we 

may evaluate whether to include Part 2 

of the program described in our 

proposal. Part 2 would require the 

owner/operator or installers of a marine 

diesel engine identified by EPA as a 

high-sales volume engine to either use 

a certified remanufacture system when 

the engine is remanufactured or, if no 

system is available, retrofit an emission 

reduction technology for the engine that 

meets the 25 percent PM reduction, or 

repower (replace the engine with a 

freshly manufactured engine). Part 2 

was intended to create a market for 

marine remanufacture systems, to help 

ensure their development over the 

initial five years of the program. 

However, vessel owners were very 

concerned that a mandatory repower 

program would have the opposite 

impact, and would discourage 

certification of remanufacture systems 

in favor of mandatory repowers due to 

the higher value of a replacement engine 

compared to a remanufacture system. In 

evaluating the effectiveness of the 

remanufacture program in the future, 

EPA may revisit the need for Part 2, or 

something similar, to ensure emission 

reductions from the large marine legacy 

fleet are occurring in a timely and 

effective manner. We may also evaluate 

other aspects of the program, including 

the criteria that trigger a 

remanufacturing event (including the 5- 

year period for incremental 

remanufactures), and whether we 

should set remanufacture standards for 

engines less than 600 kW. 

(3) Carbon Monoxide, Hydrocarbon, and 

Smoke Standards 

We did not propose and are not 

setting new standards for CO. Emissions 

of CO are typically relatively low in 

diesel engines today compared to nondiesel pollution sources. Furthermore, 

among diesel application sectors, 

locomotives and marine diesel engines 

are already subject to relatively stringent 

CO standards in Tier 2—essentially 1.5 

and 3.7 g/bhp-hr, respectively, 

compared to the current heavy-duty 

highway diesel engine CO standard of 

15.5 g/bhp-hr. Therefore, the Tier 3 and 

Tier 4 CO standards for all locomotives 

and marine diesel engines will remain 

at current Tier 2 levels and 

remanufactured Tier 0, 1 and 2 

locomotives will likewise continue to be 

subject to the existing CO standards for 

each of these tiers. Although we are not 

setting more stringent standards for CO 

in Tier 4, we note that aftertreatment 

devices using precious metal catalysts 

that we project will be employed to 

meet Tier 4 PM, NOX and HC standards 

will provide meaningful reductions in 

CO emissions as well. 

As discussed in section II, HC 

emissions, often characterized as VOCs, 

are precursors to ozone formation, and 

include compounds that EPA considers 

to be air toxics. As with CO, emissions 

of HC are typically relatively low in 

diesel engines compared to non-diesel 

sources. However, in contrast to CO 

standards, the HC standard for Tier 2 

line-haul locomotives (0.30 g/bhp-hr), 

though comparable to HC standards 

from other diesel applications in Tier 2 

and Tier 3, is more than twice that of 

the long-term 0.14 g/bhp-hr standard set 

for both the heavy-duty highway 2007 

and nonroad Tier 4 programs. For 

marine diesel engines, the Tier 2 HC 

standard is expressed as part of a 

combined NOX+HC standard varying 

(by engine size) between 5.4 and 8.2 g/ 

bhp-hr, which clearly allows for high 

HC levels. Our more stringent Tier 3 

NOX+HC standards for marine diesel 

engines will likely provide some 

reduction in HC emissions, but we 

expect that the catalyzed exhaust 

aftertreatment devices used to meet the 

Tier 4 locomotive and marine NOX and 

PM standards will concurrently provide 

very sizeable reductions in HC 

emissions. Therefore, in accordance 

with the Clean Air Act section 213 

provisions outlined in section I.B(3) of 

this preamble, we are applying a 0.14 g/ 

hp-hr HC standard to locomotives and 

marine diesel engines in Tier 4. This 

level is the same as that adopted for 

highway and nonroad diesel engines 

equipped with high-efficiency 

aftertreatment. 

We are retaining the existing form of 

the HC standards through Tier 3. That 

is, locomotive and marine HC standards 

will remain in the form of total 

hydrocarbons (THC), except for gaseousand alcohol-fueled engines (See 40CFR 

§ 92.8 and § 94.8). Likewise, the Tier 3 

marine NOX+HC standards are based on 

THC, except that Tier 3 standards for 

less than 75 kW (100 hp) engines are 

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Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37133 

129Smith, B., Osborne, D., Fritz, S., ‘‘AAR 

Locomotive Emissions Testing 2006 Final Report,’’ 

Association of American Railroads, Document #LA– 

023. 

based on NMHC, consistent with their 

basis in the nonroad engine program. 

Tier 4 HC standards are expressed as 

NMHC standards, consistent with 

aftertreatment-based standards adopted 

for highway and nonroad diesel engines. 

As for other diesel mobile sources, we 

believe that locomotive smoke standards 

currently in place are of diminishing 

usefulness as PM emissions are reduced 

to very low levels, as these low-PM 

engines emit very little or no visible 

smoke. We are therefore not setting 

smoke standards for locomotives 

covered under the new 40 CFR Part 

1033 created by this final rule, if the 

locomotives are certified to a PM family 

emission limit (FEL) or standard of 0.05 

g/bhp-hr (0.07 g/kW-hr) or lower. 

Locomotives certified with PM at higher 

levels are subject to smoke standards 

equal to those established previously in 

Part 92. This allows manufacturers of 

locomotives certified to Tier 4 PM (or to 

an FEL slightly above Tier 4) to avoid 

the unnecessary expense of testing for 

smoke. Marine diesel engines currently 

have no smoke standards and we are not 

setting any in this rule. 

Commenters suggested that smoke 

testing is superfluous for pre-Tier 4 

engines as well, because a properly 

maintained engine meeting any tier of 

EPA emissions standards will also meet 

the smoke standards. Based on the 

available information, we remain 

unconvinced that this argument is valid 

in all cases and we are therefore 

retaining the smoke standards for 

locomotives with PM FELs above 0.05 

g/bhp-hr. However, we do agree that 

this relationship generally holds true for 

engines designed to emission standards 

being set in this rule, and are therefore 

waiving the smoke test requirement 

from certification, production line, and 

in-use testing, unless there is visible 

evidence of excessive smoke emissions. 

This provides the test cost savings 

sought by the manufacturers but retains 

the EPA enforcement opportunity if 

smoke should become a problem in 

engines subject to this program. 

C. Are the Standards Feasible? 

In this section, we describe the 

feasibility of the various emission 

control technologies we project will be 

used to meet the standards we are 

finalizing today. Because of the range of 

engines and applications we cover in 

this rulemaking and because of the 

diversity in technologies that will be 

available for them, our standards span a 

range of emission levels. We have 

identified a number of different 

emission control technologies we expect 

will be used to meet these standards. 

The technologies range from 

incremental improvement of existing 

engine components to highly advanced 

catalytic exhaust aftertreatment systems 

similar to those expected to be used to 

control emissions from heavy-duty 

diesel trucks and nonroad equipment. 

We first describe the feasibility of 

emission control technologies we 

project will be used to meet the 

standards we are finalizing for existing 

locomotive and marine engines that are 

remanufactured as new (i.e., Tier 0, 1, 

2 locomotives and marine diesel engines 

>600 kW). We next describe how these 

same technologies will be applied to 

meet the interim standards for freshly 

manufactured engines (i.e., Tier 3). We 

conclude this section with a discussion 

of catalytic exhaust aftertreatment 

technologies projected to be used to 

meet our Tier 4 standards. Throughout 

this section, we also address many of 

the comments submitted by 

stakeholders concerning the feasibility, 

applicability, performance, and 

durability of the emission control 

technologies we presented in the Notice 

of Proposed Rulemaking (NPRM). For a 

more detailed analysis of these 

technologies, issues related to their 

application to locomotive and marine 

diesel engines, and our response to 

public comments, we refer you to the 

Regulatory Impact Analysis (RIA) and 

Summary & Analysis of Comments 

documents associated with this 

rulemaking. 

(1) Emission Control Technologies for 

Remanufacture of Existing Locomotives 

and Marine Diesel Engines >600 kW 

In the locomotive sector, emissions 

standards already exist for engines that 

are remanufactured as new. Some of 

these engines were originally 

unregulated (i.e. Tier 0), and others 

were originally built to earlier emissions 

standards (Tier 1 and Tier 2). This 

rulemaking now requires more stringent 

standards for these engines whenever 

the locomotives are remanufactured as 

new. Our remanufactured engine 

standards apply to locomotive engines 

and marine engines >600 kW that were 

originally built as early as 1973. 

We project that incremental 

improvements to existing engine 

components will make it feasible to 

meet both our locomotive and marine 

remanufactured engine standards for 

PM. In many cases, these improvements 

have already been implemented on 

newly built locomotives to meet our 

current locomotive standards. To meet 

the more stringent NOX standard for the 

locomotive Tier 0+ and Tier 1+ 

remanufacturing program, we expect 

that improvements in fuel system 

design, engine calibration and 

optimization of existing after-cooling 

systems will be used to reduce NOX

from the current 9.5 g/bhp-hr Tier 0 

standard to the tightened Tier 1+ 

standard for NOX of 7.4 g/bhp-hr. These 

are the same technologies used to meet 

the current Tier 1 emission standard of 

7.4 g/bhp-hr. In essence, locomotive 

manufacturers will duplicate current 

Tier 1 locomotive NOX and HC emission 

solutions and incorporate them into the 

portion of the existing Tier 0 fleet able 

to accommodate them (i.e. locomotives 

manufactured with separate-circuit 

cooling systems for intake air and 

engine coolant). For older Tier 0 

locomotives without separate-circuit 

cooling systems, reaching the Tier 1 

NOX level will not be possible, and 8.0 

g/hp-hr represents the lowest achievable 

NOX emission level through the 

application of improved fuel system 

design. 

To meet the more stringent PM 

standards for the Tier 0+, 1+, and 2+ 

locomotive and marine remanufacturing 

programs (as well as the new locomotive 

Tier 3 interim standards), we expect that 

lubricating oil consumption control 

technologies will be implemented. A 

significant fraction of the PM in today’s 

medium-speed locomotive and 

locomotive-based marine engines is 

comprised of lubricating oil.129 Engine 

design changes which reduce oil 

consumption also reduce the volatile 

organic fraction of the engine-out PM. 

Whether oil consumption is reduced 

through improvements in piston ringpack design, improved closed crankcase 

ventilation systems, or a combination of 

both, lower PM emissions will result. 

We believe that use of existing low-oilconsumption piston ring-pack designs— 

in conjunction with improvements to 

closed crankcase ventilation systems— 

can provide the significant, near-term 

PM reductions required for these 

remanufacturing programs. These PMreducing technologies can be applied to 

all medium-speed locomotive and 

locomotive-based marine engines— 

including those built as far back as 

1973. 

For the remanufacture of locomotiveand nonroad-based marine engines >600 

kW, we believe that similar 

improvements to piston ring-pack 

designs, as well as turbocharger, fuel 

system, and closed crankcase 

ventilation system improvements can 

achieve the 25 percent PM reduction 

required in this program without the use 

of exhaust aftertreatment devices. 

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37134 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

130 ‘‘Final Regulatory Impact Analysis: Control of 

Emissions from Nonroad Diesel Engines,’’ EPA420– 

R–04–007, May 2004, Docket EPA–HQ–OAR–2003– 

0012. The RIA is also available online at http:// 

epa.gov/nonroad-diesel/2004fr/420r04007.pdf. 

131 ‘‘Diesel Particulate Filter Maintenance: 

Current Practices and Experience’’, Manufacturers 

of Emission Controls Association, June 2005, online 

at http://meca.org/galleries/default-file/ 

Filter_Maintenance_White_Paper_605_final.pdf. 

Turbocharger designs which increase 

engine airflow or charge air cooling 

system enhancements which reduce 

intake air temperatures can reduce PM 

levels. Fuel system changes such as 

increased injection pressure or 

improved injector tip design can 

enhance fuel atomization, improving 

combustion efficiency and reducing soot 

PM. Any combination of these 

improvements—or other technologies 

which achieve the 25 percent PM 

reduction—can become part of a 

certified marine remanufacture kit. 

We believe that some fraction of the 

remanufacturing systems for 

locomotives can be developed and 

certified as early as this year, so we are 

requiring the usage of the new Tier 0+, 

Tier 1+ and Tier 2+ emission control 

systems as soon as they are available. 

However, we estimate that it will take 

approximately 2 years to complete the 

development and certification process 

for all of the Tier 0+ and Tier 1+ 

emission control systems, so full 

implementation of the Tier 0+ and Tier 

1+ remanufactured engine standards is 

not anticipated until it is required in 

2010. We base this lead time on the 

types of technology that we expect to be 

implemented and on the amount of lead 

time locomotive manufacturers needed 

to certify similar systems for our current 

remanufacturing program. The lead time 

required to implement the design 

changes necessary to meet the Tier 3 

and remanufactured Tier 2 locomotive 

PM emission standards led to an 

implementation date of 2012 for new 

Tier 3 engines and 2013 for 

remanufactured Tier 2 engines. These 

engine changes include further 

improvements to ring pack designs 

(especially for two-stroke engines) and 

the implementation of high efficiency 

crankcase ventilation systems, which 

are described and illustrated in detail in 

Chapter 4 of the RIA. 

(2) Emission Control Technologies for 

New Tier 3 Locomotive and Marine 

Diesel Engines 

The new Tier 3 locomotive and 

marine diesel engine standards require 

PM reductions relative to current Tier 2 

levels. Based upon our on-highway and 

nonroad clean diesel experience, we 

expect that the introduction of ULSD 

fuel into the locomotive and marine 

sectors will reduce sulfate PM formation 

and assist in meeting the PM standards 

for locomotives (both remanufactured 

Tier 2 and new Tier 3) and new marine 

diesel engines. We believe that the 

combination of reduced sulfate PM and 

incremental design changes that bring 

oil and crankcase emission control to 

near Tier 3 nonroad or 2007 heavy-duty 

on-highway levels can provide at least 

a 50 percent reduction in PM emissions. 

For Tier 3 marine diesel engines 

(which are, in almost all instances, a 

derivative of land-based nonroad and 

locomotive engines), the technologies 

and design changes needed to meet the 

more stringent NOX and PM standards 

are already being developed for nonroad 

Tier 4 applications. In order to meet our 

nonroad Tier 4 emission levels, these 

engines, in the years before 2012, will 

see significant base engine 

improvements designed to reduce 

engine-out emissions. For details on the 

design, calibration, and hardware 

changes we expect will be used to meet 

the Tier 3 standards for lower 

horsepower marine engines, we refer 

you to our nonroad Tier 4 

rulemaking.130 For example, we expect 

that marine engines will utilize highpressure, common-rail fuel injection 

systems or improvements in unit 

injector design. When such fuel system 

improvements are used in conjunction 

with engine mapping and calibration 

optimization, the marine Tier 3 diesel 

engine standards can be met. In the case 

of locomotive-based marine engines, we 

expect that manufacturers will transfer 

the technologies used to meet 

locomotive standards to the marine 

engine designs. 

The 2009 Tier 3 start date for marine 

engines <75 kW constitutes a special 

case. We proposed this very early start 

date, matched with standard levels 

equal to the nonroad engine Tier 4 

standard levels that take effect in 2008, 

based on our assessment that these 

engines are close derivatives of the 

nonroad engines on which they are 

based—in some cases, with no 

substantive modifications. The 2009 

start date accounts for time needed to 

make the necessary modifications, 

prepare for and conduct the certification 

process, and deal with the large overall 

workload burden for diesel engine 

manufacturers. Although the 

manufacturers commented that this is a 

very aggressive schedule, at the limits of 

feasibility, they did not refute our 

assessment. Their objections to 

implementation of the not-to-exceed 

(NTE) standard on the same schedule, 

and our response, are discussed in 

section IV.A(3). 

Because all of the aforementioned 

technologies to reduce NOX and PM 

emissions can be developed for 

production, certified, and introduced 

into the marine engine sector without 

extended lead-time, we believe these 

technologies can be implemented for 

some engines as early as 2009, and for 

all engines by 2014, on a schedule that 

very closely follows the nonroad Tier 4 

engine changes. 

(3) Catalytic Exhaust Aftertreatment 

Technologies for Tier 4 Locomotive and 

Marine Engines 

For marine diesel engines in 

commercial service that are greater than 

600 kW and for all locomotives, we are 

setting stringent Tier 4 standards based 

on the use of advanced catalytic exhaust 

aftertreatment systems to control both 

PM and NOX emissions. There are four 

main issues to address when analyzing 

the application of this technology to 

these new sources: The efficacy of the 

fundamental catalyst technology in 

terms of the percent reduction in 

emissions given certain engine 

conditions such as exhaust temperature; 

its appropriateness in terms of 

packaging; its long-term durability; and 

whether the technology significantly 

impacts an industry’s supply chain 

infrastructure—especially with respect 

to supplying urea reductant for NOX

aftertreatment on locomotives and 

marine vessels. We have carefully 

examined these points, and based upon 

our analysis (detailed in Chapter 4 of 

the RIA), we have identified robust PM 

and NOX catalytic exhaust 

aftertreatment systems that are suitable 

for locomotives and marine engines that 

also pose a manageable impact on the 

rail and marine industries’ 

infrastructure. 

(a) Catalytic PM Emission Control 

Technology 

The most effective exhaust 

aftertreatment used for diesel PM 

emission control is the diesel particulate 

filter (DPF). In Europe, more than one 

million light-duty diesel passenger cars 

are OEM-equipped with DPF systems, 

and worldwide, over 200,000 DPF 

retrofits to diesel engines have been 

completed.131 Broad application of 

catalyzed diesel particulate filter (CDPF) 

systems with greater than 90 percent PM 

control began with the successful 

introduction of 2007 model year heavyduty diesel trucks in the United States. 

These systems use a combination of 

passive and active soot regeneration 

strategies. CDPF systems utilizing metal 

substrates are a further development 

that balances a degree of elemental 

carbon soot control with reduced 

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Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37135 

132 Jacob, E., Lae ̈mmerman, R., Pappenheimer, A., 

Rothe, D. ‘‘Exhaust Gas Aftertreatment System for 

Euro 4 Heavy-duty Engines’’, MTZ, June, 2006. 

133Smith, B., Osborne, D., Fritz, S. ‘‘AAR 

Locomotive Emissions Testing 2006 Final Report’’ 

Association of American Railroads, Document #LA– 

023. 

134 ‘‘Review of SCR Technologies for Diesel 

Emission Control: European Experience and 

Worldwide Perspectives,’’ presented by Dr. 

Emmanuel Joubert, 10th DEER Conference, July 

2004. 

135Lambert, C., ‘‘Technical Advantages of Urea 

SCR for Light-Duty and Heavy-Duty Diesel Vehicle 

Applications,’’ SEA Technical Paper 2004–01–1292, 

2004. 

136Walker, A.P. et al., ‘‘The Development and InField Demonstration of Highly Durable SCR 

Catalyst Systems,’’ SAE 2004–01–1289. 137Conway, R. et al., ‘‘Combined SCR and DPF 

Technology for Heavy Duty Diesel Retrofit,’’ SAE 

Technical Paper 2005–01–1862, 2005. 138 ‘‘The Development and On-Road Performance 

and Durability of the Four-Way Emission Control 

SCRTTM System,’’ presented by Andy Walker, 9th 

DEER Conference, August 28, 2003. 139Telephone conversation with Gary Keefe, 

Argillon, June 6, 2006. 

backpressure, improved ability of the 

trap to clear oil ash, greater design 

freedom regarding filter size/shape, and 

greater system robustness. Metal-CDPFs 

were initially introduced as passiveregeneration retrofit technologies for 

diesel engines designed to achieve 

approximately 60 percent control of PM 

emissions. Recent data from 

development of these systems for Euro4 truck applications has shown that 

metal-CDPF trapping efficiency for 

elemental carbon PM can exceed 70 

percent for engines with inherently low 

elemental carbon emissions.132

Data from locomotive testing confirms 

a relatively low elemental carbon 

fraction and relatively high organic 

fraction for PM emissions from mediumspeed Tier 2 locomotive engines.133 The 

use of an oxidizing catalyst with 

platinum group metals (PGM) coated 

directly to the CPDF combined with a 

diesel oxidation catalyst (DOC) mounted 

upstream of the CDPF will provide 95 

percent or greater removal of HC, 

including the semi-volatile organic 

compounds that contribute to PM. Such 

systems will reduce overall PM 

emissions from a locomotive or marine 

diesel engine by approximately 90 

percent from today’s levels. 

We believe that locomotive and 

marine diesel engine manufacturers will 

benefit from the extensive development 

taking place to implement DPF 

technologies in advance of the heavyduty truck and nonroad PM standards in 

Europe and the United States. Given the 

steady-state operating characteristics of 

locomotive and marine engines, DPF 

regeneration strategies will certainly be 

capable of precisely controlling PM 

under all conditions and passively 

regenerating whenever the exhaust gas 

temperature is >250 °C. Therefore, we 

believe that the Tier 4 PM standards we 

are adopting for locomotive and marine 

diesel engines are technologically 

feasible. And given the level of activity 

in the on-highway and nonroad sectors 

to implement DPF technology, we have 

concluded that our implementation 

dates for locomotive and marine diesel 

engines are appropriate and achievable. 

(b) Catalytic NOX Emission Control 

Technology 

We have analyzed a variety of 

technologies available for NOX

reduction to determine their 

applicability to diesel engines in the 

locomotive and marine sectors. As 

described in more detail in Chapter 4 of 

the RIA, we expect locomotive and 

marine diesel engine manufacturers will 

choose to use Selective Catalytic 

Reduction (SCR) to comply with our 

new standards. SCR is a commonly-used 

aftertreatment device for meeting 

stricter NOX emissions standards in 

diesel applications worldwide. 

Stationary power plants fueled with 

coal, diesel, and natural gas have used 

SCR for three decades as a means of 

controlling NOX emissions, and 

currently European heavy-duty truck 

manufacturers are using this technology 

to meet Euro 5 emissions limits. To a 

lesser extent, SCR has been introduced 

on diesel engines in the U.S. market, but 

the applications have been largely 

limited to ferry boats and stationary 

electrical power generation 

demonstration projects in California and 

several of the Northeast states. However, 

several heavy-duty truck engine 

manufacturers have indicated that they 

will use SCR technology by 2010, when 

100 percent of the heavy-duty diesel 

trucks are required to meet the NOX

limits of the 2007 heavy-duty highway 

rule.134, 135 Providing comment on our 

NPRM, locomotive and marine diesel 

engine manufacturers confirm that they 

expect to use urea-SCR catalyst systems 

to comply with our Tier 4 standards. 

While other promising NOX-reducing 

technologies such as lean NOX catalysts, 

NOX adsorbers, and advanced 

combustion control continue to be 

developed (and may be viable 

approaches to the standards we are 

setting today), our analysis assumes that 

SCR will be the Tier 4 NOX technology 

of choice in the locomotive and marine 

diesel engine sectors. 

An SCR catalyst supports the 

chemical reactions which reduce 

nitrogen oxides in the exhaust stream to 

elemental nitrogen (N2) and water by 

using ammonia (NH3) as the reducing 

agent. The most-common method for 

supplying ammonia to the SCR catalyst 

is to inject an aqueous urea-water 

solution into the exhaust stream. In the 

presence of high-temperature exhaust 

gasses (>250 °C), the urea hydrolyzes to 

form NH3 and CO2. The NH3 is stored 

on the surface of the SCR catalyst where 

it is used to complete the NOXreduction reaction. In theory, it is 

possible to achieve 100 percent NOX

conversion if the NH3-to-NOX ratio (a) is 

1:1 and the space velocity within the 

catalyst is not excessive. However, given 

the space limitations in packaging 

exhaust aftertreatment devices in mobile 

applications, an a of 0.85–1.0 is often 

used to balance the need for high NOX

conversion rates against the potential for 

NH3 slip (where NH3 passes through the 

catalyst unreacted). The urea dosing 

strategy and the desired a are dependent 

on the conditions present in the exhaust 

gas; namely temperature and the 

quantity of NOX present (which can be 

determined by engine mapping, 

temperature sensors, and NOX sensors). 

Overall NOX conversion efficiency, 

especially under low-temperature 

exhaust gas conditions, can be improved 

by controlling the ratio of two NOX

species within the exhaust gas; NO2 and 

NO. This can be accomplished through 

use of an oxidation catalyst upstream of 

the SCR catalyst to promote the 

conversion of NO to NO2. The physical 

size and catalyst formulation of the 

oxidation catalyst are the principal 

factors that control the NO2-to-NO ratio, 

and by extension, improve the lowtemperature performance of the SCR 

catalyst. 

Recent studies have shown that SCR 

systems are capable of providing well in 

excess of 80 percent NOX reduction 

efficiency in high-power, diesel 

applications.136, 137, 138 SCR catalysts can 

achieve significant NOX reduction 

throughout much of the exhaust gas 

temperature operating range observed in 

locomotive and marine applications. 

Collaborative research and development 

activities between diesel engine 

manufacturers, truck manufacturers, 

and SCR catalyst suppliers have also 

shown that SCR is a mature, costeffective solution for NOX reduction on 

diesel engines in other mobile sources. 

While many of the published studies 

have focused on highway truck 

applications, similar trends, operational 

characteristics, and NOX reduction 

efficiencies have been reported for 

marine and stationary applications as 

well.139 Given the preponderance of 

studies and data—and our analysis 

summarized here and detailed in 

Chapter 4 of the RIA—we have 

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37136 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

140Conway, R. et al., ‘‘NOX and PM Reduction 

Using Combined SCR and DPF Technology in 

Heavy Duty Diesel Applications,’’ SAE Technical 

Paper 2005–01–3548, 2005. 

141Searles, R.A., et al., ‘‘Investigation of the 

Feasibility of Achieving EURO V Heavy-Duty 

Emission Limits with Advanced Emission Control 

Systems,’’ 2007 AECC Conference—Belgium, Paper 

Code: F02E310. 

142 ‘‘Locomotive Exhaust Temperatures During 

High Altitude Tunnel Operation In Donner Pass,’’ 

U.S. EPA, August 29, 2007. This document is 

available in Docket EPA–HQ–OAR–2003–0190– 

0736. 

143 ‘‘API CJ–4 Performance Specifications,’’ 

American Petroleum Institute, online at http:// 

apicj-4.org/performance_spec.html. This document 

is available in Docket EPA–HQ–OAR–2003–0190– 

0738. 

144 ‘‘CJ–4 Performance Specification: Frequently 

Asked Questions,’’ Lubrizol, online at http:// 

www.lubrizol.com/cj-4/faq.asp. This document is 

available in Docket EPA–HQ–OAR–2003–0190– 

0741. 

concluded that this technology is 

appropriate for locomotive and marine 

diesel applications. Furthermore, 

locomotive and marine diesel engine 

manufacturers will benefit from the 

extensive development taking place to 

implement SCR technologies in advance 

of the heavy-duty truck NOX standards 

in Europe and the U.S. The urea dosing 

systems for SCR, already in widespread 

use across many different diesel 

applications, are expected to become 

more refined, robust, and reliable in 

advance of our Tier 4 locomotive and 

marine standards. Given the 

predominately steady-state operating 

characteristics of locomotive and marine 

engines, SCR NOX control strategies will 

certainly be capable of precisely 

controlling NOX under all conditions 

whenever the exhaust gas temperature is 

greater than 250 °C. 

To ensure that we have the most upto-date information on urea-SCR NOX

technologies and their application to 

locomotive and marine engines, we 

have met with a number of locomotive 

and marine engine manufacturers, as 

well as manufacturers of catalytic NOX

emission control systems. Through our 

discussions we have learned that some 

engine manufacturers perceive some 

risk regarding urea injection accuracy 

and long-term catalyst durability, both 

of which could result in either less 

efficient NOX reduction or ammonia 

emissions. Comments on our NPRM, 

submitted by the Manufacturers of 

Emission Controls Association (MECA), 

provided additional information on the 

issues of urea dosing accuracy, catalyst 

durability, and system performance and 

their comments are consistent with our 

own analysis that urea-SCR technology 

can provide durable control of NOX

emissions. We have carefully 

investigated these issues for other diesel 

applications and conclude that precise 

urea injection systems and durable 

catalysts already exist and have been 

applied to urea-SCR NOX emission 

control systems which are similar to 

those that we expect to be implemented 

in locomotive and marine applications. 

Urea injection systems applied to onhighway diesel trucks and diesel 

electric power generators already ensure 

the precise injection of urea, and these 

applications have similar—if not more 

dynamic—engine operation as 

compared to locomotive and marine 

engine operation. To ensure precise urea 

injection across all engine operating 

conditions, these systems utilize NOX

sensors to maintain closed-loop 

feedback control of urea injection. These 

NOX-sensor-based feedback control 

systems are similar to oxygen sensorbased systems that are used with 

catalytic converters on virtually every 

gasoline vehicle on the road today. 

These systems, already developed for 

many diesel engines, are directly 

applicable to locomotive and marine 

engines as well. 

(c) Durability of Catalytic PM and NOX

Emission Control Technology 

Published studies indicate that SCR 

systems will experience very little 

deterioration in NOX conversion 

throughout the life-cycle of a diesel 

engine.140, 141 The principal mechanism 

of deterioration in an SCR catalyst is 

thermal sintering—the loss of catalyst 

surface area due to the melting and 

growth of active catalyst sites under 

high-temperature conditions (as the 

active sites melt and combine, the total 

number of active sites at which catalysis 

can occur is reduced). This effect can be 

minimized by design of the SCR catalyst 

washcoat and substrate for the exhaust 

gas temperature window in which it 

will operate. Several commenters noted 

that locomotives are subject to consist 

operation in tunnels, which results in 

elevated exhaust gas temperatures. 

Further, they speculated that these 

elevated exhaust temperatures could 

reach 700 °C—a temperature that could 

lead to deterioration of catalyst 

performance over the useful life of a 

locomotive. To investigate this scenario, 

EPA conducted a study (in cooperation 

with locomotive manufacturers and the 

railroads) in August, 2007 on Union 

Pacific’s Norden tunnel system 

(between Sparks, NV and Roseville, 

CA).142 We determined that the peak, 

post-turbine exhaust gas temperature 

observed in the 2 trailing units of a 4- 

unit lead consist was only 560 °C. In 

light of this new information, we are 

more confident that catalytic 

aftertreatment devices will be both 

effective and durable when used in 

locomotive service. 

Another mechanism for catalyst 

deterioration is chemical poisoning— 

the plugging and/or chemical deactivation of active catalytic sites. 

Phosphorus from the engine oil and 

sulfur from diesel fuel are the primary 

components in the exhaust stream 

which can de-activate a catalytic site. 

The risk of catalyst deterioration due to 

sulfur poisoning will be all but 

eliminated with the 2012 

implementation of ULSD fuel (<15 ppm 

S) for locomotive and marine 

applications. Locomotive and marine 

operators will already have several years 

of experience running ULSD fuel by the 

time NOX aftertreatment technology is 

required. Catalyst deterioration due to 

chemical poisoning can also be reduced 

through the use of an engine oil with 

lower levels of sulfated ash, 

phosphorous, and sulfur (commonly 

referred to as ‘‘low-SAPS’’ oil). Such an 

oil formulation, designed for use in 

2007 DPF- and DOC-equipped onhighway, heavy-duty engines was 

introduced in October 2006 and is 

specified by the American Petroleum 

Institute (API) as ‘‘CJ–4.’’ 143 This 

specification has new and/or lower 

limits on the amount of sulfated ash, 

phosphorous, and sulfur an oil may 

contain and was developed specifically 

for 2007 on-highway engines equipped 

with exhaust aftertreatment 

technologies running on ULSD fuel. 

Previous oil formulations for heavyduty, on-highway engines, such as API 

CI–4, did not specify a limit for sulfur 

content, and allowed higher levels of 

phosphorous (0.14% vs. 0.12%) and ash 

(1.2∼1.5% vs. 1.0%) content.144

The migration of low-SAPS engine oil 

properties to future locomotive and 

marine oil formulations—while 

beneficial and directionally helpful in 

regards to the durability, performance, 

and maintenance of the exhaust 

aftertreatment components we 

reference—does not affect our feasibility 

analysis. European truck and marine 

applications have shown that SCR is a 

durable technology even without using 

a low-SAPs oil formulation. One 

commenter suggested that these newer, 

low-SAPS oil formulations, developed 

for use in on-highway and nonroad 

diesel engines, may not be appropriate 

for locomotive or marine applications. 

While we acknowledge that the exact oil 

formulation for locomotive and marine 

applications using ULSD fuel is not 

known today, we do believe that there 

is adequate time to develop an 

appropriate oil formulation. For 

example, in the State of California, all 

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145Correspondence from Adam Kotrba of 

Tenneco. This document is available in Docket 

EPA–HQ–OAR–2003–0190–0742. 

146 ‘‘ABS Rules for Building and Classing—Steel 

Vessels Under 90 Meters (295 Feet) In Length,’’ Part 

4—Vessel Systems and Machinery, American 

Bureau of Shipping, 2006. 

147 ‘‘AAR Manual of Standards and 

Recommended Practices,’’ Standard S–5510, 

Association of American Railroads. 

148Telephone conversation between Brian King, 

Elliot Bay Design Group, and Brian Nelson, EPA, 

July 24, 2006. 

intra-state locomotives, marine vessels 

(in the SCAQMD), and nonroad engines 

have been operating with ULSD fuel 

since June, 2006—so there should 

already be field data/experience 

available today to begin developing an 

oil formulation for ULSD in advance of 

the implementation date for 

aftertreatment-forcing standards. In 

addition, the nonroad sector will have 

transitioned to ULSD fuel nationwide by 

June, 2010, followed by the locomotive 

sector in June, 2012—again, leaving 

ample time to develop an oil 

formulation which does not contain any 

more sulphated-ash than necessary to 

neutralize crankcase acids. 

Thermal cycling, mechanical 

vibration, and shock loads are all factors 

which can affect the mechanical 

durability of exhaust system 

components. The stresses applied to the 

aftertreatment devices by these factors 

can be managed through the selection of 

proper materials and the design of 

support and mounting structures which 

are capable of withstanding the shock 

and vibration levels present in 

locomotive and marine applications. 

One commenter to our NPRM stated that 

shock loading for a locomotive catalyst 

is estimated to be 10–12 g. This level of 

shock loading is consistent with the 

levels that catalyst substrate 

manufacturers, catalyst canners, and 

exhaust system manufacturers are 

currently designing to (for OEM 

aftertreatment systems and components 

subject to the durability requirements of 

on-highway, marine, and nonroad 

applications). Nonroad applications 

such as logging equipment are subject to 

shock loads in excess of 10 g and onhighway applications can exceed 30 g 

(with some OEM applications specifying 

a 75 g shock load requirement).145 In 

addition, the American Bureau of 

Shipping (ABS) specification for 

exhaust manifolds on diesel engines 

states that these parts may need to 

withstand vibration levels as high as 

±10 g at 600 °C for 90 minutes.146 Given 

these examples of shock and vibration 

requirements for today’s nonroad, onhighway, and marine environments, we 

believe that appropriate support 

structures can be designed and 

developed for the aftertreatment devices 

we expect to be used on Tier 4 

locomotives. 

(d) Packaging of Catalytic PM and NOX

Emission Control Technologies 

Locomotive manufacturers will need 

to design the exhaust system 

components to accommodate the 

aftertreatment system. Our analysis, 

detailed in the RIA, shows that the 

packaging requirements for the 

aftertreatment system are such that they 

can be accommodated within the 

envelope defined by the Association of 

American Railroads (AAR) Plate ‘‘L’’ 

clearance diagram for freight 

locomotives.147 The typical volume 

required for the SCR catalyst and postSCR ammonia slip catalyst for Euro V 

and U.S. 2010 heavy-duty truck 

applications is approximately 2 times 

the engine displacement, and the 

upstream DOC/CDPF volume is 

approximately 1–1.5 times the engine 

displacement. Due to the longer useful 

life and maintenance intervals required 

for locomotive applications, we estimate 

that the SCR catalyst volume will be 

sized at approximately 2.5 times the 

engine displacement, and the combined 

DOC/CDPF volume will be 

approximately 1.7 times the engine 

displacement. For a typical locomotive 

engine with 6 ft3 of total cylinder 

displacement, the volume requirement 

for the aftertreatment components alone 

would be approximately 25 ft3 (of the 80 

ft3 estimated to be available for 

packaging these components and their 

associated ducts/hardware above the 

engine). 

EPA engineers have examined Tier 2 

EMD and GE line-haul locomotives and 

acknowledge that packaging the 

necessary aftertreatment components 

will be a difficult task. However, this 

task should not be more difficult (and 

will quite likely less so) than the 

packaging challenges faced by nonroad 

and on-highway applications. Given the 

space available on today’s locomotives, 

we feel that packaging catalytic PM and 

NOX emission control technologies 

onboard locomotives may be less 

challenging than packaging similar 

technologies onboard other mobile 

sources (such as light-duty vehicles, 

heavy-duty trucks, and nonroad 

equipment). Given that similar exhaust 

systems are either already implemented 

onboard these vehicles or will be 

implemented on these vehicles years 

before similar systems would be 

required onboard locomotives and 

marine vessels, we have concluded that 

any packaging issues will be 

successfully addressed early in the 

locomotive and marine vessel design 

process. Our analysis concludes that 

there is adequate space to package these 

components, as well as their associated 

ducts, transitions, and urea/exhaust 

mixing devices. This conclusion also 

applies to new switcher locomotives as 

well, which while being shorter in 

length than line-haul locomotives, are 

also equipped with smaller, lesspowerful engines—resulting in smaller 

volume requirements for the 

aftertreatment components. 

For commercial vessels which use 

marine diesel engines greater than 600 

kW, we expect these vessels will be 

designed to accommodate the exhaust 

system components engine 

manufacturers specify as necessary to 

meet the new standards. Our 

discussions with marine architects and 

engineers, along with our review of 

vessel characteristics, leads us to 

conclude that for commercial marine 

vessels, adequate engine room space can 

be made available to package 

aftertreatment components. Packaging of 

these components, and analyzing their 

mass/placement effect on vessel 

characteristics, will become part of 

design process undertaken by marine 

architecture firms.148

We did determine, however, that for 

recreational vessels and for vessels 

equipped with engines less than 600 

kW, catalytic PM and NOX exhaust 

aftertreatment systems were less 

practical from a packaging standpoint 

than for the larger, commercially 

operated vessels. We have identified 

catalytic emission control systems that 

would significantly reduce emissions 

from these smaller vessels. However, 

after taking into consideration costs, 

energy, safety, and other relevant 

factors, we found a number of reasons, 

detailed in the RIA, to not adopt any 

new exhaust aftertreatment-forcing 

standards at this time on these smaller 

vessels. One reason is that most of these 

vessels use seawater-cooled exhaust 

systems—and even seawater injection 

into their exhaust systems—to cool 

engine exhaust gases and prevent the 

overheating materials such as a 

fiberglass hull. This current practice of 

cooling and seawater injection could 

reduce the effectiveness of catalytic 

exhaust aftertreatment systems. This is 

significantly more challenging than for 

gasoline catalyst systems due to much 

larger relative catalyst sizes and cooler 

exhaust temperatures typical of diesel 

engines. In addition, because of these 

vessels’ small size and their typical 

operation by planing high on the surface 

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149Miller, W. et al., ‘‘The Development of UreaSCR Technology for US Heavy Duty Trucks,’’ SAE 

Technical Paper 2000–01–0190, 2000. 

150 ‘‘Ensuring the Availability and Reliability of 

Urea Dosing for On-Road and Non-Road,’’ presented 

by Glenn Barton, Terra Corp., 9th DEER Conference, 

August 28, 2003. 

151 ‘‘National Transportation Statistics—2004,’’ 

Table 4–5, U.S. Bureau of Transportation Statistics. 

152Assuming the dosing rate of 32.5 percent ureawater solution is 5 percent of the total fuel 

consumed; 3.8 billion gallons of diesel fuel * 0.05 

= 190 million gallons of urea-water solution. 

153 ‘‘Mineral Commodity Summaries 2006,’’ page 

118, U.S. Geological Survey, online at 

www.minerals.usgs.gov/minerals/pubs/mcs/ 

mcs2006.pdf. 

of the water, catalytic exhaust 

aftertreatment systems pose several 

significant packaging and weight 

challenges. These challenges could be 

addressed by the use of lightweight hull 

and superstructure materials. But any 

solution which employs new, 

lightweight hull and superstructure 

materials would have to be developed, 

tested and approved by classifying 

organizations prior to their application 

on vessels using catalytic exhaust 

aftertreatment systems. Taken together, 

these factors led us to conclude that it 

is not prudent to set aftertreatmentforcing emission standards for marine 

diesel engines below 600 kW at this 

time. 

(e) Infrastructure Impacts of Catalytic 

PM and NOX Emission Control 

Technologies 

For PM trap technology the rail and 

marine industries will experience 

minimal impacts on their 

infrastructures. Since PM trap 

technology relies on no separate 

reductant, any infrastructure impacts 

will be limited to some minor changes 

in maintenance practices and 

equipment at maintenance facilities. 

Such maintenance will be limited to the 

infrequent removal of ash buildup from 

within a PM trap. This type of 

maintenance may require that 

maintenance facilities periodically 

remove PM traps for ash cleaning and 

may involve the use of a crane or other 

lifting device. We understand that much 

of this kind of infrastructure already 

exists for other locomotive and marine 

engine maintenance practices. We have 

toured shipyards and locomotive 

maintenance facilities at rail 

switchyards, and we observed that such 

facilities are generally already adequate 

for any required PM trap removal and 

maintenance. 

We do expect some impact on the 

railroad and marine sectors to 

accommodate the use of a separate 

reductant for use in a NOX SCR system. 

For light-duty, heavy-duty, and nonroad 

applications, the commonly preferred 

reductant in an SCR system has been a 

32.5 percent urea-water solution. The 

32.5 percent solution, also known as the 

‘‘eutectic’’ concentration, provides the 

lowest freezing point (¥11 °C or 12 °F) 

and ensures that the ratio of urea-towater will not change when the solution 

begins to freeze.149 Heated urea storage 

tanks and insulation of the urea dosing 

hardware onboard the locomotive (urea 

storage tank, pump, and lines) may be 

necessary to prevent freeze-up in 

northern climates. Locomotives and 

marine vessels are commonly refueled 

from large, centralized fuel storage 

tanks, tanker trucks, or tenders with 

long-term purchase agreements. Urea 

suppliers will be able to distribute urea 

to the locomotive and marine markets in 

a similar manner, or they may choose to 

employ multi-compartment diesel fuel/ 

urea tanker trucks for delivery of both 

products simultaneously. The frequency 

that urea will need to be replenished is 

dependent on many factors; urea storage 

capacity, engine duty-cycle, and 

expected urea dosing rate for each 

application. We expect that locomotive 

manufacturers and marine vessel 

designers will size the urea storage 

tanks appropriate to the usage factors for 

each application plus some margin-ofsafety (to reduce the probability that an 

engine will be operated without urea). 

Discussions concerning the urea 

infrastructure in North America and 

specifications for an emissions-grade 

urea solution are now under way 

amongst light- and heavy-duty onhighway diesel stakeholders. 

Although an infrastructure for 

widespread transportation, storage, and 

dispensing of SCR-grade urea does not 

currently exist in the U.S., the affected 

stakeholders in the light- and heavyduty on-highway and nonroad diesel 

sectors are expected to follow the 

European model, where diesel engine/ 

truck manufacturers and fuel refiners/ 

distributors have formed a collaborative 

working group known as ‘‘AdBlue.’’ The 

goal of the AdBlue organization is to 

resolve potential problems with the 

supply, handling, and distribution of 

urea and to establish standards for 

product purity.150 With regard to urea 

production capacity, the U.S. has morethan-sufficient capacity to meet the 

additional needs of the rail and marine 

industries. For example, in 2003, the 

total diesel fuel consumption for Class 

I railroads was approximately 3.8 billion 

gallons.151 If 100 percent of the Class I 

locomotive fleet were equipped with 

SCR catalysts, approximately 190 

million gallons-per-year of 32.5 percent 

urea-water solution would be 

required.152 It is estimated that 190 

million gallons of urea solution would 

require 0.28 million tons of dry urea (1 

ton dry urea is needed to produce 667 

gallons of 32.5 percent urea-water 

solution). Currently, the U.S. consumes 

14.7 million tons of ammonia resources 

per year, and relies on imports for 41 

percent of that total (of which, urea is 

the principal derivative). In 2005 

domestic ammonia producers operated 

their plants at 66 percent of rated 

capacity, resulting in 4.5 million tons of 

reserve production capacity.153 In the 

very long-term situation above, where 

100 percent of the locomotive fleet 

required urea, only 6.2 percent of the 

reserve domestic capacity would be 

needed to satisfy the additional 

demand. A similar analysis for the 

marine industry, with a yearly diesel 

fuel consumption of 2.2 billion gallons 

per year, would not significantly impact 

the urea demand-to-reserve capacity 

equation. Since the rate at which ureaSCR technology is introduced to the 

railroad and marine markets will be 

gradual—and the reserve urea 

production capacity is more-thanadequate to meet the expected demand 

from all diesel markets in the 2017 

timeframe—EPA does not project any 

urea cost or supply issues, beyond the 

costs estimated in the RIA, will result 

from implementing the Tier 4 standards. 

(f) Unregulated Pollutants 

There is potential for the formation of 

unregulated pollutants of significant 

concern to EPA any time engine 

technologies change, including when 

new emission control technologies are 

added. Some examples of these 

unregulated pollutants include N2O and 

ammonia (NH3). In addition, failure to 

dose urea in an SCR system while 

operating under load may cause 

elevated NO2 emissions. Similarly, use 

of a CDPF that produces NO2 in excess 

of what is needed for passive 

regeneration—and operated without a 

downstream SCR system—may lead to 

elevated NO2 emissions. Such increased 

NO2 emissions could be a concern for 

operation in enclosed environments 

such as locomotive operation in 

minimally ventilated or unventilated 

tunnels. Similarly, use of NOX reduction 

catalysts with poor selectivity could 

result in elevated N2O emissions. An 

aggressive urea dosing strategy within 

an SCR system (for high levels of NOX

control) without a properly designed/ 

calibrated feedback control system, 

ammonia slip catalyst, or adequate 

exhaust/urea mixing could also result in 

elevated ammonia (NH3) emissions. 

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154Smedler, Gudmund, ‘‘NOX Emission Control 

Options’’, 2007 HDD Emission Control 

Symposium—Gothenberg, Sweden, September 11, 

2007. 

155Searles, R.A., et al., ‘‘Investigation of 

Feasibility of Achieving EURO V Heavy-Duty 

Emission Limits with Advanced Emission Control 

Systems,’’ 2007 AECC Conference—Belgium, Paper 

Code: F02E310. 

156We proposed modifications to the existing 

provisions of 40 CFR part 1068 on May 18, 2007 

(72 FR 28097). Readers interested in the compliance 

provisions that will apply to locomotives and 

marine diesel engines should also read the actual 

regulatory changes in that will be finalized in that 

rulemaking. 

These NH3 emissions, which can be 

minimized through the use of closedloop feedback and control of urea 

injection, can be all-but-eliminated 

through use of an oxidation catalyst 

downstream of the SCR catalyst. Such 

catalysts, commonly referred to as ‘‘slip 

catalysts,’’ are in use today and have 

been shown to be highly effective at 

eliminating ammonia emissions.154

The issue of NH3 emissions (or 

ammonia slip) was raised by several 

commenters, with claims that excessive 

NH3 emissions are ‘‘inevitable’’, and 

may reach 25 ppm during steady-state 

operation and 100 ppm during transient 

operation. We have assessed this issue 

and concluded that a properly-designed 

slip catalyst, with good selectivity to 

nitrogen (N2), can convert most of the 

excess NH3 released from the SCR 

catalyst into N2 and water. Recent 

studies by Johnson Matthey and the 

Association for Emissions Control by 

Catalyst (AECC) have shown that an 

aged SCR system equipped with a slip 

catalyst can achieve tailpipe NH3 levels 

of less of than 10 ppm when tested on 

the European Stationary Cycle (ESC) 

and European Transient Cycle 

(ETC).154, 155 The SCR system in the 

Johnson Matthey study was aged on a 

cycle which included 400 hours of hightemperature operation at 650 °C (to 

simulate active DPF regeneration 

events). Our analysis of the locomotive 

engine operating conditions presumes a 

maximum, post-turbine exhaust 

temperature of 560 °C. This 

presumption is based on 

implementation of a ‘‘passive’’ DPF 

regeneration approach (in which NO2

created by the oxidation catalyst is 

sufficient to oxidize trapped soot) and 

our own testing of locomotives during 

operation in non-ventilated tunnels.142

Under these conditions, we expect slip 

catalysts to be durable and effective in 

reducing NH3 slip. 

We expect manufacturers to be 

conscious of these possibilities and to 

take appropriate action to minimize or 

prevent the formation of unregulated 

pollutants when designing emission 

control systems. Manufacturers must 

comply with the ‘‘Prohibited Controls’’ 

section of 40 CFR 1033.115(c), which 

states: 

‘‘You may not design or produce your 

locomotives with emission control 

devices, systems, or elements of design 

that cause or contribute to an 

unreasonable risk to public health, 

welfare, or safety while operating. For 

example, this would apply if the 

locomotive emits a noxious or toxic 

substance it would otherwise not emit 

that contributes to such an unreasonable 

risk.’’ 

Emission control systems designed to 

meet the 2007 and 2010 heavy-duty 

truck and Tier 2 light-duty vehicle 

emission standards already take these 

unregulated pollutants into account 

through compliance with section 

202(A)(4) of the Clean Air Act. CDPF 

systems that minimize formation of 

excess NO2 while still relying primarily 

on passive regeneration have entered 

production for OEM and retrofit 

applications. Compact urea-SCR 

systems that have been developed to 

meet the U.S. 2010 heavy-duty truck 

standards use closed-loop controls that 

continuously monitor NOX reduction 

performance. Such systems have the 

capability to control stack emissions of 

NH3 to below 5 ppm during transient 

operation even without the use of an 

ammonia slip catalyst. We understand 

that such systems may still emit some 

very small level of uncontrolled 

pollutants and we would not generally 

consider a system that releases de 

minimis amounts of NH3 or N2O while 

employing technology consistent with 

limiting these emissions to be in 

violation of § 1033.115(c)—which is the 

same way we currently treat passenger 

cars and heavy-duty trucks with regard 

to N2O and H2S emissions. 

(4) The New Standards Are 

Technologically Feasible 

Our rulemaking involves a range of 

engines, and we have identified a range 

of technologically feasible emission 

control technologies that we project will 

be used to meet our new standards. 

Some of these technologies are 

incremental improvements to existing 

engine components, and many of these 

improved components have already 

been applied to similar engines. The 

other technologies we identified involve 

catalytic exhaust aftertreatment systems. 

For these technologies we carefully 

examined the catalyst technology, its 

applicability to locomotive and marine 

engine packaging constraints, its 

durability with respect to the lifetime of 

today’s locomotive and marine engines, 

and its impact on the infrastructure of 

the rail and marine industries. From our 

analysis, which is presented in detail in 

our RIA, we conclude that incremental 

improvements to engine components 

and the implementation of catalytic PM 

and NOX exhaust aftertreatment 

technology will be feasible to meet our 

new emissions standards. 

IV. Certification and Compliance 

Program 

This section describes the regulatory 

changes being finalized for the 

locomotive and marine compliance 

programs, beyond the standards 

discussed in section III. The most 

obvious change is that the regulations 

have been written in plain language. 

They are structured to contain the 

provisions that are specific to 

locomotives in a new part 1033 and the 

provisions that are specific to marine 

engines and vessels in a new part 1042. 

We also proposed to apply the general 

provisions of existing parts 1065 and 

1068.156 The plain language regulations, 

however, are not intended to 

significantly change the compliance 

program, except as specifically noted in 

today’s notice. These plain language 

regulations will supersede the 

regulations in part 92 and 94 (for 

Categories 1 and 2) as early as the 2008 

model year. See section III for the 

starting dates for different engines. The 

changes from the existing programs are 

described below briefly along with other 

notable aspects of the compliance 

program. See the regulatory text for the 

detailed requirements and see the 

Summary and Analysis of Comments 

document for a more complete rationale 

for the changes being adopted. Note: 

The term manufacturer is used in this 

section to include locomotive and 

marine manufacturers and 

remanufacturers. 

A. Issues Common to Locomotives and 

Marine 

For many aspects of compliance, we 

are adopting similar provisions for 

marine engines and locomotives, which 

are discussed in this section. Several 

other issues are also included in this 

section, where we are specifying 

different provisions, but where the 

issues are similar in nature. The 

remaining compliance issues are 

discussed in sections IV.B. (for 

locomotives) and IV.C. (for marine). 

(1) Test Procedures 

(a) Incorporation of Part 1065 Test 

Procedures for Locomotive and Marine 

Diesel Engines 

As part of our initiative to update the 

content, organization and writing style 

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of our regulations, we are revising our 

test procedures. We have grouped all of 

our engine dynamometer and field 

testing test procedures into one part 

entitled, ‘‘Part 1065: Test Procedures.’’ 

For each engine or vehicle sector for 

which we have recently promulgated 

standards (such as land-based nonroad 

diesel engines or recreational vehicles), 

we identified an individual part as the 

standard-setting part for that sector. 

These standard-setting parts then refer 

to one common set of test procedures in 

part 1065. These programs regulate 

land-based on-highway heavy-duty 

engines, land-based nonroad diesel 

engines, recreational vehicles, and 

nonroad spark-ignition engines over 19 

kW. In this rule, we are applying part 

1065 to all locomotive and marine 

diesel engines, as part of a plan to 

eventually have all our engine programs 

refer to a common set of procedures. 

In the past, each engine or vehicle 

sector had its own set of testing 

procedures. There are many similarities 

in test procedures across the various 

sectors. However, as we introduced new 

regulations for individual sectors, the 

more recent regulations featured test 

procedure updates and improvements 

that the other sectors did not have. As 

this process continued, we recognized 

that a single set of test procedures 

allows for improvements to occur 

simultaneously across engine and 

vehicle sectors. A single set of test 

procedures is easier to understand than 

trying to understand many different sets 

of procedures, and it is easier to move 

toward international test procedure 

harmonization if we only have one set 

of test procedures. We note that 

procedures that are particular for 

different types of engines or vehicles, 

for example, test schedules designed to 

reflect the conditions expected in use 

for particular types of vehicles or 

engines, remain separate and are 

reflected in the standard-setting parts of 

the regulations. 

The part 1065 test procedures are 

organized and written to be clearer than 

locomotive- and marine-specific test 

procedures found in parts 92 and 94. In 

addition, part 1065 improves the 

content of the respective testing 

specifications, including the following: 

• Specifications and calculations 

written in the international system of 

units (SI) 

• Procedures by which manufacturers 

can demonstrate that alternate test 

procedures are equivalent to specified 

procedures 

• Specifications for new 

measurement technology that has been 

shown to be equivalent or more accurate 

than existing technology 

• Procedures that improve test 

repeatability 

• Calculations that simplify 

emissions determination 

• New procedures for field testing 

engines 

• More comprehensive sets of 

definitions, references, and symbols 

• Calibration and accuracy 

specifications that are scaled to the 

applicable standard, which allows us to 

adopt a single specification that applies 

to a wide range of engine sizes and 

applications. 

We are adopting the lab-testing and 

field-testing specifications in part 1065 

for all locomotive and marine diesel 

engines. These procedures replace those 

currently published in parts 92 and 94. 

We are making a gradual transition from 

the part 92 and 94 procedures. In 

general, we specify that manufacturers 

use the test procedures in 1065 when 

certifying under part 1033 or 1042. 

However, we will allow manufacturers 

to use a combination of the old and new 

test procedures through 2014, provided 

such use is done using good engineering 

judgment. Moreover, manufacturers may 

continue to rely on carryover test data 

based on part 92 or 94 procedures to 

recertify engine families that are not 

changing. 

In the future, we may apply the test 

procedures specified in part 1065 to 

other types of engines, so we encourage 

companies involved in producing or 

testing other engines to stay informed of 

developments related to these test 

procedures. 

(b) Revisions to Part 1065 

Part 1065 was originally adopted on 

November 8, 2002 (67 FR 68242) and 

was initially applicable to standards 

regulating large nonroad spark-ignition 

engines and recreational vehicles under 

40 CFR parts 1048 and 1051. The test 

procedures initially adopted in part 

1065 were sufficient to conduct testing, 

but on July 13, 2005 (70 FR 11534) we 

promulgated a final rule that 

reorganized these procedures and added 

content to make various improvements. 

Today, we are finalizing additional 

modifications, largely as proposed. The 

reader is referred to the NPRM, the 

regulatory text, and the docket for more 

information about the changes being 

made to Part 1065 in this final rule. 

Note that since part 1065 applies for 

diesel engines subject to parts 86 and 

1039, we are also making some minor 

revisions to those parts to reflect the 

changes being made to part 1065. (We 

are also making a technical correction to 

an equation in § 86.117–96.) 

These changes will become effective 

July 7, 2008. Section 1065.10(c)(6) of the 

existing regulations includes a provision 

that automatically allows manufacturers 

an additional 12 months beyond the 

effective date to revise their test 

procedures to comply with the new 

regulations. Since these changes will 

not affect the stringency of the 

standards, we also plan to use our 

authority under § 1065.10(c)(4) to allow 

the use of carryover data collected using 

the earlier procedures. 

(2) Certification Fuel 

It is well-established that measured 

emissions may be affected by the 

properties of the fuel used during the 

test. For this reason, we have 

historically specified allowable ranges 

for test fuel properties such as cetane 

and sulfur content. These specifications 

are intended to represent most typical 

fuels that are commercially available in 

use. This helps to ensure that the 

emissions reductions expected from the 

standards occur in use as well as during 

emissions testing. 

In our previous regulation of in-use 

locomotive and marine diesel fuel, we 

established a 15 ppm sulfur standard at 

the refinery gate for locomotive and 

marine (LM) diesel fuel beginning June 

1, 2012. However, since we intended to 

allow the sale, distribution, and use of 

higher sulfur LM diesel fuel (such as 

contaminated ULSD) to continue 

indefinitely, we did not set a ‘‘hard and 

fast’’ downstream requirement that only 

15 ppm LM diesel may be sold and 

distributed in all areas of the country . 

Because refiners cannot intentionally 

produce off-specification fuel for 

locomotives, most in-use locomotive 

and marine diesel fuel will be ULSD 

(with a sulfur content of 15 ppm or 

less). Nevertheless, we expect that some 

fuel will be available with sulfur levels 

between 15 and 500 ppm, and our 

existing regulations require that such 

fuel be designated as 500 ppm sulfur 

diesel fuel. Note that fuel designated as 

500 ppm sulfur is also known as low 

sulfur diesel fuel (LSD). 

Because we have reduced the upper 

limit for locomotive and marine diesel 

fuel sulfur content for refiners to 15 

ppm in 2012, we are establishing new 

ranges of allowable sulfur content for 

diesel test fuels. See section IV.C.(8) for 

information about testing marine 

engines designed to use residual fuel. 

For marine diesel engines, we are 

specifying the use of ULSD fuel as the 

test fuel for Tier 3 and later standards. 

We believe this will correspond to the 

fuels that these engines will see in use 

over the long term. We recognize that 

this approach will mean that some 

marine engines will use a test fuel that 

is lower in sulfur than in-use fuel 

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157Under our existing fuel regulations (40 CFR 

80.510(g)), 500 ppm LM diesel fuel may not be sold 

and/or distributed in the Northeast/Mid-Atlantic 

(NE/MA) area beginning October 1, 2012. Such fuel 

may no longer be used in the NE/MA area 

beginning December 1, 2012. 

during the first few years and that other 

Tier 2 marine engines allowed to be 

produced after 2012 will use a test fuel 

that is higher in sulfur than fuel already 

available in use when they are 

produced. However, we believe that it is 

more important to align changes in 

marine test fuels with changes in the 

PM standards than strictly with changes 

in the in-use fuel. Nevertheless, we are 

allowing Tier 2 certification with fuel 

meeting the 7 to 15 ppm sulfur 

specification to simplify testing but will 

require that PM emissions be corrected 

to be equivalent to testing conducted 

with the specified fuel. This will ensure 

that the effective stringency of the Tier 

2 standards will not be affected. 

For locomotives, we will require that 

Tier 4 engines be certified based on 

ULSD test fuels. We are also requiring 

that these locomotives use ULSD in the 

field. We will continue to allow the use 

of 500 ppm LM diesel fuel, in older 

locomotives in the field.157 Thus, we are 

requiring that remanufacture systems for 

Tier 0 and Tier 1 locomotives be 

certified on LSD test fuel. We are 

allowing the use of test fuels other than 

those specified here. Specifically, we 

will allow the use of ULSD during 

emission testing for locomotives 

otherwise required to use LSD, provided 

they do not use sulfur-sensitive 

technology (such as oxidation catalysts). 

However, as a condition of this 

allowance, the manufacturer will be 

required to add an additional amount to 

the measured PM emissions to make 

them equivalent to what would have 

been measured using LSD. For example, 

we will allow a manufacturer to test 

with ULSD if they adjusted the 

measured PM emissions upward by 0.01 

g/bhp-hr (which would be a relatively 

conservative adjustment and would 

ensure that manufacturers would not 

gain an inappropriate advantage by 

testing on ULSD). 

We are adopting special fuel 

provisions for Tier 3 locomotives and 

Tier 2 locomotive remanufacture 

systems. The final regulations specify 

that the test fuel for these be ULSD 

without sulfur correction since these 

locomotives will use ULSD in use for 

most of their service lives. However, 

unlike Tier 4 locomotives, we will not 

require them to be labeled to require the 

use of ULSD, unless they included 

sulfur sensitive technology. 

We are adopting a new flexibility for 

locomotives and Category 2 marine 

engines to reduce fuel costs for testing. 

Because these engines can consume 200 

gallons of diesel fuel per hour at full 

load, fuel can represent a significant 

fraction of the testing cost, especially if 

the manufacturer must use specially 

blended fuel rather than commercially 

available fuel. To reduce this cost, we 

will allow manufacturers to 

immediately begin testing of 

locomotives and Category 2 marine 

engines with commercially available 

diesel fuel. We do not believe that this 

will change the effective stringency of 

the standards. 

For both locomotive and marine 

engines, all of the specifications 

described above will apply to emission 

testing conducted for certification, 

production-line testing, and in-use, as 

well as any other testing for compliance 

purposes for engines in the designated 

model years. Any compliance testing of 

previous model year engines will be 

done with the fuels designated in our 

regulations for those model years. 

(3) Supplemental Emission Standards 

We are continuing the supplemental 

emission standards for locomotives and 

marine engines. For locomotives, this 

means we will continue to apply notch 

emission caps, based on the emission 

rates in each notch, as measured during 

certification testing. We recognize that 

for our Tier 4 standards it will not be 

practical to measure very low levels of 

PM emissions separately for each notch 

during testing, and thus we are changing 

the calculation of the PM notch cap for 

Tier 4 locomotives. All other notch caps 

will be determined and applied as they 

currently are under 40 CFR 92.8(c). See 

§ 1033.101(e) of the regulations for the 

detailed calculation. 

Marine engines will continue to be 

subject to not-to-exceed (NTE) 

standards; however, we are making 

certain changes to these standards based 

upon our understanding of in-use 

marine engine operation and based 

upon the underlying Tier 3 and Tier 4 

duty cycle emissions standards. As 

background, we determine NTE 

compliance by first applying a 

multiplier to the duty-cycle emission 

standard, and then we compare to that 

value an emissions result that is 

recorded when an engine runs within a 

certain range of engine operation. This 

range of operation is called an NTE zone 

(see 40 CFR 94.106). The first regulation 

of ours that included NTE standards 

was the commercial marine diesel 

regulation, finalized in 1999. After we 

finalized that regulation, we 

promulgated other NTE regulations for 

both heavy-duty on-highway and 

nonroad diesel engines. We also 

finalized a regulation that requires 

heavy-duty on-highway engine 

manufacturers to conduct field testing to 

demonstrate in-use compliance with the 

on-highway NTE standards. Throughout 

our development of these other 

regulations, we have learned many 

details about how best to specify NTE 

zones and multipliers that will ensure 

the greatest degree of in-use emissions 

control, while at the same time will 

avoid disproportionately stringent 

requirements for engine operation that 

has only a minor contribution to an 

engine’s overall impact on the 

environment. Based upon the Tier 3 and 

Tier 4 standards—and our best 

information of in-use marine engine 

operation—we are making certain 

improvements to our marine NTE 

standards. 

For marine engines we are broadening 

the NTE zones in order to better control 

emissions in regions of engine operation 

where an engine’s emissions rates (i.e. 

grams/hour, tons/day) are greatest; 

namely at high engine speed and high 

engine load. This is especially 

important for commercial marine 

engines because they typically operate 

at steady-state at high-speed and highload operation. This change also will 

make our marine NTE zones much more 

similar to our on-highway and nonroad 

NTE zones. Additionally, we analyzed 

different ways to define the marine NTE 

zones, and we determined a number of 

ways to improve and simplify the way 

we define and calculate the borders of 

these zones. We feel that these 

improvements will help clarify when an 

engine is operating within a marine NTE 

zone. 

Note that we specify different duty 

cycles to which a marine engine may be 

certified, based upon the engine’s 

specific application (e.g., fixed-pitch 

propeller, controllable-pitch propeller, 

constant speed, auxiliary, etc.). These 

duty cycles are described below in 

section IV.C.(9). Correspondingly, we 

also have a unique NTE zone for each 

of these duty cycles. These different 

NTE zones are intended to best reflect 

an engine’s real-world range of 

operation for that particular application. 

One primary change in the NTE zones, 

compared to the NPRM, is for 

controllable-pitch propeller 

applications. Rather than using the 

nonroad NTE zone, as proposed, the 

final NTE zone for these engines has 

been revised to better reflect marine 

engine operation. Please refer to section 

1042.101(c) of the new regulations for a 

description of our new NTE standards. 

In the cases where marine auxiliary 

engines use the same duty cycle as their 

land-based nonroad counterparts, we 

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158The provisions described in this section will 

apply equally to SCR systems using reductants 

other than urea, except for systems using normal 

diesel fuel as the reductant. 

are adopting the same NTE standards as 

we have already finalized for nonroad 

engines in 40 CFR § 1039.101. As the 

standards for marine diesel engines 

under 75 kW are based on the 

corresponding nonroad engine 

standards, we are aligning the NTE 

standard start dates for these engines 

with the nonroad engine NTE start dates 

in 2012 and 2013. 

We are also implementing new NTE 

multipliers. We have analyzed how the 

Tier 3 and Tier 4 emissions standards 

affect the stringency of the marine NTE 

standards, especially in comparison to 

the stringency of the underlying duty 

cycle standards. We recognized that in 

certain sub-regions of our new NTE 

zones, slightly higher multipliers are 

necessary because of the way that our 

more stringent Tier 3 and Tier 4 

emissions standards will affect the 

stringency of the NTE standards. For 

comparison, Tier 2 marine NTE 

standards contain multipliers that range 

in magnitude from 1.2 to 1.5 times the 

corresponding duty cycle standard. The 

new multipliers range from 1.2 to 1.9 

times the standard. Even with these 

slightly higher NTE multipliers, we are 

confident that our changes to the marine 

NTE standards will ensure the greatest 

degree of in-use emissions control. We 

are also confident that our changes to 

the marine NTE standards will continue 

to ensure proportional emissions 

reductions, across the full range of 

marine engine operation. 

We are also adopting other NTE 

provisions for marine engines that are 

similar to our existing heavy-duty onhighway and nonroad diesel NTE 

standards. We are making these 

particular changes to account for the 

implementation of catalytic exhaust 

treatment devices on marine engines. 

One such provision is to account for 

when a marine engine rarely operates 

within a limited region of the NTE zone 

(i.e. less than 5 percent of in-use 

operation). Another provision allows 

small deficiencies in NTE compliance 

for a limited period of time. We feel that 

these provisions have been effective in 

our on-highway and nonroad NTE 

programs; therefore, we are adopting 

them for our marine NTE standards as 

well. 

(4) Emission Control Diagnostics 

We requested comment on a 

requirement that all Tier 4 engines 

include a simple engine diagnostic 

system to alert operators to general 

emission-related malfunctions. As is 

described in the S&A document, we are 

not adopting such general requirements 

today. (See section IV.A.(7) of this Final 

Rule for related requirements involving 

SCR systems.) We are, however, 

adopting special provisions for 

locomotives that include emission 

related diagnostics. First, we will 

require locomotive operators to respond 

to malfunction indicators by performing 

the required maintenance or inspection. 

Second, locomotive manufacturers will 

be allowed to repair such 

malfunctioning locomotives during inuse compliance testing (they would still 

be required to include a description of 

the malfunction in the in-use testing 

report.). This approach takes advantage 

of the unique market structure with two 

major manufacturers and only a few 

railroads buying nearly all of the freshly 

manufactured locomotives. These 

provisions create incentives for both the 

manufacturers and railroads to work 

together to develop a diagnostic system 

that would effectively reveal real 

emission malfunctions. Our current 

regulations already require that 

locomotive operators complete all 

manufacturer-specified emission-related 

maintenance, and this new requirement 

treats repairs indicated by diagnostic 

systems as such emission-related 

maintenance. Thus, the railroads will 

have a strong incentive to make sure 

that they only have to perform this 

additional maintenance when real 

malfunctions are occurring. On the 

other hand, manufacturers will want to 

have all emission malfunctions revealed 

so that when they test an in-use 

locomotive they can repair identified 

malfunctions before testing if the 

railroad has not yet done it. 

(5) Monitoring and Reporting of 

Emissions Related Defects 

We are applying the defect reporting 

requirements of § 1068.501 to replace 

the provisions of subparts E in parts 92 

and 94. This will result in two 

significant changes for manufacturers. 

First, § 1068.501 obligates 

manufacturers to tell us when they learn 

that emission control systems are 

defective and to conduct investigations 

under certain circumstances to 

determine if an emission-related defect 

is present. Second, it changes the 

thresholds after which they must submit 

defect reports. See the text 40 CFR 

1068.501 for details about this 

requirement. 

(6) Rated Power 

We are specifying in parts 1033 and 

1042 how to determine maximum 

engine power in the regulations for both 

locomotives and marine engines. The 

term ‘‘maximum engine power’’ will be 

used for marine engines instead of 

previously undefined terms such as 

‘‘rated power’’ or ‘‘power rating’’ to 

specify the applicability of the 

standards. The addition of this 

definition is intended to allow for more 

objective applicability of the standards. 

More specifically, for marine engines, 

we define maximum engine power to 

mean the maximum brake power output 

on the nominal power curve for an 

engine. 

For locomotives, the term ‘‘rated 

power’’ will continue to be used, but is 

explicitly defined to be the brakepower 

of the engine at notch 8. We will 

continue to use the term ‘‘rated power’’ 

because this definition is consistent 

with the commercial meaning of the 

term. 

(7) In-Use Compliance for SCR 

Operation 

As discussed in section III.C, we are 

projecting that manufacturers will use 

urea-based SCR systems to comply with 

the Tier 4 emission standards.158 These 

systems are very effective at controlling 

NOX emissions as long as the operator 

continues to supply urea of acceptable 

quality. Thus we considered concepts 

put forward by manufacturers in other 

mobile source sectors in dealing with 

this issue. These include design features 

to prevent an engine from being 

operated without urea if an operator 

ignores repeated warnings and allows 

the urea level to run too low. EPA has 

issued a guidance document for urea 

SCR systems discussing the use of such 

features on highway diesel vehicles. 

We believe that the nature of the 

locomotive and large commercial 

marine sectors supports a different inuse compliance approach. This 

approach focuses on requirements for 

operators of locomotives and marine 

diesel engines that depend on urea SCR 

to meet EPA standards, aided by 

onboard alarm and logging mechanisms 

that engine manufacturers will be 

required to include in their engine 

designs. Except in the rare instance that 

operation without urea may be 

necessary, the regulatory provisions put 

no burden on the end-user beyond 

simply filling the urea tank with 

appropriate quality urea. Specifically, 

we are specifying: 

• That it is illegal to operate without 

acceptable quality urea when the urea is 

needed to keep the SCR system 

functioning properly; 

• That manufacturers must include 

clear and prominent instructions to the 

operator on the need for, and proper 

steps for, maintaining urea, including a 

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Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37143 

statement that it is illegal to operate the 

engine without urea; 

• That manufacturers must include 

visible and audible alarms at the 

operator’s console to warn of low urea 

levels or inadequate urea quality; 

• That engines and locomotives must 

be designed to track and log, in 

nonvolatile computer memory, all 

incidents of engine operation with 

inadequate urea injection or urea 

quality; and 

• That operators must report to EPA 

in writing any incidence of operation 

with inadequate urea injection or urea 

quality within 30 days of each incident, 

and 

• That, when requested, locomotive 

and vessel operators must provide EPA 

with access to, and assistance in 

obtaining information from, the 

electronic onboard incident logs. 

We understand that in extremely rare 

circumstances, such as during a 

temporary emergency involving risk of 

personal injury, it may be necessary to 

operate a vessel or locomotive without 

adequate urea. We would intend such 

extenuating circumstances to be taken 

into account when considering what 

penalties or other actions are 

appropriate as a result of such 

operation. The information from SCR 

compliance monitoring systems 

described above may also be useful for 

state and local air quality agencies and 

ports to assist them in any marine 

engine compliance programs they 

implement. 

Our new regulations specify that what 

constitutes acceptable urea solution 

quality be specified by the 

manufacturers in their maintenance 

instructions and require that the 

certified emission control system must 

meet the emissions standards with any 

urea solution within stated 

specifications. This could be facilitated 

by an industry standard for urea quality, 

which we expect will be generated in 

the future as these systems move closer 

to market. We recognize that this will 

likely require automated sensing of 

some characteristic indicator such as 

urea concentration or exhaust NOX

concentration. 

We believe these provisions can be an 

effective tool in ensuring urea use for 

locomotives and large commercial 

marine vessels because of the relatively 

small number of railroads and operators 

of large commercial vessels in the U.S., 

especially considering that the number 

of SCR-equipped locomotives and 

vessels will ramp up quite gradually 

over time. In-use compliance provisions 

of the sort we are adopting for 

locomotives and large commercial 

marine engines would be much less 

effective in other mobile source sectors 

such as highway vehicles because 

successful enforcement involving 

millions of vehicle owners would be 

extremely difficult. In addition, the 

highway and nonroad diesel sectors are 

characterized by a wide variety of 

applications and duty cycles, which 

further differentiate in-use compliance 

approaches that may make sense in the 

relatively uniform rail and marine 

sectors from those that would be 

effective in the highway and nonroad 

sectors. 

(8) Temporary In-Use Compliance 

Margins 

Consistent with the approach we took 

in the highway heavy-duty rule (66 FR 

5113) and nonroad diesel rule (69 FR 

38957), we are adopting a provision for 

in-use compliance flexibility in the 

initial years of the Tier 4 program. We 

proposed to allow adjusted in-use 

compliance standards for the first three 

model years of the Tier 4 locomotive 

standards to help assure the 

manufacturers that they will not face 

recall if they exceed standards by a 

small amount during this transition to 

advanced clean diesel technologies. 

Commenters suggested that the 

reasons we gave for applying this 

provision to locomotives were valid for 

marine engines too. We agree and are 

extending this provision to Tier 4 

marine diesel engines. Commenters also 

argued that we over-emphasized the 

flexibility needed for NOX technology 

compared to PM technology. In 

response, we have concluded that it is 

appropriate to provide an alternative set 

of margins available to manufacturers 

willing to accept more stringent in-use 

compliance levels for NOX in exchange 

for somewhat less stringent levels for 

PM. 

Table IV–1 shows the in-use 

adjustments that we will apply. These 

adjustments would be added to the 

appropriate standards or FELs in 

determining the in-use compliance level 

for a given in-use hours accumulation. 

Our intent is that these add-on levels be 

available only for highly-effective 

advanced technologies such as 

particulate traps and SCR, and so we 

will apply them only to engines 

certified at or below the Tier 4 standards 

without the use of credits, through the 

first three model years of the new 

standards. As part of the certification 

process, manufacturers will still be 

required to demonstrate compliance 

with the unadjusted Tier 4 certification 

standards using deteriorated emission 

rates. Therefore manufacturers will not 

be able to use these in-use adjustments 

in setting design targets for the engine. 

They need to project that engines will 

meet the standards in use without 

adjustment. The in-use adjustments 

merely provide some assurance that 

they will not be forced to recall engines 

because of some small miscalculation of 

the expected deterioration rates. 

Also, to avoid what would essentially 

be a doubling up of the benefits of the 

two alternatives, contrary to their 

purpose, we are requiring that a 

manufacturer may only use the 

alternative set of add-ons for an engine 

family if this choice is indicated in the 

certification application and may not 

reverse this choice in carry-over 

certifications or certifications by design. 

TABLE IV–1.—IN-USE ADD-ONS (g/bhp-hr) 

For useful life fractions 

Primary set Alternative set 

NOX PM NOX PM 

<50% UL .......................................................................................................................................................... 0.7 ............ 0.2 

50%–75% UL ................................................................................................................................................... 1.0 0.01 0.3 0.03 

>75% UL .......................................................................................................................................................... 1.3 ............ 0.4 

As discussed in section III.B(1)(a)(ii), 

in response to industry comments, we 

are providing another Tier 4 NOX

compliance option for line-haul 

locomotives with a reduced in-use NOX

add-on of 0.6 g/bhp-hr. Under this 

option, for the first 8 model years of Tier 

4 (2015–2022), a line-haul locomotive 

manufacturer may certify a locomotive 

to the 1.3 g/bhp-hr NOX standard 

without needing to calculate or apply a 

deterioration factor. These locomotives, 

when tested in-use, must comply with 

an in-use standard of 1.9 g/bhp-hr but 

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37144 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

159However, in the Northeast/Mid-Atlantic (NE/ 

MA) area, as defined at 40 CFR 80.510(g), 500 ppm 

LM diesel fuel may no longer be sold and/or 

distributed beginning October 1, 2012. Such fuel 

may no longer be used in the NE/MA area 

beginning December 1, 2012. 

do not get the additional NOX

compliance margins discussed above. 

Because this option is meant to 

address manufacturer concerns about 

manufacturing variability as well as 

catalyst durability, we are allowing 

manufacturers using this option to 

substitute an in-use locomotive test for 

each required production line test. 

These tests must be conducted on 

locomotives with more than 50 hours of 

accumulated operation, but at less than 

one-half of their useful life, and are in 

addition to normally-required 

manufacturer in-use testing. 

Furthermore, locomotives certified 

under this option may not generate 

credits under the ABT program because 

of their potentially higher in-use 

emissions. Also, of course, they may not 

be purposely designed to emit regulated 

pollutants at higher levels in use than at 

certification. This option will be 

available through the 2022 model year. 

It will not be available for the 2015– 

2022 model year locomotives when they 

are remanufactured in 2023 or later. 

(9) Fuel Labels and Misfueling 

The advanced emission controls that 

will be used to comply with many of the 

new standards will require the use of 

ULSD. Therefore, we are requiring that 

manufacturers notify each purchaser of 

a Tier 4 locomotive or marine engine 

that it must be fueled only with the ultra 

low-sulfur diesel fuel meeting our 

regulations. We are also applying this 

requirement for locomotives and 

engines having sulfur-sensitive 

technology and certified using ULSD. 

All of these locomotives and vessels 

must be labeled near the refueling inlet 

to say: ‘‘Ultra-Low Sulfur Diesel Fuel 

Only’’. These labels are required to be 

affixed or updated any time any engine 

on a vessel is replaced after the new 

program goes into effect. 

We are requiring the use of ULSD in 

locomotives and vessels labeled as 

requiring such use, including all Tier 4 

locomotives and marine engines. More 

specifically, use of the wrong fuel for 

locomotives or marine engines would be 

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

because use of the wrong fuel would 

have the effect of disabling the emission 

controls. 

We addressed the supply of ultra-low 

sulfur fuel in our previous regulation of 

in-use locomotive and marine diesel 

fuel. Specifically, we established a 15 

ppm sulfur standard at the refinery gate 

for locomotive and marine (LM) diesel 

fuel beginning June 1, 2012. However, 

since we allow the sale, distribution, 

and use of 500 ppm LM diesel fuel to 

continue indefinitely, we did not set a 

‘‘hard and fast’’ downstream 

requirement that only 15 ppm LM diesel 

may be sold and distributed in all areas 

of the country.159 This was to allow the 

LM diesel fuel pool to remain an outlet 

for off-specification distillate product 

and interface/transmix material. 

Because refiners cannot intentionally 

produce off-specification fuel for 

locomotives—refiners will no longer be 

able to produce nonroad, locomotive, or 

marine diesel fuel above 15 ppm 

beginning June 1, 2012—most in-use 

locomotive and marine diesel fuel will 

be ULSD (with a sulfur content of 15 

ppm or less). Nevertheless, we expect 

that some fuel will be available with 

sulfur levels between 15 and 500 ppm, 

and our regulations require such fuel to 

be designated as 500 ppm sulfur diesel 

fuel. 

We received comments regarding the 

fact that we did not set a strict 

downstream requirement on the use of 

15 ppm LM for the entire country. The 

commenters feared that while a port 

might receive deliveries of 15 ppm LM 

fuel, the port might keep its pump 

labeled as ‘‘500 ppm LM’’ to allow it to 

receive and dispense either 15 ppm or 

500 ppm LM. (As part of the diesel fuel 

regulations, all pumps dispensing diesel 

fuel must be labeled with the type and 

maximum sulfur level of the diesel fuel 

being dispensed.) The commenters were 

concerned that if such practice were 

widespread, marine vessels that require 

ULSD could potentially have problems 

finding it. 

We understand the commenters’ 

concerns and have discussed a few 

potential solutions to this problem. One 

possible option is to require large ports 

(i.e., ports over some certain size) to 

make 15 ppm LM diesel fuel available. 

This size requirement could be by 

volume of single sale or above some 

other specified volume. Under this 

requirement, those ports with multiple 

tanks could continue to offer 500 ppm 

LM diesel fuel in addition to the 15 ppm 

LM diesel fuel. Or, if a port (regardless 

of size) continues to sell 500 ppm LM 

diesel fuel, it must also sell 15 ppm LM 

diesel fuel. Another potential option 

would be to limit the sale of 500 ppm 

LM diesel fuel to small ports and 

locomotives only. However, these 

potential solutions would need to be 

discussed thoroughly with all 

stakeholders (including those in the fuel 

distribution and marketing industry) 

and put out for notice and comment. 

Therefore, we are merely noting 

potential solutions in this final rule but 

we are committing to investigate this 

issue further and, if the facts warrant 

doing so, addressing it in a separate 

action. 

(10) Deterioration Factor Plan 

Requirements 

In this rulemaking, we are amending 

our deterioration factor (DF) provisions 

to include an explicit requirement that 

DF plans be submitted by manufacturers 

for our approval in advance of 

conducting engine durability testing, or 

in the case where no new durability 

testing is being conducted, in advance 

of submitting the engine certification 

application. We are not fundamentally 

changing either the locomotive or 

marine engine DF requirements with 

this provision, other than to require 

advance approval. 

An advance submittal and approval 

format will allow us sufficient time to 

ensure consistency in DF procedures, 

without the need for manufacturers to 

repeat any durability testing or for us to 

deny an application for certification 

should we find the procedures to be 

inconsistent with the regulatory 

provisions. We expect that the DF plan 

would outline the amount of service 

accumulation to be conducted for each 

engine family, the design of the 

representative in-use duty cycle on 

which service will be accumulated, and 

the quantity of emission tests to be 

conducted over the service 

accumulation period. 

(11) Production Line Testing 

We proposed to continue the existing 

production line testing provisions that 

apply to manufacturers. Some 

manufacturers suggested that we should 

eliminate this requirement on the basis 

that very low noncompliance rates are 

being detected at a high expense. While 

we agree that compliance rates have 

been very good, we do not agree that 

they mean that the program has little or 

no value. As we move toward more 

stringent emission standards with this 

rulemaking, we anticipate that the 

margin of compliance with the 

standards for these engines is likely to 

decrease. Consequently, this places an 

even greater significance on the need to 

ensure little variation in production 

engines from the certification engine, 

which is often a prototype engine. For 

this reason, it is important to maintain 

our production line testing program. 

However, the existing regulations 

allow manufacturers to develop 

alternate programs that provide 

equivalent assurance of compliance on 

the production line and to use such 

programs instead of the specified 

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Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37145 

160Part 1045 was proposed on May 18, 2007 (72 

FR 28097). 

production line testing program. For 

example, given the small sales volumes 

associated with marine engines it may 

be appropriate to include a production 

verification program for marine engines 

as part of a manufacturer’s broader 

production verification programs for its 

non-marine engines. We believe these 

existing provisions already address the 

concerns raised to us by the 

manufacturers. 

We are adding provisions to allow 

manufacturers to use special procedures 

for production line testing of catalystequipped engines. Under the existing 

Part 92 and Part 94 programs, a 

manufacturer of a catalyst-equipped 

locomotive or Category 2 marine engine 

would be required to assemble and test 

the engine with a complete catalyst 

system. At the manufacturer’s choice, 

the engine could be broken in by 

operating it for up to 300 hours or it 

could be tested in a ‘‘green’’ state and 

its measured emissions adjusted by 

applying ‘‘green engine factors’’. The 

new regulations in Parts 1033 and 1042 

will continue to allow these options, but 

will also include additional options. 

For locomotives, the new regulations 

will allow a locomotive to be used in 

service for up to 1,000 hours before it 

is tested. This will be sufficient time to 

degreen a catalyst. We believe that this 

approach should work well for 

locomotives given the very close 

working relationships between the 

manufacturers and the major railroads. 

(See section IV.A.(8) for additional 

interim provisions related to 

production-line testing of locomotives.) 

We do not believe this locomotive 

approach would work for marine 

engines because the marine market is 

much more diverse and the very close 

working relationships cannot be 

assumed. Therefore, we will rely on our 

general authority to approve alternate 

PLT programs. Should a consensus 

develop in the future about how to 

appropriately verify that engines and 

catalysts are produced to conform to the 

regulations, we may adopt specific 

regulatory provisions to address these 

marine engines. 

(12) Evaporative Emission Requirements 

While nearly all locomotives 

currently subject to part 92 are fueled 

with diesel fuel, § 92.7 includes 

evaporative emission provisions that 

would apply for locomotives fueled by 

a volatile liquid fuel such as gasoline or 

ethanol. These regulations do not 

specify test procedures or specific 

numerical limits, but rather set ‘‘good 

engineering’’ requirements. We are 

adopting these same requirements in 

part 1033. 

We are also adopting similar 

requirements for marine engines and 

vessels that run on volatile fuels. We are 

not aware of any compression-ignition 

marine engines currently being 

produced that would be subject to these 

requirements but believe that it is 

appropriate to adopt these requirements 

now rather than waiting until such 

engines are produced. In this final rule, 

we are adopting requirements for 

controlling evaporative emissions that 

are identical to those for locomotives. 

As described in the proposal, we intend 

to apply to compression-ignition marine 

engines and vessels the same 

requirements we will be adopting for 

spark-ignition engines and vessels 

before the end of 2008 (as proposed at 

72 FR 28098). We therefore intend to 

modify part 1042 in the final rule 

corresponding to that proposal related 

to spark-ignition marine engines and 

vessels. Specifically, if someone were to 

build a marine vessel with a 

compression-ignition engine that runs 

on a volatile liquid fuel, the engine 

would be subject to the exhaust 

emission standards of part 1042, but the 

fuel system would be subject to the 

evaporative emission requirements of 

the recently proposed part 1045.160

(13) Small Business Provisions 

There are a number of small 

businesses that will be subject to this 

rule because they are locomotive 

manufacturers/remanufacturers, 

railroads, marine engine manufacturers, 

post-manufacture marinizers, vessel 

builders, or vessel operators. We largely 

continue the existing provisions that 

were adopted previously for these small 

businesses in the 1998 Locomotive and 

Locomotive Engines Rule (April 16, 

1998; 63 FR 18977); our 1999 

Commercial Marine Diesel Engines Rule 

(December 29, 1999; 64 FR 73299) and 

our 2002 Recreational Diesel Marine 

program (November 8, 2002; 67 FR 

68304). These provisions, which are 

discussed below, are designed to 

minimize regulatory burdens on small 

businesses needing added flexibility to 

comply with emission standards while 

still ensuring the greatest emissions 

reductions achievable. (See section IX.C 

of this rule for discussion of our 

outreach efforts with small entities.) 

(a) Locomotive Sector 

(i) Production-Line and In-Use Testing 

Does not Apply 

Production-line and in-use testing 

requirements do not apply to small 

locomotive manufacturers until January 

1, 2013, which is up to five calendar 

years after this program becomes 

effective. 

In the 1998 Locomotive Rule (April 

16, 1998; 63 FR 18977), the in-use 

testing exemption was provided to small 

remanufacturers with locomotives or 

locomotive engines that became new 

during the 5-year delay, and this 

exemption was applicable to these 

locomotives or locomotive engines for 

their entire useful life (the exemption 

was based on model years within the 

delay period, but not calendar years as 

we are promulgating today). As an 

amendment to the existing in-use testing 

exemption, small remanufacturers with 

these new locomotives or locomotive 

engines must now begin complying with 

the in-use testing requirements after the 

five-year delay on January 1, 2013 

(exemption based on calendar years). 

Thus, they are no longer exempt from 

in-use testing for the entire useful life of 

a locomotive or a locomotive engine. We 

are finalizing this provision to ensure 

that small remanufacturers comply with 

our standards in-use, and subsequently, 

the public is assured they are receiving 

the air quality benefits of today’s 

standards. In addition, this amendment 

provides a date certain for small 

remanufacturers when in-use testing 

requirements begin to apply. 

We received a number of comments 

asking us to clarify whether or not we 

were still planning to require 

production-line audits or verification for 

small locomotive remanufacturers 

during this 5-year delay (until January 1, 

2013). In response, we are clarifying that 

we did not intend to exempt small 

locomotive remanufacturers from 

production-line audits during the 5-year 

delay (our intent was to exempt these 

entities from production-line and in-use 

testing requirements). We believe this 

requirement is of minimal regulatory 

burden to small locomotive 

remanufacturers. Moreover, we have 

clarified the general auditing regulations 

to explicitly allow audits to be 

conducted by the owner/operator, 

which further minimizes the burden. 

(ii) Class III Railroads Exempt From 

New Standards for Existing Fleets 

EPA is limiting the category of small 

railroads which are exempt from the 

Tier 0, 1 and 2 remanufacturing 

requirements for existing fleets to those 

railroads that qualify as Class III 

railroads and that are not owned by a 

large parent company. Under the 

current Surface Transportation Board 

classification system, this exemption is 

limited to railroads having total revenue 

less than $25.5 million per year. This 

change requires that all Class II 

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37146 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

161U.S. EPA, Assessment and Standards Division, 

Memorandum from Chester J. France to Alexander 

Cristofaro of U.S. EPA’s Office of Policy, 

Economics, and Innovation, Locomotive and 

Marine Diesel RFA/SBREFA Screening Analysis, 

September 25, 2006. 

railroads, when remanufacturing their 

locomotives, meet the new standards 

finalized for existing fleets. 

EPA had requested comment on 

whether the small railroads exemption 

from emissions standards for existing 

fleets had been effective and appropriate 

and whether they should continue 

under the new program finalized today. 

Under part 92, only railroads qualifying 

as ‘‘large’’ businesses, as defined by the 

Small Business Administration (SBA) 

were subject to the standards for their 

pre-existing fleet. The SBA definition of 

a large railroad is based on employment. 

For line-haul railroads the threshold is 

1,500 or more employees, and for shorthaul railroads it is 500 or more 

employees. Additionally, any railroad 

owned by a parent company that is large 

by SBA definition is also subject to the 

current existing fleet requirements. 

Although this excludes a majority of the 

more than 500 U.S. freight railroads, it 

addresses the vast majority of the 

emissions because it includes all Class 

I railroads. 

The majority of comments supported 

revising the criterion for exempting 

railroads from emissions standards for 

existing fleets. While some of these 

commenter’s felt that a revenue based 

approach exempting Class III railroads 

was appropriate, others disagreed, and 

argued that all railroads, regardless of 

classification or revenues should be 

subject to the new emission standards 

for existing fleets. These commenters 

felt no exemption would be legitimate 

because of both the extremely long 

operational life of these locomotive 

engines and the predominance of Class 

II and III railroads in various 

nonattainment areas of the country 

which contribute to air quality 

problems. Those commenters opposing 

any change to the existing exemption 

scheme argued that the current 

approach of exempting all small 

railroads should be retained because the 

costs involved in meeting new 

standards for existing fleets would 

impose a heavy financial burden on 

small railroads currently exempt from 

the program. Additionally, these 

commenters argued that small railroads’ 

emissions are trivial and do not impact 

air quality. 

In finalizing this new approach, EPA 

believes that continuing to exempt Class 

III railroads with annual revenues under 

$25.5 million while including all Class 

II railroads in the existing fleet program 

is a reasonable approach that addresses 

both industry concerns regarding costs 

while also recognizing that small 

railroads do contribute to air pollution 

in areas they service including 

nonattainment areas throughout the U.S. 

We are clarifying our definition that 

intercity passenger or commuter 

railroads are not included as railroads 

that are small businesses because they 

are typically governmental or are large 

businesses. Due to the nature of their 

business, these entities are largely 

funded through tax transfers and other 

subsidies. Thus, the only passenger 

railroads that could qualify for the small 

railroad provisions will be small 

passenger railroads related to tourism. 

(iii) Small Railroads Excluded From InUse Testing Program 

The railroad in-use testing program 

continues to apply to Class I freight 

railroads only, and thus no small 

railroads are subject to this testing 

requirement. It is important to note 

many Class II and III freight railroads 

qualify as small businesses. This 

provision provides flexibility to all 

Class II and III railroads, which includes 

small railroads. All Class I freight 

railroads are large businesses.161

(iv) Hardship Provisions 

Section 1068.245 of the existing 

regulations in title 40 contains hardship 

provisions for engine and equipment 

manufacturers, including those that are 

small businesses. We will apply this 

section for locomotives as described 

below. 

Under the unusual circumstances 

hardship provision, locomotive 

manufacturers may apply for hardship 

relief if circumstances outside their 

control cause their failure to comply 

and if the failure to sell the subject 

locomotives will have a major impact on 

the company’s solvency. An example of 

an unusual circumstance outside a 

manufacturer’s control may be an ‘‘Act 

of God,’’ a fire at the manufacturing 

plant, or the unforeseen shut down of a 

supplier with no alternative available. 

The terms and time frame of the relief 

depend on the specific circumstances of 

the company and the situation involved. 

As part of its application for hardship, 

a company is required to provide a 

compliance plan detailing when and 

how it will achieve compliance with the 

standards. 

(b) Marine Sector 

(i) Revised Definitions of Small-Volume 

Manufacturer and Small-Volume Boat 

Builder 

As proposed, we are revising the 

definitions of small-volume 

manufacturer (SVM) and small-volume 

boat builder to include worldwide 

production. Currently, an SVM is 

defined as a manufacturer with annual 

U.S.-directed production of fewer than 

1,000 engines (marine and nonmarine 

engines), and a small-volume boat 

builder is defined as a boat 

manufacturer with fewer than 500 

employees and with annual U.S.- 

directed production of fewer than 100 

boats. By including worldwide 

production in these definitions, we 

prevent a manufacturer or boat builder 

with a large worldwide production of 

engines or boats, or a large worldwide 

presence, from receiving relief from the 

requirements of this program. The 

provisions that apply to small-volume 

manufacturers and small-volume boat 

builders as described below are 

intended to minimize the impact of this 

rule for those entities that do not have 

the financial resources to quickly 

respond to requirements in the rule. 

(ii) Broader Engine Families and Testing 

Relief 

Broader engine families: We are 

finalizing as proposed the provision that 

post-manufacture marinizers (PMMs) 

and SVMs be allowed to continue to 

group all commercial Category 1 engines 

into one engine family for certification 

purposes, all recreational engines into 

one engine family, and all Category 2 

engines into one family. As with 

existing regulations, these entities are 

responsible for certifying based on the 

‘‘worst-case’’ emitting engine. This 

approach minimizes certification testing 

because the marinizer and SVMs can 

use a single engine in the first year to 

certify their whole product line. In 

addition, marinizers and SVMs may 

then carry over data from year to year 

until changing engine designs in a way 

that might significantly affect emissions. 

As described in the proposal, this 

broad engine family provision still 

requires a certification test and the 

associated burden for small-volume 

manufactures. We realize that the test 

costs are spread over low sales volumes, 

and we recognize that it may be difficult 

to determine the worst-case emitter 

without additional testing but we need 

a reliable, test-based, technical basis to 

issue a certificate for these engines. 

However, manufacturers will be able to 

use carryover test data to spread costs 

over multiple years of production. 

Production-line and deterioration 

testing: In addition, as proposed, SVMs 

producing engines less than or equal to 

600 kW (800 hp) are exempted from 

production-line and deterioration 

testing for the Tier 3 standards. We will 

assign a deterioration factor for use in 

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Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37147 

162U.S. EPA, Assessment and Standards Division, 

Memorandum from Chester J France to Alexander 

Cristofaro of U.S. EPA’s Office of Policy, 

Economics, and Innovation, Locomotive and 

Marine Diesel RFA/SBREFA Screening Analysis, 

September 25, 2006. 

calculating end-of-useful life emission 

factors for certification. This approach 

minimizes compliance testing since 

production-line and deterioration 

testing is more extensive than a single 

certification test. As described in the 

proposal, Tier 3 standards for these 

engines are not expected to require the 

use of aftertreatment—similar to the 

existing Tier 1 and Tier 2 standards. The 

Tier 4 standards for engines greater than 

600 kW are expected to require 

aftertreatment emission-control devices. 

Currently, we are not aware of any 

SVMs that produce engines greater than 

600 kW, except for one marinizer that 

plans to discontinue their production in 

the near future.162

We are finalizing provisions that 

require SVMs to undertake productionline and deterioration testing in the 

future if they begin producing these 

larger engines due to the sophistication 

of manufacturers that produce engines 

with aftertreatment technology. We 

believe these manufacturers will have 

the resources to conduct both the design 

and development work for the 

aftertreatment emission-control 

technology, along with production-line 

and deterioration testing. 

(iii) Delayed Standards 

One-year delay: As described in the 

proposal, post-manufacture marinizers 

(PMMs) generally depend on engine 

manufacturers producing base engines 

for marinizing. This can delay the 

certification of the marinized engines. 

There may be situations in which, 

despite its best efforts, a marinizer 

cannot meet the implementation dates, 

even with the provisions described in 

this section. Such a situation may occur 

if an engine supplier without a major 

business interest in a marinizer were to 

change or drop an engine model very 

late in the implementation process or 

was not able to supply the marinizer 

with an engine in sufficient time for the 

marinizer to recertify the engine. Based 

on this concern, we are finalizing as 

proposed to allow a one-year delay in 

the implementation dates of the Tier 3 

standards for post-manufacture 

marinizers qualifying as small 

businesses (the definition of small 

business, not SVM, used by EPA for 

these provisions for manufacturers of 

new marine diesel engines—or other 

engine equipment manufacturing—is 

1,000 or fewer employees; as defined by 

the Small Business Administration’s 

(SBA) regulations at 13 CFR 121.201) 

and producing engines less than or 

equal to 600 kW (800 hp). 

As described above and in the 

proposal, the Tier 4 standards for 

engines greater than 600 kW (800hp) are 

expected to require aftertreatment 

emission-control devices. We will not 

apply this one-year delay to small 

PMMs that begin marinizing these larger 

engines in the future due to the 

sophistication of entities that produce 

engines with aftertreatment technology. 

We expect that the large base engine 

manufacturer (with the needed 

resources), not the small PMM, will 

conduct both the design and 

development work for the aftertreatment 

emission-control technology and that 

they will also take on the certification 

responsibility in the future. Thus, the 

small PMM marinizing large engines 

will not need a one-year delay. 

Three-year delay for not-to-exceed 

(NTE) requirements: As described in the 

proposal, additional lead time is also 

appropriate for PMMs to demonstrate 

compliance with NTE requirements. 

Their reliance on another company’s 

base engines affects the time needed for 

the development and testing work 

needed to comply. Thus, as proposed, 

PMMs qualifying as small businesses 

and producing engines less than or 

equal to 600 kW (800hp) may also delay 

compliance with the NTE requirements 

by up to three years, for the Tier 3 

standards. Three years of extra lead time 

(compared to one year for the primary 

certification standards) is appropriate 

considering their more limited 

resources. As described above and in 

the proposal, the Tier 4 standards for 

engines greater than 600 kW are 

expected to require aftertreatment 

emission-control devices. We do not 

apply this three-year delay to small 

PMMs that begin marinizing these larger 

engines in the future due to the 

sophistication of entities that produce 

engines with aftertreatment technology. 

We expect that the large base engine 

manufacturer (with the needed 

resources), not the small PMM, will 

conduct both the design and 

development work for the aftertreatment 

emission-control technology and that 

they will also take on the certification 

responsibility in the future. Thus, the 

small PMM marinizing large engines 

does not need a three-year delay for 

compliance with the NTE requirements. 

Five-year delay for recreational 

engines: For recreational marine diesel 

engines, the existing regulations (2002 

Recreational Diesel Marine program; 

November 8, 2002, 67 FR 68304) allow 

small-volume manufacturers up to a 

five-year delay for complying with the 

standards. However, as proposed, we 

will not continue this provision. As 

discussed above and in the proposal, the 

Tier 3 standards for these engines are 

expected to be engine-out standards 

which do not require the use of 

aftertreatment—similar to the existing 

Tier 1 and Tier 2 standards. The Tier 4 

standards will not apply to recreational 

engines. Also, Tier 3 engines are 

expected to require far less in terms of 

new hardware, and in fact, are expected 

to only require upgrades to existing 

hardware (i.e., new fuel systems). In 

addition, manufacturers have 

experience with engine-out standards 

from the existing Tier 1 and Tier 2 

standards, and thus, they have learned 

how to comply with such standards. 

Thus, small-volume manufacturers of 

recreational marine diesel engines do 

not need more time to meet the new 

standards. For small PMMs of 

recreational marine diesel engines, the 

one-year delay described earlier will 

provide enough time for these entities to 

meet today’s standards. 

(iv) Engine Dressing Exemption 

We are finalizing as proposed that 

marine engine dresser will continue to 

be exempt from certification and 

compliance requirements. As described 

in the proposal, many marine diesel 

engine manufacturers take a new, landbased engine and modify it for 

installation on a marine vessel. Some of 

these companies modifying an engine 

make no changes that might affect 

emissions. Instead, the modifications 

may consist of adding mounting 

hardware and a generator or reduction 

gears for propulsion. It can also involve 

installing a new marine cooling system 

that meets original manufacturer 

specifications and duplicates the 

cooling characteristics of the land-based 

engine but with a different cooling 

medium (such as sea water). In many 

ways, these manufacturers are similar to 

nonroad equipment manufacturers that 

purchase certified land-based nonroad 

engines to make auxiliary engines. This 

simplified approach of producing an 

engine can more accurately be described 

as dressing an engine for a particular 

application. As indicated above, engine 

dressers make changes to an engine 

without affecting the emission 

characteristics of the engine, which 

would include modifications that do not 

affect aftertreatment emission-control 

devices or systems (as stated earlier, 

Tier 4 standards for engines greater than 

600 kW (800 hp) are expected to require 

aftertreatment). 

Because the modified land-based 

engines are subsequently used on a 

marine vessel, however, these modified 

engines are considered marine diesel 

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37148 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

163The Waterways Journal, Inc., 2006 Inland 

River Record. 

engines, which then fall under these 

requirements. As described in the 

proposal, while we continue to consider 

them to be manufacturers of a marine 

diesel engine, they are not be required 

to obtain a certificate of conformity (as 

long as they ensure that the original 

label remains on the engine and report 

annually to EPA that the engine models 

that are exempt pursuant to this 

provision). This extends section 94.907 

of the existing regulations. For further 

details of engine dressers 

responsibilities see section 1042.605 of 

the regulations. 

(v) Vessel Builder Provisions 

Current recreational marine engines 

regulations (2002 Recreational Diesel 

Marine program; November 8, 2002, 67 

FR 68304) allow manufacturers with a 

written request from a small-volume 

boat builder to produce a limited 

number of uncertified engines (over a 

five year period)—an amount equal to 

80 percent of the boat builders sales for 

one year. For builders with very small 

production volumes, this 80 percent 

allowance could be exceeded, as long as 

sales did not exceed 10 engines in any 

one year nor 20 total engines over five 

years and applied only to engines less 

than or equal to 2.5 liters per cylinder. 

We are not continuing this provision 

because recreational marine engines are 

subject only to the Tier 3 standards that 

are not expected to change the physical 

characteristics of engines (Tier 3 

standards will not result in a larger 

engine or otherwise require any more 

space within a vessel). Because of the 

similarity to Tier 2 engine standards 

there will be no need for boat builders 

to redesign engine compartments thus 

eliminating the need for this 5 year 

delay provision. 

(vi) Small Vessel Operators Exempt 

From New Standards for Existing Fleet 

In the proposed rule, we requested 

comment on an alternative program 

option (Alternative 5: Existing Engines) 

that would for the first time set emission 

standards for marine diesel engines on 

existing vessels—the marine existing 

fleet or remanufacture program. As 

described earlier in section III.B.2.b, 

Remanufactured Marine Standards, we 

plan to finalize only the first part of this 

option requiring the owner of a marine 

diesel engine (vessel operator) to use a 

certified marine remanufacture system 

when the engine is remanufactured if 

such a system is available. 

The marine existing fleet program will 

apply only to those commercial marine 

diesel engines (C1 and C2 engines) 

which meet the following criteria: 

• Greater than 600 kW (800 hp); 

• Tier 0 or Tier 1 engines for C1 

engines; 

• Tier 0, Tier 1 or Tier 2 engines for 

C2 engines; 

• Built in model year 1973 or later; 

and 

• Have a certified kit available at time 

of remanufacture. 

We estimate that about 4 percent (or 

about 3,885 of 105,406 engines) of all C1 

and C2 engines are subject to the 

existing fleet program and are likely to 

have certified kits available at the time 

of remanufacture. Thus, the percentage 

of vessels impacted by the 

remanufacture program is estimated to 

be similar. 

Industry commented that a small 

portion of the vessel operators with 

engines greater than 600 kW (800 hp) 

are small businesses that would be 

significantly burdened by the existing 

fleet program. To address these 

comments, the requirements of the 

marine existing fleet program do not 

apply to owners of marine diesel 

engines or vessel operators with less 

than $5 million in gross annual sales 

revenue. This threshold includes annual 

sales revenue from parent companies or 

affiliates of the owners/operators. (Small 

Business Administration’s (SBA’s) 

regulations at 13 CFR 121.103 describe 

how SBA determines affiliation.) If at 

some future date gross annual sales 

revenues are $5 million or more, they 

become subject to the existing fleet 

program at that point. The $5 million 

limit was chosen because a substantial 

sample of data for vessel operators— 

with vessels that have C1 and C2 

engines greater than 600 kW—indicates 

that a significant portion of the total 

revenue for this sample set, about 80 

percent, is generated by operators with 

$5 million or more in annual sales 

revenue.163

We expect that the amount of 

emissions from this sector correlates 

reasonably well with the amount of 

revenue generated (anticipate that 

revenue corresponds to activity which 

correlates well to emissions), and thus, 

most of the emissions from vessel 

operators (with engines greater than 600 

kW (800 hp)) is obtained from those 

operators with $5 million or greater in 

revenue. The $5 million threshold for 

annual sales revenue is estimated to 

include about 8 percent less of the total 

vessel operator revenue compared to a 

$10 million limit, while reflecting 15 

percent more revenue than a $1 million 

threshold. About 90 percent of all vessel 

operators with C1 and C2 engines have 

less than $5 million in revenue. The 

cost to remanufacture engines is a 

greater burden to the vessel operators 

with less than $5 million in revenue 

(larger fraction of revenue, etc.) than 

those above this limit. Therefore, the $5 

million revenue threshold eliminates 

the regulatory burden for a substantial 

number of small vessel operators, while 

capturing a significant portion of the 

emissions from operators in the marine 

remanufacture program. 

(vii) Hardship Provisions 

Sections 1068.245, 1068.250 and 

1068.255 of the existing title 40 

regulations contain hardship provisions 

for engine and equipment 

manufacturers, including those that are 

small businesses. As proposed, we will 

apply these sections for marine 

applications such as PMMs, SVMs, and 

small-volume boat builders, which will 

effectively continue existing hardship 

provisions for these entities as described 

below. 

In addition, for the marine existing 

fleet or remanufacture program, we are 

now providing these same hardship 

provisions to vessel operators or marine 

remanufacturers that qualify as small 

businesses. These provisions are 

described below. 

Post-Manufacture Marinizers (PMMs), 

Small-Volume Manufacturers (SVMs), 

and Vessel Operators (or Marine 

Remanufacturers): As proposed, we are 

continuing two existing hardship 

provisions for PMMs and SVMs. In 

addition, we now extend these two 

provisions to small vessel operators or 

small marine remanufacturers for the 

marine existing fleet program. All of 

these entities may apply for this relief 

on an annual basis. First, under an 

economic hardship provision, PMMs, 

SVMs, and vessel operators (or marine 

remanufacturers) may petition us for 

additional lead time to comply with the 

standards. They must show that they 

have taken all possible business, 

technical, and economic steps to 

comply, but the burden of compliance 

costs will have a major impact on their 

company’s solvency. As part of its 

application of hardship, a company is 

required to provide a compliance plan 

detailing when and how it plans to 

achieve compliance with the standards. 

Hardship relief could include 

requirements for interim emission 

reductions and/or purchase and use of 

emission credits. The length of the 

hardship relief decided during initial 

review is up to one year, with the 

potential to extend the relief as needed. 

We anticipate that one to two years is 

normally sufficient. Also, for PMMs and 

SVMs, if a certified base engine is 

available, they must generally use this 

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164Tier 3 engine-out standards are not expected 

to change the physical characteristics of marine 

engines. Tier 3 standards will not result in a larger 

engine or otherwise require any more space within 

a vessel. For Tier 4 standards, we expect that 

vessels will be designed to accommodate emission 

components that engine manufacturers specify as 

necessary to meet these new standards (e.g., ensure 

adequate space is available to package 

aftertreatment components). 

engine. We believe this provision will 

protect PMMs and SVMs from undue 

hardship due to certification burden. 

Also, some emission reduction can be 

gained if a certified base engine 

becomes available. See the regulatory 

text in 40 CFR 1068.250 for additional 

information. 

Second, under the unusual 

circumstances hardship provision, 

PMMs, SVMs, and vessel operators (or 

marine remanufacturers) may also apply 

for hardship relief if circumstances 

outside their control cause the failure to 

comply and if the failure to sell the 

subject engines will have a major impact 

on their company’s solvency. An 

example of an unusual circumstance 

outside a manufacturer’s control may be 

an ‘‘Act of God,’’ a fire at the 

manufacturing plant, or the unforeseen 

shut down of a supplier with no 

alternative available (the second 

example is mainly for PMMs and 

SVMs). The terms and time frame of the 

relief depend on the specific 

circumstances of the company and the 

situation involved. As part of its 

application for hardship, a company is 

required to provide a compliance plan 

detailing when and how it will achieve 

compliance with the standards. We 

consider this relief mechanism to be an 

option of last resort. We believe this 

provision will protect PMMs, SVMs, 

and vessel operators (or marine 

remanufacturers) from circumstances 

outside their control. We, however, do 

not envision granting hardship relief if 

contract problems with a specific 

company prevent compliance for a 

second time. See the regulatory text in 

40 CFR 1068.245 for additional 

information. 

Small-volume boat builders: As 

proposed, we are continuing the 

unusual circumstances hardship 

provision for small-volume boat 

builders (those with less than 500 

employees and worldwide production 

of fewer than 100 boats). Small-volume 

boat builders may apply for hardship 

relief if circumstances outside their 

control cause the failure to comply and 

if the failure to sell the subject vessels 

will have a major impact on the 

company’s solvency. An example of an 

unusual circumstance outside a boat 

builder’s control may be an ‘‘Act of 

God,’’ a fire at the boat building facility, 

or the unforeseen breakdown of a 

supply contract with an engine supplier. 

This relief allows the boat builder to use 

an uncertified engine and is considered 

a mechanism of last resort. The terms 

and time frame of the relief depend on 

the specific circumstances of the 

company and the situation involved. As 

part of its application for hardship, a 

company is required to provide a 

compliance plan detailing when and 

how it plans to achieve compliance with 

the standards. See the regulatory text in 

40 CFR 1068.250 for additional 

information. 

In addition, as described in the 

proposal, small-volume boat builders 

generally depend on engine 

manufacturers to supply certified 

engines in time to produce complying 

vessels by the date emission standards 

begin to apply. We are aware of other 

applications where certified engines 

have been available too late for 

equipment manufacturers to adequately 

accommodate changing engine size (for 

engines meeting Tier 4 standards, which 

are described in section III.B.2 of today’s 

rule) 164 or performance characteristics. 

To address this concern, we are 

allowing small-volume boat builders to 

request up to one extra year before using 

certified engines if they are not at fault 

and will face serious economic hardship 

without an extension. See the regulatory 

text in 40 CFR 1068.255 for additional 

information. 

(14) Alternate Tier 4 NOX+HC Standards 

We proposed to continue our existing 

emission averaging programs for the 

new Tier 4 NOX and HC standards for 

locomotives and marine engines. 

However, the existing averaging 

programs do not allow manufacturers to 

show compliance with HC standards 

using averaging. Because we are 

concerned that this could potentially 

limit the benefits of our averaging 

program as a phase-in tool for 

manufacturers, we are establishing an 

alternate NOX+HC standard of 1.4 

g/bhp-hr that could be used as part of 

the averaging program. Manufacturers 

that were unable to comply with the 

Tier 4 HC standard would be allowed to 

certify to a NOX+HC FEL, and use 

emission credits to show compliance 

with the alternate standard instead of 

the otherwise applicable NOX and HC 

standards. For example, a manufacturer 

may choose to use banked emission 

credits to gradually phase in its Tier 4 

1200 kW marine engines by producing 

a mix of Tier 3 and Tier 4 engines 

during the early part of 2014. NOX+HC 

credits and NOX credits could be 

averaged together without discount. 

The value of this alternate standard 

(1.4 g/bhp-hr) is the rounded sum of the 

Tier 4 NOX and HC standards. We 

proposed to set this value at the level of 

the NOX standard (1.3 g/bhp-hr). 

However, based on the comments 

received, we no longer believe this to be 

appropriate. See the Summary and 

Analysis of Comments for more 

discussion of this issue. 

(15) Other Issues 

We are finalizing other minor changes 

to the compliance program. For 

example, engine manufacturers will be 

required to provide installation 

instructions to vessel manufacturers and 

kit installers to ensure that engine 

cooling systems, aftertreatment exhaust 

emission controls, and other emission 

controls are properly installed. Proper 

installation of these systems is critical to 

the emission performance of the 

equipment. Vessel manufacturers and 

kit installers will be required to follow 

the instructions to avoid improper 

installation that could render emission 

controls inoperative. Improper 

installation would subject them to 

penalties equivalent to those for 

tampering with the emission controls. 

We are also clarifying the general 

requirement that no emission controls 

for engines subject to this final rule may 

cause or contribute to an unreasonable 

risk to public health, welfare, or safety, 

especially with respect to noxious or 

toxic emissions that may increase as a 

result of emission-control technologies. 

The regulatory language, which 

addresses the same general concept as 

the existing §§ 92.205 and 94.205, 

implements sections 202(a)(4) and 

206(a)(3) of the Act and clarifies that the 

purpose of this requirement is to 

prevent control technologies that would 

cause unreasonable risks, rather than to 

prevent trace emissions of any noxious 

compounds. This requirement prevents 

the use of emission-control technologies 

that produce pollutants for which we 

have not set emission standards but 

nevertheless pose a risk to the public. 

As is described in Section III and the 

Summary and Analysis of Comments 

document, this provision does not 

preclude the use of urea-based SCR 

emission controls. 

Some marine engine manufacturers 

have expressed concern over the current 

provisions in our regulation for 

selection of an emission data engine. 

Part 94 specifies that a marine 

manufacturer must select for testing 

from each engine family the engine 

configuration which is expected to be 

worst-case for exhaust emission 

compliance on in-use engines. Some 

manufacturers have interpreted this to 

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37150 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

165As is described in this section, freshly 

manufactured locomotives, repowered locomotives, 

refurbished locomotives, and all other 

remanufactured locomotives are all ‘‘new 

locomotives’’ in both the previous and new 

regulations. 

166 ‘‘Locomotive Emission Standards: Regulatory 

Support Document’’, APPENDIX L, ‘‘Exclusion of 

Pre-1973 Locomotives’’, April 1998. 

mean that they must test all the ratings 

within an engine family to determine 

which is the worst-case. 

Understandably, this interpretation 

could cause production problems for 

many manufacturers due to the lead 

time needed to test a large volume of 

engines. Our view is that the current 

provisions do not necessitate testing of 

all ratings within an engine family. 

Rather, manufacturers are allowed to 

base their selection on good engineering 

judgment, taking into consideration 

engine features and characteristics 

which, from experience, are known to 

produce the highest emissions. This 

methodology is consistent with the 

provisions for our on-highway and 

nonroad engine programs. Therefore, we 

are keeping essentially the same 

language in part 1042 as is in part 94. 

We are adopting similar language for 

locomotives and will apply it in the 

same manner as we do for marine 

engines. 

B. Compliance Issues Specific to 

Locomotives 

(1) Refurbished Locomotives 

Section 213(a)(5) of the Clean Air Act 

directs EPA to establish emission 

standards for ‘‘new locomotives and 

new engines used in locomotives.’’ In 

the previous rulemaking, we defined 

‘‘new locomotive’’ to mean a freshly 

manufactured or remanufactured 

locomotive.165 We defined 

‘‘remanufacture’’ of a locomotive as a 

process in which all of the power 

assemblies of a locomotive engine are 

replaced with freshly manufactured 

(containing no previously used parts) or 

reconditioned power assemblies. In 

cases where all of the power assemblies 

are not replaced at a single time, a 

locomotive is considered to be 

‘‘remanufactured’’ (and therefore 

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

from the previously new engine had 

been replaced within a five year period. 

Our new regulations clarify the 

definition of ‘‘freshly manufactured 

locomotive’’ when an existing 

locomotive is substantially refurbished 

including the replacement of the old 

engine with a freshly manufactured 

engine. The existing definition in 

§ 92.12 states that freshly manufactured 

locomotives are locomotives that do not 

contain more than 25 percent (by value) 

previously used parts. We allowed 

freshly manufactured locomotives to 

contain up to 25 percent used parts 

because of the current industry practice 

of using various combinations of used 

and unused parts. This 25 percent value 

applies to the dollar value of the parts 

being used rather than the number 

because it more properly weights the 

significance of the various used and 

unused components. We chose 25 

percent as the cutoff because setting a 

very low cutoff point would have 

allowed manufacturers to circumvent 

the more stringent standards for freshly 

manufactured locomotives by including 

a few used parts during the final 

assembly. On the other hand, setting a 

very high cutoff point could have 

required remanufacturers to meet 

standards applicable to freshly 

manufactured locomotives, but such 

standards may not have been feasible 

given the technical limitations of the 

existing chassis. 

We are adding to § 1033.901 a 

definition of ‘‘refurbish’’ which will 

mean the act of modifying an existing 

locomotive such that the resulting 

locomotive contains less than 50 

percent (by value) previously used parts 

(but more than 25 percent). We believe 

that where an existing locomotive is 

improved to this degree, it is 

appropriate to consider it separately 

from locomotives that are simply 

remanufactured in a conventional sense. 

As described below, we are specifying 

provisions for refurbished locomotives 

that vary by application (switch or linehaul) and model year (before or after 

2015). See also section IV.B(2), which 

describes minimum credit proration 

factors for refurbished locomotives. 

We are also clarifying that any 

locomotives built before 1973 become 

‘‘new’’ and thus subject to our emission 

standards when refurbished. In the 1998 

rulemaking, we determined that pre1973 locomotives should not be 

considered ‘‘new’’ when 

remanufactured.166 An important policy 

consideration in making that 

determination was our analysis of the 

feasibility of such locomotives to meet 

the Tier 0 emission standards. However, 

that analysis is not valid for refurbished 

locomotives. Given the degree to which 

such locomotives are redesigned and 

reconfigured, there is no reason that 

they should be considered differently 

from 1973 locomotives simply because 

their frames (or some other parts) were 

originally manufactured earlier. 

We requested comment on setting 

more stringent standards for refurbished 

locomotives, considering that these 

locomotives are restored to a condition 

likely to allow for many years of 

continued service. Industry commenters 

expressed concern that our subjecting 

refurbished locomotives to more 

stringent standards could prove 

counterproductive, because state and 

local programs that currently help fund 

voluntary refurbishments to very clean 

emission levels could lose their 

incentive to continue doing so, given 

that these refurbishments would now 

just be meeting EPA standards. It was 

further argued that these refurbishments 

would also lose any opportunity to 

generate valuable ABT credits, given the 

challenge just in meeting the standards. 

We believe that the need for financial 

incentives will be just as clear and just 

as strong under the new program as 

before. Refurbishing a locomotive 

effectively removes an old, highemitting locomotive from the fleet and 

replaces it with a clean one. The 

substantial cost of doing so and the 

potential that, absent incentives, old 

locomotives (especially switchers) 

would continue in operation almost 

indefinitely are the true drivers for 

creating incentives, regardless of the 

standards involved. We expect that state 

and local government officials involved 

in this process are well aware of this 

and will act accordingly. The ABT 

credits that can be gained from these 

refurbishments have not been a major 

factor to date and, considering that the 

credits can subsequently be used to 

produce other, less clean locomotives, 

we do not believe that state and local 

governments would or should be 

satisfied to help finance clean 

locomotives that result in dirtier 

locomotives elsewhere. As detailed 

below, we are therefore adopting more 

stringent standards for refurbished 

locomotives and phasing in these 

standards in a way that we believe best 

facilitates continued refurbishment of 

existing locomotives, while recognizing 

differences between the switch and linehaul locomotive fleets and the emission 

reduction trends resulting from our 

tiered approach to standards-setting. 

Currently, small numbers of old lowhorsepower locomotives are being 

refurbished as significantly loweremitting switch locomotives. The 

regulations in part 92 subject these 

locomotives to the Tier 0 standards 

(unless they contain less than 25 

percent previously used parts) and 

allow them to generate emission credits 

if they are cleaner than required. The 

regulations in part 1033 will continue 

this approach through model year 2014. 

It is important to note that since most 

of these locomotives were originally 

manufactured before 1973, simply by 

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meeting the Tier 0 standards they will 

achieve significant emission reductions. 

For similar reasons, we are adopting 

an interim program for slightly larger 

locomotives with power between 2300 

and 3000 horsepower refurbished 

through model year 2014. These 

locomotives, which are frequently used 

as road switchers, would also be subject 

to the Tier 0 standards for this period. 

We do not believe, however, that it 

would be appropriate to allow switch 

locomotives to be refurbished to the Tier 

0+ standards in the long term. Once the 

Tier 4 standards begin to apply, we will 

allow these locomotives to be certified 

to the Tier 3 switch locomotive 

standards, which will still provide the 

opportunity to generate some emission 

credits as an incentive. 

The story is slightly different for 

higher power line-haul locomotives, 

which are currently not being 

refurbished. Nearly all of these 

remaining in the Class I railroad fleets 

were originally manufactured in or after 

1973 and are already subject to the Tier 

0 or later standards. Therefore there will 

be less of an air quality incentive to 

fund their refurbishment, and so we are 

specifying that refurbished line-haul 

locomotives be subject to the same 

standards as freshly manufactured 

locomotives. The regulations would 

treat them the same except for emission 

credit proration factors, which are 

described in section IV.B.(2) 

Another important consideration is 

the potential for refurbishment to be 

used as a loophole to circumvent the 

freshly manufactured standards for linehaul locomotives. Railroads currently 

turn over their line-haul fleets much 

faster than their switch fleets. However, 

it is not hard to envision a scenario in 

which railroads began refurbishing their 

locomotives rather than buying freshly 

manufactured locomotives, especially as 

the Tier 4 standards went into effect. A 

long-term program requiring that 

refurbished line-haul locomotives meet 

the same standards as freshly 

manufactured locomotives prevents 

refurbishment from being used as such 

a loophole. 

TABLE IV–2.—PROVISIONS FOR REFURBISHED SWITCH LOCOMOTIVES

Applicable tier of 

standards 

Minimum proration factor 

Locomotives refurbished before 2015 .................................................................................................................. Tier 0+ .............. 0.60 

Locomotives refurbished in 2015 or later ............................................................................................................. Tier 3 ................ 0.60 

TABLE IV–3.—PROVISIONS FOR REFURBISHED LINE-HAUL LOCOMOTIVES

Applicable tier of 

standards 

Minimum proration factor 

Locomotives refurbished before 2015 .................................................................................................................. Tier 2+/3 ........... 0.60 

Locomotives refurbished in 2015 or later ............................................................................................................. Tier 4 ................ 0.60 

(2) Averaging, Banking and Trading 

For the most part, our new regulations 

will continue the existing averaging 

banking and trading provisions for 

locomotives. This section only 

highlights the provisions that are most 

significant in the context of this Final 

Rule. The reader is encouraged to read 

subpart H of part 1033 for details of this 

program. 

In order to ensure that the ABT 

program is not used to delay the 

implementation of the Tier 4 

technology, we are applying a 

restriction similar to the averaging 

restriction that was adopted for Tier 2 

locomotives in the previous locomotive 

rulemaking. We are restricting the 

number of Tier 4 locomotives that could 

be certified using credits to no more 

than 50 percent of a manufacturer’s 

annual production. As was true for the 

earlier restriction, this is intended to 

ensure that progress is made toward 

compliance with the advanced 

technology expected to be needed to 

meet the Tier 4 standards. This will 

encourage manufacturers to make every 

effort toward meeting the Tier 4 

standards, while allowing some use of 

banked credits to provide needed lead 

time in implementing the Tier 4 

standards by 2015, allowing them to 

appropriately focus research and 

development funds. 

We proposed to allow the carryover of 

all Part 92 credits except for PM credits 

generated from Tier 0 or Tier 1 

locomotives. The Tier 0 and Tier 1 PM 

standards under part 92 were set above 

the average baseline level to act as caps 

on PM emissions rather than 

technology-forcing standards. While 

Part 92 allows credits generated only 

relative the estimated average baseline 

rather than the standards, we were still 

concerned that such credits might have 

been windfall credits. However, as is 

described in the Summary and Analysis 

of Comments document, after further 

analysis we now believe that allowing 

the carryover of all part 92 PM credits 

is appropriate and will allow such 

credits to be used under part 1033. 

We are also updating the proration 

factors for credits generated or used by 

remanufactured locomotives. The 

updated proration factors better reflect 

the difference in service time for linehaul and switch locomotives. The ABT 

program is based on credit calculations 

that assume as a default that a 

locomotive would remain at a single 

FEL for its full service life (from the 

point it is originally manufactured until 

it is scrapped). However, when we 

established the existing standards, we 

recognized that technology would 

continue to evolve and that locomotive 

owners may wish to upgrade their 

locomotives to cleaner technology and 

certify the locomotive to a lower FEL at 

a subsequent remanufacture. We 

established proration factors based on 

the age of the locomotive to make 

calculated credits for remanufactured 

locomotives consistent with credits for 

freshly manufactured locomotives in 

terms of lifetime emissions. These 

proration factors are shown in 

§ 1033.705 of the new regulations. These 

replace the existing proration factors of 

§ 92.305. For example, using the new 

proration factors, a 15-year-old line-haul 

locomotive certified to a new FEL that 

was 1.00 g/bhp-hr below the applicable 

standard would generate the same 

amount of credit as a freshly 

manufactured locomotive that was 

certified to an FEL that was 0.43 g/bhphr below the applicable standard 

because the proration factor would be 

0.43. For comparison, under the old 

regulations, the proration factor would 

have been 0.50. 

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We are correcting how the proration 

factors apply for refurbished 

locomotives to more appropriately give 

credits to railroads for upgrading old 

locomotives to use clean engines, rather 

than to continue using the old high 

emission engines indefinitely. As with 

the rest of the program, credits will be 

calculated from the difference between 

the applicable standard and the 

emissions of the new refurbished 

locomotive, adjusted to account for the 

projected time the locomotive would 

remain in service. The correction creates 

a floor for the credit proration factor for 

refurbished locomotives of 0.60. This is 

equal to the proration factor for 20-yearold switchers and would also be 

equivalent to a proration factor for a 

locomotive that was just over 10 years 

old. For example, refurbishing a 35- 

year-old switch locomotive to an FEL 

1.0 g/bhp-hr below the Tier 0 standard 

would generate the same amount of 

credit as a conventional remanufacture 

of a 20-year-old switch locomotive to an 

FEL 1.0 g/bhp-hr below the Tier 0 

standard. This is because we believe 

that such refurbished switch 

locomotives will almost certainly 

operate as long as a 20-year-old 

locomotive that was remanufactured at 

the same time. Similarly, we believe 

that refurbished line-haul locomotives 

would likely operate as long as a 10- 

year-old locomotive that was 

remanufactured at the same time. 

Finally, we are finalizing special 

provisions for credits generated and 

used by Tier 3 and later locomotives. 

Under the current part 92 ABT program, 

credits are segregated based on the cycle 

over which they are generated but not 

by how the locomotive is intended to be 

used (switch, line-haul, passenger, etc.). 

Line-haul locomotives can generate 

credits for use by switch locomotives, 

and vice versa, because both types of 

locomotives are subject to the same 

standards. However, for the Tier 3 and 

Tier 4 programs, switch and line-haul 

locomotives are subject to different 

standards with emissions generally 

measured only for one test cycle. We 

will allow credits generated by Tier 3 or 

later switch locomotives over the switch 

cycle to be used by line-haul 

locomotives to show compliance with 

line-haul cycle standards. As proposed, 

we are not allowing such cross-cycle use 

of line-haul credits (or switch credits 

generated by line-haul locomotives) by 

Tier 3 or later switch locomotives. 

To make this approach work without 

double-counting of credits, we are also 

adopting a special calculation method 

where the credit using locomotive is 

subject to standards over only one duty 

cycle while the credit generating 

locomotive is subject to standards over 

both duty cycles (and can thus generate 

credits over both cycles). In such cases, 

we would require the use of credits 

under both cycles. For example, for a 

Tier 4 line-haul engine family needing 

1.0 megagram of NOX credits to comply 

with the line-haul emission standard, 

the manufacturer would have to use 1.0 

megagram of line-haul NOX credits and 

1.0 megagram of switch NOX credits if 

the line-haul credits were generated by 

a locomotive subject to standards over 

both cycles. 

(3) Phase-In and Reasonable Cost Limit 

The new Tier 0 and 1 emission 

standards become applicable on January 

1, 2010. We also proposed a 

requirement for 2008 and 2009 when a 

remanufacturing system is certified to 

these new standards. If such a system is 

available before 2010 for a given 

locomotive model at a reasonable cost, 

remanufacturers of those locomotives 

may no longer remanufacture them to 

the previously applicable standards. 

They must instead comply with the new 

Tier 0 or 1 emission standards when 

they are remanufactured. Similarly, we 

are requiring them to use certified Tier 

2 systems for 2008 through 2012 when 

a remanufacturing system is certified to 

the new Tier 2 standards. For the 

purposes of this provision, ‘‘reasonable 

cost’’ means that the total incremental 

cost to the operators of the locomotive 

(including initial hardware, increased 

fuel consumption, and increased 

maintenance costs) during the useful 

life of the locomotive must be less than 

$250,000. This cost limit is based on the 

upper cost we think likely to be 

required to meet these standards and 

reflects comments on our NPRM from 

remanufacturers. 

As part of this phase-in requirement, 

we are requiring certifiers to notify 

customers that they are applying for 

certificate such that their locomotives 

will become subject to the new 

standards. We would then allow 

owners/operators a minimum 90-day 

grace period (after we issue the 

certificate) in which they could 

remanufacture their locomotives to the 

previously applicable standards once 

they are notified by the certificate 

holder that such systems are available. 

This allows them to use up inventory of 

older parts. However, where the 

certifiers do not immediately notify 

them, railroads would be allowed a 

grace period of at least 120 days after 

they are notified. This combined 

approach allows sufficient time to find 

out about the availability of kits and to 

make appropriate plans for compliance. 

We are also adding a new provision for 

owners/operators that limits the total 

number of locomotives that would need 

to meet the new standards during 2008 

and 2009 to a fraction of the total 

number of remanufactures they do 

between October 3, 2008 and December 

31, 2009 that are subject to either the 

old or new standards. 

We are adding provisions that would 

allow Tier 0/1 remanufacturers to use 

during the phase-in period an assigned 

deterioration factor of 0.03 g/bhp-hr for 

PM and assume that all other 

deterioration factors are zero. We will 

also apply an in-use PM add-on of 0.03 

g/bhp-hr. These two provisions are 

intended to address lead time concerns 

raised by commenters. The commenters 

correctly point out that the available 

lead time is not sufficient to allow 

remanufacturers to verify durability of 

the emission controls in a more 

conventional way. By addressing this 

lead time issue, we will make it more 

likely that the low emission kits will be 

brought to market early. 

(4) Recertification Without Testing 

Once manufacturers have certified an 

engine family, we have historically 

allowed them to obtain certificates for 

subsequent model years using the same 

test data if the engines remain 

unchanged from the previous model 

year. We refer to this type of 

certification as ‘‘carryover.’’ We are also 

extending this allowance to owner/ 

operators. Specifically, we are adding 

the following paragraph to the end of 

§ 1033.240: 

(c) An owner/operator remanufacturing its 

locomotive to be identical to the previously 

certified configuration may certify by design 

without new emission test data. To do this, 

submit the application for certification 

described in § 1033.205, but instead of 

including test data, include a description of 

how you will ensure that your locomotives 

will be identical in all material respects to 

their previously certified condition. You 

have all of the liabilities and responsibilities 

of the certificate holder for locomotives you 

certify under this paragraph. 

(5) Railroad Testing 

Section 92.1003 requires Class I 

freight railroads to annually test a small 

sample of their locomotives. We 

proposed to adopt the same 

requirements in § 1033.810, but asked 

for comments on whether this program 

should be changed. In particular, we 

requested suggestions to better specify 

how a railroad selects which 

locomotives to test, which has been a 

source of some confusion in recent 

years. In this final rule, we are adopting 

a revised approach that should reduce 

this confusion. The regulations provide 

four options for railroads to select 

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locomotives for testing and require EPA 

to notify the railroad by January 1st for 

any year in which we choose to specify 

which locomotives should be tested. 

In addition, the maximum annual 

testing rate is being lowered to 0.075 

percent, from the previously applicable 

rates of 0.15 to 0.10 percent. This new 

rate will require Class I railroads to test 

approximately 20 locomotives per year. 

We believe that this number of tests (in 

addition to the testing required for 

certificate holders) will be enough to 

allow us to appropriately monitor the 

emission performance of in-use 

locomotives. 

(6) Test Conditions and Corrections 

In our previous rule, we established 

test conditions that are representative of 

in-use conditions. Specifically, we 

required that locomotives comply with 

emission standards when tested at 

temperatures from 45°F to 105°F and at 

both sea level and altitude conditions 

up to about 4,000 feet above sea level. 

One of the reasons we established such 

a broad range was to allow outdoor 

testing of locomotives. While we only 

required that locomotives comply with 

emission standards when tested at 

altitudes up to 4,000 feet for purposes 

of certification and in-use liability, we 

also required manufacturers to submit 

evidence with their certification 

applications, in the form of an 

engineering analysis, that shows that 

their locomotives were designed to 

comply with emission standards at 

altitudes up to 7,000 feet. We included 

correction factors that are used to 

account for the effects of ambient 

temperature and humidity on NOX

emission rates. 

We are now changing how the 

regulations deal with the test 

temperatures. We are specifying that 

testing without correction may be 

performed down to a lower limit of 

60°F. In implementing the prior 

regulations, we found that the broad 

temperature range with correction, 

which was established to make testing 

more practical, was problematic. Given 

the uncertainty with the existing 

correction, manufacturers have 

generally tried to test in the narrower 

range being adopted today. However, we 

will still allow manufacturers to test at 

lower temperatures but will require 

them to develop correction factors 

specific to their locomotive designs. 

We are also changing the altitude 

requirements for switch locomotives in 

response to a comment noting that 

switch locomotives will rarely operate 

above 5,500 feet. For switch 

locomotives, we will only require 

manufacturers to show that their 

locomotives comply with emission 

standards at altitudes up to 5,500 feet. 

(7) Duty Cycles and Calculations 

(a) Idle Weighting Adjustments 

While we did not propose any 

changes to the weighting factors for the 

locomotive duty cycles, we did request 

comment on whether such changes 

would be appropriate in light of the 

proposed idle reduction requirements. 

The regulations specify an alternate 

calculation for locomotive equipped 

with idle shutdown features. This 

provision allows a manufacturer to 

appropriately account for the inclusion 

of idle reduction features as part of its 

emission control system. There are three 

primary reasons why we are not 

changing the calculation procedures 

with respect to the idle requirements. 

First, different shutdown systems will 

achieve different levels of idle reduction 

in use. Thus, no single adjustment to the 

cycle would appropriately reflect the 

range of reductions that will be 

achieved. Second, the existing 

calculation provides an incentive for 

manufacturers to design shutdown 

systems that achieve in the greatest 

degree of idle reduction that is practical. 

Finally, our feasibility analysis is based 

in part on the emission reductions 

achievable relative to the existing 

standards. Since some manufacturers 

already rely on the calculated emission 

reductions from shutdown features 

incorporated into many of their 

locomotive designs, our feasibility is 

based in part on allowing such 

calculations. 

We are adopting a slight change to the 

way this adjustment works as compared 

to the previous regulations. We are 

specifying that idle emission rates for 

locomotives meeting our minimum 

shutdown requirements in § 1033.115 be 

reduced by 25 percent, unless the 

manufacturer demonstrates that greater 

idle reduction will be achieved. 

(b) Representative Cycles 

We also recognize that the potential 

exists for locomotives to include 

additional power notches, or even 

continuously variable throttles, and that 

the standard FTP sequence for such 

locomotives would result in an 

emissions measurement that does not 

accurately reflect their in-use emissions 

performance. Moreover, some 

locomotives may not have all of the 

specified notches, making it impossible 

to test them over the full test. Under the 

previous regulations, we handled such 

locomotives under our discretion to 

allow alternate calculations (40 CFR 

92.132(e)). We are now adopting more 

specific provisions in § 1033.520. In 

general, for locomotives missing 

notches, we believe the existing duty 

cycle weighting factors should be 

reweighted without the missing notches. 

For locomotives without notches or 

more than 8 power notches, the 

regulations reference following 

information provided to us by 

manufacturers for the previous 

rulemaking that shows typical notch 

power levels expressed as a percentage 

of the rated power of the engine. 

In response to comments we are also 

adding provisions to address 

locomotives that include new design 

features that will result in changes to 

the in-use duty cycle. Specifically, the 

regulations state that manufacturers 

must notify us if they are adding design 

features that will make the expected 

average in-use duty cycle of their engine 

family significantly different from the 

otherwise applicable test cycle. They 

must also recommend an alternate test 

cycle that represents the expected 

average in-use duty cycle. We will 

specify whether to use the default duty 

cycle, the recommended cycle, or a 

different cycle, depending on which 

cycle we believe best represents 

expected in-use operation. For 

locomotives subject to both line-haul 

and switch cycle standards, the 

regulations specify that a single set of 

standards would apply for the 

representative cycle. 

(c) Energy Saving Design Features 

We are adopting special provisions for 

locomotives equipped with energysaving design features, such as 

sophisticated electronic optimization of 

throttle and brake settings based on 

route data or locomotive operation in a 

consist, electronically controlled 

pneumatic (ECP) brakes, and hybrid 

technology. The provisions we are 

adopting recognize that to whatever 

degree the total work done by a 

locomotive is reduced, the mass 

emissions would likely also be reduced. 

For example, if certain design features 

reduced by three percent the amount of 

work needed to pull a typical train, then 

the mass emission rate (g/hr) would 

generally also be reduced by three 

percent. Under the new provisions, 

manufacturers will be allowed to adjust 

their locomotives’ emissions to reflect 

this, based on data gathered prior to 

certification. 

Manufacturers choosing to adjust 

emissions under these provisions must 

present a test plan to EPA for approval 

prior generating the in-use data 

necessary to estimate their emissions 

reductions. The degree to which 

manufacturers would be allowed to take 

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a credit at certification would be 

determined from a statistical analysis of 

their supporting data to address the 

uncertainty in their estimate. This 

would minimize the possibility that 

manufacturers would be given credit for 

emission reductions that did not 

actually occur. Later, additional data on 

the in-use fleet using the feature could 

be gathered to improve the statistical 

certainty and this could then be factored 

into subsequent certifications. In 

concept, however, if we had perfect 

data, we would grant the manufacturers 

full credit for the savings. 

Since our standards are specified as 

brake-specific emission limits, no credit 

or adjustment will be allowed for 

features that only improve the engine’s 

brake-specific fuel consumption. The 

nature of the test procedure itself 

already properly credits such features. 

Thus, allowing additional credits to be 

calculated would be double-counting of 

credits. 

(8) Non-OEM Remanufacturing Parts 

We are adopting measures in 

§ 1033.645 to help provide for the 

continued participation in 

remanufacturing by parts manufacturers 

willing to take responsibility for the 

long-term emissions performance of 

their parts but who lack the 

wherewithal to design and certify entire 

locomotive remanufacture systems that 

may include complex emissions control 

systems far beyond their expertise. 

Under this program, we would 

determine, based on an upfront 

engineering analysis, that the part 

supplier has a reasonable basis for 

concluding that use of their part would 

be equivalent to the OEM part in use. 

We would later verify its emission 

performance through in-use emission 

testing. 

The exact nature of the engineering 

analysis necessary to demonstrate that 

the part supplier has a reasonable basis 

for concluding that use of their part (or 

parts) will not cause emissions to 

increase beyond the level expected from 

the OEM part in use, is expected to vary. 

We see four possible paths to 

accomplish this. 

• The part is shown to be identical to 

the original part in all material respects. 

• The part differs physically from the 

original in a small number of ways and 

each of these is evaluated to show that 

the aftermarket part will be as good as 

or better than the original with respect 

to emissions performance. 

• Measurable emission-critical 

parameters such as fuel injection profile 

or engine oil consumption rate are 

established and an engine (or relevant 

engine subsystem) using the aftermarket 

part is shown through testing to perform 

as good or better than one with the 

original part with respect to these 

parameters. 

• Emissions testing and durability 

demonstration is performed in 

essentially the same manner as for 

remanufactured system certification. 

For example, cylinder liners differing 

only in color and part number from the 

OEM liners would be identical in all 

material respects. Those having 

different bore groove patterns would not 

be considered identical, but an analysis 

of the difference this makes in the oil’s 

interaction with the cylinder wall and 

rings (which could have an impact on 

PM emissions) could suffice to make the 

demonstration. Chrome-plated cylinder 

liners in combination with a specified 

piston ring set used in place of original 

rings and non-plated liners could be 

expected to affect the emission-critical 

parameter of oil consumption, 

especially later in the locomotive useful 

life due to differences in wear rates. 

Bench or field testing over time 

demonstrating lower oil consumption 

trends than original equipment could 

provide a sufficient demonstration, 

provided no other emission-critical 

parameters are involved. We do not 

believe it is necessary or even possible 

to specify in the regulations the 

appropriate emission-critical parameters 

for all of the locomotive aftermarket 

components identified in this provision 

or to specify the test procedures and 

criteria by which these parameters are 

evaluated. Instead, we are establishing 

broad criteria and requiring the part 

suppliers to propose the appropriate 

emission-critical parameters and 

corresponding test or analytical 

methods appropriate to the part they 

produce. 

We would allow railroads to use the 

non-OEM part during remanufacturing 

once we have approved the supplier’s 

engineering analysis. Once the part has 

been installed in at least 250 

locomotives, we would require one of 

them to be tested. One additional 

locomotive would need to be tested 

from the next additional 500 

locomotives that use the part. If any 

locomotives fail to meet all standards, 

we generally require one additional 

locomotive to be tested for each 

locomotive that fails. We would 

generally allow the supplier to include 

testing performed by others. For 

example, if a railroad tests a locomotive 

with the part under § 1033.810, the 

supplier could submit those test data as 

fulfillment of its test obligations. 

We are adopting these provisions to 

address the specific issue of parts that 

are typically replaced during 

remanufacturing and for which there is 

an active aftermarket. Therefore, we are 

only specifying cylinder liners, cylinder 

heads, pistons, rings, and fuel injectors 

as being covered by this program. We 

reserve the authority to expand the 

program to cover other parts. 

(9) Use of Nonroad Engines Certified 

Under 40 CFR Parts 89 and 1039 

Section 92.907 currently allows the 

use of a limited number of nonroad 

engines in locomotive applications 

without certification under the 

locomotive program. We believe a 

similar allowance should also be 

included in the new regulations. 

However, we are making some changes 

to these procedures. In general, 

manufacturers have not taken advantage 

of these previously existing provisions. 

In some cases, this was because the 

manufacturer wanted to produce more 

locomotives than allowed under the 

exemption. However, in most cases, it 

was because the customer wanted a full 

locomotive certification with the longer 

useful life and additional compliance 

assurances. We are adopting new 

separate approaches for the long term 

(§ 1033.625) and the short term 

(§ 1033.150), each of which addresses at 

least one of these issues. 

For the long term, we are replacing 

the existing allowance that relies on part 

89 certificates with a designcertification program that makes the 

locomotives subject to the locomotive 

standards in use but does not require 

new testing to demonstrate compliance 

at certification. Specifically, this 

program allows switch locomotive 

manufacturers using nonroad engines to 

introduce up to 30 locomotives of a new 

model prior to completing the 

traditional certification requirements. 

While the manufacturer would be able 

to certify without new testing, the 

locomotives would have locomotive 

certificates. Thus, purchasers would 

have the compliance assurances they 

desire. 

As is described in section III B (1)(b), 

the short-term program is more flexible 

and does not require that the 

locomotives comply with the switch 

cycle standards; instead the engines 

would be subject to the part 1039 

standards. The manufacturers would be 

required to use good engineering 

judgment to ensure that the engines’ 

emission controls would function 

properly when installed in the 

locomotives. For example, the 

locomotive manufacturer would need to 

ensure that sufficient cooling capacity 

was available to cool the engine intake 

air. Given the relative levels of the part 

1039 standards and those being 

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proposed in 1033, we do believe there 

is little environmental risk with this 

short-term allowance and thus are not 

including any limits of the sales of such 

locomotives. Nevertheless, we are 

limiting this allowance to model years 

through 2017. This provides sufficient 

time to develop these new switchers. 

These locomotives would not be exempt 

from the part 1033 locomotive standards 

when remanufactured, unless the 

remanufacturing of the locomotive took 

place prior to 2018 and involved 

replacement of the engines with 

certified new nonroad engines. 

Otherwise, the remanufactured 

locomotive will be required to be 

covered by a part 1033 remanufacturing 

certificate. 

(10) Mexican and Canadian 

Locomotives 

Under the prior regulations, Mexican 

and Canadian locomotives are subject to 

the same requirements as U.S. 

locomotives if they operate extensively 

within the U.S. The regulation 40 CFR 

92.804(e) states: 

Locomotives that are operated 

primarily outside of the United States, 

and that enter the United States 

temporarily from Canada or Mexico are 

exempt from the requirements and 

prohibitions of this part without 

application, provided that the operation 

within the United States is not extensive 

and is incidental to their primary 

operation. 

We are changing this exemption to 

make it subject to our prior approval, 

since we have found that the current 

language has caused some confusion. 

When we created this exemption, it was 

our understanding that Mexican and 

Canadian locomotives rarely operated in 

the U.S. and the operation that did 

occur was limited to within a short 

distance of the border. We are now 

aware that there are many Canadian 

locomotives that do operate extensively 

within the U.S. and relatively few that 

meet the conditions of the exemption. 

We have also learned that some 

Mexican locomotives may be operating 

more extensively in the United States. 

Thus, it is appropriate to make this 

exemption subject to our prior approval. 

To obtain this exemption, a railroad will 

be required to submit a detailed plan for 

our review prior to using uncertified 

locomotives in the U.S. We will grant an 

exemption for locomotives that we 

determine will not be used extensively 

in the U.S. and that such operation will 

be incidental to their primary operation. 

Mexican and Canadian locomotives that 

do not have such an exemption and do 

not otherwise meet EPA regulations may 

not enter the United States. 

(11) Other Locomotive Issues 

The regulations in part 92 allow 

locomotive owners to voluntarily 

subject their pre-1973 locomotives to 

the Tier 0 standards or to include in the 

locomotive program low-horsepower 

locomotives that would otherwise be 

excluded based on their rated power. 

We are also including these options in 

the new part 1033. We will also provide 

two additional options. First, we will 

allow Tier 0 switch locomotives, which 

are normally not subject to line-haul 

cycle standards, to be voluntarily 

certified to the line-haul cycle 

standards. Second, we will allow any 

locomotives to be voluntarily certified 

to a more stringent tier of standards. An 

example of where these options may be 

desirable would be a case in which a 

customer wants to purchase a 

refurbished switch locomotive that 

meets the Tier 2 standards. While it may 

seem obvious that it would be allowed, 

the old regulations are unclear. The part 

1033 regulations eliminate this 

confusion. 

The existing and proposed regulations 

both specified that railroads are 

required to perform emission-related 

maintenance. In response to comments, 

we have added to the regulations a 

clarification that unscheduled 

maintenance has to be performed in a 

timely manner, no later than at the next 

‘‘92-day’’ inspection required by the 

Federal Railroad Administration. 

Railroads expressed concern that the 

regulations, as previously written, 

would have required them to 

immediately remove a locomotive from 

service to make emission-related 

repairs. This was not our intent. Rather, 

the maintenance provision was 

intended to merely require that the 

maintenance be performed in a timely 

manner. For many repairs, it may be 

appropriate to wait until the next 92-day 

inspection. However, for many others it 

would be appropriate to make the repair 

sooner to the extent practical. 

In response to comments, we are 

adding an interim allowance to simplify 

certification testing of locomotive 

engines. Specifically, for model years 

before 2014, we will allow 

manufacturers to test locomotive 

engines for certification without 

replicating the transient behavior in the 

locomotive. This will make it easier for 

manufacturers to certify new cleaner 

remanufacturing systems for the full 

range of locomotive models. 

C. Compliance Issues Specific to Marine 

Engines 

(1) Remanufacturing 

As discussed in Section III, above, we 

are adopting a marine remanufacture 

program for marine diesel engines over 

600 kW built from 1973 through Tier 2 

that requires the use of a certified 

remanufacture system when such an 

engine is remanufactured, if one is 

available. Certified remanufacture 

systems must achieve at least a 25 

percent reduction in PM emissions. This 

section briefly describes several 

certification and compliance provisions 

for the marine remanufacture program; 

the full program is contained in the 

regulations for this rule. 

In general, the normal certification 

requirements for new marine diesel 

engines would apply, with minor 

variations as needed to accommodate 

the characteristics of remanufactured 

engines. For example, engine families 

are based on the same criteria as for 

freshly manufactured engines, and 

testing, reporting, the application for 

certification, and warranty requirements 

closely follow the provisions that apply 

for freshly manufactured engines. 

In general, remanufactured engines 

are considered to be ‘‘new’’ engines, and 

they remain new until sold or placed 

back into service after the replacement 

of the last cylinder liner. The standards 

do not apply for engines that are rebuilt 

without removing cylinder liners. For a 

new engine to be placed into service, it 

must be covered by a certificate of 

conformity. 

As is the case with our other emission 

control programs, certification testing 

for conformity demonstration will be 

performed on the most common 

configuration within an engine family. 

An engine family is a group of engines 

that have the same characteristics with 

respect to combustion cycle and fuel, 

cooling system, method of air 

aspiration, method of exhaust 

aftertreatment, combustion chamber 

design, bore and stroke, and mechanical 

or electronic controls. Other 

configurations may be included if it can 

be shown based on good engineering 

judgment that they are likely to provide 

a PM reduction similar to the 

configuration tested. Compliance for 

these other configurations is based on 

an engineering demonstration that the 

remanufacturing system reduces PM 

emissions by 25 percent without 

increasing NOX emissions. Engine 

families may also include 

remanufacturing systems corresponding 

to engines that were originally produced 

over multiple model years, as long as 

the configuration does not change in a 

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way that affects the validity of 

certification for the remanufacturing 

system. 

To certify a remanufacture system, a 

manufacturer must measure baseline 

emissions and emissions from an engine 

remanufactured using its system. A 

baseline emission rate would be 

established by remanufacturing an 

engine following normal procedures. 

That engine or a second engine of the 

same configuration is then tested for 

emissions after remanufacturing with 

the expected emission controls. The 

remanufacturing system meets the 

emission standards of the program by 

demonstrating a minimum 25 percent 

reduction in PM emissions and no 

increase in NOX emissions (within 5 

percent). The remanufacturer must also 

demonstrate that the remanufacturing 

system does not adversely affect engine 

reliability or power. 

The remanufacturer must also 

demonstrate that the total marginal cost 

of the remanufacturing system is less 

than $45,000 per ton of PM reduction. 

For the purpose of this demonstration, 

marginal cost means the difference in 

costs between remanufacturing the 

engine using the remanufacture system 

and remanufacturing the engine 

conventionally. Total marginal costs 

over the period of one useful life are 

divided by the projected PM emissions 

over one useful life to obtain the cost of 

the remanufacture system per ton of PM 

reduced. Costs to be considered include 

hardware costs, labor costs, operating 

costs over one useful life period, and 

other costs (such as shipping). 

The useful life provisions established 

for freshly manufactured engines would 

apply equally to remanufactured 

engines. In general, remanufacturers 

would be responsible for meeting 

emission standards for 10 years or 

10,000 hours of operation for Category 

1 engines, and 10 years or 20,000 hours 

of operation for Category 2 engines. 

Certification will rely on a 

deterioration factor, similar to freshly 

manufactured engines. The certifying 

company may either use an assigned 

value of 0.015 g/kW-hr for PM or 

develop a new deterioration factor based 

on engine testing. For Tier 2 engines, 

the certifying company needs to add the 

deterioration factor to measured 

emission levels for certification. The 

deteriorated number must be less than 

the applicable PM standard. For Tier 1 

and earlier engines, the deterioration 

factor is added to the emission level 

established for the certified 

configuration and that higher emission 

level serves as the emission standard for 

any in-use testing after certification. 

The regulations allow for simplified 

certification requirements for 

remanufacture systems that are already 

certified under the locomotive program. 

This would require only an engineering 

analysis demonstrating that the system 

would achieve emission reductions 

from marine engines similar to those 

from locomotives. Because the marine 

remanufacture program requires only a 

PM reduction, locomotive 

remanufacture system manufacturers 

may modify those locomotive systems 

with respect to NOX emissions. In that 

case, the system will have to be 

recertified as a marine remanufacture 

system based on measured values and 

subject to all of the other certification 

requirements of the marine 

remanufacture program. 

Remanufactured engines are not 

eligible for generating or using emission 

credits for averaging, banking, or 

trading. This is appropriate because the 

program we are finalizing is only 

mandatory if a system has been certified 

for the relevant engine. We will 

reconsider allowing systems to be based 

on emission credits when we consider 

whether to adopt a mandatory marine 

remanufacture program (Part 2 of the 

proposed program) at a later date. 

Not-to-exceed standards do not apply 

to remanufacturing. This is appropriate 

because the base engine in most cases is 

not subject to NTE requirements. In 

addition, NTE is most appropriately 

considered in the initial engine design 

phase; requiring remanufactured 

engines to meet the NTE requirements 

would likely require more intensive 

engine redesign than is anticipated by 

the simpler program we are finalizing. 

Finally, other provisions such as 

those governing maintenance intervals, 

warranties, duty cycles, test fuel, 

labeling, recordkeeping, etc. are the 

same as or similar to those for freshly 

manufactured engines. 

(2) Replacement Engines 

We are revising certain aspects of our 

existing provisions with regard to 

replacement engines, as described 

below. These requirements apply to all 

marine diesel engines, propulsion or 

auxiliary, regardless of marine 

application. Section 1042.601(c) 

provisions apply instead of the 

provision of section 1068.240(b)(3) that 

applies for other nonroad engines. 

(a) Replacement With a Freshly 

Manufactured Engine 

Under the current marine diesel 

engine program, an engine manufacturer 

is generally prohibited from selling a 

marine engine that does not meet the 

standards that are in effect when that 

engine is produced. However, we 

recognize that there may be situations in 

which a vessel owner may require an 

engine certified to an earlier tier of 

standards. The two most likely 

situations are (1) when a vessel has been 

designed to use a particular engine such 

that it cannot physically accommodate a 

different engine due to size or weight 

constraints (e.g., a new engine model 

will not fit into the existing engine 

compartment); or (2) when the engine is 

matched to key vessel components such 

as the propeller, or when a vessel has a 

pair of engines that must be matched for 

the vessel to function properly. 

To address these extreme situations, 

we amended existing regulation 40 CFR 

94.1103(b)(3) to allow a manufacturer to 

produce a new engine which meets an 

earlier tier of standards if the 

Administrator determined that no new 

engine certified to the emission limits in 

effect at that time is produced by any 

manufacturer with the appropriate 

physical or performance characteristics 

needed to repower the vessel. An engine 

manufactured pursuant to this provision 

is subject to certain conditions: The 

replacement engine must meet 

standards at least as stringent as those 

of the original engine; the engine 

manufacturer must take possession of 

the original engine or confirm it is 

destroyed; and the replacement engine 

must be clearly labeled to show that it 

does not comply with the standards and 

that sale or installation of the engine for 

any purpose other than as a replacement 

engine is a violation of federal law and 

subject to civil penalty. 

We subsequently revised this 

provision to allow the engine 

manufacturer to make the determination 

of whether an engine compliant with 

the current standards would fit a vessel, 

but solely in cases of catastrophic 

failure (see 70 CFR 40419, July 13, 

2005). This change was made to reflect 

industry concerns that obtaining prior 

EPA approval would take too long. The 

engine manufacturer may make the 

determination in catastrophic failure 

situations provided that the following 

conditions are met: The manufacturer 

must determine that no certified engine 

is available, either from its own product 

lineup or that of the manufacturer of the 

original engine (if different); and the 

engine manufacturer must document the 

reasons why an engine of a newer tier 

is not usable, and this report must be 

made available to us upon request. We 

also specified in § 94.1103(a)(8) that no 

other significant modifications to the 

vessel can be made as part of the 

process of replacing the engine, or for a 

period of 6 months thereafter. 

In response to comments on the 

proposal for this rulemaking, we are 

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finalizing three additional revisions to 

the replacement engine provisions. 

First, engine manufacturers may now 

make the determination with respect to 

the feasibility of using a current tier 

engine in both noncatastrophic and 

catastrophic situations. This is a 

significant change to the program. 

Engine manufacturers and user groups 

were concerned about the amount of 

time that would be needed to obtain 

prior EPA approval, even in these 

noncatastrophic cases. Even though the 

noncatastrophic engine replacement is 

more typically planned in advance, it is 

still the case that the determination 

must be made in a timely manner to 

ensure the engine manufacturer has 

time to produce the engine before the 

vessel is taken out of service for the 

replacement. Therefore, we are revising 

the program to allow the engine 

manufacturer to make such 

determinations, provided certain 

additional conditions are met: The 

engine manufacturer must examine the 

suitability of replacement with any 

current tier engine, either produced by 

that manufacturer or any other 

manufacturer; the engine manufacturer 

must make a record of each 

determination, which must be kept for 

eight years and contain specific 

information; the record must be 

submitted to EPA within 30 days after 

shipping each engine along with a 

statement certifying that the information 

contained in that record is true. We may 

reduce the reporting and recordkeeping 

requirements in this section after a 

manufacturer has established a 

consistent level of compliance with the 

requirements of this section. 

These records will be used by EPA to 

evaluate whether engine manufacturers 

are properly making the feasibility 

determination and applying the 

replacement engine provisions. We may 

void any exemptions we determine do 

not conform to the applicable 

requirements. When assessing penalties 

under this provision we would consider 

whether the manufacturer acted in good 

faith. Thus manufacturers are 

encouraged to keep additional records 

to support their good faith attempt to 

comply with the regulations. For 

example, manufacturers could keep 

records of requests for replacement 

engines that are denied. 

In making the determination that a 

current tier engine is not a feasible 

replacement engine for a vessel, we 

expect the engine manufacturer will 

evaluate not just engine dimensions and 

weight but may also include other 

pertinent vessel characteristics. These 

pertinent characteristics would include 

downstream vessel components such as 

drive shafts, reduction gears, cooling 

systems, exhaust and ventilation 

systems, and propeller shafts; electrical 

systems for diesel generators (indirect 

drive engines); and such other ancillary 

systems and vessel equipment that 

would affect the choice of an engine. At 

the same time, there are differences 

between the new tier and original tier 

engines that should not affect this 

determination, such as the warranty 

period or life expectancy of a newer tier 

engine, or its cost or production lead 

time. These characteristics should not 

be part of the determination of whether 

or not a new tier engine can be used as 

a replacement engine. With regard to the 

warranty period or life expectancy for 

the new tier engine, an exception may 

be if these are significantly shorter for 

the new tier engine than for an older tier 

engine or the original engine and the 

shorter warranty period or life 

expectancy for the newer model is 

consistent with industry practices. 

In addition, in the case of a vessel 

with two or more paired engines, if the 

engine not in need of replacement has 

accumulated service in excess of 75 

percent of its useful life we specify that 

the determination must consider 

replacement of both engines in the pair. 

This requirement is necessary to prevent 

circumvention of the freshly 

manufactured engine requirements by 

replacing one engine at a time and 

relying on the need to pair the engines 

as the sole justification for producing an 

engine to an earlier tier. We are also 

specifying that no additional 

modifications may be made to a vessel 

for six months after installing a new 

replacement engine made to a previous 

tier. This is to avoid circumvention of 

the requirement to use a freshly 

manufactured engine when a vessel is 

refurbished such that it becomes a new 

vessel. 

The second change to the replacement 

engine provision is necessary to 

accommodate the new tiers of standards 

we are adopting in this rulemaking. 

Specifically, in making the feasibility 

determination the engine manufacturer 

is now required to consider all previous 

tiers and use any of their own engine 

models from the most recent tier that 

meets the vessel’s physical and 

performance requirements. If an engine 

manufacturer can produce an engine 

that meets a previous tier of standards 

representing better control of emissions 

than that of the engine being replaced, 

the manufacturer would need to supply 

the engine meeting the tier of standards 

with the lowest emission levels. For 

example, if a Tier 1 engine is being 

replaced after the Tier 3 standards go 

into effect, the engine manufacturer 

would have to demonstrate why a Tier 

2 as well as a Tier 3 engine cannot be 

used before a Tier 0 engine can be 

produced and installed. Similarly, for 

an engine built prior to 2004, the engine 

manufacturer would have to 

demonstrate why a Tier 1, Tier 2, or a 

Tier 3 engine cannot be used. It should 

be noted, in the case of Tier 0 engines, 

that MARPOL Annex VI prohibits 

replacing an existing engine at or above 

130 kW with a freshly manufactured 

engine unless it meets the Tier 1 

standards. 

The third change to the replacement 

engine provisions pertains to Tier 4 

engines. We are making the advance 

determination that Tier 4 engines 

equipped with aftertreatment 

technology to control either NOX or PM 

are not required for use as replacement 

engines for engines from previous tiers 

in accordance with this regulatory 

replacement engine provision. Note, 

however, that Tier 4 engines will be 

required to be used as replacement 

engines if the original engine being 

replaced is a Tier 4 engine. We are 

making this determination in advance 

because we expect that installing such 

a Tier 4 engine in a vessel that was 

originally designed and built with a 

previous tier engine could require 

extensive vessel modifications (e.g., 

addition of a urea tank and associated 

plumbing; extra room for a SCR or PM 

filter; additional control equipment) that 

may affect important vessel 

characteristics (e.g., vessel stability). It 

should be noted that by making this 

advance determination, EPA is not 

implying that Tier 4 engines are never 

appropriate for use as replacement 

engines for engines from previous tiers; 

this determination is intended to 

simplify the search across engines and 

is based on the presumption that Tier 4 

engines may not fit in most cases. We 

are also not intending to prevent states 

or local entities from including Tier 4 

engines in incentive programs that 

encourage vessel owners to replace 

previous tier existing engines with new 

Tier 4 engines or to retrofit control 

technologies on existing engines, since 

those incentive programs often are 

designed to offset some of the costs of 

installing and/or using advanced 

emission control technology solutions. 

This advance determination is being 

made solely for Tier 4 marine diesel 

replacement engines that comply with 

the Tier 4 standards through the use of 

catalytic aftertreatment systems. Should 

an engine manufacturer develop a Tier 

4 compliant engine solution that does 

not require the use of such technology, 

then this automatic determination will 

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not apply. Instead our existing provision 

will apply and it will be necessary to 

show that a non-catalytic Tier 4 engine 

would not meet the required physical or 

performance needs of the vessel. 

(b) Replacement With an Existing 

Engine 

Our current marine diesel engine 

program does not contain provisions 

that address the case in which an engine 

is replaced with an existing used 

engine. This means that if a vessel 

owner replaces an existing engine with 

a used engine, then that replacement 

engine is not required to be certified to 

our marine standards. It should be 

noted, however, that engines greater 

than 600 kW that are built after 1973 

would still be subject to the 

remanufacture program described in 

Section III(C)(2)(b). This means if the 

existing engine that is the replacement 

engine has all of its cylinder liners 

replaced, it will be required to be 

remanufactured using a certified 

remanufacture system if one is available 

for that engine. It is our expectation that 

a vessel owner would not replace an 

existing engine above 600 kW with a 

partially-rebuilt engine, and therefore 

we do not expect to see replacement 

engines that are not remanufactured if 

there is a certified remanufacture system 

available. 

These remanufacture requirements 

would apply whether the owner is 

obtaining an identical existing (used) 

replacement engine due to an engine 

failure or through an engine exchange 

for a periodic engine rebuild. These 

requirements would also apply if a 

vessel owner is obtaining a different 

model existing (used) replacement 

engine, for whatever reason. 

It should be noted that pursuant to the 

definition of ‘‘new marine engine,’’ used 

engines brought into the marine market 

from other segments (e.g., locomotive, 

land-based nonroad, or highway sectors) 

are considered to be new marine diesel 

engines when they are marinized or 

modified for use on a vessel, and must 

meet the standards for newly 

manufactured engines in effect when 

such an engine is marinized or modified 

for installation on a vessel. 

(c) Swing Engines 

A swing engine is an additional 

engine that is purchased at the time the 

vessel is constructed as part of a rebuild 

strategy. When an engine is due for 

rebuild, that engine is removed from the 

vessel and replaced with the swing 

engine. The removed engine is rebuilt 

and then becomes the swing engine. 

Note that a swing engine is not meant 

to be a replacement engine in case of 

engine failure. Rather, it is a 

maintenance practice. 

It is our expectation that the swing 

engine would undergo a complete 

rebuild, including cylinder liner 

replacement, before it is made available 

as the swing engine. That would 

constitute remanufacturing, and the 

engine would be required to comply 

with the engine remanufacture 

requirements. In general, this means 

that all engines that are part of a swing 

engine rebuild practice are expected to 

comply with the remanufacture 

requirements over time, providing a 

certified remanufacture system is 

available. 

(d) Vessel Refurbishing 

Our current program specifies that in 

addition to newly manufactured vessels, 

a vessel is considered to be ‘‘new’’ if it 

is modified such that the value of the 

modifications exceeds 50 percent of the 

value of the modified vessel. Such a 

refurbished vessel would be required to 

have an engine that is compliant with 

the standards in place when the vessel 

is modified. We expect that most vessel 

modifications will not trigger this 

threshold, but the requirement is 

necessary to accommodate those cases 

where a major structural change is done 

to a vessel that make it like-new. 

We are revising this provision to 

specify how temporary modifications 

will be treated under this provision. In 

general, temporary modifications to a 

vessel would not be considered to be 

vessel refurbishing for the purpose of 

the ‘‘new vessel’’ definition. We are 

defining temporary modifications as 

modifications to a vessel that are made 

pursuant to a written contract between 

the vessel owners and the purchaser of 

the vessel’s services and that are made 

for the purpose of fulfilling the 

purchaser’s marine service 

requirements. To be considered to be 

temporary, the modifications must be 

removed from the vessel upon 

expiration of the contract or after a 

period of one year, whichever is shorter. 

While we will allow a vessel owner to 

petition EPA for a longer period of time, 

we will generally assume that changes 

that are necessary for longer than one 

year are quasi-permanent. We do not 

expect there to be many petitions for 

longer periods of time because 

temporary modifications that exceed 50 

percent of the vessel’s value would be 

considerable and would likely involve 

the vessel’s power plant. 

(3) Personal Use Exemption 

The current marine diesel engine 

emission control program contains 

certain exemptions from the standards, 

including the following: test engines; 

manufacturer-owned engines; display 

engines; competition engines; export 

engines; and certain military engines. 

We also provide an engine dresser 

exemption that applies to marine diesel 

engines that are produced by marinizing 

a certified highway, nonroad, or 

locomotive engine without changing it 

in any way that may affect the emissions 

characteristics of the engine. 

In addition to these existing 

exemptions we are also adding a new 

provision that exempts an engine 

installed on a vessel manufactured by a 

person for his or her own use (see 40 

CFR 1042.630). This is intended to 

address the hobbyists and fishermen 

who make their own vessel (from a 

personal design, for example, or to 

replicate a vintage vessel) and who 

would otherwise be considered to be a 

manufacturer subject to the full set of 

emission standards by introducing a 

vessel into commerce. The exemption is 

intended to allow such a person to 

install a rebuilt engine, an engine that 

was used in another vessel owned by 

the person building the new vessel, or 

a reconditioned vintage engine (to add 

greater authenticity to a vintage vessel). 

The exemption is not intended to allow 

such a person to order a new 

uncontrolled engine from an engine 

manufacturer. We expect this exemption 

to involve a very small number of 

vessels, so the environmental impact of 

this exemption will be negligible, while 

the cost would otherwise be high to 

install a certified compliant engine. 

Because the exemption is intended for 

hobbyists and fishermen, we are setting 

additional constraints. First, the vessel 

may not be used for general commercial 

purposes. The one exception to this is 

that the exemption allows a fisherman 

to use the vessel for his or her own 

commercial fishing. Second, the 

exemption is limited to one such vessel 

over a ten-year period and does not 

allow exempt engines to be sold for at 

least five years. We believe these 

restrictions are not unreasonable for a 

true hobby builder or comparable 

fisherman. Moreover, we require that 

the vessel generally be built from 

unassembled components, rather than 

simply completing assembly of a vessel 

that is otherwise similar to one that 

must use a freshly manufactured engine 

certified to meet the applicable emission 

standards. The person also must be 

building the vessel him- or herself, and 

not simply ordering parts for someone 

else to assemble. Finally, the vessel 

must be a vessel that is not classed or 

subject to Coast Guard inspections or 

surveys. 

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167See http://www.uscg.mil/hq/g-m/mse4/ 

boatlb.htm#LIFEBOAT_FOR_

MERCHANT_VESSELS for Coast Guard 

requirements for lifeboats and rescue boats. 

(4) Lifeboat/Rescue Boat Exemption 

Our current marine diesel engine 

program does not exempt lifeboats or 

rescue boats, and we did not propose to 

revise that approach. This approach was 

developed for the Tier 2 marine diesel 

engine standards. As we explained in 

our 1999 FRM, the technologies that 

would meet Tier 2 standards would not 

have inherent negative effect on the 

performance or power density of an 

engine, and we expected that 

manufacturers would be able to use the 

range of technologies available to 

maintain or even improve the 

performance capabilities and reliability 

of their engines. We also note that landbased emergency engines such as 

standby generators are not exempt from 

our emission control requirements in 

either highway or nonroad applications. 

We received several comments from 

manufacturers of lifeboats and rescue 

boats requesting that we reconsider this 

approach and exempt engines on 

lifeboats and rescue boats from the Tier 

3 and Tier 4 standards. They noted that 

engines on lifeboats and rescue boats are 

not regularly used as they are intended 

for use only during emergencies, and 

they are generally only operated for 3 

minutes once a week and are water 

tested for a short period only a few 

times a year. Boat manufacturers were 

also concerned about the reliability of 

electronic controls and advanced 

technology aftertreatment systems in 

these situations, especially when the 

boats are stored on deck and exposed to 

the elements. 

We’ve also learned that at least some 

engine manufacturers that have certified 

engines in the past for use on Coast 

Guard approved lifeboats and rescue 

boats pursuant to Coast Guard and 

international (International Convention 

for the Safety of Life at Sea—SOLAS) 

requirements have not yet done so for 

Tier 2 engines and may elect not to do 

so at all.167 The Coast Guard and 

SOLAS certification requirements are 

meant to ensure that an engine will 

perform after it is inverted, will operate 

when submerged up to the crankshaft, 

and will readily start at temperatures as 

low as ¥15 degrees C. This certification 

is expensive and time-consuming, and 

those costs may be difficult to recover 

over the limited U.S. market for 

lifeboats and rescue boats (100 to 150 

boats per year). Manufacturers of those 

lifeboats that use those engines must 

either find an alternative engine for 

their product, and recertify the boats to 

the Coast Guard and SOLAS 

requirements, or exit the market. 

After considering these comments, we 

conclude that it is reasonable to modify 

our program for engines used on Coast 

Guard approved lifeboats and rescue 

boats. First, our final program exempts 

engines intended to be used on lifeboats 

and rescue boats from the Tier 4 

standards. This exemption is 

appropriate for technological reasons. 

We expect the Tier 4 standards to be 

met through the application of 

aftertreatment technology. While we 

believe these technologies will be 

durable and reliable, it is also the case 

the additional complexity could 

possibly affect engine performance in an 

emergency, which is the sole situation 

in which these engines would be used. 

For example, it would be necessary to 

ensure the engines on the lifeboat or 

rescue boat have onboard at all times an 

adequate supply of urea that meets the 

quality requirements of an SCR system. 

In addition, if the engine on the lifeboat 

or rescue boat is only run for very short 

periods of time for periodic onboard 

tests, the PM filter may not have time to 

regenerate. This could result in a small 

risk of plugging. Therefore, it is 

reasonable to exempt these engines from 

the Tier 4 requirements. It is worth 

noting that most lifeboat engines are less 

than 600 kW and thus would not be 

subject to Tier 4 standards. 

Second, to avoid a situation in which 

an engine certified to the Coast Guard 

and SOLAS requirements is not 

available for use in a lifeboat or rescue 

boat application, we are providing an 

exemption that would have the effect of 

delaying the date of the emission 

standards for engines used on those 

boats until SOLAS certified engines of 

the respective emissions tier become 

available. Specifically, we will grant 

exemptions for engines not complying 

with the Tier 3 requirements for use in 

a Coast Guard approved lifeboat or 

rescue boat until such time as a 

comparable Tier 3 engine that meets the 

weight, size, and performance 

requirements of the boat is certified 

under the Coast Guard and SOLAS 

requirements. Once such an engine 

becomes available, the non Tier 3 

compliant engines may not be sold for 

use in these applications. This provision 

is necessary because the Coast Guard 

has observed a precipitous drop in 

available SOLAS certified engines with 

the emissions tier change from the Tier 

1 emissions standards to the Tier 2 

emissions standards. Given the high 

cost of SOLAS certification and the low 

sales of SOLAS certified engines, engine 

manufacturers have delayed SOLAS 

certification of new emission tier 

engines. After considering the high cost 

of SOLAS certification, the need for 

additional lead time to complete the 

SOLAS certification process and the 

importance of lifeboats and rescue boats 

to safety, we have concluded it is 

appropriate to provide this exemption. 

We are not requiring engine 

manufacturers to certify these engines 

by a specified date. However, we 

anticipate that engine manufacturers 

will over time certify their Tier 3 

engines to the Coast Guard and SOLAS 

requirements, or modify their existing 

Coast Guard certified engines as 

necessary to comply with the Tier 3 

requirements. Most of the marine diesel 

engines used on lifeboats and rescue 

boats are derived from land-based 

highway or nonroad engines. Once the 

Tier 3 requirements for those engines go 

into effect and the Tier 2 or Tier 1 

counterparts are retired from the fleet, it 

will become more expensive to continue 

to provide parts and service for these 

older engines, and engine manufacturers 

will prefer to provide newer tier engines 

for lifeboats and rescue boats globally. 

Because it is not possible to determine 

when that change will take place, the 

final program specifies that when they 

do become available, they must be used. 

Finally, we are extending this 

exemption to Tier 2 engines as well. We 

have learned that some lifeboat and 

rescue boat manufacturers are having 

trouble obtaining engines that meet the 

Tier 2 standards. Note that because Tier 

2 engines are not regulated under part 

1042, this exemption is included in a 

new section in part 94 (94.914). As with 

the Tier 3 exemption, once a Tier 2 

engine becomes available that meets the 

weight, size, and performance 

requirements of the boat and is certified 

under the Coast Guard and SOLAS 

requirements the exemption will no 

longer be available for freshly 

manufactured engines. 

Engines that are produced to an 

earlier tier pursuant to these provisions 

must be labeled to make clear that their 

use is limited to lifeboats or rescue boats 

approved by the U.S. Coast Guard under 

approval series 160.135 or 160.156. 

Using such a vessel as for a purpose 

other than a lifeboat or rescue boat is a 

violation of the regulations. 

The above provisions are applicable 

only to engines in lifeboats and rescue 

boats used solely for emergency 

purposes. This is an important 

distinction because there are cases in 

which a lifeboat may serve dual use on 

a vessel, both for general transportation 

(e.g., tenders) and for emergencies. 

Engines in lifeboats and rescue boats 

that are not used solely for emergency 

purposes are not exempt. These engines 

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168 Gas turbine engines are internal combustion 

engines that can operate using diesel fuel, but do 

not operate on a compression-ignition or other 

reciprocating engine cycle. Power is extracted from 

the combustion gas using a rotating turbine rather 

than reciprocating pistons. 

are not expected to remain idle long 

enough for urea storage or PM trap 

regeneration to be a problem. For all 

these reasons, the Tier 2 and 3 

flexibility and Tier 4 exemption will 

apply only to engines intended for 

installation on lifeboats approved by the 

U.S. Coast Guard under approval series 

160.135 (except those which are also 

approved for use as launches or tenders) 

and rescue boats approved by the U.S 

Coast Guard under series 160.156. 

(5) Stand-By Emergency Auxiliary 

Engines 

We are exempting certain stand-by 

emergency auxiliary engines from the 

Tier 4 standards. This exemption is 

necessary due to the fact that these 

engines are rarely used, their operation 

being limited to periodic testing of 

several minutes duration. While the 

technologies that will be used to achieve 

the Tier 4 standards are expected to be 

durable, it is also the case that operation 

for such short periods of time may not 

be enough to engage the aftertreatment 

regeneration strategy. In addition, these 

auxiliary engines would need separate 

urea tanks, rendering them more 

complicated to maintain and use in an 

emergency situation. 

This exemption is limited to 

dedicated stand-by emergency auxiliary 

engines subject to United States Coast 

Guard requirements set out in 46 CFR 

part 112. In general, these stand-by 

emergency auxiliary engines are 

supplemental to the ships’ main 

auxiliary engines. They are located 

away from the main engine 

compartment, have separate fuel tanks, 

and are connected to the ships’ power 

system in such a way as to provide for 

emergency power only to emergency 

equipment and not the ship’s power 

grid generally. These engines must be 

labeled for use as marine stand-by 

emergency auxiliary engines only. 

Marine stand-by emergency engine 

means any marine auxiliary engine 

whose operation is limited to 

unexpected emergency situations on a 

vessel; these engines are subject to 

testing and maintenance required by the 

United States Coast Guard. They are 

generally used to produce power for 

critical networks or equipment 

(including power supplied to portions 

of a vessel) when electric power from 

the main auxiliary engine(s) is 

interrupted. Marine auxiliary engines 

used to supply power to the vessel’s 

general electric grid or that are operated 

on a constant basis are not considered 

to be emergency marine auxiliary 

engines. 

Exempted engines are required to 

meet the applicable Tier 3 standards (in 

part 89 or part 94, as applicable). See 40 

CFR 1068.265 for the provisions that 

apply for such exempt engines. The 

engines must also be labeled to make 

clear that they are exempt and their use 

is limited to emergency stand-by 

auxiliary power as specified in United 

States Coast Guard requirements set out 

in 46 CFR part 112. 

(6) Gas Turbine Engines 

While gas turbine engines168 are used 

extensively in naval ships, they are not 

used very often in commercial ships. 

Because of this and because we do not 

currently have sufficient information, 

we are not including marine gas 

turbines in this rulemaking. 

Nevertheless, we believe that gas 

turbines could likely meet the new 

standards (or similar standards) since 

they generally have lower emissions 

than diesel engines and may reconsider 

gas turbines in a future rulemaking. 

(7) Natural Gas Engines 

The increasing deployment of tankers 

carrying liquefied natural gas has led to 

greater numbers of large marine engines 

running on natural gas instead of diesel 

fuel. Depending on the technological 

approach engine manufacturers take, 

these engines could fall under our 

definition for spark-ignition engines 

even though their design and 

development is more like compressionignition engines. Without some 

clarifying provision, these engines 

would therefore be subject to the 

standards that we are developing for 

inboard spark-ignition engines, which 

are based on automotive technologies. 

Since this is clearly not appropriate, we 

are adopting a provision to specify that 

natural gas engines above 250 kW are 

subject to standards for marine 

compression-ignition engines regardless 

of our regulatory definitions for sparkignition and compression-ignition 

engines. Since the analysis of control 

technology and the estimated costs and 

emission reductions are very similar to 

that for diesel-fueled engines, we have 

made no effort to separately analyze 

these engines relative to the new 

emission standards. 

(8) Residual Fuel Engines 

The vast majority of Category 1 and 2 

marine diesel engines subject to EPA’s 

emission standards operate on distillate 

diesel fuel. There are cases, however, in 

which the owner of a vessel may prefer 

to operate a Category 2 engine on 

another type of diesel fuel. This is 

mainly the case for auxiliary engines on 

ocean-going vessels, to allow them to 

use the same fuel that is used in the 

propulsion engine (typically residual 

fuel). There are also a few vessels 

operated on the Great Lakes that use 

residual fuel or residual fuel blends. 

Our marine diesel engine program 

requires engine manufacturers to 

perform certification testing using the 

same type of fuel that will be used in 

actual engine operation. This 

requirement, which was also included 

in our 1999 Tier 2 rule, is intended to 

ensure that engines meet the emission 

limits in operation. In our proposal, we 

noted that engine manufacturers have 

not certified Category 1 or 2 engines that 

can be operated on residual fuel to the 

Tier 2 standards. Manufacturers 

explained that it is not profitable to do 

so due to the small size of the U.S. 

market for these engines. They also 

informed us that it would be difficult to 

meet EPA’s PM standards on residual 

fuel. 

Some owners expressed concern to 

EPA about the unavailability of large 

auxiliary engines certified to the Tier 2 

standards on residual fuel. These 

owners expressed a preference for 

auxiliary engines run on the same fuel 

as propulsion engines to simplify ship 

operations. To respond to this concern, 

we asked for comment on a compliance 

consisting of an alternative PM standard 

and a tighter NOX standard. The 

alternative standards would be available 

for auxiliary engines to be installed on 

vessels with Category 3 propulsion 

engines. Certification testing would still 

be required on residual fuel but we 

would allow alternative PM 

measurement procedures. To ensure 

that questions of test fuel and PM 

measurement are resolved before 

certification testing, manufacturers 

would have to apply to EPA to exercise 

this flexibility. 

The alternative of exempting residual 

fuel engines from the test fuel 

requirement and allowing them to be 

tested on distillate fuel is not 

appropriate. All of our mobile source 

emission control programs are 

predicated on an engine meeting the 

emission standards in use. The test fuel 

requirement is one of several provisions 

that help ensure in-use compliance, 

including useful life periods, emission 

deterioration factors, durability testing, 

and not-to-exceed zone. Amending the 

test fuel provisions to allow 

manufacturers to certify residual fuel 

engines using distillate fuel would 

introduce considerable uncertainty into 

the in-use performance of these engines, 

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would weaken the emission standards, 

and would be contrary to the goals of 

our program. 

We received no comments supporting 

the compliance flexibility described 

above, and therefore we are not revising 

our program with respect to test fuels or 

the standards that apply to engines with 

per cylinder displacement below 30 

liters that use residual fuel. We expect 

to revisit this issue in the context of our 

upcoming rulemaking for Category 3 

marine diesel engines. 

(9) Duty Cycles for Marine Engines 

Manufacturers pointed out two 

inconsistencies between the proposal 

and existing requirements for marine 

engines related to the proposed duty 

cycles for marine propulsion engines 

less than 37 kW and the proposed duty 

cycle for propeller-law auxiliary 

engines. We agree that the existing 4- 

mode duty cycle (E3) should be used for 

these applications and have corrected 

this in the final rule. 

We received comment that the 8- 

mode (C1) duty cycle was not designed 

to represent variable-speed propulsion 

engines intended for use with variablepitch or electrically-coupled propellers. 

Caterpillar provided an example of a 

power curve for a variable-speed engine 

designed to operate with a controllable 

pitch propeller where the operation is 

limited at low and mid-range speeds. In 

this case, we agree that the constant 

speed (E2) test duty cycle, combined 

with the NTE requirements, is more 

representative of the operation of this 

engine than the proposed C1 cycle. For 

this engine, the power and torque at the 

C1 intermediate speed is relatively low, 

leading to a heavy weighting of low 

power operation. In addition, the power 

limit curve, for overload protection, is at 

lower power than even the E3 duty 

cycle. 

Controllable pitch propellers are also 

used with variable speed engines that 

have power curves that are more similar 

to those seen for nonroad engines or 

marine engines used with fixed pitch 

propellers. We are concerned that the E2 

duty cycle would not be representative 

of the operation of these engines. 

Therefore, we are finalizing the E3 duty 

cycle for variable-speed propulsion 

engines intended for use with variablepitch or electrically-coupled propellers. 

In the case where the engine is not 

capable of operating over the E3 duty 

cycle in-use, the E2 duty cycle would be 

used. For the purposes of this 

requirement, we consider an engine 

capable of operating over the E3 duty 

cycle if the engine can safely achieve 

more than 1.15 times the power 

specified in the E3 duty cycle at 63, 80, 

and 91 percent of maximum test speed. 

(10) Definition of Recreational Marine 

Diesel Vessel 

We are adopting a revised the 

definition of recreational marine diesel 

vessel in part 1042 that will essentially 

return to the definition we originally 

adopted in 1999. This revision will 

effectively rescind that change we made 

in our 2003 recreational engine rule (68 

FR 9745, February 28, 2003). As is 

described later, in that rulemaking we 

revised the definition of recreational 

vessel by adding a reference to the Coast 

Guard definition in 46 U.S.C. 2101. 

However, since then, it has become 

clear that the revision resulted in 

significant confusion for industry. 

As described above, the Tier 3 

standards that apply to recreational 

marine diesel engines are different than 

those that apply to standard power 

density commercial engines and 

recreational engines are not subject to 

the Tier 4 standards. Recreational 

engines are also subject to different 

compliance requirements, notably the 

duty cycle for certification testing and 

their useful life. These programmatic 

differences reflect the different way in 

which these engines are used, with 

recreational engines generally having a 

higher power/density ratio, operating at 

a higher load, and being used for fewer 

hours over their life than commercial 

engines. 

Recreational engines are defined 

based on whether or not they are 

intended by the engine manufacturer to 

be installed on a recreational vessel. In 

our 1999 Tier 2 marine diesel engine 

rule, we defined recreational vessel as a 

vessel intended by the vessel operator to 

be operated primarily for pleasure or 

leased to another for the latter’s 

pleasure, with the exception of (i) 

vessels less than 100 gross tons that 

carry more than six passengers; and (ii) 

vessels more than 100 gross tons that 

carry one or more passengers, where 

passenger means someone who pays to 

be on the vessel. 

The goal of this definition was to 

exclude so-called recreational vessels 

that are in fact operated like commercial 

vessels: Those that are operated many 

hours a year (for example, charter 

fishing vessels and smaller tour vessels 

that are rented on an individual basis, 

with or without a crew). A personal 

vessel owned by an individual for his 

personal use and not for hire was 

intended to be considered to be a 

recreational vessel. For smaller vessels, 

this is achieved by requiring that there 

be fewer than six paying passengers; 

this allows an individual to invite 

friends onboard his or her vessel in 

return for some pecuniary arrangement 

(e.g., paying for the gas). For larger 

vessels, above 100 gross tons, the 

presence of any paying passenger 

prevents the vessel from being 

characterized as recreational; this is 

intended to cover luxury yachts that 

recover costs by taking paying 

passengers onboard. The specified 

paying passenger thresholds are high 

enough to make them likely to be 

known at the time the vessel is 

purchased. 

In the 2003 rule, we revised the 

definition of recreational vessel, by 

adding a reference to the Coast Guard 

definition. However, the Coast Guard 

definition and EPA’s definition have 

different intents. Coast Guard’s 

requirements are safety related to ensure 

adequate lifesaving equipment is 

onboard a recreational vessel. For 

example, the Coast Guard definitions 

differentiate between charter and 

noncharter vessels based on whether 

vessels are operated with or without a 

crew. The intent of EPA’s approach is to 

identify those vessels that are intended 

for pleasure as opposed to commercial 

applications. Thus our definition needs 

to rely on features that can be known at 

the time of manufacture. For example, 

by setting a six passenger threshold for 

small vessels our intent was to identify 

those vessels clearly identified by the 

manufacturer as being intended for 

charter use and not used as a charter 

either incidentally or unintentionally. 

Since the Coast Guard definitions do 

not reflect the intent of EPA’s program 

and are inconsistent with EPA’s 

definitions, we are revising the 

definitions to remove the references to 

the Coast Guard definitions and 

reverting back to the original definitions 

adopted in 1999. While the new 

definition is being adopted in part 1042, 

§ 94.12(i) of part 94 will allow 

manufacturers to use this new definition 

for certification under part 94. 

Commercial vessels that were 

categorized as recreational prior to that 

time due to confusion about the 

meaning of the definitions will not be 

affected by the revised definitions. 

(11) Engine Stockpiling by Vessel 

Builders 

Our existing marine diesel engine 

program specifies in § 94.1103(a)(5) that 

it is a prohibited act to introduce into 

commerce a new vessel containing an 

engine not covered by a certificate of 

conformity applicable for an engine 

model year the same as or later than the 

calendar year in which the manufacture 

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37162 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

169The manufacture of a vessel is initiated when 

the keel is laid, or the vessel is at a similar stage 

of construction. ‘‘A similar stage of construction’’ 

means: (1) the stage at which construction 

identifiable with a specific vessel begins, and (2) 

assembly of that vessel has commenced comprising 

at least 50 tons or one percent of the estimated mass 

of all structural material, whichever is less. 

170We should note here that the standards in our 

rules are performance-based rather than a 

prescription for the application of a specific 

technology. Our rules do not prevent a 

manufacturer from developing and applying new or 

different technology at some future time as long as 

it meets the performance basis in the rules (e.g., a 

0.04 g/kW-hr standard PM). 

of the new vessel is initiated.169

However, as an exception, we allow 

vessel manufacturers to use up their 

normal inventory of engines not 

certified to new, more stringent 

emission standards if they were built 

before the date on which the new 

standards apply (subject to stockpiling 

prohibitions). With the adoption of the 

Tier 3 and 4 emission standards, the 

location of this provision transfers to 

§ 1068.101(a)(1), including the 

exception noted above, now being 

located in § 1068.105(a). 

The normal inventory approach above 

was developed in response to traditional 

business practice in automotive and 

other industries where vehicles and 

equipment are serially manufactured. 

Although this scheme works well for 

most manufacturers of small, seriallyproduced marine vessels, its application 

to manufacturers of large, commercial 

marine vessels may not be so 

straightforward. In this latter case there 

are typically long lead-time build 

schedules and low production volumes, 

which translate to vessel manufacturers 

maintaining lean inventory onsite at the 

shipyard. Vessel manufacturers usually 

order engines from dealers upon 

entering into a vessel construction 

agreement with an end customer. Due to 

lengthy build schedules, which for 

many projects can be counted in years, 

and the location of some shipyards in 

low-lying coastal areas subject to 

seasonal flooding, engines are often 

delivered and warehoused at the 

dealers’ offsite location until such time 

as the vessels are ready to receive them 

for installation. Especially in projects 

where construction agreements involve 

multiple vessels, engines for all vessels 

may be ordered and delivered to the 

dealer during the same year in which 

construction of the first vessel is 

initiated. Due to this type of business 

practice, we will allow vessel 

manufacturers to consider as part of 

their normal inventory those engines 

that are warehoused at offsite 

dealerships and for which the vessel 

manufacturer entered into a purchase 

agreement prior to a change in 

applicable emission standards, provided 

this practice is consistent with the 

vessel manufacturers past engine 

ordering practices. We will allow this 

normal inventory of engines to be used 

up after new emission standards apply. 

It should be noted, however, that this 

clarification does not extend to engines 

that are not the subject of a prior 

purchase agreement, and would not 

allow a vessel manufacturer to search 

for a previous tier engine among engine 

dealers to evade the standards. Also, if 

a dealer has previous tier engines that 

are not the subject of a prior purchase 

agreement after a new tier of standards 

goes into effect, those engines may be 

used only as replacement engines, 

subject to § 1042.615; those engines may 

not be sold for use in new vessels. 

(12) Other Issues 

Several commenters, including the 

United States Coast Guard, raised 

questions regarding the possibility that 

advanced aftertreatment based emission 

control systems for marine diesel 

engines may need to be by-passed or 

otherwise modified or disabled in order 

to guarantee safe operation under 

emergency conditions. In general terms, 

the commenters speculated that the 

catalyst systems could fail in such a 

manner as to restrict exhaust flow 

reducing engine power and potentially 

endangering vessel safety. 

Marine vessels that lose power to a 

main propulsion engine or generating 

engine providing essential power to 

main propulsion engine auxiliaries 

could go adrift with almost no control. 

Unlike trucks and locomotives, marine 

vessels have no brakes and can literally 

‘‘coast’’ for miles and due to their 

enormous tonnage have an incredible 

amount of momentum and can cause 

catastrophic damage via collisions, 

allisions, and groundings. In the past, 

main propulsion failures on marine 

vessels have resulted in severe loss of 

life, property, and damage to the marine 

environment. Due to this precedent, a 

loss of main propulsion is defined as a 

‘‘marine casualty or accident’’ in 46 CFR 

4.03–1(b)(2)(ix) and 46 CFR 4.05–1 

requires the occurrence to be 

immediately reported to the Coast 

Guard. To avoid potential loss of 

propulsion 46 CFR 58.01–35 effectively 

requires that main propulsion auxiliary 

machinery be provided in duplicate to 

prevent single point of failure. 

Our discussions with the engine 

manufacturers regarding the 

technologies they expect to use to 

comply with the rules we are finalizing 

today, lead us to conclude that such 

failure mechanisms are extremely 

unlikely given the robust nature of the 

technologies.170 However, reflecting the 

high priority everyone places on safety 

and the reality that no one can say today 

with absolute certainty how emission 

control systems will be designed in the 

future, we are continuing several 

regulatory provisions that further ensure 

safe vessel operation under all 

circumstances. Consistent with Coast 

Guard’s requirements for main 

propulsion auxiliary machinery, we feel 

these provisions address the single 

point of failure concern in the design of 

emission control systems. 

First, we are continuing our general 

regulatory requirement found in 

§ 1042.115(e) stating that a manufacturer 

may not design engines with emissioncontrol devices, systems, or elements of 

design that cause or contribute to an 

unreasonable risk to public health, 

welfare, or safety while operating. 

Likewise, our regulations continue to 

make clear that actions taken by the 

operators of marine vessels in order to 

respond to a temporary emergency will 

not be considered tampering under 

§ 1068.101(b)(1) provided the system is 

returned to its proper function as soon 

as possible. Lastly, in evaluating 

auxiliary emission control devices 

(AECDs) for marine diesel engines we 

will continue to recognize that AECDs, 

such as those that eliminate a single 

point of failure, are not defeat devices 

as defined under § 1042.115(f) if the 

AECDs are necessary to prevent engine 

(or vessel) damage or accidents. In the 

case of AECD approval, we will 

continue our current practice of 

reviewing manufacturer certification 

applications to ensure that these 

provisions are only used when 

necessary. Further, it is our general 

expectation that engine manufacturers 

will provide diagnostic systems to alert 

vessel operators when such AECDs are 

active and if the AECD requires the 

operator to take an action, the diagnostic 

system should give the vessel operator 

as much advance warning as reasonably 

possible. 

V. Costs and Economic Impacts 

In this section, we present the 

projected cost impacts and cost 

effectiveness of the standards, and our 

analysis of the expected economic 

impacts on affected markets. The 

projected benefits and benefit-cost 

analysis are presented in Section VI. 

The benefit-cost analysis explores the 

net yearly economic benefits to society 

of the reduction in mobile source 

emissions expected to be achieved by 

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Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37163 

171The estimated 2030 social welfare cost of $738 

million is based on draft compliance costs for this 

final rule of $740 million for that year. The final 

compliance cost estimate for 2030 is somewhat 

higher, at $759 million; see section VI.C for an 

explanation. This difference is not expected to have 

an impact on the results of the market analysis or 

on the expected distribution of social costs among 

stakeholders. 

172 ‘‘Economic Analysis of Diesel Aftertreatment 

System Changes Made Possible by Reduction of 

Diesel Fuel Sulfur Content,’’ Engine, Fuel, and 

Emissions Engineering, Incorporated, December 15, 

1999, Public Docket No. A–2001–28, Docket Item 

II–A–76. 173The PM/NOX+NMHC cost allocations for 

variable costs used in this cost analysis are as 

follows: SCR systems including marinization costs 

on marine applications are 100% NOX+NMHC; DPF 

systems including marinization costs on marine 

applications are 100% PM; and, equipment 

hardware costs are split evenly. 174Throughout our cost and economic impact 

analyses, net present value (NPV) calculations are 

based on the period 2006–2040, reflecting the 

period when the NPRM analysis was completed. 

This has the consequence of discounting the current 

year costs, effectively 2007, and all subsequent 

years are discounted by an additional year. The 

result is a slightly smaller NPV of engineering costs 

than by calculating the NPV over 2007–2040 (3% 

smaller for 3% NPV and 7% smaller for 7% NPV). 

The same convention applies for the emission 

inventories as shown in Table V–7. We have used 

2006 because we intended to publish the proposal 

in 2006. For the final analysis, we have chosen to 

continue with 2006 to make comparisons between 

proposal and final analyses more clear. 

this rulemaking. The economic impact 

analysis explores how the costs of the 

rule will likely be shared across the 

manufacturers and users of the engines 

and equipment that will be affected by 

the standards. Unless noted otherwise, 

all costs are in 2005 dollars. 

The annual monetized health benefits 

of this rule in 2030 will range from $9.2 

and $11 billion, assuming a 3 percent 

discount rate, or between $8.4 billion to 

$10 billion, assuming a 7 percent 

discount rate. The social costs of the 

new standards are estimated to be 

approximately $738 million in 2030.171

The impact of these costs on society are 

estimated to be small, with the prices of 

rail and marine transportation services 

estimated to increase by about 1 

percent. 

Further information on these and 

other aspects of the economic impacts of 

our final rule are summarized in the 

following sections and are presented in 

more detail in the Final RIA for this 

rulemaking. 

A. Engineering Costs 

The following sections briefly discuss 

the various engine and equipment cost 

elements considered for this cost 

analysis and present the total 

engineering costs we have estimated for 

this rulemaking; the reader is referred to 

Chapter 5 of the final RIA for a complete 

discussion of our engineering cost 

estimates. When referring to 

‘‘equipment’’ costs throughout this 

discussion, we mean the locomotive 

and/or marine vessel related costs as 

opposed to costs associated with the 

diesel engine being placed into the 

locomotive or vessel. Estimated freshly 

manufactured engine and equipment 

engineering costs depend largely on 

both the size of the piece of equipment 

and its engine, and on the technology 

package being added to the engine to 

ensure compliance with the standards. 

The wide size variation of engines 

covered by this program (e.g., small 

marine engines with less than 37 kW (50 

horsepower, or hp) through locomotive 

and marine C2 engines with over 3000 

kW (4000 hp) and the broad application 

variation (e.g., small pleasure crafts 

through large line haul locomotives and 

cargo vessels) that exists in these 

industries makes it difficult to present 

an estimated cost for every possible 

engine and/or piece of equipment. 

Nonetheless, for illustrative purposes, 

we present some example per engine/ 

equipment engineering cost impacts 

throughout this discussion. This 

engineering cost analysis is presented in 

detail in Chapter 5 of the final RIA. 

Note that the engineering costs here 

do not reflect changes to the fuel used 

to power locomotive and marine 

engines. Our Nonroad Tier 4 rule (69 FR 

38958) controlled the sulfur level in all 

nonroad fuel, including that used in 

locomotives and marine engines. The 

sulfur level in the fuel is a critical 

element of the locomotive and marine 

program. However, since the costs of 

controlling locomotive and marine fuel 

sulfur have been considered in our 

Nonroad Tier 4 rule, they are not 

considered here. This analysis considers 

only those costs associated with the 

locomotive and marine program being 

finalized today. Also, the engineering 

costs presented here do not reflect any 

savings that are expected to occur 

because of the engine ABT program and 

the various flexibilities included in the 

program which are discussed in section 

IV of this preamble. As discussed there, 

these program features have the 

potential to provide savings for both 

engine and locomotive/vessel 

manufacturers. 

(1) Freshly Manufactured Engine and 

Equipment Variable Engineering Costs 

Engineering costs for exhaust 

emission control devices (i.e., catalyzed 

DPFs, SCR systems, and DOCs) were 

estimated using a methodology 

consistent with the one used in our 

2007 heavy-duty highway rulemaking. 

In that rule, surveys were provided to 

nine engine manufacturers seeking 

information relevant to estimating the 

engineering costs for and types of 

emission-control technologies that 

might be enabled with ultra low-sulfur 

diesel fuel (15 ppm S). The survey 

responses were used as the first step in 

estimating the engineering costs of 

advanced emission control technologies 

anticipated for meeting the 2007 heavyduty highway standards. We then built 

upon these engineering costs using 

input from members of the 

Manufacturers of Emission Controls 

Association (MECA). We also used this 

information in our recent nonroad Tier 

4 (NRT4) rule. Because the anticipated 

emission control technologies expected 

to be used on locomotive and marine 

engines are the same as or similar to 

those expected for highway and 

nonroad engines, and because the 

expected suppliers of the technologies 

are the same for these engines, we have 

used that analysis as the starting point 

for estimating the engineering costs of 

these technologies in this rule.172

Importantly, the analysis summarized 

here and detailed in the final RIA takes 

into account specific differences 

between the locomotive and marine 

products when compared to on-highway 

trucks (e.g., engine size). 

Engineering costs of control include 

variable costs (for new hardware, its 

assembly, and associated markups) and 

fixed costs (for tooling, research, 

redesign efforts, and certification). We 

are projecting that the Tier 3 standards 

will be met by optimizing the engine 

and emission controls that will exist on 

locomotive and marine engines in the 

Tier 3 timeframe. Therefore, we have 

estimated no hardware costs associated 

with the Tier 3 standards. For the Tier 

4 standards, we are projecting that SCR 

systems and DPFs will be the most 

likely technologies used to comply. 

Upon installation in a new locomotive 

or a new marine vessel, these devices 

would require some new equipment 

related hardware in the form of brackets, 

new sheet metal, and a reductant storage 

and delivery system. The annual 

variable costs for example years, the 

PM/NOX split of those engineering 

costs, and the net present values that 

would result are presented in Table V– 

1.173 As shown, we estimate the net 

present value for the years 2006 through 

2040 of all variable costs at $1.5 billion 

using a three percent discount rate, with 

$1.3 billion of that being engine-related 

variable costs.174 Using a seven percent 

discount rate, these costs are $674 

million and $575 million, respectively. 

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37164 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

TABLE V–1.—FRESHLY MANUFACTURED ENGINE AND EQUIPMENT VARIABLE ENGINEERING COSTS

[Millions of 2005 dollars] 

Year 

Engine variable engineering costs Equipment 

variable engineering costs 

Total variable 

engineering 

costs 

Total for PM Total for 

NOX+NMHC 

2008 ..................................................................................... $0 $0 $0 $0 $0 

2009 ..................................................................................... $0 $0 $0 $0 $0 

2010 ..................................................................................... $0 $0 $0 $0 $0 

2011 ..................................................................................... $0 $0 $0 $0 $0 

2012 ..................................................................................... $0 $0 $0 $0 $0 

2015 ..................................................................................... $60 $11 $71 $37 $34 

2020 ..................................................................................... $82 $14 $96 $50 $46 

2030 ..................................................................................... $99 $18 $117 $61 $56 

2040 ..................................................................................... $98 $17 $115 $60 $55 

NPV at 3% ........................................................................... $1,255 $220 $1,475 $772 $703 

NPV at 7% ........................................................................... $575 $100 $674 $353 $321 

We can also look at these variable 

engineering costs on a ‘‘per engine’’ and 

a ‘‘per piece of equipment’’ basis rather 

than an annual total basis. Doing so 

results in the costs summarized in Table 

V–2. The costs shown represent the total 

engine-related and equipment-related 

engineering hardware costs associated 

with all of the new emissions standards 

to which the given power range and 

market segment would need to comply. 

For example, a commercial marine 

engine below 600 kW (805 hp) would 

need to comply with the Tier 3 

standards as its final tier and would, 

therefore, incur no new hardware costs. 

In contrast, a commercial marine engine 

over 600 kW is expected to comply with 

both Tier 3 and then Tier 4 and would, 

therefore, incur hardware costs 

associated with the Tier 4 standards. 

The costs also represent long term costs 

or those costs after expected learning 

effects have occurred and warranty costs 

have stabilized. 

(2) Freshly Manufactured Engine and 

Equipment Fixed Engineering Costs 

Because these technologies are being 

researched for implementation in the 

highway and nonroad markets well 

before the locomotive and marine 

emission standards take effect, and 

because engine manufacturers will have 

had several years complying with the 

highway and nonroad standards, we 

believe that the technologies used to 

comply with the locomotive and marine 

standards will have undergone 

significant development before reaching 

locomotive and marine production, and 


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Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37165 

175The PM/NOX+NMHC cost allocations for fixed 

costs used in this cost analysis are as follows: 

Engine research expenditures are 67% NOX+NMHC 

and 33% PM; engine tooling and certification costs 

are split evenly; and, equipment redesign costs are 

split evenly. 

176The PM/NOX+NMHC cost allocations for 

operating costs used in this cost analysis are as 

follows: Reductant costs are 100% NOX+NMHC; 

DPF maintenance costs are 100% PM; and, fuel 

consumption impacts are split evenly. 

we have considered this in estimating 

the costs for research and development. 

Chapter 5 of the final RIA details our 

approach which differs from our 

approach in the draft RIA. We anticipate 

that engine manufacturers would 

introduce a combination of primary 

technology upgrades to meet the new 

emission standards. Achieving very low 

NOX emissions requires basic research 

on NOX emission-control technologies 

and improvements in engine 

management. There would also have to 

be some level of tooling expenditures to 

make possible the fitting of new 

hardware on locomotive and marine 

engines. We also expect that 

locomotives and marine vessels being 

fitted with Tier 4 engines would have to 

undergo some level of redesign to 

accommodate the aftertreatment devices 

expected to meet the Tier 4 standards. 

The total of fixed engineering costs and 

the net present values of those costs are 

shown in Table V–3.175 As shown, we 

have estimated the net present value for 

the years 2006 through 2040 of all fixed 

engineering costs at $549 million using 

a three percent discount rate, with $471 

million of that being engine-related 

research costs. Using a seven percent 

discount rate, these costs are $422 

million and $371 million, respectively. 

TABLE V–3.—FRESHLY MANUFACTURED ENGINE AND EQUIPMENT FIXED ENGINEERING COSTS

[Millions of 2005 dollars] 

Year Engine 

research Engine tooling Engine certification 

Equipment 

redesign 

Total fixed 

engineering 

costs 

Total for PM Total for NOX

+NMHC 

2008 ............................. $34 $0 $0 $0 $34 $11 $23 

2009 ............................. 34 0 0 0 34 11 23 

2010 ............................. 68 0 0 0 68 23 46 

2011 ............................. 114 19 5 0 138 50 88 

2012 ............................. 80 0 0 0 80 27 54 

2015 ............................. 46 17 1 13 76 30 46 

2020 ............................. 0 0 0 3 3 1 1 

2030 ............................. 0 0 0 3 3 1 1 

2040 ............................. 0 0 0 0 0 0 0 

NPV at 3% ................... 471 33 6 39 549 194 354 

NPV at 7% ................... 371 24 5 22 422 148 274 

Some of the estimated fixed 

engineering costs would occur in years 

prior to the Tier 3 standards taking 

affect in 2012. Engine manufacturers 

would need to invest in engine tooling 

and certification prior to selling engines 

that meet the standards. Engine research 

is expected to begin five years in 

advance of the standards for which the 

research is done. We have estimated 

some engine research for both the Tier 

3 and Tier 4 standards, although the 

research associated with the Tier 4 

standards is expected to be higher since 

it involves work on aftertreatment 

devices which only the Tier 4 standards 

would require. By 2016, the Tier 4 

standards would be fully implemented 

and engine research toward the Tier 4 

standards would be completed. 

Similarly, engine tooling and 

certification efforts would be completed. 

We have estimated that equipment 

redesign, driven mostly by marine 

vessel redesigns, would continue for 

many years given the nature of the 

marine market. Therefore, by 2017 all 

engine-related fixed engineering costs 

would be zero, and by 2033 all 

equipment-related fixed engineering 

costs would be zero. 

(3) Freshly Manufactured Engine 

Operating Costs 

We anticipate an increase in costs 

associated with operating locomotives 

and marine vessels. We anticipate three 

sources of increased operating costs: 

Reductant use; DPF maintenance; and a 

fuel consumption impact. Increased 

operating costs associated with 

reductant use would occur only in those 

locomotives/vessels equipped with a 

SCR engine using a reductant like urea. 

Maintenance costs associated with the 

DPF (for periodic cleaning of 

accumulated ash resulting from 

unburned material that accumulates in 

the DPF) would occur in those 

locomotives/vessels that are equipped 

with a DPF engine. The fuel 

consumption impact is anticipated to 

occur more broadly—we expect that a 

one percent fuel consumption increase 

would occur for all new Tier 4 engines, 

locomotive and marine, due to higher 

exhaust backpressure resulting from 

aftertreatment devices. These costs and 

how the fleet cost estimates were 

generated are detailed in Chapter 5 of 

the final RIA and are summarized in 

Table V–4.176

TABLE V–4.—FRESHLY MANUFACTURED ENGINE ESTIMATED INCREASED OPERATING COSTS

[Millions of 2005 dollars] 

Year Reductant use DPF 

maintenance 

Fuel consumption impact Total operating 

costs Total for PM Total for NOX+NMHC 

2008 ......................................................... $0 $0 $0 $0 $0 $0 

2009 ......................................................... 0 0 0 0 0 0 

2010 ......................................................... 0 0 0 0 0 0 

2011 ......................................................... 0 0 0 0 0 0 

2012 ......................................................... 0 0 0 0 0 0 

2015 ......................................................... 23 0 7 30 4 26 

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37166 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

177Costs associated with the remanufaturing 

program are split evenly between NOX+NMHC and 

PM. Note that the costs associated with the marine 

remanufacturing program are consistent with the 

inventory reductions discussed in section II. Our 

estimate of the number of remanufactured engines 

is presented in a memorandum from Amy Kopin to 

the docket for this rule (see Docket Item No. EPA– 

HQ–OAR–2003–0190–0847). 

TABLE V–4.—FRESHLY MANUFACTURED ENGINE ESTIMATED INCREASED OPERATING COSTS—Continued 

[Millions of 2005 dollars] 

Year Reductant use DPF 

maintenance 

Fuel consumption impact Total operating 

costs Total for PM Total for NOX+NMHC 

2020 ......................................................... 143 3 42 187 24 164 

2030 ......................................................... 409 8 118 535 67 468 

2040 ......................................................... 619 12 175 806 99 707 

NPV at 3% ............................................... 4,031 75 1,157 5,264 654 4,610 

NPV at 7% ............................................... 1,575 29 453 2,057 256 1,801 

As shown, we have estimated the net 

present value for the years 2006 through 

2040 of the annual operating costs at 

$5.2 billion using a three percent 

discount rate and $2.1 billion using a 

seven percent discount rate. The 

operating costs are zero until Tier 4 

engines start being sold since only the 

Tier 4 engines are expected to incur 

increased operating costs (note that 

operating costs associated with the 

remanufacturing programs are discussed 

below). Reductant use represents the 

largest source of increased operating 

costs. Because reductant use is meant 

for controlling NOX emissions, most of 

the operating costs are associated with 

NOX+NMHC control. 

(4) Engineering & Operating Costs 

Associated With the Remanufacturing 

Programs 

We have also estimated engineering 

costs associated with the locomotive 

and marine remanufacturing programs. 

The remanufacturing process is not a 

low cost endeavor. However, it is much 

less costly than purchasing a freshly 

manufactured engine. The engineering 

costs we have estimated associated with 

the remanufacturing program are not 

meant to capture the remanufacturing 

process but rather the incremental 

engineering costs to that process. 

Therefore, the remanufacturing costs 

estimated here are only those 

engineering and operating costs 

resulting from the requirement to meet 

a more stringent standard than the 

engine was designed to meet at its 

original sale. In addition to incremental 

hardware costs, we expect that some 

remanufactured engines will see a fuel 

consumption impact. We expect a one 

percent fuel consumption increase will 

occur for remanufactured Tier 0 

locomotives because we believe that the 

tighter NOX standard will be met using 

retarded timing. For the same reason, 

we expect a two percent fuel 

consumption increase for 

remanufactured C2 marine engines. The 

marine engines will have timing 

retarded to the same degree as 

locomotives, but the relative degree of 

timing retard will be greater for marine 

engines given their initial state of 

control. These engineering and 

operating costs and how they were 

generated are detailed in Chapter 5 of 

the final RIA and are summarized in 

Table V–5.177 As shown, we have 

estimated the net present value for the 

years 2006 through 2040 of the annual 

engineering and operating costs 

associated with the locomotive and 

marine remanufacturing programs at 

$2.1 billion using a 3 percent discount 

rate and $1.2 billion using a 7 percent 

discount rate. 

TABLE V–5.—ESTIMATED HARDWARE AND OPERATING COSTS ASSOCIATED WITH THE LOCOMOTIVE & MARINE

REMANUFACTURING PROGRAMS

[Millions of 2005 dollars] 

Year Locomotive Marine Total Total for PM Total for 

NOX+NMHC 

2008 ..................................................................................... $59 $16 $75 $38 $38 

2009 ..................................................................................... 32 21 54 27 27 

2010 ..................................................................................... 58 27 85 42 42 

2011 ..................................................................................... 111 32 143 71 71 

2012 ..................................................................................... 91 44 135 68 68 

2015 ..................................................................................... 52 37 89 44 44 

2020 ..................................................................................... 37 26 63 31 31 

2030 ..................................................................................... 94 12 106 53 53 

2040 ..................................................................................... 158 3 161 80 80 

NPV at 3% ........................................................................... 1,669 450 2,120 1,060 1,060 

NPV at 7% ........................................................................... 864 289 1,153 577 577 

(5) Total Engineering & Operating Costs 

The total engineering and operating 

costs associated with today’s final rule 

are the summation of the new engine 

and new equipment engineering costs, 

both fixed and variable, the new engine 

operating costs for freshly manufactured 

engines, and the hardware and 

operating costs associated with the 

locomotive and marine remanufacturing 

programs. These costs are summarized 

in Table V–6. 

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TABLE V–6.—TOTAL ENGINEERING & OPERATING COSTS OF THE FINAL PROGRAM

(Millions of 2005 dollars] 

Year 

Freshly manufactured engine related 

engineering 

costs 

Freshly manufactured equipment related 

engineering 

costs 

Freshly manufactured engine & equipment operating 

costs 

Hardware and 

operating 

costs associated with the 

remanufacturing programs 

Total engineering costs Total PM costs 

Total 

NOX+NMHC 

costs 

2008 ............................. $34 $0 $0 $75 $109 $49 $60 

2009 ............................. 34 0 0 54 87 38 49 

2010 ............................. 68 0 0 85 153 65 88 

2011 ............................. 138 0 0 143 281 121 160 

2012 ............................. 80 0 0 135 215 94 121 

2015 ............................. 123 24 30 89 266 116 150 

2020 ............................. 82 17 187 63 349 106 242 

2030 ............................. 99 20 535 105 759 181 578 

2040 ............................. 98 17 806 161 1,082 240 842 

NPV at 3% ................... 1,764 260 5,264 2,120 9,407 2,680 6,727 

NPV at 7% ................... 974 122 2,057 1,153 4,307 1,333 2,973 

As shown, we have estimated the net 

present value of the annual engineering 

costs for the years 2006 through 2040 at 

$9.4 billion using a three percent 

discount rate and $4.3 billion using a 

seven percent discount rate. Roughly 

half of these costs are operating costs, 

with the bulk of those being reductant 

related costs. As explained above in the 

operating cost discussion, because 

reductant use is meant for controlling 

NOX emissions, most of the operating 

costs and, therefore, the majority of the 

total engineering costs are associated 

with NOX+NMHC control. 

Figure V–1 graphically depicts the 

annual engineering costs associated 

with the program being finalized today. 

The engine costs shown represent the 

engineering costs associated with engine 

research and tooling, etc., and the 

incremental costs for new hardware 

such as DPFs and reductant SCR 

systems. The equipment costs shown 

represent the engineering costs 

associated with equipment redesign 

efforts and the incremental costs for 

new equipment-related hardware such 

as reductant storage and delivery 

systems, sheet metal and brackets. The 

remanufacturing program costs include 

incremental hardware and operating 

costs for the locomotive and marine 

remanufacturing programs. The 

operating costs include incremental 

increases in operating costs associated 

with reductant use, DPF maintenance, 

and a one percent fuel consumption 

increase for new Tier 4 engines. The 

total program engineering costs are 

shown in Table V–6 as $9.4 billion at a 

three percent discount rate and $4.3 

billion at a seven percent discount rate. 

BILLING CODE 1505–01–D 

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BILLING CODE 1505–01–C 

B. Cost Effectiveness 

As discussed in section VI, this rule 

is very cost beneficial, with social 

benefits far outweighing social costs. 

However, this does not shed light on 

how cost effective this control program 

is compared to other control programs at 

providing the expected emission 

reductions. One tool that can be used to 

assess the value of the final program is 

the ratio of engineering costs incurred 

per ton of emissions reduced and 

comparing that ratio to other control 

programs. As we show in this section, 

the PM and NOX emissions reductions 

from the new locomotive and marine 

diesel program compare favorably—in 

terms of cost effectiveness—to other 

mobile source control programs that 

have been or will soon be implemented. 

We note that today’s action builds upon 

the efforts undertaken by the engine 

manufacturing industry to comply with 

our recent 2007/2010 heavy-duty 

highway and nonroad Tier 4 (NRT4) 

rulemakings. As such, and as discussed 

at length in Chapter 5 of the final RIA, 

much of the research and development 

associated with diesel emission controls 

builds upon the work done to comply 

with those earlier rules. This does not 

change the conclusion that the cost 

effectiveness of today’s action compares 

favorably with other actions deemed 

appropriate for society. 

We have calculated the cost per ton of 

our program based on the net present 

value of all engineering costs incurred 

and all emission reductions generated 

from the current year 2006 through the 

year 2040. This approach captures all of 

the costs and emissions reductions from 

our program including those costs 

incurred and emissions reductions 

generated by the locomotive and marine 

remanufacturing programs. The baseline 

case for this evaluation is the existing 

set of engine standards for locomotive 

and marine diesel engines and the 

existing remanufacturing requirements. 

The analysis timeframe is meant to 

capture both the early period of the 

program when very few new engines 

that meet the standards would be in the 

fleet, and the later period when 

essentially all engines would meet the 

new standards. 

Table V–7 shows the emissions 

reductions associated with today’s rule. 

These reductions are discussed in more 

detail in section II of this preamble and 

Chapter 3 of the final RIA. 


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TABLE V–7.—ESTIMATED EMISSIONS REDUCTIONS ASSOCIATED WITH THE NEW LOCOMOTIVE AND MARINE PROGRAM

(Short tons) 

Year PM2.5 PM10 a NOX NMHC 

2015 ................................................................................................................. 7,000 8,000 161,000 14,000 

2020 ................................................................................................................. 14,000 15,000 371,000 26,000 

2030 ................................................................................................................. 27,000 27,000 795,000 40,000 

2040 ................................................................................................................. 37,000 38,000 1,144,000 52,000 

NPV at 3% ....................................................................................................... 308,000 318,000 8,757,000 492,000 

NPV at 7% ....................................................................................................... 134,000 139,000 3,708,000 221,000 

Note: (a) Note that, PM2.5 is estimated to be 97 percent of the more inclusive PM10 emission inventory. 

In Section II we generate and present 

PM2.5 inventories since recent research 

has determined that these are of greater 

health concern. Similarly, NMHC is 

estimated to be 93 percent of the more 

inclusive VOC emission inventory. 

Traditionally, we have used PM10 and 

NMHC in our cost effectiveness 

calculations. Since cost effectiveness is 

a means of comparing control measures 

to one another, we use PM10 and NMHC 

in our cost effectiveness calculations for 

comparisons to past control measures. 

Using the engineering costs shown in 

Table V–6 and the emission reductions 

shown in Table V–7, we can calculate 

the $/ton associated with today’s rule. 

These are shown in Table V–8. The 

resultant cost per ton numbers depend 

on how the engineering costs presented 

above are allocated to each pollutant. 

Therefore, as described in section V.A, 

we have allocated costs as closely as 

possible to the pollutants for which they 

are incurred. These allocations are also 

discussed in detail in Chapter 5 of the 

final RIA. 

TABLE V–8.—FINAL PROGRAM AGGREGATE COST PER TON AND LONG-TERM ANNUAL COST PER TON

Pollutant 

2006 thru 

2040 discounted lifetime cost per 

ton at 3% 

2006 thru 

2040 discounted lifetime cost per 

ton at 7% 

Cost per ton in 

2030 

Cost per ton in 

2040 

NOX+NMHC ..................................................................................................... $730 $760 $690 $700 

PM .................................................................................................................... 8,440 9,620 6,620 6,360 

The costs per ton shown in Table V– 

8 for 2006 through 2040 use the net 

present value of the annualized 

engineering costs and emissions 

reductions associated with the program 

for the years 2006 through 2040. We 

have also calculated the costs per ton of 

emissions reduced in the years 2030 and 

2040 using the annual engineering costs 

and emissions reductions in those 

specific years. These numbers are also 

shown in Table V–8. All of the costs per 

ton include costs and emission 

reductions that will occur from the 

locomotive and marine remanufacturing 

programs. 

In comparison with other emissions 

control programs, we believe that the 

new locomotive and marine program 

represents a cost effective strategy for 

generating substantial NOX+NMHC and 

PM reductions. This can be seen by 

comparing the cost effectiveness with 

the cost effectiveness of a number of 

standards that EPA has adopted in the 

past. Table V–9 and Table V–10 

summarize the cost per ton of several 

past EPA actions to reduce emissions of 

NOX+NMHC and PM from mobile 

sources. 

TABLE V–9.—NEW LOCOMOTIVE AND MARINE PROGRAM COMPARED TO PREVIOUS MOBILE SOURCE PROGRAMS FOR

NOX+NMHC 

Program $/ton NOX+NMHC 

Today’s locomotive & marine standards ......................................................................................................... $730 

Tier 4 Nonroad Diesel (69 FR 39131) ............................................................................................................. 1,140 

Tier 2 Nonroad Diesel (EPA420–R–98–016, Chapter 6) ................................................................................ 710 

Tier 3 Nonroad Diesel (EPA420-R–98–016, Chapter 6) ................................................................................. 480 

Tier 2 vehicle/gasoline sulfur (65 FR 6774) .................................................................................................... 1,580—2,650 

2007 Highway HD (66 FR 5101) ..................................................................................................................... 2,530 

2004 Highway HD (65 FR 59936) ................................................................................................................... 250—480 

Note: Costs adjusted to 2005 dollars using the Producer Price Index for Total Manufacturing Industries. 

TABLE V–10.—NEW LOCOMOTIVE AND MARINE STANDARDS COMPARED TO PREVIOUS MOBILE SOURCE PROGRAMS FOR

PM 

Program $/ton PM 

Today’s locomotive & marine standards ......................................................................................................... $8,440 

Tier 4 Nonroad Diesel (69 FR 39131) ............................................................................................................. 12,630 

Tier 1/Tier 2 Nonroad Diesel (EPA420–R–98–016, Chapter 6) ..................................................................... 2,700 

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178EPA Guidelines for Preparing Economic 

Analyses, EPA 240–R–00–003, September 2000, p 

113. A copy of this document can be found at 

http://yosemite.epa.gov/ee/epa/eed.nsf/webpages/ 

Guidelines.html. 

179U.S. Environmental Protection Agency, Office 

of Air Quality Planning and Standards, Innovative 

Strategies and Economics Group, OAQPS Economic 

Analysis Resource Document, April 1999. A copy 

of this document can be found at http:// 

www.epa.gov/ttn/ecas/econdata/Rmanual2/. 

180Results presented in this section are by marine 

engine category in kW; the actual EIA analysis 

presented in Chapter 7 of the RIA was performed 

using marine engine categories by hp. 

TABLE V–10.—NEW LOCOMOTIVE AND MARINE STANDARDS COMPARED TO PREVIOUS MOBILE SOURCE PROGRAMS FOR

PM—Continued 

Program $/ton PM 

2007 Highway HD (66 FR 5101) ..................................................................................................................... 15,990 

Note: Costs adjusted to 2005 dollars using the Producer Price Index for Total Manufacturing Industries. 

C. EIA 

We prepared an Economic Impact 

Analysis (EIA) to estimate the social 

costs associated with the final control 

program to estimate the market-level 

changes in prices and outputs for 

affected markets, the social costs of the 

program, and the expected distribution 

of those costs across stakeholders. As 

defined in EPA’s Guidelines for 

Preparing Economic Analyses, social 

costs are the value of the goods and 

services lost by society resulting from 

(a) the use of resources to comply with 

and implement a regulation and (b) 

reductions in output.178

A quantitative Economic Impact 

Model (EIM) was developed to estimate 

price and quantity changes and total 

social costs associated with the 

emission control program. 

The EIM is a computer model 

comprised of a series of spreadsheet 

modules that simulate the supply and 

demand characteristics of each of the 

markets under consideration. The model 

methodology is firmly rooted in applied 

microeconomic theory and was 

developed following the methodology 

set out in OAQPS’s Economic Analysis 

Resource Document.179 Chapter 7 of the 

RIA contains a detailed description of 

the EIM, including the economic theory 

behind the model and the data used to 

construct it, the baseline equilibrium 

market conditions, and the model’s 

behavior parameters. The EIM and the 

estimated compliance costs presented 

above are used to estimate the economic 

impacts of the program. The results of 

this analysis are summarized below. 

The engineering costs we used in the 

EIA are an earlier version of the 

estimated compliance costs developed 

for this final rule. The net present value 

of the engineering costs used in the EIA 

is estimated to be approximately $9.17 

billion (NPV over the period of analysis 

at 3 percent discount rate), which is 

about $240 million less than the net 

present value of the final estimated 

engineering costs of about $9.41 billion. 

This difference is the sum of various 

cost adjustments, the largest of which 

are an increase of about $222 million in 

operating costs for the marine markets 

and $42 million in the operating costs 

for the rail markets (NPV over the 

period of analysis at 3 percent discount 

rate). These changes are not expected to 

have a substantial impact on the market 

level results because the differences are 

relatively small on an annual basis. For 

example, operating costs for C2 marine 

markets increase by about 15 percent in 

2030 (from $107 million to $123 

million). The previous estimate of $107 

million was associated with an increase 

of approximately 1.1 in the price of 

marine transportation services and a 

decrease of approximately 0.5 percent in 

the quantity of marine transportation 

services provided. A small increase in 

operating costs is not likely to change 

those results by very much. The marketlevel impacts on the other downstream 

markets are also likely to be very small 

and not economically significant. 

Finally, the difference in compliance 

costs will not affect the distribution of 

social costs, which is a function of the 

price elasticity of supply and demand. 

(1) Market Analysis Results 

In the market analysis, we estimate 

how prices and quantities of goods and 

services affected by the emission control 

program can be expected to change once 

the program goes into effect. 

The compliance costs associated with 

the new locomotive and marine diesel 

engine standards are expected to lead to 

price and quantity changes in these 

markets. A summary of the market 

analysis results is presented in Table V– 

11 for 2012, which is representative of 

the first year of the Tier 3 standards; 

2016, which is representative of the first 

year of the Tier 4 standards; and 2030, 

which represents market impacts of the 

program in the long-term. Results for all 

years can be found in Chapter 7 of the 

RIA. 

For all markets, the market impacts 

for the early years of the program are 

driven by the transportation markets. In 

these years, the only direct compliance 

costs are associated with the 

remanufacture programs; there are no 

variable costs associated with the Tier 3 

standards and therefore no direct 

compliance costs. The transportation 

markets will experience operating costs 

increases; these will result in small 

increases in transportation market 

prices, which will translate to small 

contractions in demand for locomotives 

and marine diesel engines and vessels. 

This is expected exert marginal 

downward pressure on prices in those 

markets, of less than 0.1 percent. The 

production decreases are also expected 

to be very small, at 0.1 percent or less. 

The Tier 4 programs are expected to 

result in larger market changes due to 

the direct compliance costs associated 

with Tier 4 standards and the 

continuing costs of the remanufacture 

programs. For the locomotive markets, 

the price increases in 2016 are expected 

to be about 4 percent for line haul 

locomotives and about one percent for 

switchers in 2016. In the long term (by 

2030), prices are expected to increase to 

about 3.2 percent for line haul 

locomotives and about 1.5 percent for 

switchers. These small price increases 

reflect the relative amount of the 

compliance costs compared to the total 

cost of a locomotive or switcher (the 

engine is only a small part of the total 

cost of the locomotive). In all cases, the 

decrease in the quantity of line haul 

locomotives or switchers produced is 

expected to be less than 0.5 percent. 

In the marine markets, price increases 

for engines are expected to be larger in 

2016, varying from about 9 percent for 

C1 engines above 600 kW (800 hp) to 17 

percent for auxiliary engines and C2 

engines above 600 kW.180 The price 

increases for vessels that use these 

engines, however, are smaller (about 2 

percent and 7 percent, respectively), 

reflecting the relative amount of the 

compliance costs compared to the price 

of a commercial marine vessel. 

Production quantities are expected to 

decrease by less than 4 percent for 

engines and vessels. The long-term price 

impacts are similar, with expected price 

increases of about 12 percent for engines 

C2 above 600 kW and 7 percent for C1 

engines above 600 kW, and vessel price 

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increases of less than 5 percent. Long- term production quantity decreases are 

expected to be less than 3 percent. 

TABLE V–11.—ESTIMATED MARKET IMPACTS FOR 2012, 2016, 2030 

(2005$) 

Market c

Average 

variable 

engineering 

cost per unit 

Change in price Change in quantity 

Absolute Percent Absolute Percent 

2012 

Rail Sector: 

Locomotives ...................................................................................... $0 ¥535 ¥0.03 ¥1 ¥0.1 

Switcher/Passenger .......................................................................... 0 ¥348 ¥0.03 0 ¥0.1 

Transportation Services .................................................................... NA a NA 0.1 a NA ¥0.1 

Marine Sector 

Engines: 

Auxiliary >600 kW ............................................................................. 0 ¥47 0.00 0 ¥0.1 

C1>600 kW ................................................................................ 0 ¥8 0.00 0 0.0 

C2>600 kW ................................................................................ 0 ¥139 ¥0.03 0 ¥0.1 

Other marine .............................................................................. 0 0 0.00 0 0.0 

Vessels 

C1>600 kW ....................................................................................... 0 ¥174 ¥0.01 0 0.0 

C2>600 kW ....................................................................................... 0 ¥2,419 ¥0.07 0 ¥0.1 

Other marine ..................................................................................... 0 ¥3 0.00 1 0.0 

Transportation Services ........................................................................... NA a NA 0.2 a NA ¥0.1 

2016 

Rail Sector: 

Locomotives ...................................................................................... 84,274 83,227 4.2 ¥1 ¥0.1 

Switcher/Passenger .......................................................................... 14,175 13,494 1.0 0 ¥0.1 

Transportation Services .................................................................... NA a NA 0.3 a NA ¥0.1 

Marine Sector 

Engines: 

Auxiliary >600 kW ............................................................................. 37,097 35,569 17.1 ¥11 ¥3.4 

C1>600 kW ................................................................................ 18,483 16,384 8.5 ¥15 ¥3.7 

C2>600 kW ................................................................................ 71,806 71,602 16.3 0 ¥0.2 

Other marine .............................................................................. 0 0 0.00 0 0.0 

Vessels: 

C1>600 kW ....................................................................................... 8,277 b 34,043 2.1 ¥14 ¥3.7 

C2>600 kW ....................................................................................... 12,107 b 255,143 7.0 0 ¥0.2 

Other marine ..................................................................................... 0 ¥4 0.00 ¥1 0.0 

Transportation Services ........................................................................... NA a NA 0.4 a NA ¥0.2 

2030 

Rail Sector: 

Locomotives ...................................................................................... 65,343 63,019 3.2 ¥4 ¥0.3 

Switcher/Passenger .......................................................................... 21,139 19,628 1.5 ¥1 ¥0.3 

Transportation Services .................................................................... NA a NA 0.6 a NA ¥0.3 

Marine Sector 

Engines: 

Auxiliary >600 kW ............................................................................. 28,359 27,021 13.0 ¥11 ¥2.8 

C1>600 kW ................................................................................ 14,131 12,479 6.5 ¥13 ¥2.9 

C2>600 kW ................................................................................ 54,893 54,264 12.3 ¥1 ¥0.5 

Other marine .............................................................................. 0 ¥1 0.0 0 0.0 

Vessels: 

C1>600 kW ....................................................................................... 6,933 b 25,768 1.6 ¥12 ¥2.9 

C2>600 kW ....................................................................................... 10,169 b 164,774 5.1 0 ¥0.5 

Other marine ..................................................................................... 0 ¥12 0.0 ¥4 0.0 

Transportation Services ........................................................................... NA a NA 1.1 a NA ¥0.5 

Notes: 

aThe prices and quantities for transportation services are normalized ($1 for 1 unit of services provided) and therefore it is not possible to estimate the absolute change price or quantity; see 7.3.1.5. bThe estimated vessel impacts include the impacts of direct vessel compliance costs and the indirect impacts of engine markets for both propulsion and auxiliary engines. See Chapter 7 of the RIA. c Results presented in this table are by marine engine category in kW; the actual EIA analysis presented in Chapter 7 of the RIA was performed using marine engine categories by hp. 

(2) Economic Welfare Analysis 

In the economic welfare analysis, we 

look at the total social costs associated 

with the program and their distribution 

across key stakeholders. 

The total estimated social costs of the 

program are about $221 million, $284 

million, $332 million and $738 million 

for 2012, 2016, 2020, and 2030. These 

estimated social costs are nearly 

identical to the total compliance costs 

for those years. The slight reduction in 

social costs when compared to 

compliance costs occurs because the 

total engineering costs do not reflect the 

decreased sales of locomotives, engines 

and vessels that are incorporated in the 

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181All estimates presented in this section are in 

2005$. 

total social costs. Results for all years 

are presented in Chapter 7 of the RIA. 

Table V–12 shows how total social 

costs are expected to be shared across 

stakeholders for selected years. 

We estimate the net social costs of the 

program to be approximately $738 

million in 2030.181 The rail sector is 

expected to bear about 62.5 percent of 

the social costs of the program in 2030, 

and the marine sector is expected to 

bear about 37.5 percent. In each of these 

two sectors, these social costs are 

expected to be born primarily by 

producers and users of locomotive and 

marine transportation services (about 98 

percent). The remaining 2 percent is 

expected to be borne by locomotive, 

marine engine, and marine vessel 

manufacturers and fishing and 

recreational users. 

TABLE V–12.—SUMMARY OF ESTIMATED SOCIAL COSTS FOR 2012, 2016, 2020, 2030 (2005$, $MILLION) 

Stakeholder group a

2012 2016 

Surplus 

change 

($) 

Percent 

Surplus 

change 

($) 

Percent 

Locomotives: 

Locomotive producers .............................................................................................. ¥35.1 15.9 ¥8.3 2.9 

Line haul producers .................................................................................................. ¥27.8 12.6 ¥0.9 0.3 

Switcher/Passenger producers ................................................................................. ¥7.2 3.3 ¥7.4 2.6 

Rail transportation service providers ........................................................................ ¥21.4 9.7 ¥43.4 15.3 

Rail transportation service consumers ..................................................................... ¥68.4 31.0 ¥138.9 48.8 

Total locomotive sector ............................................................................................ ¥124.9 56.6 ¥190.6 67.0 

Marine: 

Marine engine producers .......................................................................................... ¥45.8 20.7 ¥2.1 0.7 

Auxiliary > 600 kW ................................................................................................... ¥16.0 7.3 ¥0.5 0.2 

C1 > 600 kW ............................................................................................................ ¥19.0 8.6 ¥1.6 0.5 

C2 > 600 kW ............................................................................................................ ¥10.7 4.9 0.0 0.0 

Other marine ............................................................................................................. 0.0 0.0 0.0 0.0 

Marine vessel producers .......................................................................................... ¥0.3 0.1 ¥15.8 5.6 

C1 > 600 kW ............................................................................................................ ¥0.1 0.0 ¥13.5 4.7 

C2 > 600 kW ............................................................................................................ ¥0.1 0.1 ¥2.2 0.8 

Other marine ............................................................................................................. ¥0.1 0.0 ¥0.1 0.0 

Recreational and fishing vessel consumers ............................................................. 0.0 0.0 0.0 0.0 

Marine transportation service providers ................................................................... ¥11.9 5.4 ¥18.1 6.4 

Marine transportation service consumers ................................................................ ¥38.1 17.3 ¥57.9 20.3 

Auxiliary engines < 600 kW ...................................................................................... 0.0 0.0 0.0 0.0

Total marine sector ................................................................................................... ¥96.1 43.5 ¥93.8 33.0 

Total Program .................................................................................................... ¥221.0 .................... ¥284.4 ....................

Stakeholder group 

2020 2030 

Surplus 

change 

($) 

Percent 

Surplus 

change 

($) 

Percent 

Locomotives: 

Locomotive producers .............................................................................................. ¥1.1 0.3 ¥3.1 0.4 

Line haul producers ........................................................................................... ¥1.0 0.3 ¥2.7 0.4 

Switcher/Passenger producers ......................................................................... ¥0.1 0.0 ¥0.4 0.1 

Rail transportation service providers ............................................................................... ¥46.4 14.0 ¥109.0 14.8 

Rail transportation service consumers ............................................................................ ¥148.6 44.8 ¥348.9 47.3 

Total locomotive sector .................................................................................................... ¥196.1 59.1 ¥461.1 62.5 

Marine: 

Marine engine producers .......................................................................................... ¥1.8 0.5 ¥2.0 0.3 

Auxiliary > 600 kW ............................................................................................ ¥0.4 0.1 ¥0.5 0.1 

C1 > 600 kW ..................................................................................................... ¥1.3 0.4 ¥1.4 0.2 

C2 > 600 kW ..................................................................................................... 0.0 0.0 ¥0.1 0.0 

Other marine ..................................................................................................... 0.0 0.0 0.0 0.0 

Marine vessel producers .......................................................................................... ¥10.3 3.1 ¥9.2 1.2 

C1 > 600 kW ..................................................................................................... ¥8.8 2.7 ¥8.2 1.1 

C2 > 600 kW ..................................................................................................... ¥1.3 0.4 ¥0.7 0.1 

Other marine ..................................................................................................... ¥0.1 0.0 ¥0.3 0.0 

Recreational and fishing vessel consumers ..................................................... 0.0 0.0 0.0 0.0 

Marine transportation service providers ................................................................... ¥29.5 8.9 ¥63.3 8.6 

Marine transportation service consumers ................................................................ ¥94.4 28.4 ¥202.5 27.4 

Auxiliary engines < 600 kW ...................................................................................... 0.0 0.0 0.0 0.0

Total marine sector ................................................................................................... ¥135.9 40.9 ¥277.0 37.5 

Total Program .................................................................................................... ¥332.0 .................... ¥738.1 ....................

Note: a Results presented in this table are by marine engine category in kW; the actual EIA analysis presented in Chapter 7 of the RIA was 

performed using marine engine categories by hp. 

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Table V–13 shows the distribution of 

total surplus losses for the program from 

2007 through 2040. This table shows 

that the rail sector is expected to bear 

about 62 percent of the total program 

social costs through 2040 (NPV 3%), 

and that most of the costs are expected 

to be borne by the rail transportation 

consumers. The marine sector is 

expected to bear about 38 percent of the 

total program social costs through 2040 

(NPV 3%), most of which are also 

expected to be borne by the marine 

transportation consumers. This is 

consistent with the structure of the 

program, which leads to high 

compliance costs for the rail marine 

transportation sectors. 

TABLE V–13. ESTIMATED NET SOCIAL COSTS 2007 THROUGH 2040 BY STAKEHOLDER ($MILLION, 2005$) 

Stakeholder Groups a Surplus 

change 

Percent of 

total surplus 

Surplus 

change 

Percent of 

total surplus 

Locomotives ..................................................................................................................... NPV 3% .................... NPV 7% 

Locomotive producers ..................................................................................................... ¥$221.1 2.4 ¥$160.4 3.8 

Line Haul .......................................................................................................................... ¥172.2 ¥124.5 

Switcher/Passenger ......................................................................................................... ¥48.9 ¥35.9 

Rail transportation service providers ............................................................................... ¥1,302.7 14.2 ¥568.6 13.6 

Rail transportation service consumers ............................................................................ ¥4,168.7 45.6 ¥1,819.5 43.5 

Total locomotive sector .................................................................................................... ¥5,692.6 62.6 ¥2,548.5 61.0 

Marine ..............................................................................................................................

Marine engine producers ................................................................................................. ¥307.5 3.4 ¥229.4 5.5 

Auxiliary > 600 kW ........................................................................................................... ¥87.3 ¥64.0 

C1 > 600 kW .................................................................................................................... ¥106.8 ¥74.6 

C2 > 600 kW .................................................................................................................... ¥56.8 ¥42.6 

Other marine .................................................................................................................... ¥56.7 ¥48.1 

Marine vessel producers ................................................................................................. ¥150.0 1.6 ¥72.5 1.7 

C1 > 600 kW .................................................................................................................... ¥126.8 ¥60.8 

C2 > 600 kW .................................................................................................................... ¥19.7 ¥10.2 

Other marine .................................................................................................................... ¥3.5 ¥1.5 

Recreational and fishing vessel consumers .................................................................... 0.2 0.1 

Marine transportation service providers .......................................................................... ¥704.6 7.7 ¥308.4 7.4 

Marine transportation service consumers ....................................................................... ¥2,254.7 24.6 ¥986.9 23.6 

Auxiliary Engines <600 kW .............................................................................................. ¥40.2 0.4 ¥34.2 ¥0.8 

Total marine sector .......................................................................................................... 3,456.7 37.8 ¥1,631.3 39.0 

Total Program ........................................................................................................... ¥9.149.2 ¥4,179.8 

Note: a Results presented in this table are by marine engine category in kW; the actual EIA analysis presented in Chapter 7 of the RIA was 

performed using marine engine categories by hp. 

(3) What Are the Significant Limitations 

of the Economic Impact Analysis? 

Every economic impact analysis 

examining the market and social welfare 

impacts of a regulatory program is 

limited to some extent by limitations in 

model capabilities, deficiencies in the 

economic literatures with respect to 

estimated values of key variables 

necessary to configure the model, and 

data gaps. In this EIA, there three 

potential sources of uncertainty: (1) 

Uncertainty resulting from the way the 

EIM is designed, particularly from the 

use of a partial equilibrium model; (2) 

uncertainty resulting from the values for 

key model parameters, particularly the 

price elasticity of supply and demand; 

and (3) uncertainty resulting from the 

values for key model inputs, 

particularly baseline equilibrium price 

and quantities. 

Uncertainty associated with the 

economic impact model structure arises 

from the use of a partial equilibrium 

approach, the use of the national level 

of analysis, and the assumption of 

perfect competition. These features of 

the model mean it does not take into 

account impacts on secondary markets 

or the general economy, and it does not 

consider regional impacts. The results 

may also be biased to the extent that 

firms have some control over market 

prices, which would result in the 

modeling over-estimating the impacts 

on producers of affected goods and 

services. 

The values used for the price 

elasticities of supply and demand are 

critical parameters in the EIM. The 

values of these parameters have an 

impact on both the estimated change in 

price and quantity produced expected 

as a result of compliance with the new 

standards and on how the burden of the 

social costs will be shared among 

producer and consumer groups. In 

selecting the values to use in the EIM it 

is important that they reflect the 

behavioral responses of the industries 

under analysis. 

Finally, uncertainty in measurement 

of data inputs can have an impact on the 

results of the analysis. This includes 

measurement of the baseline 

equilibrium prices and quantities and 

the estimation of future year sales. In 

addition, there may be uncertainty in 

how similar engines and equipment 

were combined into smaller groups to 

facilitate the analysis. There may also be 

uncertainty in the compliance cost 

estimations. 

While variations in the above model 

parameters may affect the distribution of 

social costs among stakeholders and the 

estimated market impacts, they will not 

affect the total social costs of the 

program. This is because the total social 

costs are directly related to the total 

compliance costs. To explore the effects 

of key sources of uncertainty on the 

distribution of social costs and on 

estimated price and quantity impacts, 

we performed a sensitivity analysis in 

which we examine the results of using 

alternative values for several model 

parameters. The results of these 

analyses are contained in Appendix 7H 

of the RIA prepared for this rule. 

Despite these uncertainties, we 

believe this economic impact analysis 

provides a reasonable estimate of the 

expected market impacts and social 

welfare costs of the new standards in 

future. Acknowledging benefits 

omissions and uncertainties, we present 

a best estimate of the social costs based 

on our interpretation of the best 

available scientific literature and 

methods supported by EPA’s Guidelines 

for Preparing Economic Analyses and 

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37174 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

182U.S. Environmental Protection Agency (2006) 

Air quality criteria for ozone and related 

photochemical oxidants (second external review 

draft) Research Triangle Park, NC: National Center 

for Environmental Assessment; report no. EPA/ 

600R–05/004aB–cB, 3v. Available: http:// 

cfpub.epa.gov/ncea/cfm/ 

recordisplay.cfm?deid=137307 [March 2006] 

183Health impact functions measure the change 

in a health endpoint of interest, such as hospital 

admissions, for a given change in ambient ozone or 

PM concentration. 

184U.S. Environmental Protection Agency. 

August 2007. Proposed Regulatory Impact Analysis 

(RIA) for the Proposed National Ambient Air 

Quality Standards for Ozone. Prepared by: Office of 

Air and Radiation. Available at http://www.epa.gov/ 

ttn/ecas/ria.html#ria2007. 185U.S. Environmental Protection Agency. 

October 2006. Final Regulatory Impact Analysis 

(RIA) for the Proposed National Ambient Air 

Quality Standards for Particulate Matter. Prepared 

by: Office of Air and Radiation. Available at 

http://www.epa.gov/ttn/ecas/ria.html. 

186 Industrial Economics, Incorporated (IEc). 

2006. Expanded Expert Judgment Assessment of the 

Concentration-Response Relationship Between 

PM2.5 Exposure and Mortality. Peer Review Draft. 

Prepared for: Office of Air Quality Planning and 

Standards, U.S. Environmental Protection Agency, 

Research Triangle Park, NC. August. 

187Bell, M.L., et al. 2004. Ozone and short-term 

mortality in 95 US urban communities, 1987–2000. 

Jama, 2004. 292(19): p. 2372–8. 

188U.S. EPA (2007) Review of the National 

Ambient Air Quality Standards for Ozone, Policy 

Assessment of Scientific and Technical 

Information. OAQPS Staff Paper. EPA–452/R–07– 

003. This document is available in Docket EPA– 

HQ–OAR–2003–0190. This document is available 

electronically at: http:www.epa.gov/ttn/naaqs/ 

standard/ozone/s_o3_cr_sp.html. 

189CASAC (2007). Clean Air Scientific Advisory 

Committee’s (CASAC) Review of the Agency’s Final 

Ozone Staff Paper. EPA–CASAC–07–002. March 26. 

190Bell, M.L., F. Dominici, and J.M. Samet. A 

meta-analysis of time-series studies of ozone and 

mortality with comparison to the national 

morbidity, mortality, and air pollution study. 

Epidemiology, 2005. 16(4): p. 436–45. 

191 Ito, K., S.F. De Leon, and M. Lippmann. 

Associations between ozone and daily mortality: 

analysis and meta-analysis. Epidemiology, 2005. 

16(4): p. 446–57. 

192Levy, J.I., S.M. Chemerynski, and J.A. Sarnat. 

2005. Ozone exposure and mortality: an empiric 

bayes metaregression analysis. Epidemiology, 2005. 

16(4): p. 458–68. 

the OAQPS Economic Analysis 

Resource Document. 

VI. Benefits 

This section presents our analysis of 

the health and environmental benefits 

that are estimated to occur as a result of 

the final locomotive and marine engine 

standards throughout the period from 

initial implementation through 2030. 

Nationwide, the engines that are subject 

to the emission standards in this rule 

are a significant source of mobile source 

air pollution. The standards will reduce 

exposure to NOX and direct PM 

emissions and help avoid a range of 

adverse health effects associated with 

ambient PM2.5 and ozone levels. In 

addition, the standards will help reduce 

exposures to diesel PM exhaust, various 

gaseous hydrocarbons and air toxics. As 

described below, the reductions in PM 

and ozone from the standards are 

expected to result in significant 

reductions in premature deaths and 

other serious human health effects, as 

well as other important public health 

and welfare effects. 

EPA typically quantifies and 

monetizes PM- and ozone-related 

impacts in its regulatory impact 

analyses (RIAs) when possible. The RIA 

for the proposal for this rulemaking only 

quantified benefits from PM; in the 

current RIA we quantify and monetize 

the ozone-related health and 

environmental impacts associated with 

the final rule. The science underlying 

the analysis is based on the current 

ozone criteria document.182 To estimate 

the incidence and monetary value of the 

health outcomes associated with this 

final rule, we used health impact 

functions based on published 

epidemiological studies, and valuation 

functions derived from the economics 

literature.183 Key health endpoints 

analyzed include premature mortality, 

hospital and emergency room visits, 

school absences, and minor restricted 

activity days. The analytic approach to 

characterizing uncertainty is consistent 

with the analysis used in the RIA for the 

proposed O3 NAAQS. 

The benefits modeling is based on 

peer-reviewed studies of air quality and 

health and welfare effects associated 

with improvements in air quality and 

peer-reviewed studies of the dollar 

values of those public health and 

welfare effects. These methods are 

consistent with benefits analyses 

performed for the recent analysis of the 

proposed Ozone NAAQS and the final 

PM NAAQS analysis.184, 185 They are 

described in detail in the RIAs prepared 

for those rules. 

The range of PM benefits associated 

with the final standards is estimated 

based on risk reductions estimated 

using several sources of PM-related 

mortality effect estimates. In order to 

provide an indication of the sensitivity 

of the benefits estimates to alternative 

assumptions about PM mortality risk 

reductions, in Chapter 6 of the RIA we 

present a variety of benefits estimates 

based on two epidemiological studies 

(including the ACS study and the Six 

Cities Study) and the recent PM 

mortality expert elicitation.186 EPA 

intends to ask the Science Advisory 

Board to provide additional advice as to 

which scientific studies should be used 

in future RIAs to estimate the benefits 

of reductions in PM-related premature 

mortality. 

The range of ozone benefits associated 

with the final standards is also 

estimated based on risk reductions 

estimated using several sources of 

ozone-related mortality effect estimates. 

There is considerable uncertainty in the 

magnitude of the association between 

ozone and premature mortality. This 

analysis presents four alternative 

estimates for the association based upon 

different functions reported in the 

scientific literature. We use the National 

Morbidity, Mortality and Air Pollution 

Study (NMMAPS),187 which was used 

as the primary basis for the risk analysis 

in the ozone Staff Paper 188 and 

reviewed by the Clean Air Science 

Advisory Committee (CASAC).189 We 

also use three studies that synthesize 

ozone mortality data across a large 

number of individual studies.190, 191, 192

Note that there are uncertainties within 

each study that are not fully captured by 

this range of estimates. 

Recognizing that additional research 

is necessary to clarify the underlying 

mechanisms causing these effects, we 

also consider the possibility that the 

observed associations between ozone 

and mortality may not be causal in 

nature. EPA has requested advice from 

the National Academy of Sciences on 

how best to quantify uncertainty in the 

relationship between ozone exposure 

and premature mortality in the context 

of quantifying benefits associated with 

ozone control strategies. 

The range of total ozone- and PMrelated benefits associated with the final 

standards is presented in Table VI–1. 

We present total benefits based on the 

PM-and ozone-related premature 

mortality function used. The benefits 

ranges therefore reflect the addition of 

each estimate of ozone-related 

premature mortality (each with its own 

row in Table VI–1) to estimates of PMrelated premature mortality, derived 

from either the epidemiological 

literature or the expert elicitation. The 

estimates in Table VI–1, and all 

monetized benefits presented in this 

section, are in year 2006 dollars. 

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193See the Regulatory Impact Analysis for the 

Proposed Ozone NAAQS (EPA–452/R–07–008, July 

2007). This document is available at http:// 

www.epa.gov/ttn/ecas/ria.html#ria2007. 

194The NARSTO Assessment Document 

synthesizes the scientific understanding of ozone 

pollution, giving special consideration to behavior 

on expanded scales over the North American 

continent, encompassing Canada, the United States, 

and Mexico. Successive drafts of this Assessment 

Document experienced progressive stages of review 

by its authors and by outside peers, and transcripts 

were recorded containing the review comments and 

the corresponding actions. This included an 

external review by the NRC, the comments of which 

were addressed and incorporated in the final draft. 

NARSTO, 2000. An Assessment of Tropospheric 

Ozone Pollution—A North American Perspective. 

NARSTO Management Office (Envair), Pasco, 

Washington. http://narsto.org/ 

TABLE VI–1.—ESTIMATED 2030 MONETIZED PM- AND OZONE-RELATED HEALTH BENEFITS OF THE FINAL LOCOMOTIVE

AND MARINE ENGINE STANDARDS a

Premature ozone mortality function or assumption Reference 

Mean total benefits 

(billions, 2006$, 3% 

discount rate) c, d

Mean total benefits 

(billions, 2006$, 7% 

discount rate) c, d

2030 Total Ozone and PM Benefits—PM Mortality Derived From American Cancer Society Analysis a

NMMAPS .............................................................. Bell et al., 2004 .................................................... $9.7 ........................ $8.9. 

Meta-analysis ....................................................... Bell et al., 2005 .................................................... $11 ......................... $9.8. 

Ito et al., 2005 ...................................................... $11 ......................... $10. 

Levy et al., 2005 .................................................. $11 ......................... $10. 

Assumption that association is not causal ............................................................................................. $9.2 ........................ $8.4. 

2030 Total Ozone and PM Benefits—PM Mortality Derived From Expert Elicitation b

NMMAPS .............................................................. Bell et al., 2004 .................................................... $5.2 to $37 ............ $4.8 to $34. 

Meta-analysis ....................................................... Bell et al., 2005 .................................................... $6.2 to $38 ............ $5.8 to $35. 

Ito et al., 2005 ...................................................... $6.7 to $39 ............ $6.3 to $35. 

Levy et al., 2005 .................................................. $6.7 to $39 ............ $6.4 to $35. 

Assumption that association is not causal ............................................................................................. $4.7 to $37 ............ $4.4 to $33. 

Notes: 

aTotal includes ozone and PM2.5 benefits. Range was developed by adding the estimate from the ozone premature mortality function to the estimate of PM2.5-related premature mortality derived from the ACS study (Pope et al., 2002). bTotal includes ozone and PM2.5 benefits. Range was developed by adding the estimate from the ozone premature mortality function to both 

the lower and upper ends of the range of the PM2.5 premature mortality functions characterized in the expert elicitation. The effect estimates of 

five of the twelve experts included in the elicitation panel fall within the empirically-derived range provided by the ACS and Six-Cities studies. 

One of the experts fall below this range and six of the experts are above this range. Although the overall range across experts is summarized in 

this table, the full uncertainty in the estimates is reflected by the results for the full set of 12 experts. The twelve experts’ judgments as to the 

likely mean effect estimate are not evenly distributed across the range illustrated by arraying the highest and lowest expert means. c Note that total benefits presented here do not include a number of unquantified benefits categories. A detailed listing of unquantified health 

and welfare effects is provided in Table VI–6. d Results reflect the use of both a 3 and 7 percent discount rate, as recommended by EPA’s Guidelines for Preparing Economic Analyses and 

OMB Circular A–4. Results are rounded to two significant digits for ease of presentation and computation. 

(1) Quantified Human Health and 

Environmental Effects of the Final 

Standards 

In this section we discuss the ozone 

and PM2.5 health and environmental 

impacts of the final standards. We 

discuss how these impacts are 

monetized in the next section. It should 

be noted that the emission control 

scenarios used in the air quality and 

benefits modeling are slightly different 

than the final emission control program. 

The differences reflect further 

refinements of the regulatory program 

since we performed the air quality 

modeling for this rule. Emissions and 

air quality modeling decisions are made 

early in the analytical process. Chapter 

3 of the RIA describes the changes in the 

inputs and resulting emission 

inventories between the preliminary 

assumptions used for the air quality 

modeling and the final emission control 

scenario. 

Estimated Ozone and PM Impacts 

To model the ozone and PM air 

quality benefits of this rule we used the 

Community Multiscale Air Quality 

(CMAQ) model. CMAQ simulates the 

numerous physical and chemical 

processes involved in the formation, 

transport, and deposition of particulate 

matter. This model is commonly used in 

regional applications to estimate the 

ozone and PM reductions expected to 

occur from a given set of emissions 

controls. The meteorological data input 

into CMAQ are developed by a separate 

model, the Penn State University / 

National Center for Atmospheric 

Research Mesoscale Model, known as 

MM5. The modeling domain covers the 

entire 48-State U.S., as modeled in 

proposed ozone NAAQS analysis.193

The grid resolution for the modeling 

domain was 12 x 12 km. 

While this rule will reduce ozone 

levels generally and provide national 

ozone-related health benefits, this is not 

always the case at the local level. Due 

to the complex photochemistry of ozone 

production, reductions in NOX

emissions lead to both the formation 

and destruction of ozone, depending on 

the relative quantities of NOX, VOC, and 

ozone catalysts such as the OH and HO2

radicals. In areas dominated by fresh 

emissions of NOX, ozone catalysts are 

removed via the production of nitric 

acid which slows the ozone formation 

rate. Because NOX is generally depleted 

more rapidly than VOC, this effect is 

usually short-lived and the emitted NOX

can lead to ozone formation later and 

further downwind. The terms ‘‘NOX

disbenefits’’ or ‘‘ozone disbenefits’’ refer 

to the ozone increases that can result 

from NOX emissions reductions in these 

localized areas. According to the North 

American Research Strategy for 

Tropospheric Ozone (NARSTO) Ozone 

Assessment, these disbenefits are 

generally limited to small regions 

within specific urban cores and are 

surrounded by larger regions in which 

NOX control is beneficial.194 For this 

analysis, we observed two urban areas 

that, to some degree, experience ozone 

disbenefits: Southern California and 

Chicago. 

Marginal changes in ozone in these 

areas are much more dependent upon 

baseline air quality conditions than PM 

due to nonlinearities present in the 

chemistry of ozone formation. A 

marginal decrease in NOX emissions 

modeled on its own in these areas, as 

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195SCAQMD (2007). Final 2007 Air Quality 

Management Plan. Available at: http:// 

www.aqmd.gov/aqmp/07aqmp/index.html. 

Accessed November 8, 2007. 

196 Information on BenMAP, including 

downloads of the software, can be found at http:// 

www.epa.gov/air/benmap. 

was done for this analysis, may yield a 

very different ambient ozone 

concentration than if it were modeled in 

combination with other planned or 

future controls. For example, recent 

California SIP modeling indicates that 

with a combined program of national 

and local controls, California can reach 

ozone attainment by 2024 through a 

mixture of substantial NOX (and VOC) 

reductions.195 In areas prone to ozone 

disbenefits, our ability to draw 

conclusions based on air quality 

modeling conducted for the final rule is 

limited because the yet-to-occur 

emission reductions in these areas are 

not accounted for in our analytical 

approach. Within these regions, it is 

expected that the additional NOX

reductions from SIP-based controls 

would lead to fewer ozone disbenefits 

from the marginal changes modeled 

here. More detailed information about 

the air quality modeling conducted for 

this analysis is included in the air 

quality modeling technical support 

document (TSD), which is located in the 

docket for this rule. 

The modeled ambient air quality data 

serves as an input to the Environmental 

Benefits Mapping and Analysis Program 

(BenMAP).196 BenMAP is a computer 

program developed by EPA that 

integrates a number of the modeling 

elements used in previous Regulatory 

Impact Analyses (e.g., interpolation 

functions, population projections, 

health impact functions, valuation 

functions, analysis and pooling 

methods) to translate modeled air 

concentration estimates into health 

effects incidence estimates and 

monetized benefits estimates. 

The addition of ozone mortality to our 

health impacts analysis has led to an 

increased focus on the issue of ozone 

disbenefits for two related reasons: (1) 

The monetized value of ozone-related 

benefits, in terms of ozone’s 

contribution to total rule-related 

benefits, has increased due to the 

inclusion of ozone mortality; and (2) 

The overall ozone impacts of NOX

reductions in certain geographic regions 

of the U.S., when modeled on the 

margin, may be negative. 

Figure 1 shows the diurnal pattern of 

ozone concentrations in the 2030 

baseline and post-control scenarios for a 

grid cell in Orange County, CA during 

July. From this figure it is clear that the 

disbenefits (points when the control 

case ozone levels are higher than the 

baseline) are occurring primarily during 

nighttime hours when ozone is 

generally low. 

This diurnal pattern means that the 

extent of the disbenefits is not as large 

as one might have thought. Our 

conversion from using a 24-hour metric 

to using the maximum 8-hour average 

metric in the ozone mortality studies 

(see page 6–4 and the health impacts 

section) excludes the nighttime hours 

when NOX-related disbenefits are most 

likely to occur. 

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Table VI–2 presents the estimates of 

ozone- and PM-related health impacts 

for the years 2020 and 2030, which are 

based on the modeled air quality 

changes between a baseline, pre-control 

scenario and a post-control scenario 

reflecting the final emission control 

strategy. 

The use of two sources of PM 

mortality reflects two different sources 

of information about the impact of 

reductions in PM on reduction in the 

risk of premature death, including both 

the published epidemiology literature 

and an expert elicitation study 

conducted by EPA in 2006. In 2030, 

based on the estimate provided by the 

ACS study, we estimate that PM-related 

emission reductions related to the final 

rule will result in 1,100 fewer premature 

fatalities annually. The number of 

premature mortalities avoided increases 

to 2,600 when based on the Six Cities 

study. When the range of expert opinion 

is used, we estimate between 500 and 

4,900 fewer premature mortalities in 

2030. We also estimate 680 fewer cases 

of chronic bronchitis, 2,500 fewer nonfatal heart attacks, 870 fewer 

hospitalizations (for respiratory and 

cardiovascular disease combined), 

720,000 fewer days of restricted activity 

due to respiratory illness and 

approximately 120,000 fewer work-loss 

days. This analysis projects substantial 

health improvements for children from 

reduced upper and lower respiratory 

illness, acute bronchitis, and asthma 

attacks. These results are based on an 

assumed cutpoint in the long-term 

mortality concentration-response 

functions at 10 μg/m3, and an assumed 

cutpoint in the short-term morbidity 

concentration-response functions at 10 

μg/m3. The impact using four alternative 

cutpoints (3 μg/m3, 7.5 μg/m3, 12 μg/m3, 

and 14 μg/m3) has on PM 2.5-related 

mortality incidence estimation is 

presented in Chapter 6 of the RIA. 

For ozone, we estimate a range of 

between 54–250 fewer premature 

mortalities as a result of the final rule 

in 2030, assuming that there is a causal 

relationship between ozone exposure 

and mortality. We also estimate that by 

2030, the final rule will result in over 

500 avoided respiratory hospital 

admissions and emergency room visits, 

290,000 fewer days of restricted activity 

due to respiratory illness, and 110,000 

school loss days avoided. 

TABLE VI–2.—ESTIMATED REDUCTION IN INCIDENCE OF ADVERSE HEALTH EFFECTS RELATED TO THE FINAL LOCOMOTIVE

AND MARINE ENGINE STANDARDS a

2020 2030 

Health Effect Mean Incidence Reduction 

(5th–95th percentile) 

PM-Related Endpoints 

Premature Mortality—Derived from 

Epidemiology Literature.

Adult, age 30+—ACS cohort 

study (Pope et al., 2002).

490 (190–790) .............................. 1,100 (440–1,800) 

Adult, age 25+—Six-Cities study 

(Laden et al., 2006).

1,100 (610–1,600) ........................ 2,600 (1,400–3,700) 

Infant, age <1 year—Woodruff et 

al. 1997.

1 (1–2) .......................................... 2 (1–3) 

Premature Mortality—Derived from 

Expert Elicitation b.

Adult, age 25+—Lower Bound 

(Expert K).

220 (0–1,100) ............................... 500 (0–2,400) 

Adult, age 25+—Upper Bound 

(Expert E).

2,200 (1,100–3,300) ..................... 4,900 (2,500–7,500) 

Chronic bronchitis (adult, age 26 and over) ............................................. 310 (56–560) ................................ 680 (130–1,200) 

Acute myocardial infarction (adults, age 18 and older) ............................ 1,000 (550–1,500) ........................ 2,500 (1,300–3,600) 

Hospital admissions—respiratory (all ages) c ........................................... 120 (58–170) ................................ 270 (130–400) 

Hospital admissions—cardiovascular (adults, age >18) d ......................... 240 (150–330) .............................. 600 (380–820) 

Emergency room visits for asthma (age 18 years and younger) ............. 410 (240–580) .............................. 890 (520–1,300) 

Acute bronchitis (children, age 8–12) ....................................................... 1,000 (¥35–2,100) ....................... 2,300 (¥77–4,600) 

Lower respiratory symptoms (children, age 7–14) ................................... 9,200 (4,400–14,000) ................... 20,000 (9,700–31,000) 

Upper respiratory symptoms (asthmatic children, age 9–18) ................... 6,700 (2,100–11,000) ................... 15,000 (4,600–25,000) 

Asthma exacerbation (asthmatic children, age 6–18) .............................. 8,400 (920–24,000) ...................... 19,000 (2,000–53,000) 

Work loss days (adults, age 18–65) ......................................................... 59,000 (51,000–67,000) ............... 120,000 (110,000–140,000) 

Minor restricted-activity days (adults, age 18–65) .................................... 350,000 (290,000–400,000) ......... 720,000 (610,000–830,000) 

Ozone-Related Endpoints 

Premature Mortality, All ages—Derived from NMMAPS.Bell et al., 2004 ............................ 13 (¥22–49) ................................. 54 (¥43–150) 

Premature Mortality, All ages—Derived from Meta-analyses.Bell et al., 2005 ............................ 44 (¥47–140) ............................... 180 (¥69–420) 

Ito et al., 2005 .............................. 60 (¥34–150) ............................... 240 (¥14–500) 

Levy et al., 2005 ........................... 62 (¥14–140) ............................... 250 (44–450) 

Premature Mortality—Assumption that association between ozone and 

mortality is not causal.

0 .................................................... 0 

Hospital admissions—respiratory causes (children, under 2; adult, 65 

and older) e.

14 (¥150–170) ............................. 260 (¥350–890) 

Emergency room visit for asthma (all ages) ............................................. 69 (¥89–270) ............................... 250 (¥190–830) 

Minor restricted activity days (adults, age 18–65) .................................... 84,000 (43,000–120,000) ............. 290,000 (150,000–430,000) 

School absence days ................................................................................ 33,000 (¥17,000–77,000) ............ 110,000 (¥15,000–240,000) 

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197 Industrial Economics, Incorporated (IEc). 

2006. Expanded Expert Judgment Assessment of the 

Concentration-Response Relationship Between 

PM 2.5 Exposure and Mortality. Peer Review Draft. 

Prepared for: Office of Air Quality Planning and 

Standards, U.S. Environmental Protection Agency, 

Research Triangle Park, NC. August. 

Notes: 

(a) Incidence is rounded to two significant digits. PM and ozone estimates represent impacts from the final standards nationwide.

(b) Based on effect estimates derived from the full-scale expert elicitation assessing the uncertainty in the concentration-response function for 

PM-related premature mortality (IEc, 2006).197

The effect estimates of five of the twelve experts included in the elicitation panel fall within the empirically-derived range provided by the ACS 

and Six-Cities studies. One of the experts fall below this range and six of the experts are above this range. Although the overall range across experts is summarized in this table, the full uncertainty in the estimates is reflected by the results for the full set of 12 experts. The twelve experts’ 

judgments as to the likely mean effect estimate are not evenly distributed across the range illustrated by arraying the highest and lowest expert 

means. 

(c) Respiratory hospital admissions for PM include admissions for chronic obstructive pulmonary disease (COPD), pneumonia, and asthma. 

(d) Cardiovascular hospital admissions for PM include total cardiovascular and subcategories for ischemic heart disease, dysrhythmias, and 

heart failure. 

(e) Respiratory hospital admissions for ozone include admissions for all respiratory causes and subcategories for COPD and pneumonia. 

(2) Monetized Benefits 

Table VI–3 presents the estimated 

monetary value of reductions in the 

incidence of health and welfare effects. 

Tables VI–4 and VI–5 present the total 

annual PM- and ozone-related health 

benefits, which are estimated to be 

between $9.2 and $11 billion in 2030, 

assuming a 3 percent discount rate, or 

between $8.4 and $10 billion, assuming 

a 7 percent discount rate, using the 

ACS-derived estimate of PM-related 

premature mortality (Pope et al., 2002) 

and the range of ozone-related 

premature mortality studies derived 

from the epidemiological literature. The 

range of benefits expands to between 

$4.7 and $39 billion, assuming a 3 

percent discount rate, when the estimate 

includes the opinions of outside experts 

on PM and the risk of premature death, 

or between $4.4 and $35 billion, 

assuming a 7 percent discount rate. All 

monetized estimates are stated in 2006$. 

These estimates account for growth in 

real gross domestic product (GDP) per 

capita between the present and the years 

2020 and 2030. As the tables indicate, 

total benefits are driven primarily by the 

reduction in premature fatalities each 

year. 

The above estimates of monetized 

benefits include only one example of 

non-health related benefits. Changes in 

the ambient level of PM 2.5 are known to 

affect the level of visibility in much of 

the U.S. Individuals value visibility 

both in the places they live and work, 

in the places they travel to for 

recreational purposes, and at sites of 

unique public value, such as at National 

Parks. For the final standards, we 

present the recreational visibility 

benefits of improvements in visibility at 

86 Class I areas located throughout 

California, the Southwest, and the 

Southeast. These estimated benefits are 

approximately $170 million in 2020 and 

$400 million in 2030, as shown in Table 

VI–3. 

Table VI–3, VI–4 and VI–5 do not 

include those additional health and 

environmental benefits of the rule that 

we were unable to quantify or monetize. 

These effects are additive to the estimate 

of total benefits, and are related to two 

primary sources. First, there are many 

human health and welfare effects 

associated with PM, ozone, and toxic air 

pollutant reductions that remain 

unquantified because of current 

limitations in the methods or available 

data. A full appreciation of the overall 

economic consequences of the final 

standards requires consideration of all 

benefits and costs projected to result 

from the new standards, not just those 

benefits and costs which could be 

expressed here in dollar terms. A list of 

the benefit categories that could not be 

quantified or monetized in our benefit 

estimates are provided in Table VI–6. 

TABLE VI–3.—ESTIMATED MONETARY VALUE IN REDUCTIONS IN INCIDENCE OF HEALTH AND WELFARE EFFECTS

[In millions of 2006$] a, b

2020 2030 

PM2.5-Related Health Effect ...................................................................... Estimated Mean Value of Reductions 

(5th and 95th percentile) 

Premature Mortality—Derived from 

Epidemiology Studies c, d.

Adult, age 30+—ACS study (Pope 

et al., 2002) 

3% discount rate ........................... $3,400 ($810–$7,000) .................. $8,100 ($1,900–$16,000) 

7% discount rate ........................... $3,100 ($730–$6,300) .................. $7,300 ($1,700–$15,000) 

Adult, age 25+—Six-cities study 

(Laden et al., 2006) 

3% discount rate ........................... $7,800 ($2,200–$15,000) ............. $18,000 ($5,100–$35,000) 

7% discount rate ........................... $7,000 ($1,900–$13,000) ............. $17,000 ($4,600–$32,000) 

Infant Mortality, <1 year—(Woodruff et al. 1997) 

3% discount rate ........................... $7 ($2–$14) .................................. $13 ($3.5–$26) 

7% discount rate ........................... $7 ($2–$13) .................................. $12 ($3.1–$23) 

Premature mortality—Derived from 

Expert Elicitation c, d, e.

Adult, age 25+—Lower bound 

(Expert K) 

3% discount rate ........................... $1,500 ($0–$7,700) ...................... $3,600 ($0–$18,000) 

7% discount rate ........................... $1,400 ($0–$7,000) ...................... $3,200 ($0–$16,000) 

Adult, age 25+—Upper bound 

(Expert E) 

3% discount rate ........................... $15,000 ($4,100–$30,000) ........... $36,000 ($9,500–$70,000) 

7% discount rate ........................... $14,000 ($3,700–$27,000) ........... $32,000 ($8,600–$63,000) 

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37180 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

198 Industrial Economics, Incorporated (IEc). 

2006. Expanded Expert Judgment Assessment of the 

Concentration-Response Relationship between 

PM2.5 Exposure and Mortality. Peer Review Draft. 

Prepared for: Office of Air Quality Planning and 

Standards, U.S. Environmental Protection Agency, 

Research Triangle Park, NC. August. 

TABLE VI–3.—ESTIMATED MONETARY VALUE IN REDUCTIONS IN INCIDENCE OF HEALTH AND WELFARE EFFECTS— 

Continued 

[In millions of 2006$] a, b

2020 2030 

Chronic bronchitis (adults, 26 and over) ................................................... $150 ($12–$500) .......................... $340 ($28–$1,100) 

Non-fatal acute myocardial infarctions: 

3% discount rate ................................................................................ $110 ($34–$230) .......................... $260 ($74–$550) 

7% discount rate ................................................................................ $110 ($31–$230) .......................... $250 ($69–$540) 

Hospital admissions for respiratory causes .............................................. $2.1 ($1.0–$3.2) ........................... $4.9 ($2.4–$7.3) 

Hospital admissions for cardiovascular causes ........................................ $6.7 ($4.2–$9.2) ........................... $17 ($11–$23) 

Emergency room visits for asthma ........................................................... $0.15 ($0.08–$0.23) ..................... $0.33 ($0.18–$0.49) 

Acute bronchitis (children, age 8–12) ....................................................... $0.08 ($0–$0.2) ............................ $0.17 ($0–$0.42) 

Lower respiratory symptoms (children, 7–14) .......................................... $0.18 ($0.07–$0.33) ..................... $0.40 ($0.15–$0.73) 

Upper respiratory symptoms (asthma, 9–11) ........................................... $0.21 ($0.06–$0.46) ..................... $0.46 ($0.13–$1.0) 

Asthma exacerbations ............................................................................... $0.45 ($0.05–$1.3) ....................... $1.0 ($0.11–$2.9) 

Work loss days .......................................................................................... $8.9 ($7.7–$10) ............................ $18 ($16–$21) 

Minor restricted-activity days (MRADs) .................................................... $22 ($13–$32) .............................. $46 ($27–$66) 

Recreational Visibility, 86 Class I areas ................................................... $170 (na)f ..................................... $400 (na) 

Ozone-related Health Effect 

Premature Mortality, All ages—Derived from NMMAPS.Bell et al., 2004 ............................ $100 (¥$170–$420) ..................... $440 (¥$340–$1,400) 

Premature Mortality, All ages—Derived from Meta-analyses.Bell et al., 2005 ............................ $340 (¥$360–$1,200) .................. $1,400 (¥$550–$3,900) 

Ito et al., 2005 .............................. $460 (¥$260–$1,400) .................. $1,900 (¥$120–$4,700) 

Levy et al., 2005 ........................... $480 (¥$110–$1,300) .................. $2,000 ($280–$4,400) 

Premature Mortality—Assumption that association between ozone and 

mortality is not causal.

$0 .................................................. $0 

Hospital admissions—Respiratory causes (children, under 2; adult, 65 

and older).

¥$0.54 (¥$4.6–$3.3) .................. $2.7 (¥$11–$17) 

Emergency room visit for asthma (all ages) ............................................. $0.03 (¥$0.03–$0.1) .................... $0.09 (¥$0.07–$0.30) 

Minor restricted activity days (adults, age 18–65) .................................... $2.5 (¥$4.0–$9.9) ........................ $8.8 (¥$7.8–$28) 

School absence days ................................................................................ $2.9 (¥$1.5–$6.8) ........................ $11 (¥$1.3–$21) 

Worker Productivity ................................................................................... $0.53 (na)f .................................... $2.9 (na)f

Notes: 

(a) Monetary benefits are rounded to two significant digits for ease of presentation and computation. PM and ozone benefits are nationwide. 

(b) Monetary benefits adjusted to account for growth in real GDP per capita between 1990 and the analysis year (2020 or 2030) 

(c) Valuation assumes discounting over the SAB recommended 20 year segmented lag structure. Results reflect the use of 3 percent and 7 

percent discount rates consistent with EPA and OMB guidelines for preparing economic analyses (EPA, 2000; OMB, 2003). 

(d) The valuation of adult premature mortality, derived either from the epidemiology literature or the expert elicitation, is not additive. Rather, 

the valuations represent a range of possible mortality benefits. 

(e) Based on effect estimates derived from the full-scale expert elicitation assessing the uncertainty in the concentration-response function for 

PM-related premature mortality (IEc, 2006).198 The effect estimates of five of the twelve experts included in the elicitation panel fall within the 

empirically-derived range provided by the ACS and Six-Cities studies. One of the experts fall below this range and six of the experts are above 

this range. Although the overall range across experts is summarized in this table, the full uncertainty in the estimates is reflected by the results 

for the full set of 12 experts. The twelve experts’ judgments as to the likely mean effect estimate are not evenly distributed across the range illustrated by arraying the highest and lowest expert means. 

(f) We are unable at this time to characterize the uncertainty in the estimate of benefits of worker productivity and improvements in visibility at 

Class I areas. As such, we treat these benefits as fixed and add them to all percentiles of the health benefits distribution. 

TABLE VI–4.—TOTAL MONETIZED BENEFITS OF THE FINAL LOCOMOTIVE AND MARINE ENGINE RULE—3% DISCOUNT RATE

2020 2030 

Ozone mortality function Reference Mean total benefits Ozone mortality function Reference Mean total benefits 

Total Ozone and PM Benefits (Billions, 2006$)—PM Mortality Derived From the ACS Study 

NMMAPS .................... Bell et al., 2004 ......... $4.0 ........................... NMMAPS .................. Bell et al., 2004 ......... $9.7 

Meta-analysis ............. Bell et al., 2005 ......... $4.2 ........................... Meta-analysis ............ Bell et al., 2005 ......... $11 

Ito et al., 2005 ........... $4.4 ........................... ................................... Ito et al., 2005 ........... $11 

Levy et al., 2005 ....... $4.4 ........................... ................................... Levy et al., 2005 ....... $11 

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TABLE VI–4.—TOTAL MONETIZED BENEFITS OF THE FINAL LOCOMOTIVE AND MARINE ENGINE RULE—3% DISCOUNT

RATE—Continued 

2020 2030 

Ozone mortality function Reference Mean total benefits Ozone mortality function Reference Mean total benefits 

Assumption that association is not causal $3.9 ........................... Assumption that association is not causal $9.2 

Total Ozone and PM Benefits (Billions, 2006$)—PM Mortality Derived From Expert Elicitation (Lowest and Highest Estimate) 

NMMAPS .................... Bell et al., 2004 ......... $2.1 to $16 ................ NMMAPS .................. Bell et al., 2004 ......... $5.2 to $37 

Meta-analysis ............. Bell et al., 2005 ......... $2.4 to $16 ................ Meta-analysis ............ Bell et al., 2005 ......... $6.2 to $38 

Ito et al., 2005 ........... $2.5 to $16 ................ ................................... Ito et al., 2005 ........... $6.7 to $39

Levy et al., 2005 ....... $2.5 to $16 ................ ................................... Levy et al., 2005 ....... $6.7 to $39 

Assumption that association is not causal $2.0 to $16 ................ Assumption that association is not causal $4.7 to $37 

TABLE VI–5.—TOTAL MONETIZED BENEFITS OF THE FINAL LOCOMOTIVE AND MARINE ENGINE RULE—7% DISCOUNT RATE

Total Ozone and PM Benefits (Billions, 2006$)—PM Mortality Derived From Epidemiology Studies (ACS and Six Cities) 

2020 2030 

Ozone mortality function Reference Mean total benefits Ozone mortality function Reference Mean total benefits 

NMMAPS .................... Bell et al., 2004 ......... $3.7 ........................... NMMAPS .................. Bell et al., 2004 ......... $8.9 

Meta-analysis ............. Bell et al., 2005 ......... $3.9 ........................... Meta-analysis ............ Bell et al., 2005 ......... $9.8 

Ito et al., 2005 ........... $4.0 ........................... ................................... Ito et al., 2005 ........... $10 

Levy et al., 2005 ....... $4.0 ........................... ................................... Levy et al., 2005 ....... $10 

Assumption that association is not causal $3.6 ........................... Assumption that association is not causal $8.4 

Total Ozone and PM Benefits (Billions, 2006$)—PM Mortality Derived From Expert Elicitation (Lowest and Highest Estimate) 

2020 2030 

Ozone mortality function Reference Mean total benefits Ozone mortality function Reference Mean total benefits 

NMMAPS .................... Bell et al., 2004 ......... $2.0 to $14 ................ NMMAPS .................. Bell et al., 2004 ......... $4.8 to $34 

Meta-analysis ............. Bell et al., 2005 ......... $2.2 to $15 ................ Meta-analysis ............ Bell et al., 2005 ......... $5.8 to $35 

Ito et al., 2005 ........... $2.3 to $15 ................ ................................... Ito et al., 2005 ........... $6.3 to $35

Levy et al., 2005 ....... $2.3 to $15 ................ ................................... Levy et al., 2005 ....... $6.4 to $35 

Assumption that association is not causal $1.9 to $14 ................ Assumption that association is not causal $4.4 to $33 

TABLE VI–6.—UNQUANTIFIED AND NON-MONETIZED POTENTIAL EFFECTS OF THE FINAL LOCOMOTIVE AND MARINE ENGINE

STANDARDS

Pollutant/Effects Effects Not Included in Analysis—Changes in: 

Ozone Health a ......................................................................... Chronic respiratory damage b

Premature aging of the lungs b

Non-asthma respiratory emergency room visits 

Exposure to UVb (+/¥) e

Ozone Welfare ......................................................................... Yields for 

—commercial forests 

—some fruits and vegetables 

—non-commercial crops 

Damage to urban ornamental plants 

Impacts on recreational demand from damaged forest aesthetics 

Ecosystem functions 

Exposure to UVb (+/¥) e

PM Health c ............................................................................... Premature mortality—short term exposures d

Low birth weight 

Pulmonary function 

Chronic respiratory diseases other than chronic bronchitis 

Non-asthma respiratory emergency room visits 

Exposure to UVb (+/¥) e

PM Welfare ............................................................................... Residential and recreational visibility in non-Class I areas 

Soiling and materials damage 

Damage to ecosystem functions 

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TABLE VI–6.—UNQUANTIFIED AND NON-MONETIZED POTENTIAL EFFECTS OF THE FINAL LOCOMOTIVE AND MARINE ENGINE

STANDARDS—Continued 

Pollutant/Effects Effects Not Included in Analysis—Changes in: 

Exposure to UVb (+/¥) e

Nitrogen and Sulfate Deposition Welfare ................................. Commercial forests due to acidic sulfate and nitrate deposition 

Commercial freshwater fishing due to acidic deposition 

Recreation in terrestrial ecosystems due to acidic deposition 

Existence values for currently healthy ecosystems 

Commercial fishing, agriculture, and forests due to nitrogen deposition 

Recreation in estuarine ecosystems due to nitrogen deposition 

Ecosystem functions 

Passive fertilization 

CO Health ................................................................................. Behavioral effects 

HC/Toxics Health f .................................................................... Cancer (benzene, 1,3-butadiene, formaldehyde, acetaldehyde)

Anemia (benzene) 

Disruption of production of blood components (benzene) 

Reduction in the number of blood platelets (benzene) 

Excessive bone marrow formation (benzene) 

Depression of lymphocyte counts (benzene) 

Reproductive and developmental effects (1,3-butadiene) 

Irritation of eyes and mucus membranes (formaldehyde) 

Respiratory irritation (formaldehyde) 

Asthma attacks in asthmatics (formaldehyde) 

Asthma-like symptoms in non-asthmatics (formaldehyde) 

Irritation of the eyes, skin, and respiratory tract (acetaldehyde) 

Upper respiratory tract irritation and congestion (acrolein) 

HC/Toxics Welfare ................................................................... Direct toxic effects to animals 

Bioaccumulation in the food chain 

Damage to ecosystem function 

Odor 

Notes: 

(a) The public health impact of biological responses such as increased airway responsiveness to stimuli, inflammation in the lung, acute inflammation and respiratory cell damage, and increased susceptibility to respiratory infection are likely partially represented by our quantified 

endpoints. 

(b) The public health impact of effects such as chronic respiratory damage and premature aging of the lungs may be partially represented by 

quantified endpoints such as hospital admissions or premature mortality, but a number of other related health impacts, such as doctor visits and 

decreased athletic performance, remain unquantified. 

(c) In addition to primary economic endpoints, there are a number of biological responses that have been associated with PM health effects including morphological changes and altered host defense mechanisms. The public health impact of these biological responses may be partly represented by our quantified endpoints. 

(d) While some of the effects of short-term exposures are likely to be captured in the estimates, there may be premature mortality due to shortterm exposure to PM not captured in the cohort studies used in this analysis. However, the PM mortality results derived from the expert 

elicitation do take into account premature mortality effects of short term exposures. 

(e) May result in benefits or disbenefits. 

(f) Many of the key hydrocarbons related to this rule are also hazardous air pollutants listed in the Clean Air Act. 

(3) What Are the Significant Limitations 

of the Benefit-Cost Analysis? 

Every benefit-cost analysis examining 

the potential effects of a change in 

environmental protection requirements 

is limited to some extent by data gaps, 

limitations in model capabilities (such 

as geographic coverage), and 

uncertainties in the underlying 

scientific and economic studies used to 

configure the benefit and cost models. 

Limitations of the scientific literature 

often result in the inability to estimate 

quantitative changes in health and 

environmental effects, such as potential 

increases in premature mortality 

associated with increased exposure to 

carbon monoxide. Deficiencies in the 

economics literature often result in the 

inability to assign economic values even 

to those health and environmental 

outcomes which can be quantified. 

These general uncertainties in the 

underlying scientific and economics 

literature, which can lead to valuations 

that are higher or lower, are discussed 

in detail in the RIA and its supporting 

references. Key uncertainties that have a 

bearing on the results of the benefit-cost 

analysis of the final standards include 

the following: 

• The exclusion of potentially 

significant and unquantified benefit 

categories (such as health, odor, and 

ecological benefits of reduction in air 

toxics, ozone, and PM); 

• Errors in measurement and 

projection for variables such as 

population growth; 

• Uncertainties in the estimation of 

future year emissions inventories and 

air quality; 

• Uncertainty in the estimated 

relationships of health and welfare 

effects to changes in pollutant 

concentrations including the shape of 

the C–R function, the size of the effect 

estimates, and the relative toxicity of the 

many components of the PM mixture; 

• Uncertainties in exposure 

estimation; and 

• Uncertainties associated with the 

effect of potential future actions to limit 

emissions. 

As Table VI–3 indicates, total benefits 

are driven primarily by the reduction in 

premature mortalities each year. Some 

key assumptions underlying the 

premature mortality estimates include 

the following, which may also 

contribute to uncertainty: 

• Inhalation of fine particles is 

causally associated with premature 

death at concentrations near those 

experienced by most Americans on a 

daily basis. Although biological 

mechanisms for this effect have not yet 

been completely established, the weight 

of the available epidemiological, 

toxicological, and experimental 

evidence supports an assumption of 

causality. The impacts of including a 

probabilistic representation of causality 

were explored in the expert elicitationmstockstill on PROD1PC66 with RULES3

Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37183 

199National Research Council (NRC). 2002. 

Estimating the Public Health Benefits of Proposed 

Air Pollution Regulations. The National Academies 

Press: Washington, DC. 

200U.S. Environmental Protection Agency. 

October 2006. Final Regulatory Impact Analysis 

(RIA) for the Proposed National Ambient Air 

Quality Standards for Particulate Matter. Prepared 

by: Office of Air and Radiation. Available at 

http://www.epa.gov/ttn/ecas/ria.html. 

based results of the recently published 

PM NAAQS RIA. Consistent with that 

analysis, we discuss the implications of 

these results in the RIA for the final 

standards. 

• All fine particles, regardless of their 

chemical composition, are equally 

potent in causing premature mortality. 

This is an important assumption, 

because PM produced via transported 

precursors emitted from locomotive and 

marine engines may differ significantly 

from PM precursors released from 

electric generating units and other 

industrial sources. However, no clear 

scientific grounds exist for supporting 

differential effects estimates by particle 

type. 

• The C–R function for fine particles 

is approximately linear within the range 

of ambient concentrations under 

consideration (above the assumed 

threshold of 10 μg/m3). Thus, the 

estimates include health benefits from 

reducing fine particles in areas with 

varied concentrations of PM, including 

both regions that may be in attainment 

with PM2.5 standards and those that are 

at risk of not meeting the standards. 

• There is considerable uncertainty in 

the magnitude of the association 

between ozone and premature mortality. 

The range of ozone benefits associated 

with the final standards is estimated 

based on the risk of several sources of 

ozone-related mortality effect estimates. 

Recognizing that additional research is 

necessary to clarify the underlying 

mechanisms causing these effects, we 

also consider the possibility that the 

observed associations between ozone 

and mortality may not be causal in 

nature. EPA has requested advice from 

the National Academy of Sciences on 

how best to quantify uncertainty in the 

relationship between ozone exposure 

and premature mortality in the context 

of quantifying benefits. 

Despite these uncertainties, we 

believe this benefit-cost analysis 

provides a conservative estimate of the 

estimated economic benefits of the final 

standards in future years because of the 

exclusion of potentially significant 

benefit categories. Acknowledging 

benefits omissions and uncertainties, we 

present a best estimate of the total 

benefits based on our interpretation of 

the best available scientific literature 

and methods supported by EPA’s 

technical peer review panel, the Science 

Advisory Board’s Health Effects 

Subcommittee (SAB–HES). The 

National Academies of Science (NRC, 

2002) also reviewed EPA’s methodology 

for analyzing the health benefits of 

measures taken to reduce air pollution. 

EPA addressed many of these comments 

in the analysis of the final PM 

NAAQS.199, 200 The analysis of the final 

standards incorporates this most recent 

work to the extent possible. 

(4) Benefit-Cost Analysis 

In estimating the net benefits of the 

final standards, the appropriate cost 

measure is ‘‘social costs.’’ Social costs 

represent the welfare costs of a rule to 

society. These costs do not consider 

transfer payments (such as taxes) that 

are simply redistributions of wealth. 

Table VI–7 contains the estimates of 

monetized benefits and estimated social 

welfare costs for the final rule and each 

of the final control programs. The 

annual social welfare costs of all 

provisions of this final rule are 

described more fully in Section VII of 

this preamble. 

The results in Table VI–7 suggest that 

the 2020 monetized benefits of the final 

standards are greater than the expected 

social welfare costs. Specifically, the 

annual benefits of the total program will 

range between $3.9 to $8.8 billion 

annually in 2020 using a three percent 

discount rate, or between $3.6 to $8.0 

billion assuming a 7 percent discount 

rate, compared to estimated social costs 

of approximately $330 million in that 

same year. These benefits are expected 

to increase to between $9.2 and $22 

billion annually in 2030 using a three 

percent discount rate, or between $8.4 

and $20 billion assuming a 7 percent 

discount rate, while the social costs are 

estimated to be approximately $740 

million. Though there are a number of 

health and environmental effects 

associated with the final standards that 

we are unable to quantify or monetize 

(see Table VI–6), the benefits of the final 

standards far outweigh the projected 

costs. When we examine the benefit-tocost comparison for the rule standards 

separately, we also find that the benefits 

of the specific engine standards far 

outweigh their projected costs. 

TABLE VI–7.—SUMMARY OF ANNUAL BENEFITS, COSTS, AND NET BENEFITS OF THE FINAL LOCOMOTIVE AND MARINE

ENGINE STANDARDS (MILLIONS, 2006$) a

Description 

2020 

(Millions of 2006 

dollars) 

2030 

(Millions of 2006 

dollars) 

Estimated Social Costs: b

Locomotive: $200 ....................... $460. 

Marine: $140 ....................... $280. 

Total Social Costs ................................................................................................................................... $330 ....................... $740. 

Estimated Health Benefits of the Final Standards: c, d, e, f

Locomotive: 

3 percent discount rate ............................................................................................................. $2,000 to $4,400 ... $4,300 to $11,000. 

7 percent discount rate ............................................................................................................. $1,900 to $4,000 ... $4,000 to $10,000. 

Marine: 

3 percent discount rate ............................................................................................................. $1,900 to $4,400 ... $4,900 to $11,000. 

7 percent discount rate ............................................................................................................. $1,700 to $4,000 ... $4,400 to $10,000 

Total Benefits: 

3 percent discount rate .................................................................................................................... $3,900 to $8,800 ... $9,200 to $22,000. 

7 percent discount rate .................................................................................................................... $3,600 to $8,000 ... $8,400 to $20,000. 

Annual Net Benefits (Total Benefits¥Total Costs): 

3 percent discount rate .................................................................................................................... $3,600 to $8,500 ... $8,500 to $21,000 

7 percent discount rate .................................................................................................................... $3,300 to $7,700 ... $7,700 to $19,000 

Notes: 

a All estimates represent annualized benefits and costs anticipated for the years 2020 and 2030. Totals may not sum due to rounding. 

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37184 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

201U.S. Environmental Protection Agency, 2000. 

Guidelines for Preparing Economic Analyses. 

www.yosemite1.epa.gov/ee/epa/eed/hsf/pages/ 

Guideline.html. 202Office of Management and Budget, The 

Executive Office of the President, 2003. Circular A– 

4. http://www.whitehouse.gov/omb/circulars. 

b The calculation of annual costs does not require amortization of costs over time. Therefore, the estimates of annual cost do not include a discount rate or rate of return assumption (see Chapter 7 of the RIA). In Section V, however, we do use both a 3 percent and 7 percent social discount rate to calculate the net present value of total social costs consistent with EPA and OMB guidelines for preparing economic analyses. c Total includes ozone and PM2.5 benefits. Range was developed by adding the estimate from the ozone premature mortality function, including an assumption that the association is not causal, to both estimates of PM2.5-related premature mortality derived from the ACS (Pope et al., 

2002) and Six-Cities (Laden et al., 2006) studies, respectively. d Annual benefits analysis results reflect the use of a 3 percent and 7 percent discount rate in the valuation of premature mortality and nonfatal 

myocardial infarctions, consistent with EPA and OMB guidelines for preparing economic analyses (US EPA, 2000 and OMB, 2003).201, 202

e Valuation of premature mortality based on long-term PM exposure assumes discounting over the SAB recommended 20-year segmented lag 

structure described in the Regulatory Impact Analysis for the Final Clean Air Interstate Rule (March, 2005). f Not all possible benefits or disbenefits are quantified and monetized in this analysis. Potential benefit categories that have not been quantified 

and monetized are listed in Table VI–6. 

VII. Alternative Program Options 

The program we are finalizing today 

represents a broad and comprehensive 

approach to reducing emissions from 

locomotive and marine diesel engines. 

As we developed this final rule, we 

considered a number of alternatives 

with regard to the scope and timing of 

the standards. After carefully evaluating 

these alternatives, we believe that our 

new program provides the best 

opportunity for achieving timely and 

substantial emission reductions from 

locomotive and marine diesel engines. 

Our final program balances a number of 

key factors: (1) Achieving significant 

emissions reductions as early as 

possible, (2) providing appropriate lead 

time to develop and apply advanced 

control technologies, and (3) 

coordinating requirements in this final 

rule with existing highway and nonroad 

diesel engine programs. The alternative 

scenarios described here were 

constructed to further evaluate each 

individual aspect of our program, and 

have enabled us to achieve the 

appropriate balance between these key 

factors. This section presents a summary 

of our analysis of these alternative 

control scenarios. For a more detailed 

explanation of our analysis, including a 

year by year breakout of expected costs 

and emission reductions, please refer to 

Chapter 8 of the Regulatory Impact 

Analysis (RIA) prepared for this final 

rulemaking. 

A. Summary of Alternatives 

(1) Alternative 1: Proposed Program 

From the Notice of Proposed 

Rulemaking 

Alternative 1 examines the differences 

between the program we proposed and 

the program we are finalizing in this 

rulemaking. The proposal consisted of a 

three-part program. First, it proposed 

more stringent standards for existing 

locomotives that would apply when 

they were remanufactured. These 

standards would go into effect as soon 

as a certified remanufacture system 

became available. Second, we proposed 

a set of near-term emission standards, 

referred to as Tier 3, for freshly 

manufactured locomotives and marine 

engines that reflected the application of 

technologies to reduce engine-out PM 

and NOX. Third, we proposed longerterm standards, referred to as Tier 4, 

that utilized high-efficiency catalytic 

aftertreatment technology enabled by 

the availability of ULSD. These 

standards would phase in over time, 

beginning in 2014. In addition, we 

proposed eliminating emissions from 

unnecessary locomotive idling. 

The final rule makes a number of 

important changes to the program 

originally set out in the proposal which 

we believe will yield significantly 

greater overall NOX and PM reductions, 

especially in the critical early years of 

the program. In particular, the adoption 

of standards for remanufactured marine 

engines and a 2-year pull-ahead of the 

Tier 4 NOX requirements for line-haul 

locomotives and for 2000–3700 kW 

marine engines provide greater nearterm reductions than the proposal. The 

final rule also expands the 

remanufactured locomotive program to 

include Class II railroads. 

As a stand-alone program, through the 

year 2040 Alternative 1 provides PM2.5

reductions of 286,000 tons NPV 3%, or 

121,000 tons NPV 7%, and NOX

reductions of 8,140,000 tons NPV 3%, 

or 3,320,000 tons NPV 7%. The cost of 

this alternative through 2040 is 

estimated to be $8,760 million NPV 3%, 

or $3,900 million NPV 7%. In 2020, this 

alternative provides monetized health 

and welfare benefits of $3.3 billion at a 

3% discount rate, or $3.0 billion at a 7% 

discount rate, and $8.8 billion in 2030 

at a 3% discount rate, or $8.0 billion at 

a 7% discount rate. Through 2040 our 

final program provides additional PM2.5

reductions of 22,000 tons NPV 3%, or 

13,000 tons NPV 7%, and additional 

NOX reductions of 620,000 tons NPV 

3%, or 390,000 tons NPV 7%. Through 

2040, the additional costs of our final 

program will be $650 million NPV 3%, 

or $410 million NPV 7%. The additional 

PM2.5 monetized health and welfare 

benefits in 2020 of our final program are 

$0.6 billion at a 3% discount rate, or 

$0.6 billion at a 7% discount rate, while 

in 2030 the additional monetized health 

and welfare benefits total $0.4 billion at 

a 3% discount rate, or $0.4 billion at a 

7% discount rate. 

(2) Alternative 2: Exclusion of 

Remanufacturing Standards 

Alternative 2 examines the potential 

impacts of the locomotive and marine 

remanufacturing programs by excluding 

them from the analysis (see sections 

III.B.(1)(a)(i), III.B.(1)(b), and III.B.(2)(b) 

of this Preamble for more details on the 

remanufacturing standards). As a standalone program, Alternative 2 provides 

PM2.5 reductions of 240,000 tons NPV 

3%, or 96,000 tons NPV 7%, and NOX

reductions of 7,640,000 tons NPV 3%, 

or 3,030,000 tons NPV 7%, through the 

year 2040. The cost of this alternative 

through 2040 is estimated to be $8,080 

million NPV 3%, or $3,430 million NPV 

7%. In 2020, this alternative provides 

monetized health and welfare benefits 

of $2.5 billion at a 3% discount rate, or 

$2.3 billion at a 7% discount rate, and 

$8.2 billion in 2030 at a 3% discount 

rate, or $7.5 billion at a 7% discount 

rate. Compared to the final program, our 

analysis shows that by 2040 eliminating 

the locomotive and marine 

remanufacture programs lessen PM2.5

emission reductions by 68,000 tons NPV 

3%, or 38,000 tons NPV 7%, and NOX

emission reductions by nearly 1,120,000 

tons NPV 3%, or 680,000 tons NPV 7%. 

The cost of this alternative, as compared 

to our final program through 2040, is 

estimated to be $1,330 million less NPV 

3%, or $880 million less NPV 7%. 

Compared to our final program, 

eliminating the locomotive and marine 

remanufacture programs reduce the 

monetized health and welfare benefits 

by $1.4 billion at a 3% discount rate, or 

$1.3 billion at a 7% discount rate in 

2020, and $1.0 billion at a 3% discount 

rate, or $0.9 billion at a 7% discount 

rate in 2030. 

(3) Alternative 3: Elimination of Tier 3 

Alternative 3 eliminates the Tier 3 

standards, while retaining the Tier 4 

standards and the combined marine and 

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locomotive remanufacturing 

requirements. As a stand-alone program, 

Alternative 3 provides PM2.5 reductions 

of 237,000 tons NPV 3%, or 100,000 

tons NPV 7%, and NOX reductions of 

8,360,000 tons NPV 3%, or 3,530,000 

tons NPV 7%, through the year 2040. 

The cost of this alternative through 2040 

is estimated to be $9,240 million NPV 

3%, or $4,160 million NPV 7%. In 2020, 

this alternative provides monetized 

health and welfare benefits of $2.8 

billion at a 3% discount rate, or $2.6 

billion at a 7% discount rate, and $7.8 

billion in 2030 at a 3% discount rate, or 

$7.1 billion at a 7% discount rate. 

Comparing this alternative to our final 

program allows us to consider the value 

of the Tier 3 standards on their own 

merits. Specifically, this alternative 

would lessen PM2.5 emissions 

reductions by nearly 71,000 tons NPV 

3%, or 34,000 tons NPV 7%, and NOX

emissions by 400,000 tons NPV 3%, or 

180,000 tons NPV 7%. The cost of this 

alternative, as compared to our final 

program through 2040, is estimated to 

be $170 million less at NPV 3%, or $150 

million less at NPV 7%. The monetized 

health and welfare benefits that would 

be forgone by eliminating Tier 3 are $1.1 

billion at a 3% discount rate, or $1.0 

billion at a 7% discount rate in 2020, 

and $1.4 billion at a 3% discount rate, 

or $1.3 billion at a 7% discount rate in 

2030. Although the remanufacturing 

programs provide substantial benefits in 

the near-term, as evidenced by the 

analysis of Alternative 2, it is clear that 

Tier 3 also plays an important role in 

providing both near- and long-term 

emission reductions. 

(4) Alternative 4: Tier 4 Exclusively in 

2013 

Alternative 4 most closely reflects the 

program described in our Advanced 

Notice of Proposed Rulemaking, 

whereby we would set new 

aftertreatment based emission standards 

as soon as possible. In this case, we 

believe the earliest that such standards 

could logically be started is in 2013 

(three months after the introduction of 

15 ppm ULSD in this sector). 

Alternative 4 eliminates our Tier 3 

standards along with the locomotive 

and marine remanufacturing standards, 

while pulling the Tier 4 standards ahead 

to 2013 for all portions of the Tier 4 

program. We are unable to make an 

accurate estimate of the cost for such an 

approach since we do not believe it to 

be technically feasible at this time. 

However, we have reported a cost in the 

summary table reflecting the same cost 

estimation method we used for our 

primary case and have denoted 

unestimated additional costs as ‘C’. 

These additional unestimated costs 

would include costs for additional 

engine test cells, engineering staff, and 

engineering facilities necessary to 

introduce Tier 4 early. As a stand-alone 

program, Alternative 4 provides PM2.5

reductions of 249,000 tons NPV 3%, or 

101,000 tons NPV 7%, and NOX

reductions of 8,320,000 tons NPV 3%, 

or 3,420,000 tons NPV 7% through the 

year 2040. In 2020, this alternative 

provides monetized health and welfare 

benefits of $3.0 billion at a 3% discount 

rate, or $2.8 billion at a 7% discount 

rate, and $8.4 billion in 2030 at a 3% 

discount rate, or $7.6 billion at a 7% 

discount rate. Through 2040, this 

alternative, as compared to our final 

program, would decrease PM2.5

reductions by more than 59,000 NPV 

3% tons, or 33,000 tons NPV 7%, and 

NOX emissions by 440,000 tons NPV 

3%, or 290,000 tons NPV 7%. Compared 

to our final program, the reduction in 

monetized health and welfare benefits 

of this alternative would be $0.9 billion 

at a 3% discount rate, or $0.8 billion at 

a 7% discount rate in 2020, while in 

2030 the reductions in monetized 

benefits would be $0.8 billion at a 3% 

discount rate, or $0.8 billion at a 7% 

discount rate. 

B. Summary of Results 

A summary of the four alternatives is 

contained in Table VII–1 and Table VII– 

2 below. The PM and NOX emissions 

reductions from the alternatives 

described here compare favorably—in 

terms of cost effectiveness—to other 

mobile source control programs that 

have been or will soon be implemented. 

These alternatives show that each 

element of our comprehensive program: 

the locomotive and marine 

remanufacturing programs, the nearterm Tier 3 emission standards, and the 

long-term Tier 4 emission standards, 

represent valuable emission control 

programs on their own. The collective 

program results in the greatest emission 

reductions we believe to be possible 

giving consideration to all of the 

elements described in this final rule. 

Overall, our final program will provide 

very large reductions in PM, NOX, and 

toxic compounds in both the near-term 

and the long-term. These reductions 

will be achieved in a manner that: (1) 

Leverages technology developments in 

other diesel sectors, (2) aligns well with 

the clean diesel fuel requirements 

already being implemented, and (3) 

provides the lead time needed to deal 

with the significant engineering design 

workload that is involved. 

TABLE VII–1.—SUMMARY OF INVENTORY AND COSTS AT NPV 3% AND 7% 

Alternatives Standards 

Estimated PM2.5 reductions 

2006–2040 

Estimated NOX reductions 

2006–2040 

Total costs a millions 

2006–2040 

NPV 3% NPV 7% NPV 3% NPV 7% NPV 3% NPV 7% 

Final Rule ............... • Locomotive Remanufacturing ..

• Marine Remanufacturing, 

• Tier 3 Near-term program, 

• Tier 4 Long-term standards 

308,000 134,000 8,760,000 3,710,000 $9,410 $4,310 

Alternative 1: Proposed Case 

(NPRM).

• Proposed Locomotive Remanufacturing program,.

• Proposed Tier 3 Near-term 

program, 

• Proposed Tier 4 Long-term 

standards 

286,000 121,000 8,140,000 3,320,000 8,760 3,900 

Alternative 2: Exclusion of Remanufacturing Standards.• Tier 3 Near-term program, ......

• Tier 4 Long-term standards 

240,000 96,000 7,640,000 3,030,000 8,080 3,430 

Alternative 3: Elimination of Tier 3.• Locomotive Remanufacturing,

• Marine Remanufacturing, 

• Tier 4 Long-term standards 

237,000 10,000 8,360,000 3,530,000 9,240 4,160 

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TABLE VII–1.—SUMMARY OF INVENTORY AND COSTS AT NPV 3% AND 7%—Continued 

Alternatives Standards 

Estimated PM2.5 reductions 

2006–2040 

Estimated NOX reductions 

2006–2040 

Total costs a millions 

2006–2040 

NPV 3% NPV 7% NPV 3% NPV 7% NPV 3% NPV 7% 

Alternative 4: Tier 4 

Exclusively in 

2013.

• Tier 4 Long-term standards 

only in 2013.

249,000 101,000 8,320,000 3,420,000 9,070+C 3950+C 

Note: a ‘C’ represents the additional costs necessary to accelerate the introduction of Tier 4 technologies that we are unable to estimate at this 

time. 

TABLE VII–2.—INVENTORY, COST, AND BENEFITS FOR 2020 AND 2030 

PM2.5 emissions 

reductions (tons) 

NOX emissions 

reductions (tons) 

Total costsa (millions) Benefitsb,c (billions) 

PM2.5 only 

3% discount rate 

Benefitsb,c (billions) PM2.5 only 

7% discount rate 

2020 2030 2020 2030 2020 2030 2020 2030 2020 2030 

Final Rule ..................................... 14,000 27,000 370,000 790,000 $350 $760 $3.9 $9.2 $3.6 $8.4 

Alternative 1: Proposed Case 

(NPRM) ..................................... 13,000 26,000 310,000 780,000 300 750 3.3 8.8 3.0 8.0 

Alternative 2: Exclusion of Remanufacturing Standards ......... 8,800 24,000 280,000 760,000 290 720 2.5 8.2 2.3 7.5 

Alternative 3: Elimination of Tier 3 8,800 21,000 350,000 760,000 350 760 2.8 7.8 2.6 7.1 

Alternative 4: Tier 4 Exclusively in 

2013 .......................................... 10,000 24,000 350,000 790,000 360 780 3.0 8.4 2.8 7.6 

Notes: 

a ‘C’ represents the additional costs necessary to accelerate the introduction of Tier 4 technologies that we are unable to estimate at this time. b Note that the range of PM-related benefits reflects the use of an empirically-derived estimate of PM mortality benefits, based on the ACS cohort study (Pope et al., 2002). cAnnual benefits analysis results reflect the use of a 3 percent and 7 percent discount rate in the valuation of premature mortality and nonfatal 

myocardial infarctions, consistent with EPA and OMB guidelines for preparing economic analyses (US EPA, 2000 and OMB, 2003). U.S. Environmental Protection Agency, 2000. Guidelines for Preparing Economic Analyses. http://yosemite.epa.gov/ee/epa/eed.nsf/webpages/ 

Guidelines.html. 

VIII. Public Participation 

Many interested parties participated 

in the rulemaking process that 

culminates with this final rule. This 

process provided opportunity for 

submitting written public comments 

following the proposal that we 

published on April 3, 2007 (72 FR 

15938). We considered these comments 

in developing the final rule. In addition, 

we held public hearings on the 

proposed rulemaking on May 8 and 10, 

2007, and we have considered 

comments presented at the hearings. 

Throughout the rulemaking process, 

EPA met with stakeholders including 

representatives from industry, 

government, environmental 

organizations, and others. The program 

we are finalizing today was developed 

as a collaborative effort with these 

stakeholders. 

We have prepared a detailed 

Summary and Analysis of Comments 

document, which describes comments 

we received on the proposal and our 

response to each of these comments. 

The Summary and Analysis of 

Comments is available in the docket for 

this rule at the Internet address listed 

under ADDRESSES, as well as on the 

Office of Transportation and Air Quality 

Web site (www.epa.gov/otaq/ 

locomotv.htm and www.epa.gov/otaq/ 

marine.htm). In addition, comments and 

responses for key issues are included 

throughout this preamble. 

IX. Statutory and Executive Order 

Reviews 

A. Executive Order 12866: Regulatory 

Planning and Review 

Under section 3(f)(1) of Executive 

Order (EO) 12866 (58 FR 51735, October 

4, 1993), this action is an ‘‘economically 

significant regulatory action’’ because it 

is likely to have an annual effect on the 

economy of $100 million or more. 

Accordingly, EPA submitted this action 

to the Office of Management and Budget 

(OMB) for review under EO 12866, and 

any changes made by EPA after 

submission to OMB have been 

documented in the docket for this 

action. 

In addition, EPA prepared an analysis 

of the potential costs and benefits 

associated with this action. This 

analysis is contained in the final 

Regulatory Impact Analysis that was 

prepared for this rulemaking, and is 

available in the docket at the docket 

internet address listed under ADDRESSES

above. 

B. Paperwork Reduction Act 

The information collection 

requirements in this final rule have been 

submitted for approval to the Office of 

Management and Budget (OMB) under 

the Paperwork Reduction Act, 44 U.S.C. 

3501 et seq. EPA may not conduct the 

information collection requirements in 

this rule and may not penalize anyone 

for failing to comply with the 

information collection requirements in 

the rule unless they are currently 

approved by OMB. 

EPA plans to collect information to 

ensure that locomotives and marine 

diesel engines conform to the 

regulations throughout their useful 

lives. Section 208(a) of the Clean Air 

Act requires that manufacturers provide 

information the Administrator may 

reasonably require to determine 

compliance with the regulations; 

submission of the information is 

therefore mandatory. We will consider 

confidential all information meeting the 

requirements of Section 208(c) of the 

Clean Air Act. 

The annual public reporting and 

recordkeeping burden for this collection 

of information is estimated to be 287 

hours per respondent for locomotives, 

and 149 hours per respondent for 

marine. The projected number of 

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203U.S. EPA, Assessment and Standards Division, 

Locomotive and Marine Diesel RFA/SBREFA 

Screening Analysis, Memorandum from Chester J. 

France to Alexander Cristofaro of U.S. EPA’s Office 

of Policy, Economics, and Innovation, September 

25, 2006. 

204U.S. EPA, Assessment and Standards Division, 

Supplement to Locomotive and Marine Diesel RFA/ 

SBREFA Screening Analysis—Marine Existing Fleet 

Program Impact Analysis, Memorandum from Lucie 

Audette and Bryan Manning to Docket EPA–HQ– 

OAR–2003–0190, December 12, 2007. 

respondents and annual reporting, 

recordkeeping, and cost burdens to 

respondents are as follows: 

• Estimated total number of potential 

respondents: for locomotives—7; for 

marine—13. 

• Estimated total annual burden 

hours: for locomotives—14,040 (2,010 

per respondent); for marine—25,167 

(1,940 per respondent). 

• Estimated total annual costs: for 

locomotives—$1.65 million ($315,000 

per respondent); for marine—$1.45 

million ($112,000 per respondent). 

Burden means the total time, effort, or 

financial resources expended by persons 

to generate, maintain, retain, or disclose 

or provide information to or for a 

Federal agency. This includes the time 

needed to review instructions; develop, 

acquire, install, and utilize technology 

and systems for the purposes of 

collecting, validating, and verifying 

information, processing and 

maintaining information, and disclosing 

and providing information; adjust the 

existing ways to comply with any 

previously applicable instructions and 

requirements; train personnel to be able 

to respond to a collection of 

information; search data sources; 

complete and review the collection of 

information; and transmit or otherwise 

disclose the information. 

An agency may not conduct or 

sponsor, and a person is not required to 

respond to a collection of information 

unless it displays a currently valid OMB 

control number. The OMB control 

numbers for EPA’s regulations in 40 

CFR are listed in 40 CFR part 9. When 

this ICR is approved by OMB, EPA will 

publish a technical amendment to 40 

CFR part 9 in the Federal Register to 

display the OMB control number for the 

approved information collection 

requirements contained in this final 

rule. 

C. Regulatory Flexibility Act 

(1) Overview 

The Regulatory Flexibility Act (RFA) 

generally requires an agency to prepare 

a regulatory flexibility analysis of any 

rule subject to notice and comment 

rulemaking requirements under the 

Administrative Procedure Act or any 

other statute unless the agency certifies 

that the rule will not have a significant 

economic impact on a substantial 

number of small entities. Small entities 

include small businesses, small 

organizations, and small governmental 

jurisdictions. 

For purposes of assessing the impacts 

of today’s rule on small entities, small 

entity is defined as: (1) A small business 

as defined by the Small Business 

Administration’s (SBA) regulations at 13 

CFR 121.201 (see Table IX–1, below); (2) 

a small governmental jurisdiction that is 

a government of a city, county, town, 

school district or special district with a 

population of less than 50,000; and (3) 

a small organization that is any not-forprofit enterprise which is independently 

owned and operated and is not 

dominant in its field. 

TABLE IX–1.—PRIMARY SBA SMALL BUSINESS CATEGORIES POTENTIALLY AFFECTED BY THIS REGULATION

Industry NAICSa Codes 

Defined by SBA as a small 

business if less than or 

equal to:b

Locomotive: 

Manufacturers, remanufacturers and importers of locomotives and locomotive engines .......... 333618, 336510 .... 1,000 employees. 

Railroad owners and operators ................................................................................................... 482110, 482111 ....

482112 ..................

1,500 employees. 

500 employees. 

Engine repair and maintenance .................................................................................................. 488210 .................. $6.5 million annual sales. 

Marine: 

Manufacturers of freshly manufactured marine diesel engines .................................................. 333618 .................. 1,000 employees. 

Ship and boat building; ship building and repairing .................................................................... 336611, 346611 .... 1,000 employees. 

Engine repair and maintenance .................................................................................................. 811310 .................. $6.5 million annual sales. 

Water transportation, freight and passenger .............................................................................. 483 ........................ 500 employees. 

Water transportation, freight and passenger—Offshore Marine Services .................................. 483 ........................ $25.5 million annual sales. 

Scenic and Sightseeing Transportation, Water .......................................................................... 487210 .................. $6.5 million annual sales. 

Navigational Services to Shipping .............................................................................................. 488330 .................. $6.5 million annual sales. 

Commercial Fishing ..................................................................................................................... 114 ........................ $4.0 million annual sales. 

Boat building (watercraft not built in shipyards and typically of the type suitable or intended 

for personal use).

336612 .................. 500 employees. 

Notes: 

a North American Industry Classification System 

bAccording to SBA’s regulations (13 CFR 121), businesses with no more than the listed number of employees or dollars in annual receipts are 

considered ‘‘small entities’’ for RFA purposes. 

After considering the economic 

impacts of today’s final rule on small 

entities, I certify that this action will not 

have a significant economic impact on 

a substantial number of small entities. 

The small entities directly regulated by 

this final rule are shown in Table IX–1 

(and are not small governmental 

jurisdictions or small non-profit 

organizations). We have determined that 

about five small entities representing 

less than one percent of the total 

number of companies affected will have 

an estimated impact exceeding three 

percent of their annual sales revenues. 

The vast majority of small entities 

(about several thousand small 

companies) will have an estimated 

impact of less than one percent on their 

annual sales revenues. (An analysis of 

the impacts of the rule on small entities 

was performed for the rule, and can be 

found in the docket for this 

rulemaking.203, 204) 

Although this final rule will not have 

a significant economic impact on a 

substantial number of small entities, 

EPA nonetheless has tried to reduce the 

impact of this rule on small entities, as 

described below. 

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205U.S. EPA, Summary of Small Business 

Outreach for Locomotive and Marine Diesel NPRM, 

Memorandum to Docket EPA–HQ–OAR–2003–0190 

from Bryan Manning, January 18, 2007. 

(2) Outreach Efforts and Special 

Compliance Provisions for Small 

Entities 

In addition to the inputs we sought 

prior to issuing the proposed rule, we 

also received additional comments 

following its publication. First we 

summarize the pre-proposal outreach, 

followed by additional comments we 

received after the proposal was 

published. 

Early on, we sought the input of a 

number of small entities affected by the 

rule on potential regulatory flexibility 

provisions and the needs of these small 

businesses. For marine diesel engine 

manufacturers, we had separate 

meetings with the four small companies 

in this sector, which are postmanufacture marinizers (companies that 

purchase a complete or semi-complete 

engine from an engine manufacturer and 

modify it for use in the marine 

environment by changing the engine in 

ways that may affect emissions). We 

also met individually with one small 

commercial vessel builder and a few 

vessel trade associations whose 

members include small vessel builders. 

For locomotive manufacturers and 

remanufacturers, we met separately 

with the three small businesses in these 

sectors, which are all remanufacturers. 

In addition, we met with a railroad trade 

association whose members include 

small railroads. For nearly all meetings, 

EPA provided each small business with 

an outreach packet that included 

background information on this 

proposed rulemaking; and a document 

outlining some flexibility provisions for 

small businesses that we have 

implemented in past rulemakings. (This 

outreach packet and a complete 

summary of our discussions with small 

entities can be found in the docket for 

this rulemaking.) 205

The primary feedback we received 

from these small entities pre-proposal 

was to continue the flexibility 

provisions that we have provided to 

small entities in earlier locomotive and 

marine diesel rulemakings. A number of 

these provisions are listed below. 

Therefore, we will largely continue the 

existing flexibility provisions finalized 

in the 1998 Locomotive and Locomotive 

Engines Rule (April 16, 1998; 63 FR 

18977); our 1999 Commercial Marine 

Diesel Engines Rule (December 29, 

1999; 64 FR 73299) and our 2002 

Recreational Diesel Marine program 

(November 8, 2002; 67 FR 68304). 

In the proposed rule, we requested 

comment on an alternative program 

option—a marine existing fleet or 

remanufacture program (Alternative 5: 

Existing Engines)—and as described 

earlier in this preamble, we are 

finalizing a portion of this alternative. 

Based on oral testimony at the hearings 

and written comments (from trade 

associations, small entities, etc.), we are 

providing flexibilities to vessel 

operators and/or marine 

remanufacturers as described below. For 

a complete description of the 

flexibilities in this final rule, please 

refer to the Certification and 

Compliance Program, section 

IV.A.(13)—Small Business Provisions. 

(a) Transition Flexibilities 

(i) Locomotive Sector 

Small locomotive remanufacturers are 

granted a waiver from production-line 

and in-use testing for up to five calendar 

years after this program becomes 

effective. 

Class III railroads qualifying as small 

businesses are exempt from new Tier 0, 

1, and 2 remanufacturing requirements 

for locomotives in their existing fleets. 

The Certification and Compliance 

Program section IV.A.(13) provides a 

discussion on the revisions being made 

in this program. 

Railroads qualifying as small 

businesses continue being exempt from 

the in-use testing program. 

(ii) Marine Sector 

Post-manufacture marinizers and 

small-volume manufacturers (annual 

worldwide production of fewer than 

1,000 engines) are allowed to group all 

engines into one engine family, based 

on the worst-case emitter. 

Small-volume manufacturers 

producing engines less than or equal to 

600 kW (800 hp) are exempted from 

production-line and deterioration 

testing (assigned deterioration factors) 

for Tier 3 standards. 

Post-manufacture marinizers 

qualifying as small businesses and 

producing engines less than or equal to 

600 kW (800 hp) may delay compliance 

with the Tier 3 standards by one model 

year. 

Post-manufacture marinizers 

qualifying as small businesses and 

producing engines less than or equal to 

600 kW (800 hp) may delay compliance 

with the Not-to-Exceed requirements for 

Tier 3 standards by up to three model 

years. 

Marine engine dressers (modify base 

engine without affecting the emission 

characteristics of the engine) are 

exempted from certification and 

compliance requirements. 

Post-manufacture marinizers, smallvolume manufacturers, and smallvolume boat builders (less than 500 

employees and annual worldwide 

production of fewer than 100 boats) 

have hardship relief provisions—i.e., 

apply for additional time. 

For the marine existing fleet or 

remanufacture program, vessel operators 

and marine remanufacturers qualifying 

as small businesses also have hardship 

relief provisions allowing them if 

necessary to apply for additional time to 

comply with program requirements. 

Vessel operators who earn less than 

$5 million in gross annual sales revenue 

are exempted from the marine existing 

fleet or remanufacture program. If at 

some future date annual gross revenues 

exceed $5 million, they become subject 

to the existing fleet program at that 

point. 

(b) Small Entity Compliance 

Information 

In addition to the above flexibilities, 

EPA is also preparing documentation to 

help small entities comply with this 

rule. This documentation will be 

available on the Office of Transportation 

and Air Quality Web site. Small entities 

may also contact our office to obtain 

copies of this documentation. 

D. Unfunded Mandates Reform Act 

Title II of the Unfunded Mandates 

Reform Act of 1995 (UMRA), P.L. 104– 

4, establishes requirements for Federal 

agencies to assess the effects of their 

regulatory actions on State, local, and 

tribal governments and the private 

sector. Under section 202 of the UMRA, 

EPA generally must prepare a written 

statement, including a cost-benefit 

analysis, for proposed and final rules 

with ‘‘Federal mandates’’ that may 

result in expenditures to State, local, 

and tribal governments, in the aggregate, 

or to the private sector, of $100 million 

or more in any one year. Before 

promulgating an EPA rule for which a 

written statement is needed, section 205 

of the UMRA generally requires EPA to 

identify and consider a reasonable 

number of regulatory alternatives and 

adopt the least costly, most costeffective or least burdensome alternative 

that achieves the objectives of the rule. 

The provisions of section 205 do not 

apply when they are inconsistent with 

applicable law. Moreover, section 205 

allows EPA to adopt an alternative other 

than the least costly, most cost-effective 

or least burdensome alternative if the 

Administrator publishes with the final 

rule an explanation why that alternative 

was not adopted. Before EPA establishes 

any regulatory requirements that may 

significantly or uniquely affect small 

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206 ICF International. September 28, 2007. 

Estimation of diesel particulate matter 

concentration isopleths for marine harbor areas and 

rail yards. Memorandum to EPA under Work 

Assignment Number 0–3, Contract Number EP–C– 

06–094. This memo is available in Docket EPA– 

HQ–OAR–2003–0190. 

207 ICF International. September 28, 2007. 

Estimation of diesel particulate matter population 

exposure near selected harbor areas and rail yards. 

Memorandum to EPA under Work Assignment 

Number 0–3, Contract Number EP–C–06–094. This 

memo is available in Docket EPA–HQ–OAR–2003– 

0190. 

208This type of screening-level analysis is an 

inexact tool and not appropriate for regulatory 

decision-making; it is useful in beginning to 

understand potential impacts and for illustrative 

purposes. Additionally, the emissions inventories 

used as inputs into our analysis are not official 

estimates and they likely underestimate overall 

emissions because they are not inclusive of all 

emissions sources at the individual ports in our 

sample. 

governments, including tribal 

governments, it must have developed 

under section 203 of the UMRA a small 

government agency plan. The plan must 

provide for notifying potentially 

affected small governments, enabling 

officials of affected small governments 

to have meaningful and timely input in 

the development of EPA regulatory 

proposals with significant Federal 

intergovernmental mandates, and 

informing, educating, and advising 

small governments on compliance with 

the regulatory requirements. 

This rule contains no federal 

mandates for state, local, or tribal 

governments as defined by the 

provisions of Title II of the UMRA. The 

rule imposes no enforceable duties on 

any of these governmental entities. 

Nothing in the rule would significantly 

or uniquely affect small governments. 

EPA has determined that this rule 

contains federal mandates that may 

result in expenditures of more than 

$100 million to the private sector in any 

single year. Accordingly, EPA has 

evaluated under section 202 of the 

UMRA the potential impacts to the 

private sector. EPA believes that this 

rule represents the least costly, most 

cost-effective approach to achieve the 

statutory requirements of the rule. The 

costs and benefits associated with this 

rule are included in the final Regulatory 

Impact Analysis (RIA), as required by 

the UMRA. This analysis can be found 

in chapter 6 of the final RIA. A complete 

discussion of why the approach being 

finalized in this action was chosen is 

located in chapter 8 of the final RIA. 

EPA has determined that this rule 

contains no regulatory requirements that 

might significantly or uniquely affect 

small governments. 

Thus, this rule is not subject to the 

requirements of sections 202 and 205 of 

the UMRA. 

E. Executive Order 13132 (Federalism) 

Executive Order 13132, entitled 

‘‘Federalism’’ (64 FR 43255, August 10, 

1999), requires EPA to develop an 

accountable process to ensure 

‘‘meaningful and timely input by State 

and local officials in the development of 

regulatory policies that have federalism 

implications.’’ ‘‘Policies that have 

federalism implications’’ is defined in 

the Executive Order to include 

regulations that have ‘‘substantial direct 

effects on the States, on the relationship 

between the national government and 

the States, or on the distribution of 

power and responsibilities among the 

various levels of government.’’ 

This final rule does not have 

federalism implications. It will not have 

substantial direct effects on the States, 

on the relationship between the national 

government and the States, or on the 

distribution of power and 

responsibilities among the various 

levels of government, as specified in 

Executive Order 13132. Although 

section 6 of Executive Order 13132 does 

not apply to this rule, EPA did consult 

with representatives of various State 

and local governments in developing 

this rule. EPA consulted with 

representatives from the National 

Association of Clean Air Agencies 

(NACAA, formerly STAPPA/ALAPCO), 

the Northeast States for Coordinated Air 

Use Management (NESCAUM), and the 

California Air Resources Board (CARB). 

These organizations and other state 

organizations submitted comments on 

the proposed rule. Their comments are 

available in the rulemaking docket, and 

are summarized and addressed in the 

Summary and Analysis of Comments 

document (which is also available in the 

rulemaking docket). 

In the spirit of Executive Order 13132, 

and consistent with EPA policy to 

promote communications between EPA 

and State and local governments, EPA 

specifically solicited comment on the 

proposed rule from State and local 

officials. 

F. Executive Order 13175 (Consultation 

and Coordination with Indian Tribal 

Governments) 

Executive Order 13175, entitled 

‘‘Consultation and Coordination with 

Indian Tribal Governments’’ (65 FR 

67249, November 9, 2000), requires EPA 

to develop an accountable process to 

ensure ‘‘meaningful and timely input by 

tribal officials in the development of 

regulatory policies that have tribal 

implications.’’ This final rule does not 

have tribal implications, as specified in 

Executive Order 13175. The rule will be 

implemented at the Federal level and 

impose compliance costs only on 

locomotive manufacturers, locomotive 

engine manufacturers, locomotive 

operators, locomotive remanufacturers, 

marine engine manufacturers, and 

marine vessel manufacturers. Tribal 

governments will be affected only to the 

extent they purchase and use the 

regulated engines and vehicles. Thus, 

Executive Order 13175 does not apply 

to this rule. 

Although Executive Order 13175 does 

not apply to this rule, EPA did solicit 

additional comment on this rule from 

tribal officials. A comment was received 

from one tribal government; that 

comment is available in the rulemaking 

docket, and is summarized and 

addressed in the Summary and Analysis 

of Comments document (which is also 

available in the rulemaking docket). 

G. Executive Order 13045: Protection of 

Children From Environmental Health 

and Safety Risks 

Executive Order 13045: ‘‘Protection of 

Children from Environmental Health 

Risks and Safety Risks’’ (62 FR 19885, 

April 23, 1997) applies to any rule that: 

(1) Is determined to be ‘‘economically 

significant’’ as defined under Executive 

Order 12866, and (2) concerns an 

environmental health or safety risk that 

EPA has reason to believe may have a 

disproportionate effect on children. If 

the regulatory action meets both criteria, 

the Agency must evaluate the 

environmental health or safety effects of 

the planned rule on children, and 

explain why the planned regulation is 

preferable to other potentially effective 

and reasonably feasible alternatives 

considered by the Agency. 

This final rule is subject to the 

Executive Order because it is an 

economically significant regulatory 

action as defined by Executive Order 

12866, and we believe that the 

environmental health or safety risk 

addressed by this action may have a 

disproportionate effect on children. 

Accordingly, we have evaluated the 

environmental health or safety effects of 

these risks on children. The results of 

this evaluation are discussed above in 

section II of this preamble, and in 

chapter 2 of the Regulatory Impact 

Analysis (RIA). 

EPA recently conducted an initial 

screening-level analysis of selected 

marine port areas and rail yards206, 207 to 

begin to understand the populations, 

including children, that are exposed to 

DPM emissions from these facilities. 

This screening-level analysis 208

indicates that at the 47 marine ports and 

37 rail yards studied, at least 13 million 

people, including 3.5 million children 

live in neighborhoods that are exposed 

to higher levels of DPM from these 

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37190 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

facilities than people living further 

away and will benefit from the controls 

being finalized in this action. 

With regard to children, the 

screening-level analysis shows that the 

age composition of the total affected 

population near both the marine ports 

and rail yards matches closely the age 

composition of the overall U.S. 

population. However, for some 

individual facilities the young appear to 

be over-represented in the affected 

population compared to the overall U.S. 

population. See section VI of this 

preamble and chapters 2 and 6 of the 

RIA for a discussion on the air quality 

and monetized health benefits of this 

rule, including the benefits to children’s 

health. 

This rulemaking will achieve 

significant reductions of various 

emissions from locomotive and marine 

diesel engines, including NOX, PM, and 

air toxics. These pollutants raise 

concerns regarding environmental 

health or safety risks that EPA has 

reason to believe may have a 

disproportionate effect on children, 

such as impacts from ozone, PM, and 

certain toxic air pollutants. 

EPA has evaluated several regulatory 

strategies for reductions in emissions 

from locomotive and marine diesel 

engines, and we believe that we have 

selected the most stringent and effective 

control reasonably feasible at this time 

(in light of the technology and cost 

requirements of the Clean Air Act), 

which will benefit the health of 

children. 

H. Executive Order 13211: Actions That 

Significantly Affect Energy Supply, 

Distribution, or Use 

Executive Order 13211, ‘‘Actions 

Concerning Regulations That 

Significantly Affect Energy Supply, 

Distribution, or Use’’ (66 FR 28355 (May 

22, 2001)), requires EPA to prepare and 

submit a Statement of Energy Effects to 

the Administrator of the Office of 

Information and Regulatory Affairs, 

Office of Management and Budget, for 

certain actions identified as ‘‘significant 

energy actions.’’ Section 4(b) of 

Executive Order 13211 defines 

‘‘significant energy actions’’ as ‘‘any 

action by an agency (normally 

published in the Federal Register) that 

promulgates or is expected to lead to the 

promulgation of a final rule or 

regulation, including notices of inquiry, 

advance notices of proposed 

rulemaking, and notices of proposed 

rulemaking: (1)(i) that is a significant 

regulatory action under Executive Order 

12866 or any successor order, and (ii) is 

likely to have a significant adverse effect 

on the supply, distribution, or use of 

energy; or (2) that is designated by the 

Administrator of the Office of 

Information and Regulatory Affairs as a 

significant energy action.’’ We have 

prepared a Statement of Energy Effects 

for this action as follows. 

This rule’s potential effects on energy 

supply, distribution, or use have been 

analyzed and are discussed in detail in 

section 5.8 of the RIA. In summary, 

while we project that this rule would 

result in an energy effect that exceeds 

the 4,000 barrel per day threshold noted 

in E.O. 13211 in or around the year 2022 

and thereafter, the program consists of 

performance-based standards with 

averaging, banking, and trading 

provisions that make it likely that our 

estimated impact is overstated. Further, 

the fuel consumption estimates upon 

which we are basing this energy effect 

analysis, which are discussed in full in 

sections 5.4 and 5.5 of the RIA, do not 

reflect the potential fuel savings 

associated with automatic engine stop/ 

start (AESS) systems or other idle 

reduction technologies. Such 

technologies can provide significant fuel 

savings which could offset our projected 

estimates of increased fuel 

consumption. Nonetheless, our 

projections show that this rule could 

result in energy usage exceeding the 

4,000 barrel per day threshold noted in 

E.O. 13211. 

I. National Technology Transfer 

Advancement Act 

As noted in the proposed rule, 

Section 12(d) of the National 

Technology Transfer and Advancement 

Act of 1995 (‘‘NTTAA’’), Public Law No. 

104–113, 12(d) (15 U.S.C. 272 note) 

directs EPA to use voluntary consensus 

standards in its regulatory activities 

unless to do so would be inconsistent 

with applicable law or otherwise 

impractical. Voluntary consensus 

standards are technical standards (e.g., 

materials specifications, test methods, 

sampling procedures, and business 

practices) that are developed or adopted 

by voluntary consensus standards 

bodies. The NTTAA directs EPA to 

provide Congress, through OMB, 

explanations when the Agency decides 

not to use available and applicable 

voluntary consensus standards. 

This rule references technical 

standards adopted by EPA through 

previous rulemakings. No new technical 

standards are established in this rule. 

The standards referenced in today’s rule 

involve test procedures for measuring 

engine emissions. These measurement 

standards include those that were 

developed by EPA as well as the 

International Organization for 

Standardization (ISO) engine testing 

voluntary consensus standards, adopted 

in previous rulemakings. These 

standards have served EPA’s emissions 

control goals well since their 

implementation and have been well 

accepted by industry. Therefore, EPA 

will continue to use the ISO and 

existing EPA-developed standards 

referenced in 40 CFR Parts 94 and 1065. 

J. Executive Order 12898: Federal 

Actions to Address Environmental 

Justice in Minority Populations and 

Low-Income Populations 

Executive Order (EO) 12898 (59 FR 

7629 (Feb. 16, 1994)) establishes federal 

executive policy on environmental 

justice. Its main provision directs 

federal agencies, to the greatest extent 

practicable and permitted by law, to 

make environmental justice part of their 

mission by identifying and addressing, 

as appropriate, disproportionately high 

and adverse human health or 

environmental effects of their programs, 

policies, and activities on minority 

populations and low-income 

populations in the United States. 

EPA has determined that this final 

rule will not have disproportionately 

high and adverse human health or 

environmental effects on minority or 

low-income populations because it 

increases the level of environmental 

protection for all affected populations 

without having any disproportionately 

high and adverse human health or 

environmental effects on any 

population, including any minority or 

low-income population. 

This rulemaking will achieve 

significant reductions of various 

emissions from locomotive and marine 

diesel engines, including NOX, PM, and 

air toxics. Exposure to these pollutants 

raises concerns regarding environmental 

health for the U.S. population in general 

including the minority populations and 

low-income populations that are the 

focus of the environmental justice 

executive order. 

EPA has evaluated several regulatory 

strategies for reductions in emissions 

from locomotive and marine diesel 

engines, and we believe that we have 

selected the most stringent and effective 

control reasonably feasible at this time 

(in light of the technology and cost 

requirements of the Clean Air Act). 

The emission reductions from the 

stringent new standards finalized in the 

locomotive and marine diesel rule will 

have large beneficial effects on 

communities in proximity to port, 

harbor, waterway, railway, and rail yard 

locations, including low-income and 

minority communities. In addition to 

stringent exhaust emission standards for 

freshly manufactured and 

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Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37191 

209 ICF International. September 28, 2007. 

Estimation of diesel particulate matter 

concentration isopleths for marine harbor areas and 

rail yards. Memorandum to EPA under Work 

Assignment Number 0–3, Contract Number EP–C– 

06–094. This memo is available in Docket EPA– 

HQ–OAR–2003–0190. 

210 ICF International. September 28, 2007. 

Estimation of diesel particulate matter population 

exposure near selected harbor areas and rail yards. 

Memorandum to EPA under Work Assignment 

Number 0–3, Contract Number EP–C–06–094. This 

memo is available in Docket EPA–HQ–OAR–2003– 

0190. 

211This type of screening analysis is an inexact 

tool and not appropriate for regulatory decisionmaking; it is useful in beginning to understand 

potential impacts and for illustrative purposes. 

Additionally, the emissions inventories used as 

inputs into our analysis are not official estimates 

and they likely underestimate overall emissions 

because they are not inclusive of all emission 

sources at the individual ports in our sample. 

remanufactured engines, the final rule 

includes provisions targeted to further 

reduce emissions from regulated 

engines that directly impact low-income 

and minority communities. The idle 

reduction provision is one example: 

‘‘Even in very efficient railroad 

operations, locomotive engines spend a 

substantial amount of time idling, 

during which they emit harmful 

pollutants, consume fuel, create noise, 

and increase maintenance costs. A 

significant portion of this idling occurs 

in rail yards, as railcars and locomotives 

are transferred to build up trains. Many 

of these rail yards are in urban 

neighborhoods, close to where people 

live, work, and go to school’’ (from 

section III.C(1)(c) of this preamble). The 

final rule includes a mandatory 

locomotive idle reduction requirement 

that will begin to take effect as early as 

2008. Another example is the emission 

standards for freshly manufactured 

switch locomotives. Switch locomotives 

are major polluters in urban rail yards. 

These standards are earlier and more 

stringent than the line-haul locomotive 

standards, and include incentives for 

introducing cleaner switchers using Tier 

4 nonroad engines. Further examples 

can be found in averaging, banking, and 

trading program provisions aimed at 

ensuring that emissions are not shifted 

from line-haul locomotives operating in 

rural areas to rail yards in urban 

communities. 

EPA recently conducted an initial 

screening-level analysis of selected 

marine port areas and rail yards 209, 210 to 

better understand the populations, 

including minority and low-income, 

that are exposed to DPM emissions from 

these facilities. This screening-level 

analysis 211 indicates that at the 47 

marine ports and 37 rail yards studied 

at least 13 million people, including a 

high percentage of low-income 

households, African-Americans, and 

Hispanics, live in the vicinity of these 

facilities and are exposed to higher 

levels of DPM than urban background 

levels. Thus, these residents will benefit 

from the controls being finalized in this 

action. See section II.A and II.B of this 

preamble and chapter 2 of the RIA for 

a discussion on the benefits of this rule, 

including the benefits to minority and 

low-income communities. Because 

those living in the vicinity of marine 

ports and rail yards are more likely to 

be low-income and minority residents, 

these populations will receive a 

significant benefit from this rule. 

K. Congressional Review Act 

The Congressional Review Act, 5 

U.S.C. 801 et seq., as added by the Small 

Business Regulatory Enforcement 

Fairness Act of 1996, generally provides 

that before a rule may take effect, the 

agency promulgating the rule must 

submit a rule report, which includes a 

copy of the rule, to each House of the 

Congress and to the Comptroller General 

of the United States. EPA will submit a 

report containing this rule and other 

required information to the U.S. Senate, 

the U.S. House of Representatives, and 

the Comptroller General of the United 

States prior to publication of the rule in 

the Federal Register. A Major rule 

cannot take effect until 60 days after it 

is published in the Federal Register. 

This action is a ‘‘major rule’’ as defined 

by 5 U.S.C. 804(2). This rule will be 

effective July 7, 2008. 

X. Statutory Provisions and Legal 

Authority 

Statutory authority for the controls in 

this final rule can be found in sections 

213 (which specifically authorizes 

controls on emissions from nonroad 

engines and vehicles), 203–209, 216, 

and 301 of the Clean Air Act (CAA), 42 

U.S.C. 7547, 7522, 7523, 7424, 7525, 

7541, 7542, 7543, 7550, and 7601. 

List of Subjects 

40 CFR Part 9 

Reporting and recordkeeping 

requirements. 

40 CFR Part 85 

Confidential business information, 

Imports, Labeling, Motor vehicle 

pollution, Reporting and recordkeeping 

requirements, Research, Warranties. 

40 CFR Part 86 

Administrative practice and 

procedure, Confidential business 

information, Labeling, Motor vehicle 

pollution, Reporting and recordkeeping 

requirements. 

40 CFR Part 89 

Environmental protection, 

Administrative practice and procedure, 

Confidential business information, 

Imports, Labeling, Motor vehicle 

pollution, Reporting and recordkeeping 

requirements, Research, Vessels, 

Warranties. 

40 CFR Part 92 

Environmental protection, 

Administrative practice and procedure, 

Air pollution control, Confidential 

business information, Imports, 

Incorporation by reference, Labeling, 

Penalties, Railroads, Reporting and 

recordkeeping requirements, 

Warranties. 

40 CFR Part 94 

Environmental protection, 

Administrative practice and procedure, 

Air pollution control, Confidential 

business information, Imports, 

Incorporation by reference, Labeling, 

Penalties, Vessels, Reporting and 

recordkeeping requirements, 

Warranties. 

40 CFR Part 1033 

Environmental protection, 

Administrative practice and procedure, 

Confidential business information, 

Incorporation by reference, Labeling, 

Penalties, Railroads, Reporting and 

recordkeeping requirements. 

40 CFR Part 1039 

Environmental protection, 

Administrative practice and procedure, 

Air pollution control, Confidential 

business information, Imports, 

Incorporation by reference, Labeling, 

Penalties, Reporting and recordkeeping 

requirements, Warranties. 

40 CFR Part 1042 

Environmental protection, 

Administrative practice and procedure, 

Air pollution control, Confidential 

business information, Imports, 

Incorporation by reference, Labeling, 

Penalties, Vessels, Reporting and 

recordkeeping requirements, 

Warranties. 

40 CFR Part 1065 

Environmental protection, 

Administrative practice and procedure, 

Incorporation by reference, Reporting 

and recordkeeping requirements, 

Research. 

40 CFR Part 1068 

Environmental protection, 

Administrative practice and procedure, 

Confidential business information, 

Imports, Motor vehicle pollution, 

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37192 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

Penalties, Reporting and recordkeeping 

requirements, Warranties. 

Dated: March 14, 2008. 

Stephen L. Johnson, 

Administrator. 

■ For the reasons set forth in the 

preamble, chapter I of title 40 of the 

Code of Federal Regulations is amended 

as follows: 

PART 9—OMB APPROVALS UNDER 

THE PAPERWORK REDUCTION ACT 

■ 1. The authority citation for part 9 

continues to read as follows: 

Authority: 7 U.S.C. 135 et seq., 136–136y; 

15 U.S.C. 2001, 2003, 2005, 2006, 2601–2671; 

21 U.S.C. 331j, 346a, 348; 31 U.S.C. 9701; 33 

U.S.C. 1251 et seq., 1311, 1313d, 1314, 1318 

1321, 1326, 1330, 1342 1344, 1345(d) and (e), 

1361; E.O. 11735, 38 FR 21243, 3 CFR, 1971– 

1975 Comp. p. 973; 42 U.S.C. 241, 242b, 243, 

246, 300f, 300g, 300g–1, 300g–2, 300g–3, 

300g–4, 300g–5, 300g–6, 300j–1, 300j–2, 

300j–3, 300j–4, 300j–9, 1857 et seq., 6901– 

6992k, 7401–7671q, 7542, 9601–9657, 11023, 

11048. 

■ 2. Section 9.1 is amended in the table 

by adding the center headings and the 

entries under those center headings in 

numerical order to read as follows: 

§ 9.1 OMB approvals under the Paperwork 

Reduction Act. 

* * * * * 

40 CFR citation OMB control 

No. 

40 CFR citation OMB control 

No. 

* * * * 

Control of Emissions from Locomotives 

1033.825 ............................... 2060–0287 

* * * * * 

Control of Emissions From New and Inuse Marine Compression-ignition Engines and Vessels 

1042.825 ............................... 2060–0827 

* * * * * 

* * * * * 

PART 85—CONTROL OF AIR 

POLLUTION FROM MOBILE SOURCES 

■ 3. The authority citation for part 85 

continues to read as follows: 

Authority: 42 U.S.C. 7401–7671q. 

Subpart Y—[Amended] 

■ 4. Section 85.2401 is amended by 

revising paragraphs (a)(7) and (a)(8) to 

read as follows: 

§ 85.2401 To whom do these requirements 

apply? 

(a) * * * 

(7) Locomotives (See 40 CFR parts 92 

and 1033); 

(8) Marine engines (See 40 CFR parts 

91, 94, and 1042 and MARPOL Annex 

VI, as applicable); 

* * * * * 

PART 86—CONTROL OF EMISSIONS 

FROM NEW AND IN-USE HIGHWAY 

VEHICLES AND ENGINES 

■ 5. The authority citation for part 86 

continues to read as follows: 

Authority: 42 U.S.C. 7401–7671q. 

Subpart A—[Amended] 

■ 6. Section 86.007–11 is amended by 

revising paragraph (a)(2) introductory 

text to read as follows: 

§ 86.007–11 Emission standards and 

supplemental requirements for 2007 and 

later model year diesel heavy-duty engines 

and vehicles. 

* * * * * 

(a) * * * 

(2) The standards set forth in 

paragraph (a)(1) of this section refer to 

the exhaust emitted over the duty cycle 

specified in paragraphs (a)(2)(i) through 

(iii) of this section, where exhaust 

emissions are measured and calculated 

as specified in paragraphs (a)(2)(iv) and 

(v) of this section in accordance with 

the procedures set forth in subpart N of 

this part, except as noted in § 86.007– 

23(c)(2): 

* * * * * 

■ 7. Section 86.117–96 is amended by 

revising the first equation in paragraph 

(d)(2) to read as follows: 

§ 86.117–96 Evaporative emission 

enclosure calibrations. 

* * * * * 

(d) * * * 

(2) * * * 

M V

C rC P

T

C rC P

T HC n

-4 HC CH OH B

f

HC CH OH B

i

= k 10 - -

(- ) f 3f f i 3i i ( ) ( ) 















+ - ( ) M M HC,out HC,in

* * * * * 

Subpart N—[Amended] 

■ 8. Section 86.1305–2010 is amended 

by revising paragraph (b) to read as 

follows: 

§ 86.1305–2010 Introduction; structure of 

subpart. 

* * * * * 

(b) Use the applicable equipment and 

procedures for spark-ignition or 

compression-ignition engines in 40 CFR 

part 1065 to determine whether engines 

meet the duty-cycle emission standards 

in subpart A of this part. Measure the 

emissions of all regulated pollutants as 

specified in 40 CFR part 1065. Use the 

duty cycles and procedures specified in 

§§ 86.1333–2010, 86.1360–2007, and 

86.1362–2007. Adjust emission results 

from engines using aftertreatment 

technology with infrequent regeneration 

events as described in § 86.004–28. 

* * * * * 

■ 9. Section 86.1333–2010 is amended 

by adding paragraph (d) to read as 

follows: 

§ 86.1333–2010 Transient test cycle 

generation. 

* * * * * 

(d) Determine idle speeds as specified 

in § 86.1337–2007(a)(9). 

■ 10. Section 86.1360–2007 is amended 

by adding paragraph (b)(3) to read as 

follows: 

§ 86.1360–2007 Supplemental emission 

test; test cycle and procedures. 

* * * * * 

(b) * * * 

(3) For engines certified using the 

ramped-modal cycle specified in 

§ 86.1362, perform the three discrete test 

points described in paragraph (b)(2) of 

this section as follows: 

(i) Allow the engine to idle as needed 

to complete equipment checks following 

the supplemental emission test 

described in this section, then operate 

the engine over the three additional 

discrete test points. 

(ii) Validate the additional discrete 

test points as a composite test separate 

from the supplemental emission test, 

but in the same manner. 


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(iii) Use the emission data collected 

during the time interval from 35 to 5 

seconds before the end of each mode 

(excluding transitions) to perform the 

MAEL calculations in paragraph (f) of 

this section. 

* * * * * 

§ 86.1362–2007 [Amended] 

■ 11. Section 86.1362–2007 is amended 

by removing and reserving paragraph 

(d). 

■ 12. A new § 86.1362–2010 is added to 

read as follows: 

§ 86.1362–2010 Steady-state testing with a 

ramped-modal cycle. 

This section describes how to test 

engines under steady-state conditions. 

For model years through 2009, 

manufacturers may use the mode order 

described in this section or in 

§ 86.1362–2007. Starting in model year 

2010 manufacturers must use the mode 

order described in this section with the 

following exception: for model year 

2010, manufacturers may continue to 

use the cycle specified in § 86.1362– 

2007 as long as it does not adversely 

affect the ability to demonstrate 

compliance with the standards. 

(a) Start sampling at the beginning of 

the first mode and continue sampling 

until the end of the last mode. Calculate 

emissions as described in 40 CFR 

1065.650 and cycle statistics as 

described in 40 CFR 1065.514. 

(b) Measure emissions by testing the 

engine on a dynamometer with the 

following ramped-modal duty cycle to 

determine whether it meets the 

applicable steady-state emission 

standards: 

RMC mode Time in mode 

(seconds) 

Engine 

speed 1 2

Torque 

(percent) 2 3

1a Steady-state ....................................... 170 Warm Idle ................................................ 0 

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

2a Steady-state ....................................... 173 A .............................................................. 100 

2b Transition ............................................ 20 Linear Transition ...................................... Linear Transition. 

3a Steady-state ....................................... 219 B .............................................................. 50 

3b Transition ............................................ 20 B .............................................................. Linear Transition. 

4a Steady-state ....................................... 217 B .............................................................. 75 

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

5a Steady-state ....................................... 103 A .............................................................. 50 

5b Transition ............................................ 20 A .............................................................. Linear Transition. 

6a Steady-state ....................................... 100 A .............................................................. 75 

6b Transition ............................................ 20 A .............................................................. Linear Transition. 

7a Steady-state ....................................... 103 A .............................................................. 25 

7b Transition ............................................ 20 Linear Transition ...................................... Linear Transition. 

8a Steady-state ....................................... 194 B .............................................................. 100 

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

9a Steady-state ....................................... 218 B .............................................................. 25 

9b Transition ............................................ 20 Linear Transition ...................................... Linear Transition. 

10a Steady-state ..................................... 171 C .............................................................. 100 

10b Transition .......................................... 20 C .............................................................. Linear Transition. 

11a Steady-state ..................................... 102 C .............................................................. 25 

11b Transition .......................................... 20 C .............................................................. Linear Transition. 

12a Steady-state ..................................... 100 C .............................................................. 75 

12b Transition .......................................... 20 C .............................................................. Linear Transition. 

13a Steady-state ..................................... 102 C .............................................................. 50 

13b Transition .......................................... 20 Linear Transition ...................................... Linear Transition. 

14 Steady-state ....................................... 168 Warm Idle ................................................ 0 

1Speed terms are defined in 40 CFR part 1065. 

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

speed or torque setting of the current mode to the speed or torque setting of the next mode. 3The percent torque is relative to maximum torque at the commanded engine speed. 

(c) During idle mode, operate the 

engine at its warm idle as described in 

40 CFR part 1065. 

(d) See 40 CFR part 1065 for detailed 

specifications of tolerances and 

calculations. 

(e) Perform the ramped-modal test 

with a warmed-up engine. If the 

ramped-modal test follows directly after 

testing over the Federal Test Procedure, 

consider the engine warm. Otherwise, 

operate the engine to warm it up as 

described in 40 CFR part 1065, subpart 

F. 

■ 13. Section 86.1363–2007 is amended 

by revising paragraph (a) and the 

equation in paragraph (g)(1) to read as 

follows: 

§ 86.1363–2007 Steady-state testing with a 

discrete-mode cycle. 

* * * * * 

(a) Use the following 13-mode cycle 

in dynamometer operation on the test 

engine: 

Mode No. Engine 

speed 1 Percent load 2 Weighting 

factors 

Mode length 

(minutes) 3

1 ......................................................................................................................... Warm Idle .... ........................ 0.15 4 

2 ......................................................................................................................... A .................. 100 0.08 2 

3 ......................................................................................................................... B .................. 50 0.10 2 

4 ......................................................................................................................... B .................. 75 0.10 2 

5 ......................................................................................................................... A .................. 50 0.05 2 

6 ......................................................................................................................... A .................. 75 0.05 2 

7 ......................................................................................................................... A .................. 25 0.05 2 

8 ......................................................................................................................... B .................. 100 0.09 2 

9 ......................................................................................................................... B .................. 25 0.10 2 

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Mode No. Engine 

speed 1 Percent load 2 Weighting factors 

Mode length 

(minutes) 3

10 ....................................................................................................................... C ................. 100 0.08 2 

11 ....................................................................................................................... C ................. 25 0.05 2 

12 ....................................................................................................................... C ................. 75 0.05 2 

13 ....................................................................................................................... C ................. 50 0.05 2 

1Speed terms are defined in 40 CFR part 1065. 

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

3 Upon Administrator approval, the manufacturer may use other mode lengths. 

* * * * * 

(g) * * * 

(1) * * * 

A

A WF

A WF

WA

Mi i

i

N

Pi i

i

N =

[ ] ⋅

[ ] ⋅

=

=

∑

∑

1

2

* * * * * 

Subpart P—[Amended] 

■ 14. Subpart P is amended by removing 

§ 86.1504–94. 

§§ 86.1501–94 through 86.1544–84 

[Redesignated] 

■ 15. Redesignate §§ 86.1501–94 

through 86.1544–84 as follows: 

Old section New section 

86.1501–94 86.1501 

86.1502–84 86.1502 

86.1503–84 86.1503 

86.1505–94 86.1505 

86.1506–94 86.1506 

86.1509–84 86.1509 

86.1511–84 86.1511 

86.1513–94 86.1513 

86.1514–84 86.1514 

86.1516–84 86.1516 

86.1519–84 86.1519 

86.1522–84 86.1522 

86.1524–84 86.1524 

86.1526–84 86.1526 

86.1527–84 86.1527 

86.1530–84 86.1530 

86.1537–84 86.1537 

86.1540–84 86.1540 

86.1542–84 86.1542 

86.1544–84 86.1544 

■ 16. Newly desginated § 86.1506 is 

amended by adding paragraph (b) to 

read as follows: 

§ 86.1506 Equipment required and 

specifications; overview. 

* * * * * 

(b) Through the 2009 model year, 

manufacturers may elect to use the 

appropriate test procedures in this part 

86 instead of the procedures referenced 

in 40 CFR part 1065 without getting 

advance approval by the Administrator. 

PART 89—CONTROL OF EMISSIONS 

FROM NEW AND IN-USE NONROAD 

COMPRESSION-IGNITION ENGINES 

■ 17. The authority citation for part 89 

continues to read as follows: 

Authority: 42 U.S.C. 7401–7671q. 

Subpart J—[Amended] 

■ 18. A new § 89.916 is added to read 

as follows: 

§ 89.916 Emergency-vessel exemption for 

marine engines below 37 kW. 

The prohibitions in § 89.1003(a)(1) do 

not apply to new marine engines used 

in lifeboats and rescue boats as 

described in 40 CFR 94.914. 

PART 92—CONTROL OF AIR 

POLLUTION FROM LOCOMOTIVES 

AND LOCOMOTIVE ENGINES 

■ 19. The authority citation for part 92 

continues to read as follows: 

Authority: 42 U.S.C. 7401–7671q. 

■ 20. Section 92.1 is amended by 

revising paragraph (a) introductory text 

and adding paragraph (e) to read as 

follows: 

§ 92.1 Applicability. 

(a) Except as noted in paragraphs (b), 

(d) and (e) of this section, the provisions 

of this part apply to manufacturers, 

remanufacturers, owners and operators 

of: 

* * * * * 

(e) The provisions of this part do not 

apply for locomotives that are subject to 

the emissions standards of 40 CFR part 

1033. 

■ 21. Section 92.2 is amended by 

revising the definition for ‘‘Freshly 

manufactured locomotive’’ to read as 

follows: 

§ 92.2 Definitions. 

* * * * * 

Freshly manufactured locomotive 

means a locomotive which is powered 

by a freshly manufactured engine, and 

which contains fewer than 25 percent 

previously used parts (weighted by the 

dollar value of the parts). See 40 CFR 

1033.640 for information about how to 

calculate this. 

* * * * * 

■ 22. Section 92.12 is amended by 

revising paragraph (b) and adding 

paragraphs (i) and (j) to read as follows: 

§ 92.12 Interim provisions. 

* * * * * 

(b) Production line and in-use testing. 

(1) The requirements of Subpart F of 

this part (i.e., production line testing) do 

not apply prior to January 1, 2002. 

(2) The testing requirements of 

subpart F of this part (i.e., production 

line testing) do not apply to small 

manufacturers/remanufacturers prior to 

January 1, 2013. Note that the 

production line audit requirements 

apply as specified. 

(3) The requirements of Subpart G of 

this part (i.e., in-use testing) only apply 

for locomotives and locomotive engines 

that become new on or after January 1, 

2002. 

(4) For locomotives and locomotive 

engines that are covered by a small 

business certificate of conformity, the 

requirements of Subpart G of this part 

(i.e., in-use testing) only apply for 

locomotives and locomotive engines 

that become new on or after January 1, 

2007. We will also not require small 

remanufacturers to perform any in-use 

testing prior to January 1, 2013. 

* * * * * 

(i) Diesel test fuels. Manufacturers and 

remanufacturers may use LSD or ULSD 

test fuel to certify to the standards of 

this part, instead of the otherwise 

specified test fuel, provided PM 

emissions are corrected as described in 

this paragraph (i). Measure your PM 

emissions and determine your cycleweighted emission rates as specified in 

subpart B of this part. If you test using 

LSD, add 0.04 g/bhp-hr to these 

weighted emission rates to determine 

your official emission result. If you test 

using ULSD, add 0.05 g/bhp-hr to these 

weighted emission rates to determine 

your official emission result. 

(j) Subchapter U provisions. For 

model years 2008 through 2012, certain 

locomotives will be subject to the 

requirements of this part 92 while 

others will be subject to the 


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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 

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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: 

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§ 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. 

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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. 

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(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 .............................................. Tier 0 b ...................................................... 8.0 0.22 1.00 5.0 

1993 a–2004 .............................................. Tier 1 b ...................................................... 7.4 0.22 0.55 2.2 

2005–2011 ................................................ Tier 2 b ...................................................... 5.5 e 0.10 0.30 1.5 

2012–2014 ................................................ Tier 3 c ...................................................... 5.5 0.10 0.30 1.5 

2015 or later .............................................. Tier 4 d ...................................................... 1.3 0.03 0.14 1.5 

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

cTier 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. eThe 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 

locomotives. Exhaust emissions from 

your new locomotives may not exceed 

the applicable emission standards in 

Table 2 to this section during the useful 

life of the locomotive. (Note: § 1033.901 

defines locomotives to be ‘‘new’’ when 

originally manufactured and when 

remanufactured.) Measure emissions 

using the applicable test procedures 

described in subpart F of this part. 

TABLE 2 TO § 1033.101.—SWITCH LOCOMOTIVE EMISSION STANDARDS

Year of original manufacture Tier of standards 

Standards (g/bhp-hr) 

NOX PM HC CO 

1973–2001 ................................................ Tier 0 ........................................................ 11.8 0.26 2.10 8.0 

2002–2004 ................................................ Tier 1 a ...................................................... 11.0 0.26 1.20 2.5 

2005–2010 ................................................ Tier 2 a ...................................................... 8.1 b 0.13 0.60 2.4 

2011–2014 ................................................ Tier 3 ........................................................ 5.0 0.10 0.60 2.4 

2015 or later .............................................. Tier 4 ........................................................ c 1.3 0.03 c 0.14 2.4 

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

bThe 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 

opacity standards specified in Table 3 to 

this section apply only for locomotives 

certified to one or more PM standards or 

FELs greater than 0.05 g/bhp-hr. Smoke 

emissions, when measured in 

accordance with the provisions of 

Subpart F of this part, shall not exceed 

these standards. 

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

Steady-state 30-sec peak 3-sec peak 

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

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

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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 

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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 

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§ 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. 

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(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 

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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 

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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 

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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 ................................................................................................................................ 0.7 0.01 

50 < MW-hrs > 75% of UL .............................................................................................................................. 1.0 0.01 

MW-hrs > 75% of UL ....................................................................................................................................... 1.3 0.01 

TABLE 2 TO § 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 ................................................................................................................................ 0.2 0.03 

50 < MW-hrs ≤ 75% of UL .............................................................................................................................. 0.3 0.03 

MW-hrs > 75% of UL ....................................................................................................................................... 0.4 0.03 

(g) Optional interim Tier 4 

compliance provisions for NOX

emissions. For model years 2015 

through 2022, manufacturers may 

choose to certify some or all of their Tier 

4 line-haul engine families according to 

the optional compliance provisions of 

this paragraph (g). The following 

provisions apply to all locomotives in 

those families: 

(1) The provisions of this paragraph 

(g) apply instead of the deterioration 

factor requirements of §§ 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 

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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. 

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(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 

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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. 

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(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. 

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(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 

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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 

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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 

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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. 

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(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. 

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(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, 

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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 

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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 

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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 ............................................................ Lowest idle setting ...................... 10 to 15 3 .................................... Not applicable 

A ............................................................................. Low idle 2 .................................... 5 to 10 ........................................ 300 ± 5 seconds 

B ............................................................................. Normal idle ................................. 5 to 10 ........................................ 300 ± 5 seconds 

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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 ............................................................................ Dynamic brake 2 ......................... 5 to 10 ........................................ 300 ± 5 seconds 

1 ............................................................................. Notch 1 ....................................... 5 to 10 ........................................ 300 ± 5 seconds 

2 ............................................................................. Notch 2 ....................................... 5 to 10 ........................................ 300 ± 5 seconds 

3 ............................................................................. Notch 3 ....................................... 5 to 10 ........................................ 300 ± 5 seconds 

4 ............................................................................. Notch 4 ....................................... 5 to 10 ........................................ 300 ± 5 seconds 

5 ............................................................................. Notch 5 ....................................... 5 to 10 ........................................ 300 ± 5 seconds 

6 ............................................................................. Notch 6 ....................................... 5 to 10 ........................................ 300 ± 5 seconds 

7 ............................................................................. Notch 7 ....................................... 5 to 10 ........................................ 300 ± 5 seconds 

8 ............................................................................. Notch 8 ....................................... 10 to 15 ...................................... 600 ± 5 seconds 

1The time in each notch and sample averaging period may be extended as needed to allow for collection of a sufficiently large PM sample. 2Omit if not so equipped. 

3See 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, 

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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 ............................................................................................................ NA ............ NA ........... 600 to 900 Lowest idle setting.1

Phase 1 .................................................................................................................. .................. A .............. 600 ........... Low Idle.2

(Idle test) ................................................................................................................ 0.380 ....... B .............. 600 .......... Normal Idle. 

Phase Transition 

.................. C .............. 1000 ........ Dynamic Brake.3

.................. 1 ............... 520 ........... Notch 1. 

.................. 2 ............... 520 ........... Notch 2. 

.................. 3 ............... 416 ........... Notch 3. 

.................. 4 ............... 352 ........... Notch 4. 

Phase 2 .................................................................................................................. 0.389 ....... 5 ............... 304 .......... Notch 5. 

Phase Transition 

.................. 6 ............... 144 ........... Notch 6. 

.................. 7 ............... 111 ........... Notch 7. 

Phase 3 .................................................................................................................. 0.231 ....... 8 ............... 600 .......... Notch 8. 

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

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

3Operate 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 ............................................................................................................ NA ............ NA ........... 600 to 900 Lowest idle setting.1

Phase 1 .................................................................................................................. .................. A .............. 600 ........... Low Idle.2

(Idle test) ................................................................................................................ 0.598 ....... B .............. 600 .......... Normal Idle. 

Phase Transition 

.................. 1 ............... 868 ........... Notch 1. 

.................. 2 ............... 861 ........... Notch 2. 

.................. 3 ............... 406 ........... Notch 3. 

.................. 4 ............... 252 ........... Notch 4. 

Phase 2 .................................................................................................................. 0.377 ....... 5 ............... 252 .......... Notch 5. 

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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 

.................. 6 ............... 1080 ........ Notch 6. 

.................. 7 ............... 144 ........... Notch 7. 

Phase 3 .................................................................................................................. 0.025 ....... 8 ............... 576 .......... Notch 8. 

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

2Operate 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: 

E wE wE wE

wP wP wP ij

ii i = + +

+ +

11 2 2 3 3

11 2 2 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. 


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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 ........................................................................................................................ A .............. 0.380 0.505 0.598 

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

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

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

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

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

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

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

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

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

1 Not applicable. 

(b) Idle and dynamic brake notches. 

The test procedures generally require 

you to measure emissions at two idle 

settings and one dynamic brake, as 

follows: 

(1) If your locomotive is equipped 

with two idle settings and one or more 

dynamic brake settings, measure 

emissions at both idle settings and the 

worst case dynamic brake setting, and 

weight the emissions as specified in the 

applicable table of this section. Where it 

is not obvious which dynamic brake 

setting represents worst case, do one of 

the following: 

(i) You may measure emissions and 

power at each dynamic brake point and 

average them together. 

(ii) You may measure emissions and 

power at the dynamic brake point with 

the lowest power. 

(2) If your locomotive is equipped 

with two idle settings and is not 

equipped with dynamic brake, use a 

normal idle weighting factor of 0.315 for 

the line-haul cycle. If your locomotive is 

equipped with only one idle setting and 

no dynamic brake, use an idle weighting 

factor of 0.505 for the line-haul cycle. 

(c) Nonstandard notches or no 

notches. If your locomotive is equipped 

with more or less than 8 propulsion 

notches, recommend an alternate test 

cycle based on the in-use locomotive 

configuration. Unless you have data 

demonstrating that your locomotive will 

be operated differently from 

conventional locomotives, recommend 

weighting factors that are consistent 

with the power weightings of the 

specified duty cycle. For example, the 

average load factor for your 

recommended cycle (cycle-weighted 

power divided by rated power) should 

be equivalent to those of conventional 

locomotives. We may also allow the use 

of the standard power levels shown in 

Table 3 to this section for nonstandard 

locomotive testing subject to our prior 

approval. This paragraph (c) does not 

allow engines to be tested without 

consideration of the actual notches that 

will be used. 

TABLE 3 TO § 1033.530.—STANDARD

NOTCH POWER LEVELS EXPRESSED

AS A PERCENTAGE OF RATED

POWER

Percent 

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

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

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

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

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

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

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

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

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

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

(d) Optional Ramped Modal Cycle 

Testing. Tables 1 and 2 of § 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. 

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(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 

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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 

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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). 

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(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 

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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 

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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 

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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. 

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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 

years old, use the proration factor for 20 

year old locomotives. The proration 

factors for switch locomotives ages 1 

through 40 are specified in Table 2 to 

this section. For switch locomotives 

more than 40 years old, use the 

proration factor for 40 year old 

locomotives. 

(3) For repower engines, the proration 

factor is based on the age of the 

locomotive chassis, not the age of the 

engine, except for remanufactured 

locomotives that qualify as refurbished. 

The minimum proration factor for 

remanufactured locomotives that meet 

the definition of refurbished but not 

freshly manufactured is 0.60. (Note: The 

proration factor is 1.00 for all 

locomotives that meet the definition of 

freshly manufactured.) 

TABLE 1 TO § 1033.705.—PRORATION

FACTORS FOR LINE-HAUL LOCOMOTIVES

Locomotive age (years) Proration 

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

Locomotive age (years) Proration 

factor (Fp) 

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

TABLE 2 TO § 1033.705.—PRORATION

FACTORS FOR SWITCH LOCOMOTIVES—Continued 

Locomotive age (years) Proration 

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). 

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(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. 

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(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. 

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(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 

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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 

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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: 

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(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 

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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 

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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 

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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 

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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 ..................................... Maximum test speed ................................................................................................... 75 0.25 

2 ..................................... Maximum test speed ................................................................................................... 50 0.25 

3 ..................................... Intermediate test speed ............................................................................................... 75 0.25 

4 ..................................... Intermediate test speed ............................................................................................... 50 0.25 

1Speed terms are defined in 40 CFR part 1065. 

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

* * * * * 

Appendices—[Amended] 

■ 42. Appendix II to part 1039 is revised 

to read as follows: 

Appendix II to Part 1039—Steady-State Duty 

Cycles 

(a) The following duty cycles apply for 

constant-speed engines: 

(1) The following duty cycle applies for 

discrete-mode testing: 

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 

1The 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 .............................. 53 Engine governed .................................................................................. 100. 

1b Transition .................................. 20 Engine governed .................................................................................. Linear transition. 

2a Steady-state .............................. 101 Engine governed .................................................................................. 10. 

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RMC mode Time in mode 

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

2b Transition .................................. 20 Engine governed .................................................................................. Linear transition. 

3a Steady-state .............................. 277 Engine governed .................................................................................. 75. 

3b Transition .................................. 20 Engine governed .................................................................................. Linear transition. 

4a Steady-state .............................. 339 Engine governed .................................................................................. 25. 

4b Transition .................................. 20 Engine governed .................................................................................. Linear transition. 

5 Steady-state ................................ 350 Engine governed .................................................................................. 50. 

1The percent torque is relative to maximum test torque. 

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

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

(b) The following duty cycles apply for 

variable-speed engines with maximum 

engine power below 19 kW: 

(1) The following duty cycle applies for 

discrete-mode testing: 

G2 mode number Engine speed 1 Torque 

(percent) 2

Weighting 

factors 

1 ..................................... Maximum test speed ................................................................................................... 100 0.09 

2 ..................................... Maximum test speed ................................................................................................... 75 0.20 

3 ..................................... Maximum test speed ................................................................................................... 50 0.29 

4 ..................................... Maximum test speed ................................................................................................... 25 0.30 

5 ..................................... Maximum test speed ................................................................................................... 10 0.07 

6 ..................................... Warm idle .................................................................................................................... 0 0.05 

1Speed terms are defined in 40 CFR part 1065. 

2The 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. 

1Speed terms are defined in 40 CFR part 1065. 

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

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

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

speed if there is a change in speed setting. 

(c) The following duty cycles apply for 

variable-speed engines with maximum 

engine power at or above 19 kW: 

(1) The following duty cycle applies for 

discrete-mode testing: 

C1 mode number Engine speed 1 Torque 

(percent) 2

Weighting 

factors 

1 ..................................... Maximum test speed ................................................................................................... 100 0.15 

2 ..................................... Maximum test speed ................................................................................................... 75 0.15 

3 ..................................... Maximum test speed ................................................................................................... 50 0.15 

4 ..................................... Maximum test speed ................................................................................................... 10 0.10 

5 ..................................... Intermediate test speed ............................................................................................... 100 0.10 

6 ..................................... Intermediate test speed ............................................................................................... 75 0.10 

7 ..................................... Intermediate test speed ............................................................................................... 50 0.10 

8 ..................................... Warm idle .................................................................................................................... 0 0.15 

1Speed terms are defined in 40 CFR part 1065. 

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

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(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. 

1Speed terms are defined in 40 CFR part 1065. 

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

3Advance 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 productionline 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. 

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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: 

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(b) The requirements of subpart I of 

this part apply to remanufactured 

engines beginning July 7, 2008. 

(c) See 40 CFR part 94 for 

requirements that apply to engines with 

maximum engine power at or above 37 

kW not yet subject to the requirements 

of this part 1042. See 40 CFR part 89 for 

requirements that apply to engines with 

maximum engine power below 37 kW 

not yet subject to the requirements of 

this part 1042. 

(d) The provisions of §§ 1042.620 and 

1042.901 apply for new engines used 

solely for competition beginning 

January 1, 2009. 

(e) Marine engines powered by 

natural gas with maximum engine 

power at or above 250 kW are deemed 

to be compression-ignition engines. 

These engines are therefore subject to all 

the requirements of this part even if 

they do not meet the definition of 

‘‘compression-ignition’’ in § 1042.901. 

§ 1042.2 Who is responsible for 

compliance? 

The regulations in this part 1042 

contain provisions that affect both 

engine manufacturers and others. 

However, the requirements of this part, 

other than those of subpart I of this part, 

are generally addressed to the engine 

manufacturer for freshly manufactured 

marine engines or other certificate 

holders. The term ‘‘you’’ generally 

means the engine manufacturer, as 

defined in § 1042.901, especially for 

issues related to certification (including 

production-line testing, reporting, etc.). 

§ 1042.5 Exclusions. 

This part does not apply to the 

following marine engines: 

(a) Foreign vessels. The requirements 

and prohibitions of this part do not 

apply to engines installed on foreign 

vessels, as defined in § 1042.901. 

(b) Hobby engines. Engines with percylinder displacement below 50 cubic 

centimeters are not subject to the 

provisions of this part 1042. 

§ 1042.10 Organization of this part. 

This part 1042 is divided into the 

following subparts: 

(a) Subpart A of this part defines the 

applicability of this part 1042 and gives 

an overview of regulatory requirements. 

(b) Subpart B of this part describes the 

emission standards and other 

requirements that must be met to certify 

engines under this part. Note that 

§ 1042.145 discusses certain interim 

requirements and compliance 

provisions that apply only for a limited 

time. 

(c) Subpart C of this part describes 

how to apply for a certificate of 

conformity. 

(d) Subpart D of this part describes 

general provisions for testing 

production-line engines. 

(e) Subpart E of this part describes 

general provisions for testing in-use 

engines. 

(f) Subpart F of this part and 40 CFR 

1065 describe how to test your engines. 

(g) Subpart G of this part and 40 CFR 

part 1068 describe requirements, 

prohibitions, and other provisions that 

apply to engine manufacturers, vessel 

manufacturers, owners, operators, 

rebuilders, and all others. 

(h) Subpart H of this part describes 

how you may generate and use emission 

credits to certify your engines. 

(i) Subpart I of this part describes how 

these regulations apply for 

remanufactured engines. 

(j) Subpart J of this part contains 

definitions and other reference 

information. 

§ 1042.15 Do any other regulation parts 

apply to me? 

(a) The evaporative emission 

requirements of part 1060 of this 

chapter apply to vessels that include 

installed engines fueled with a volatile 

liquid fuel as specified in § 1042.107. 

(Note: Conventional diesel fuel is not 

considered to be a volatile liquid fuel.) 

(b) Part 1065 of this chapter describes 

procedures and equipment 

specifications for testing engines. 

Subpart F of this part 1042 describes 

how to apply the provisions of part 1065 

of this chapter to determine whether 

engines meet the emission standards in 

this part. 

(c) The requirements and prohibitions 

of part 1068 of this chapter apply to 

everyone, including anyone who 

manufactures, imports, installs, owns, 

operates, or rebuilds any of the engines 

subject to this part 1042, or vessels 

containing these engines. Part 1068 of 

this chapter describes general 

provisions, including these seven areas: 

(1) Prohibited acts and penalties for 

engine manufacturers, vessel 

manufacturers, and others. 

(2) Rebuilding and other aftermarket 

changes. 

(3) Exclusions and exemptions for 

certain engines. 

(4) Importing engines. 

(5) Selective enforcement audits of 

your production. 

(6) Defect reporting and recall. 

(7) Procedures for hearings. 

(d) Other parts of this chapter apply 

if referenced in this part. 

Subpart B—Emission Standards and 

Related Requirements 

§ 1042.101 Exhaust emission standards. 

(a) Duty-cycle standards. Exhaust 

emissions from your engines may not 

exceed emission standards, as follows: 

(1) Measure emissions using the test 

procedures described in subpart F of 

this part. 

(2) The following CO emission 

standards in this paragraph (a)(2) apply 

starting with the applicable model year 

identified in § 1042.1: 

(i) 8.0 g/kW-hr for engines below 8 

kW. 

(ii) 6.6 g/kW-hr for engines at or above 

8 kW and below 19 kW. 

(iii) 5.5 g/kW-hr for engines at or 

above 19 kW and below 37 kW. 

(iv) 5.0 g/kW-hr for engines at or 

above 37 kW. 

(3) Except as described in paragraphs 

(a)(4) and (5) of this section, the Tier 3 

standards for PM and NOX+HC 

emissions are described in the following 

tables: 

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BILLING CODE 1505–01–C 

TABLE 2 TO § 1042.101.—TIER 3 STANDARDS FOR CATEGORY 2 ENGINES BELOW 3700 KW a

Displacement (L/cyl) Maximum engine power Model year PM 

(g/kW-hr) 

NOX+HC 

(g/kW-hr) 

7.0 ≤ disp. < 15.0 ............................................ kW < 2000 ...................................................... 2013+ 0.14 6.2 

2000 ≤ kW < 3700 ......................................... 2013+ 0.14 b 7.8

15.0 ≤ disp. < 20.0 c ........................................ kW < 2000 ...................................................... 2014+ 0.34 7.0 

20.0 ≤ disp. < 25.0 c ........................................ kW < 2000 ...................................................... 2014+ 0.27 9.8 

25.0 ≤ disp. < 30.0 c ........................................ kW < 2000 ...................................................... 2014+ 0.27 11.0 

a No Tier 3 standards apply for Category 2 engines at or above 3700 kW. See § 1042.1(c) and paragraph (a)(7) of this section for the standards that apply for these engines. bFor engines subject to the 7.8 g/kW-hr NOX+HC standard, FELs may not be higher than the Tier 1 NOX standard specified in Appendix I of 

this part. c No Tier 3 standards apply for Category 2 engines with per-cylinder displacement above 15.0 liters if maximum engine power is at or above 

2000 kW. See § 1042.1(c) and paragraph (a)(7) of this section for the standards that apply for these engines. 

(4) For Tier 3 engines at or above 19 

kW and below 75 kW with displacement 

below 0.9 L/cyl, you may alternatively 

certify some or all of your engine 

families to a PM emission standard of 

0.20 g/kW-hr and a NOX+HC emission 

standard of 5.8 g/kW-hr for 2014 and 

later model years. 

(5) Starting with the 2014 model year, 

recreational marine engines at or above 

3700 kW (with any displacement) must 

be certified under this part 1042 to the 

Tier 3 standards specified in this section 

for 3.5 to 7.0 L/cyl recreational marine 

engines. 

(6) Interim Tier 4 PM standards apply 

for 2014 and 2015 model year engines 

between 2000 and 3700 kW as specified 

in this paragraph (a)(6). These engines 

are considered to be Tier 4 engines. 

(i) For Category 1 engines, the Tier 3 

PM standards from Table 1 to this 

section continue to apply. PM FELs for 

these engines may not be higher than 

the applicable Tier 2 PM standards 

specified in Appendix I of this part. 

(ii) For Category 2 engines with percylinder displacement below 15.0 liters, 

the Tier 3 PM standards from Table 2 to 

this section continue to apply. PM FELs 

for these engines may not be higher than 

0.27 g/kW-hr. 

(iii) For Category 2 engines with percylinder displacement at or above 15.0 

liters, the PM standard is 0.34 g/kW-hr 

for engines at or above 2000 kW and 


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below 3300 kW, and 0.27 g/kW-hr for 

engines at or above 3300 kW and below 

3700 kW. PM FELs for these engines 

may not be higher than 0.50 g/kW-hr. 

(7) Except as described in paragraph 

(a)(8) of this section, the Tier 4 

standards for PM, NOX, and HC 

emissions are described in the following 

table: 

TABLE 3 TO § 1042.101.—TIER 4 STANDARDS FOR CATEGORY 2 AND COMMERCIAL CATEGORY 1 ENGINES ABOVE 600 

KW 

Maximum engine power Displacement 

(L/cyl) Model year PM (g/kW-hr) 

NOX

(g/kW-hr) 

HC 

(g/kW-hr) 

600 ≤ kW < 1400 ...................................... all .............................................................. 2017+ 0.04 1.8 0.19 

1400 ≤ kW < 2000 .................................... all .............................................................. 2016+ 0.04 1.8 0.19 

2000 ≤ kW < 3700 a .................................. all .............................................................. 2014+ 0.04 1.8 0.19 

kW ≥ 3700 ................................................ disp. <15.0 ................................................ 2014–2015 0.12 1.8 0.19 

15.0 ≤ disp.< 30.0 .................................... 2014–2015 0.25 1.8 0.19 

all .............................................................. 2016+ 0.06 1.8 0.19 

aSee paragraph (a)(6) of this section for interim PM standards that apply for model years 2014 and 2015 for engines between 2000 and 3700 

kW. The Tier 4 NOX FEL cap for engines at or above 2000 kW and below 3700 kW is 7.0 g/kW-hr. Starting in the 2016 model year, the Tier 4 

PM FEL cap for engines at or above 2000 kW and below 3700 kW is 0.34 g/kW-hr. 

(8) The following optional provisions 

apply for complying with the Tier 3 and 

Tier 4 standards specified in paragraphs 

(a)(3) and (6) of this section: 

(i) You may use NOX credits 

accumulated through the ABT program 

to certify Tier 4 engines to a NOX+HC 

emission standard of 1.9 g/kW-hr 

instead of the NOX and HC standards 

that would otherwise apply by 

certifying your family to a NOX+HC 

FEL. Calculate the NOX credits needed 

as specified in subpart H of this part 

using the NOX+HC emission standard 

and FEL in the calculation instead of the 

otherwise applicable NOX standard and 

FEL. You may not generate credits 

relative to the alternate standard or 

certify to the standard without using 

credits. 

(ii) For engines below 1000 kW, you 

may delay complying with the Tier 4 

standards in the 2017 model year for up 

to nine months, but you must comply 

no later than October 1, 2017. 

(iii) For engines at or above 3700 kW, 

you may delay complying with the Tier 

4 standards in the 2016 model year for 

up to twelve months, but you must 

comply no later than December 31, 

2016. 

(iv) For Category 2 engines at or above 

1400 kW, you may alternatively comply 

with the Tier 3 and Tier 4 standards 

specified in Table 4 of this section 

instead of the NOX, HC, NOX+HC, and 

PM standards specified in paragraphs 

(a)(3) and (6) of this section. The CO 

standards specified in paragraph (a)(2) 

of this section apply without regard to 

whether you choose this option. If you 

choose this option, you must do so for 

all engines at or above 1400 kW in the 

same displacement category (that is, 7– 

15, 15–20, 20–25, or 25–30 liters per 

cylinder) in model years 2012 through 

2015. 

TABLE 4 TO § 1042.101.—OPTIONAL TIER 3 AND TIER 4 STANDARDS FOR CATEGORY 2 ENGINES AT OR ABOVE 1400 KW 

Tier Maximum engine power Model year PM 

(g/kW-hr) 

NOX

(g/kW-hr) 

HC 

(g/kW-hr) 

Tier 3 ........................................................ kW ≥ 1400 ................................................ 2012–2014 0.14 7.8 NOX+HC 

Tier 4 ........................................................ 1400 ≤ kW < 3700 .................................... 2015 0.04 1.8 0.19 

kW ≥ 3700 ................................................ 2015 0.06 1.8 0.19 

(b) Averaging, banking, and trading. 

You may generate or use emission 

credits under the averaging, banking, 

and trading (ABT) program as described 

in subpart H of this part for 

demonstrating compliance with NOX, 

NOX+HC, and PM emission standards 

for Category 1 and Category 2 engines. 

You may also use NOX or NOX+HC 

emission credits to comply with the 

alternate NOX+HC standard in 

paragraph (a)(8)(i) of this section. 

Generating or using emission credits 

requires that you specify a family 

emission limit (FEL) for each pollutant 

you include in the ABT program for 

each engine family. These FELs serve as 

the emission standards for the engine 

family with respect to all required 

testing instead of the standards 

specified in paragraph (a) of this 

section. The FELs determine the not-toexceed standards for your engine family, 

as specified in paragraph (c) of this 

section. Unless otherwise specified, the 

following FEL caps apply: 

(1) FELs for Tier 3 engines may not be 

higher than the applicable Tier 2 

standards specified in Appendix I of 

this part. 

(2) FELs for Tier 4 engines may not be 

higher than the applicable Tier 3 

standards specified in paragraph (a)(3) 

of this section. 

(c) Not-to-exceed standards. Except as 

noted in § 1042.145(e), exhaust 

emissions from all engines subject to the 

requirements of this part may not 

exceed the not-to-exceed (NTE) 

standards as follows: 

(1) Use the following equation to 

determine the NTE standards: 

(i) NTE standard for each pollutant = 

STD × M. 

Where: 

STD = The standard specified for that 

pollutant in this section if you certify 

without using ABT for that pollutant; or the 

FEL for that pollutant if you certify using 

ABT. 

M = The NTE multiplier for that pollutant. 

(ii) Round each NTE standard to the 

same number of decimal places as the 

emission standard. 

(2) Determine the applicable NTE 

zone and subzones as described in 

§ 1042.515. Determine NTE multipliers 

for specific zones and subzones and 

pollutants as follows: 

(i) For commercial marine engines 

certified using the duty cycle specified 

in § 1042.505(b)(1), except for variablespeed propulsion marine engines used 

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with controllable-pitch propellers or 

with electrically coupled propellers, 

apply the following NTE multipliers: 

(A) Subzone 1: 1.2 for Tier 3 NOX+HC 

standards. 

(B) Subzone 1: 1.5 for Tier 4 standards 

and Tier 3 PM and CO standards. 

(C) Subzone 2: 1.5 for NOX+HC 

standards. 

(D) Subzone 2: 1.9 for PM and CO 

standards. 

(ii) For recreational marine engines 

certified using the duty cycle specified 

in § 1042.505(b)(2), except for variablespeed marine engines used with 

controllable-pitch propellers or with 

electrically coupled propellers, apply 

the following NTE multipliers: 

(A) Subzone 1: 1.2 for Tier 3 NOX+HC 

standards. 

(B) Subzone 1: 1.5 for Tier 4 standards 

and Tier 3 PM and CO standards. 

(C) Subzones 2 and 3: 1.5 for NOX+HC 

standards. 

(D) Subzones 2 and 3: 1.9 for PM and 

CO standards. 

(iii) For variable-speed marine 

engines used with controllable-pitch 

propellers or with electrically coupled 

propellers that are certified using the 

duty cycle specified in § 1042.505(b)(1), 

(2), or (3), apply the following NTE 

multipliers: 

(A) Subzone 1: 1.2 for Tier 3 NOX+HC 

standards. 

(B) Subzone 1: 1.5 for Tier 4 standards 

and Tier 3 PM and CO standards. 

(C) Subzone 2: 1.5 for NOX+HC 

standards. 

(D) Subzone 2: 1.9 for PM and CO 

standards. However, there is no NTE 

standard in Subzone 2b for PM 

emissions if the engine family’s 

applicable standard for PM is at or 

above 0.07 g/kW-hr. 

(iv) For constant-speed engines 

certified using a duty cycle specified in 

§ 1042.505(b)(3) or (4), apply the 

following NTE multipliers: 

(A) Subzone 1: 1.2 for Tier 3 NOX+HC 

standards. 

(B) Subzone 1: 1.5 for Tier 4 standards 

and Tier 3 PM and CO standards. 

(C) Subzone 2: 1.5 for NOX+HC 

standards. 

(D) Subzone 2: 1.9 for PM and CO 

standards. However, there is no NTE 

standard for PM emissions if the engine 

family’s applicable standard for PM is at 

or above 0.07 g/kW-hr. 

(v) For variable-speed auxiliary 

marine engines certified using the duty 

cycle specified in § 1042.505(b)(5)(ii) or 

(iii): 

(A) Subzone 1: 1.2 for Tier 3 NOX+HC 

standards. 

(B) Subzone 1: 1.5 for Tier 4 standards 

and Tier 3 PM and CO standards. 

(C) Subzone 2: 1.2 for Tier 3 NOX+HC 

standards. 

(D) Subzone 2: 1.5 for Tier 4 standards 

and Tier 3 PM and CO standards. 

However, there is no NTE standard for 

PM emissions if the engine family’s 

applicable standard for PM is at or 

above 0.07 g/kW-hr. 

(3) The NTE standards apply to your 

engines whenever they operate within 

the NTE zone for an NTE sampling 

period of at least thirty seconds, during 

which only a single operator demand set 

point may be selected. Engine operation 

during a change in operator demand is 

excluded from any NTE sampling 

period. There is no maximum NTE 

sampling period. 

(4) Collect emission data for 

determining compliance with the NTE 

standards using the procedures 

described in subpart F of this part. 

(5) You may ask us to accept as 

compliant an engine that does not fully 

meet specific requirements under the 

applicable NTE standards where such 

deficiencies are necessary for safety. 

(d) Fuel types. The exhaust emission 

standards in this section apply for 

engines using the fuel type on which the 

engines in the engine family are 

designed to operate. 

(1) You must meet the numerical 

emission standards for hydrocarbons in 

this section based on the following 

types of hydrocarbon emissions for 

engines powered by the following fuels: 

(i) Alcohol-fueled engines must 

comply with Tier 3 HC standards based 

on THCE emissions and with Tier 4 

standards based on NMHCE emissions. 

(ii) Natural gas-fueled engines must 

comply with HC standards based on 

NMHC emissions. 

(iii) Diesel-fueled and other engines 

must comply with Tier 3 HC standards 

based on THC emissions and with Tier 

4 standards based on NMHC emissions. 

(2) Tier 3 and later engines must 

comply with the exhaust emission 

standards when tested using test fuels 

containing 15 ppm or less sulfur (ultra 

low-sulfur diesel fuel). Manufacturers 

may use low-sulfur diesel fuel (without 

request) to certify an engine otherwise 

requiring an ultra low-sulfur test fuel; 

however, emissions may not be 

corrected to account for the effects of 

using higher sulfur fuel. 

(3) Engines designed to operate using 

residual fuel must comply with the 

standards and requirements of this part 

when operated using residual fuel in 

addition to complying with the 

requirements of this part when operated 

using diesel fuel. 

(e) Useful life. Your engines must 

meet the exhaust emission standards of 

this section over their full useful life, 

expressed as a period in years or hours 

of engine operation, whichever comes 

first. 

(1) The minimum useful life values 

are as follows, except as specified by 

paragraph (e)(2) or (3) of this section: 

(i) 10 years or 1,000 hours of 

operation for recreational Category 1 

engines 

(ii) 5 years or 3,000 hours of operation 

for commercial engines below 19 kW. 

(iii) 7 years or 5,000 hours of 

operation for commercial engines at or 

above 19 kW and below 37kW. 

(iv) 10 years or 10,000 hours of 

operation for commercial Category 1 

engines at or above 37 kW. 

(v) 10 years or 20,000 hours of 

operation for Category 2 engines. 

(2) Specify a longer useful life in 

hours for an engine family under either 

of two conditions: 

(i) If you design, advertise, or market 

your engine to operate longer than the 

minimum useful life (your 

recommended hours until rebuild 

indicates a longer design life). 

(ii) If your basic mechanical warranty 

is longer than the minimum useful life. 

(3) You may request in your 

application for certification that we 

approve a shorter useful life for an 

engine family. We may approve a 

shorter useful life, in hours of engine 

operation but not in years, if we 

determine that these engines will rarely 

operate longer than the shorter useful 

life. If engines identical to those in the 

engine family have already been 

produced and are in use, your 

demonstration must include 

documentation from such in-use 

engines. In other cases, your 

demonstration must include an 

engineering analysis of information 

equivalent to such in-use data, such as 

data from research engines or similar 

engine models that are already in 

production. Your demonstration must 

also include any overhaul interval that 

you recommend, any mechanical 

warranty that you offer for the engine or 

its components, and any relevant 

customer design specifications. Your 

demonstration may include any other 

relevant information. The useful life 

value may not be shorter than any of the 

following: 

(i) 1,000 hours of operation. 

(ii) Your recommended overhaul 

interval. 

(iii) Your mechanical warranty for the 

engine. 

(f) Applicability for testing. The dutycycle emission standards in this subpart 

apply to all testing performed according 

to the procedures in § 1042.505, 

including certification, production-line, 

and in-use testing. The not-to-exceed 

standards apply for all testing 

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Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37249 

performed according to the procedures 

of subpart F of this part. 

§ 1042.107 Evaporative emission 

standards. 

You must design and produce engines 

fueled with a volatile liquid fuel to 

minimize evaporative emissions during 

normal operation, including periods 

when the engine is shut down. You 

must also design and produce them to 

minimize the escape of fuel vapors 

during refueling. Hoses used to refuel 

gaseous-fueled engines may not be 

designed to be bled or vented to the 

atmosphere under normal operating 

conditions. No valves or pressure-relief 

vents may be used on gaseous-fueled 

engines except as emergency safety 

devices that do not operate at normal 

system operating flows and pressures. 

§ 1042.110 Recording reductant use and 

other diagnostic functions. 

(a) Engines equipped with SCR 

systems using a reductant other than the 

engine’s fuel must meet the following 

requirements: 

(1) The diagnostic system must 

monitor reductant quality and tank 

levels and alert operators to the need to 

refill the reductant tank before it is 

empty, or to replace the reductant if it 

does not meet your concentration 

specifications. Unless we approve other 

alerts, use a malfunction-indicator light 

(MIL) and an audible alarm. You do not 

need to separately monitor reductant 

quality if you include an exhaust NOX

sensor (or other sensor) that allows you 

to determine inadequate reductant 

quality. However, tank level must be 

monitored in all cases. 

(2) The onboard computer log must 

record in nonvolatile computer memory 

all incidents of engine operation with 

inadequate reductant injection or 

reductant quality. 

(b) If you determine your emission 

controls have failure modes that may 

reasonably be expected to affect safety, 

equip the engines with diagnostic 

features that will alert the operator to 

such failures. Use good engineering 

judgment to alert the operator before the 

failure occurs. 

(c) You may equip your engine with 

other diagnostic features. If you do, they 

must be designed to allow us to read 

and interpret the codes. Note that 

§§ 1042.115 and 1042.205 require that 

you provide us any information needed 

to read, record, and interpret all the 

information broadcast by an engine’s 

onboard computers and electronic 

control units. 

§ 1042.115 Other requirements. 

Engines that are required to comply 

with the emission standards of this part 

must meet the following requirements: 

(a) Crankcase emissions. Crankcase 

emissions may not be discharged 

directly into the ambient atmosphere 

from any engine throughout its useful 

life, except as follows: 

(1) Engines may discharge crankcase 

emissions to the ambient atmosphere if 

the emissions are added to the exhaust 

emissions (either physically or 

mathematically) during all emission 

testing. If you take advantage of this 

exception, you must do both of the 

following things: 

(i) Manufacture the engines so that all 

crankcase emissions can be routed into 

the applicable sampling systems 

specified in 40 CFR part 1065. 

(ii) Account for deterioration in 

crankcase emissions when determining 

exhaust deterioration factors. 

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

crankcase emissions that are routed to 

the exhaust upstream of exhaust 

aftertreatment during all operation are 

not considered to be discharged directly 

into the ambient atmosphere. 

(b) Torque broadcasting. 

Electronically controlled engines must 

broadcast their speed and output shaft 

torque (in newton-meters). Engines may 

alternatively broadcast a surrogate value 

for determining torque. Engines must 

broadcast engine parameters such that 

they can be read with a remote device, 

or broadcast them directly to their 

controller area networks. This 

information is necessary for testing 

engines in the field (see § 1042.515). 

(c) EPA access to broadcast 

information. If we request it, you must 

provide us any hardware or tools we 

would need to readily read, interpret, 

and record all information broadcast by 

an engine’s on-board computers and 

electronic control modules. If you 

broadcast a surrogate parameter for 

torque values, you must provide us 

what we need to convert these into 

torque units. We will not ask for 

hardware or tools if they are readily 

available commercially. 

(d) Adjustable parameters. An 

operating parameter is not considered 

adjustable if you permanently seal it or 

if it is not normally accessible using 

ordinary tools. The following provisions 

apply for adjustable parameters: 

(1) Category 1 engines that have 

adjustable parameters must meet all the 

requirements of this part for any 

adjustment in the physically adjustable 

range. We may require that you set 

adjustable parameters to any 

specification within the adjustable range 

during any testing, including 

certification testing, selective 

enforcement auditing, or in-use testing. 

(2) Category 2 engines that have 

adjustable parameters must meet all the 

requirements of this part for any 

adjustment in the specified adjustable 

range. You must specify in your 

application for certification the 

adjustable range of each adjustable 

parameter on a new engine to— 

(i) Ensure that safe engine operating 

characteristics are available within that 

range, as required by section 202(a)(4) of 

the Clean Air Act (42 U.S.C. 7521(a)(4)), 

taking into consideration the production 

tolerances. 

(ii) Limit the physical range of 

adjustability to the maximum extent 

practicable to the range that is necessary 

for proper operation of the engine. 

(e) Prohibited controls. You may not 

design your engines with emissioncontrol devices, systems, or elements of 

design that cause or contribute to an 

unreasonable risk to public health, 

welfare, or safety while operating. For 

example, this would apply if the engine 

emits a noxious or toxic substance it 

would otherwise not emit, that 

contributes to such an unreasonable 

risk. 

(f) Defeat devices. You may not equip 

your engines with a defeat device. A 

defeat device is an auxiliary emission 

control device that reduces the 

effectiveness of emission controls under 

conditions that the engine may 

reasonably be expected to encounter 

during normal operation and use. This 

does not apply to auxiliary emission 

control devices you identify in your 

certification application if any of the 

following is true: 

(1) The conditions of concern were 

substantially included in the applicable 

duty-cycle test procedures described in 

subpart F of this part (the portion during 

which emissions are measured). See 

paragraph (f)(4) of this section for other 

conditions. 

(2) You show your design is necessary 

to prevent engine (or vessel) damage or 

accidents. 

(3) The reduced effectiveness applies 

only to starting the engine. 

§ 1042.120 Emission-related warranty 

requirements. 

(a) General requirements. You must 

warrant to the ultimate purchaser and 

each subsequent purchaser that the new 

engine, including all parts of its 

emission control system, meets two 

conditions: 

(1) It is designed, built, and equipped 

so it conforms at the time of sale to the 

ultimate purchaser with the 

requirements of this part. 

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37250 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

(2) It is free from defects in materials 

and workmanship that may keep it from 

meeting these requirements. 

(b) Warranty period. Your emissionrelated warranty must be valid for at 

least as long as the minimum warranty 

periods listed in this paragraph (b) in 

hours of operation and years, whichever 

comes first. You may offer an emissionrelated warranty more generous than we 

require. The emission-related warranty 

for the engine may not be shorter than 

any published warranty you offer 

without charge for the engine. Similarly, 

the emission-related warranty for any 

component may not be shorter than any 

published warranty you offer without 

charge for that component. If an engine 

has no hour meter, we base the warranty 

periods in this paragraph (b) only on the 

engine’s age (in years). 

The warranty period begins when the 

engine is placed into service. The 

following minimum warranty periods 

apply: 

(1) For Category 1 and Category 2 

engines, your emission-related warranty 

must be valid for at least 50 percent of 

the engine’s useful life in hours of 

operation or a number of years equal to 

at least 50 percent of the useful life in 

years, whichever comes first. 

(2) [Reserved] 

(c) Components covered. The 

emission-related warranty covers all 

components whose failure would 

increase an engine’s emissions of any 

pollutant, including those listed in 40 

CFR part 1068, Appendix I, and those 

from any other system you develop to 

control emissions. The emission-related 

warranty for freshly manufactured 

marine engines covers these 

components even if another company 

produces the component. Your 

emission-related warranty does not 

cover components whose failure would 

not increase an engine’s emissions of 

any pollutant. For remanufactured 

engines, your emission-related warranty 

does not cover used parts that are not 

replaced during the remanufacture. 

(d) Limited applicability. You may 

deny warranty claims under this section 

if the operator caused the problem 

through improper maintenance or use, 

as described in 40 CFR 1068.115. 

(e) Owners manual. Describe in the 

owners manual the emission-related 

warranty provisions from this section 

that apply to the engine. 

§ 1042.125 Maintenance instructions for 

Category 1 and Category 2 engines. 

Give the ultimate purchaser of each 

new engine written instructions for 

properly maintaining and using the 

engine, including the emission control 

system, as described in this section. The 

maintenance instructions also apply to 

service accumulation on your emissiondata engines as described in § 1042.245 

and in 40 CFR part 1065. This section 

applies only to Category 1 and Category 

2 engines. 

(a) Critical emission-related 

maintenance. Critical emission-related 

maintenance includes any adjustment, 

cleaning, repair, or replacement of 

critical emission-related components. 

This may also include additional 

emission-related maintenance that you 

determine is critical if we approve it in 

advance. You may schedule critical 

emission-related maintenance on these 

components if you meet the following 

conditions: 

(1) You demonstrate that the 

maintenance is reasonably likely to be 

done at the recommended intervals on 

in-use engines. We will accept 

scheduled maintenance as reasonably 

likely to occur if you satisfy any of the 

following conditions: 

(i) You present data showing that any 

lack of maintenance that increases 

emissions also unacceptably degrades 

the engine’s performance. 

(ii) You present survey data showing 

that at least 80 percent of engines in the 

field get the maintenance you specify at 

the recommended intervals. 

(iii) You provide the maintenance free 

of charge and clearly say so in 

maintenance instructions for the 

customer. 

(iv) You otherwise show us that the 

maintenance is reasonably likely to be 

done at the recommended intervals. 

(2) For engines below 130 kW, you 

may not schedule critical emissionrelated maintenance more frequently 

than the following minimum intervals, 

except as specified in paragraphs (a)(4), 

(b), and (c) of this section: 

(i) For EGR-related filters and coolers, 

PCV valves, and fuel injector tips 

(cleaning only), the minimum interval is 

1,500 hours. 

(ii) For the following components, 

including associated sensors and 

actuators, the minimum interval is 3,000 

hours: Fuel injectors, turbochargers, 

catalytic converters, electronic control 

units, particulate traps, trap oxidizers, 

components related to particulate traps 

and trap oxidizers, EGR systems 

(including related components, but 

excluding filters and coolers), and other 

add-on components. For particulate 

traps, trap oxidizers, and components 

related to either of these, maintenance is 

limited to cleaning and repair only. 

(3) For Category 1 and Category 2 

engines at or above 130 kW, you may 

not schedule critical emission-related 

maintenance more frequently than the 

following minimum intervals, except as 

specified in paragraphs (a)(4), (b), and 

(c) of this section: 

(i) For EGR-related filters and coolers, 

PCV valves, and fuel injector tips 

(cleaning only), the minimum interval is 

1,500 hours. 

(ii) For the following components, 

including associated sensors and 

actuators, the minimum interval is 4500 

hours: Fuel injectors, turbochargers, 

catalytic converters, electronic control 

units, particulate traps, trap oxidizers, 

components related to particulate traps 

and trap oxidizers, EGR systems 

(including related components, but 

excluding filters and coolers), and other 

add-on components. For particulate 

traps, trap oxidizers, and components 

related to either of these, maintenance is 

limited to cleaning and repair only. 

(4) We may approve shorter 

maintenance intervals than those listed 

in paragraph (a)(3) of this section where 

technologically necessary. 

(5) If your engine family has an 

alternate useful life under § 1042.101(e) 

that is shorter than the period specified 

in paragraph (a)(2) or (a)(3) of this 

section, you may not schedule critical 

emission-related maintenance more 

frequently than the alternate useful life, 

except as specified in paragraph (c) of 

this section. 

(b) Recommended additional 

maintenance. You may recommend any 

additional amount of maintenance on 

the components listed in paragraph (a) 

of this section, as long as you state 

clearly that these maintenance steps are 

not necessary to keep the emissionrelated warranty valid. If operators do 

the maintenance specified in paragraph 

(a) of this section, but not the 

recommended additional maintenance, 

this does not allow you to disqualify 

those engines from in-use testing or 

deny a warranty claim. Do not take 

these maintenance steps during service 

accumulation on your emission-data 

engines. 

(c) Special maintenance. You may 

specify more frequent maintenance to 

address problems related to special 

situations, such as atypical engine 

operation. You must clearly state that 

this additional maintenance is 

associated with the special situation you 

are addressing. 

(d) Noncritical emission-related 

maintenance. Subject to the provisions 

of this paragraph (d), you may schedule 

any amount of emission-related 

inspection or maintenance that is not 

covered by paragraph (a) of this section 

(that is, maintenance that is neither 

explicitly identified as critical emissionrelated maintenance, nor that we 

approve as critical emission-related 

maintenance). Noncritical emissionmstockstill on PROD1PC66 with RULES3

Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37251 

related maintenance generally includes 

maintenance on the components we 

specify in 40 CFR part 1068, Appendix 

I. You must state in the owners manual 

that these steps are not necessary to 

keep the emission-related warranty 

valid. If operators fail to do this 

maintenance, this does not allow you to 

disqualify those engines from in-use 

testing or deny a warranty claim. Do not 

take these inspection or maintenance 

steps during service accumulation on 

your emission-data engines. 

(e) Maintenance that is not emissionrelated. For maintenance unrelated to 

emission controls, you may schedule 

any amount of inspection or 

maintenance. You may also take these 

inspection or maintenance steps during 

service accumulation on your emissiondata engines, as long as they are 

reasonable and technologically 

necessary. This might include adding 

engine oil, changing air, fuel, or oil 

filters, servicing engine-cooling systems, 

and adjusting idle speed, governor, 

engine bolt torque, valve lash, or 

injector lash. You may perform this 

nonemission-related maintenance on 

emission-data engines at the least 

frequent intervals that you recommend 

to the ultimate purchaser (but not 

intervals recommended for severe 

service). 

(f) Source of parts and repairs. State 

clearly on the first page of your written 

maintenance instructions that a repair 

shop or person of the owner’s choosing 

may maintain, replace, or repair 

emission control devices and systems. 

Your instructions may not require 

components or service identified by 

brand, trade, or corporate name. Also, 

do not directly or indirectly condition 

your warranty on a requirement that the 

engine be serviced by your franchised 

dealers or any other service 

establishments with which you have a 

commercial relationship. You may 

disregard the requirements in this 

paragraph (f) if you do one of two 

things: 

(1) Provide a component or service 

without charge under the purchase 

agreement. 

(2) Get us to waive this prohibition in 

the public’s interest by convincing us 

the engine will work properly only with 

the identified component or service. 

(g) Payment for scheduled 

maintenance. Owners are responsible 

for properly maintaining their engines. 

This generally includes paying for 

scheduled maintenance. However, 

manufacturers must pay for scheduled 

maintenance during the useful life if it 

meets all the following criteria: 

(1) Each affected component was not 

in general use on similar engines before 

the applicable dates shown in paragraph 

(6) of the definition of ‘‘new marine 

engine’’ in § 1042.901. 

(2) The primary function of each 

affected component is to reduce 

emissions. 

(3) The cost of the scheduled 

maintenance is more than 2 percent of 

the price of the engine. 

(4) Failure to perform the 

maintenance would not cause clear 

problems that would significantly 

degrade the engine’s performance. 

(h) Owners manual. Explain the 

owner’s responsibility for proper 

maintenance in the owners manual. 

§ 1042.130 Installation instructions for 

vessel manufacturers. 

(a) If you sell an engine for someone 

else to install in a vessel, give the engine 

installer instructions for installing it 

consistent with the requirements of this 

part. Include all information necessary 

to ensure that an engine will be 

installed in its certified configuration. 

(b) Make sure these instructions have 

the following information: 

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

(2) State: ‘‘Failing to follow these 

instructions when installing a certified 

engine in a vessel violates federal law 

(40 CFR 1068.105(b)), subject to fines or 

other penalties as described in the Clean 

Air Act.’’. 

(3) Describe the instructions needed 

to properly install the exhaust system 

and any other components. Include 

instructions consistent with the 

requirements of § 1042.205(u). 

(4) Describe any necessary steps for 

installing the diagnostic system 

described in § 1042.110. 

(5) Describe any limits on the range of 

applications needed to ensure that the 

engine operates consistently with your 

application for certification. For 

example, if your engines are certified 

only for constant-speed operation, tell 

vessel manufacturers not to install the 

engines in variable-speed applications 

or modify the governor. 

(6) Describe any other instructions to 

make sure the installed engine will 

operate according to design 

specifications in your application for 

certification. This may include, for 

example, instructions for installing 

aftertreatment devices when installing 

the engines. 

(7) State: ‘‘If you install the engine in 

a way that makes the engine’s emission 

control information label hard to read 

during normal engine maintenance, you 

must place a duplicate label on the 

vessel, as described in 40 CFR 

1068.105.’’. 

(8) Describe any vessel labeling 

requirements specified in § 1042.135. 

(c) You do not need installation 

instructions for engines you install in 

your own vessels. 

(d) Provide instructions in writing or 

in an equivalent format. For example, 

you may post instructions on a publicly 

available Web site for downloading or 

printing. If you do not provide the 

instructions in writing, explain in your 

application for certification how you 

will ensure that each installer is 

informed of the installation 

requirements. 

§ 1042.135 Labeling. 

(a) Assign each engine a unique 

identification number and permanently 

affix, engrave, or stamp it on the engine 

in a legible way. 

(b) At the time of manufacture, affix 

a permanent and legible label 

identifying each engine. The label must 

be— 

(1) Attached in one piece so it is not 

removable without being destroyed or 

defaced. 

(2) Secured to a part of the engine 

needed for normal operation and not 

normally requiring replacement. 

(3) Durable and readable for the 

engine’s entire life. 

(4) Written in English. 

(c) The label must— 

(1) Include the heading ‘‘EMISSION 

CONTROL INFORMATION’’. 

(2) Include your full corporate name 

and trademark. You may identify 

another company and use its trademark 

instead of yours if you comply with the 

provisions of § 1042.640. 

(3) Include EPA’s standardized 

designation for the engine family (and 

subfamily, where applicable). 

(4) Identify all the emission standards 

that apply to the engine (or FELs, if 

applicable). If you do not declare an FEL 

under subpart H of this part, you may 

alternatively state the engine’s category, 

displacement (in liters or L/cyl), 

maximum engine power (in kW), and 

power density (in kW/L) as needed to 

determine the emission standards for 

the engine family. You may specify 

displacement, maximum engine power, 

or power density as a range consistent 

with the ranges listed in § 1042.101. See 

§ 1042.140 for descriptions of how to 

specify per-cylinder displacement, 

maximum engine power, and power 

density. 

(5) State the date of manufacture 

[DAY (optional), MONTH, and YEAR]. 

However, you may omit this from the 

label if you stamp or engrave it on the 

engine, in which case you must also 

describe in your application for 

certification where you will identify the 

date on the engine. 

(6) Identify the application(s) for 

which the engine family is certified 

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(such as constant-speed auxiliary, 

variable-speed propulsion engines used 

with fixed-pitch propellers, etc.). If the 

engine is certified as a recreational 

engine, state: ‘‘INSTALLING THIS 

RECREATIONAL ENGINE IN A 

COMMERCIAL VESSEL OR USING THE 

VESSEL FOR COMMERCIAL 

PURPOSES MAY VIOLATE FEDERAL 

LAW SUBJECT TO CIVIL PENALTY (40 

CFR 1042.601).’’. 

(7) For engines requiring ULSD, state: 

‘‘ULTRA LOW SULFUR DIESEL FUEL 

ONLY’’. 

(8) State the useful life for your engine 

family if the applicable useful life is 

based on the provisions of 

§ 1042.101(e)(2) or (3). 

(9) Identify the emission control 

system. Use terms and abbreviations 

consistent with SAE J1930 (incorporated 

by reference in § 1042.910). You may 

omit this information from the label if 

there is not enough room for it and you 

put it in the owners manual instead. 

(10) State: ‘‘THIS MARINE ENGINE 

COMPLIES WITH U.S. EPA 

REGULATIONS FOR [MODEL YEAR].’’. 

(11) For an engine that can be 

modified to operate on residual fuel, but 

has not been certified to meet the 

standards on such a fuel, include the 

statement: ‘‘THIS ENGINE IS 

CERTIFIED FOR OPERATION ONLY 

WITH DIESEL FUEL. MODIFYING THE 

ENGINE TO OPERATE ON RESIDUAL 

OR INTERMEDIATE FUEL MAY BE A 

VIOLATION OF FEDERAL LAW 

SUBJECT TO CIVIL PENALTIES.’’. 

(d) You may add information to the 

emission control information label as 

follows: 

(1) You may identify other emission 

standards that the engine meets or does 

not meet (such as international 

standards). You may include this 

information by adding it to the 

statement we specify or by including a 

separate statement. 

(2) You may add other information to 

ensure that the engine will be properly 

maintained and used. 

(3) You may add appropriate features 

to prevent counterfeit labels. For 

example, you may include the engine’s 

unique identification number on the 

label. 

(e) For engines requiring ULSD, create 

a separate label with the statement: 

‘‘ULTRA LOW SULFUR DIESEL FUEL 

ONLY’’. Permanently attach this label to 

the vessel near the fuel inlet or, if you 

do not manufacture the vessel, take one 

of the following steps to ensure that the 

vessel will be properly labeled: 

(1) Provide the label to each vessel 

manufacturer and include in the 

emission-related installation 

instructions the requirement to place 

this label near the fuel inlet. 

(2) Confirm that the vessel 

manufacturers install their own 

complying labels. 

(f) You may ask us to approve 

modified labeling requirements in this 

part 1042 if you show that it is 

necessary or appropriate. We will 

approve your request if your alternate 

label is consistent with the intent of the 

labeling requirements of this part. 

(g) If you obscure the engine label 

while installing the engine in the vessel 

such that the label will be hard to read 

during normal maintenance, you must 

place a duplicate label on the vessel. If 

others install your engine in their 

vessels in a way that obscures the 

engine label, we require them to add a 

duplicate label on the vessel (see 40 

CFR 1068.105); in that case, give them 

the number of duplicate labels they 

request and keep the following records 

for at least five years: 

(1) Written documentation of the 

request from the vessel manufacturer. 

(2) The number of duplicate labels 

you send for each family and the date 

you sent them. 

§ 1042.140 Maximum engine power, 

displacement, and power density. 

This section describes how to 

determine the maximum engine power, 

displacement, and power density of an 

engine for the purposes of this part. 

Note that maximum engine power may 

differ from the definition of ‘‘maximum 

test power’’ in § 1042.901. 

(a) An engine configuration’s 

maximum engine power is the 

maximum brake power point on the 

nominal power curve for the engine 

configuration, as defined in this section. 

Round the power value to the nearest 

whole kilowatt. 

(b) The nominal power curve of an 

engine configuration is the relationship 

between maximum available engine 

brake power and engine speed for an 

engine, using the mapping procedures 

of 40 CFR part 1065, based on the 

manufacturer’s design and production 

specifications for the engine. This 

information may also be expressed by a 

torque curve that relates maximum 

available engine torque with engine 

speed. 

(c) An engine configuration’s percylinder displacement is the intended 

swept volume of each cylinder. The 

swept volume of the engine is the 

product of the internal cross-section 

area of the cylinders, the stroke length, 

and the number of cylinders. Calculate 

the engine’s intended swept volume 

from the design specifications for the 

cylinders using enough significant 

figures to allow determination of the 

displacement to the nearest 0.02 liters. 

Determine the final value by truncating 

digits to establish the per-cylinder 

displacement to the nearest 0.1 liters. 

For example, for an engine with circular 

cylinders having an internal diameter of 

13.0 cm and a 15.5 cm stroke length, the 

rounded displacement would be: (13.0/ 

2) 2 × (π) × (15.5) ÷ 1000 = 2.0 liters. 

(d) The nominal power curve and 

intended swept volume must be within 

the range of the actual power curves and 

swept volumes of production engines 

considering normal production 

variability. If after production begins, it 

is determined that either your nominal 

power curve or your intended swept 

volume does not represent production 

engines, we may require you to amend 

your application for certification under 

§ 1042.225. 

(e) Throughout this part, references to 

a specific power value for an engine are 

based on maximum engine power. For 

example, the group of engines with 

maximum engine power above 600 kW 

may be referred to as engines above 600 

kW. 

(f) Calculate an engine family’s power 

density in kW/L by dividing the 

unrounded maximum engine power by 

the engine’s unrounded per-cylinder 

displacement, then dividing by the 

number of cylinders. Round the 

calculated value to the nearest whole 

number. 

§ 1042.145 Interim provisions. 

(a) General. The provisions in this 

section apply instead of other 

provisions in this part for Category 1 

and Category 2 engines. This section 

describes when these interim provisions 

expire. 

(b) Delayed standards. Postmanufacturer marinizers that are smallvolume engine manufacturers may delay 

compliance with the Tier 3 standards 

for engines below 600 kW as follows: 

(1) You may delay compliance with 

the Tier 3 standards for one model year, 

as long as the engines meet all the 

requirements that apply to Tier 2 

engines. 

(2) You may delay compliance with 

the NTE standards for Tier 3 engines for 

three model years in addition to the 

one-year delay specified in paragraph 

(b)(1) of this section, as long as the 

engines meet all other Tier 3 

requirements for the appropriate model 

year. 

(c) Part 1065 test procedures. You 

must generally use the test procedures 

specified in subpart F of this part, 

including the applicable test procedures 

in 40 CFR part 1065. As specified in this 

paragraph (c), you may use a 

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combination of the test procedures 

specified in this part and the test 

procedures specified for Tier 2 engines 

before January 1, 2015. After this date, 

you must use test procedures only as 

specified in subpart F of this part. 

(1) You may determine maximum test 

speed for engines below 37 kW as 

specified in 40 CFR part 89 without 

request through the 2009 model year. 

(2) Before January 1, 2015, you may 

ask to use some or all of the procedures 

specified in 40 CFR part 94 (or 40 CFR 

part 89 for engines below 37 kW) for 

engines certified under this part 1042. If 

you ask to rely on a combination of 

procedures under this paragraph (c)(2), 

we will approve your request only if 

you show us that it does not affect your 

ability to demonstrate compliance with 

the applicable emission standards. This 

generally requires that the combined 

procedures would result in emission 

measurements at least as high as those 

that would be measured using the 

procedures specified in this part. 

Alternatively, you may demonstrate that 

the combined effects of the different 

procedures is small relative to your 

compliance margin (the degree to which 

your emissions are below the applicable 

standards). 

(d) [Reserved] 

(e) Delayed compliance with NTE 

standards. Engines below 56 kW may 

delay complying with the NTE 

standards specified in § 1042.101(c) 

until the 2013 model year. Engines at or 

above 56 kW and below 75 kW may 

delay complying with the NTE 

standards specified in § 1042.101(c) 

until the 2012 model year. 

(f) In-use compliance limits. The 

provisions of this paragraph (f) apply for 

the first three model years of the Tier 4 

standards. For purposes of determining 

compliance based on testing other than 

certification or production-line testing, 

calculate the applicable in-use 

compliance limits by adjusting the 

applicable standards/FELs. The PM 

adjustment does not apply for engines 

with a PM standard or FEL above 0.04 

g/kW-hr. The NOX adjustment does not 

apply for engines with a NOX FEL above 

2.7 g/kW-hr. Add the applicable 

adjustments in one of the following 

tables to the otherwise applicable 

standards and NTE limits. You must 

specify during certification which addons, if any, will apply for your engines. 

TABLE 1 TO § 1042.145.—IN-USE ADJUSTMENTS FOR THE FIRST THREE MODEL YEARS OF THE TIER 4 STANDARDS

Fraction of useful life already used 

In-use adjustments (g/kW-hr) 

For Tier 4 NOX

standards 

For Tier 4 

PM standards 

0 < hours ≤ 50% of useful life ......................................................................................................................... 0.9 0.02 

50 < hours ≤ 75% of useful life ....................................................................................................................... 1.3 0.02 

hours > 75% of useful life ............................................................................................................................... 1.7 0.02 

TABLE 2 TO § 1042.145.—OPTIONAL IN-USE ADJUSTMENTS FOR THE FIRST THREE MODEL YEARS OF THE TIER 4 

STANDARDS

Fraction of useful life already used 

In-use adjustments (g/kW-hr) 

For model year 

2017 and earlier 

Tier 4 NOX

standards 

For model year 

2017 and earlier 

Tier 4 PM 

standards 

0 < hours ≤ 50% of useful life ......................................................................................................................... 0.3 0.05 

50 < hours ≤ 75% of useful life ....................................................................................................................... 0.4 0.05 

hours > 75% of useful life ............................................................................................................................... 0.5 0.05 

(g) Deficiencies for NTE standards. 

You may ask us to accept as compliant 

an engine that does not fully meet 

specific requirements under the 

applicable NTE standards. Such 

deficiencies are intended to allow for 

minor deviations from the NTE 

standards under limited conditions. We 

expect your engines to have functioning 

emission control hardware that allows 

you to comply with the NTE standards. 

(1) Request our approval for specific 

deficiencies in your application for 

certification, or before you submit your 

application. We will not approve 

deficiencies retroactively to cover 

engines already certified. In your 

request, identify the scope of each 

deficiency and describe any auxiliary 

emission control devices you will use to 

control emissions to the lowest practical 

level, considering the deficiency you are 

requesting. 

(2) We will approve a deficiency only 

if compliance would be infeasible or 

unreasonable considering such factors 

as the technical feasibility of the given 

hardware and the applicable lead time 

and production cycles. We may 

consider other relevant factors. 

(3) Our approval applies only for a 

single model year and may be limited to 

specific engine configurations. We may 

approve your request for the same 

deficiency in the following model year 

if correcting the deficiency would 

require unreasonable hardware or 

software modifications and we 

determine that you have demonstrated 

an acceptable level of effort toward 

complying. 

(4) You may ask for any number of 

deficiencies in the first three model 

years during which NTE standards 

apply for your engines. For the next four 

model years, we may approve up to 

three deficiencies per engine family. 

Deficiencies of the same type that apply 

similarly to different power ratings 

within a family count as one deficiency 

per family. We may condition approval 

of any such additional deficiencies 

during these four years on any 

additional conditions we determine to 

be appropriate. We will not approve 

deficiencies after the seven-year period 

specified in this paragraph (g)(4), unless 

they are related to safety. 

Subpart C—Certifying Engine Families 

§ 1042.201 General requirements for 

obtaining a certificate of conformity. 

(a) You must send us a separate 

application for a certificate of 

conformity for each engine family. A 

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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 § 1042.255). 

(c) We may ask you to include less 

information than we specify in this 

subpart, as long as you maintain all the 

information required by § 1042.250. 

(d) You must use good engineering 

judgment for all decisions related to 

your application (see 40 CFR 1068.5). 

(e) An authorized representative of 

your company must approve and sign 

the application. 

(f) See § 1042.255 for provisions 

describing how we will process your 

application. 

(g) We may require you to deliver 

your test engines to a facility we 

designate for our testing (see 

§ 1042.235(c)). 

(h) For engines that become new as a 

result of substantial modifications or for 

engines installed on imported vessels 

that become subject to the requirements 

of this part, we may specify alternate 

certification provisions consistent with 

the intent of this part. See the definition 

of ‘‘new marine engine’’ in § 1042.901. 

§ 1042.205 Application requirements. 

This section specifies the information 

that must be in your application, unless 

we ask you to include less information 

under § 1042.201(c). We may require 

you to provide additional information to 

evaluate your application. 

(a) Describe the engine family’s 

specifications and other basic 

parameters of the engine’s design and 

emission controls. List the fuel type on 

which your engines are designed to 

operate (for example, ultra low-sulfur 

diesel fuel). List each distinguishable 

engine configuration in the engine 

family. For each engine configuration, 

list the maximum engine power and the 

range of values for maximum engine 

power resulting from production 

tolerances, as described in § 1042.140. 

(b) Explain how the emission control 

system operates. Describe in detail all 

system components for controlling 

exhaust emissions, including all 

auxiliary emission control devices 

(AECDs) and all fuel-system 

components you will install on any 

production or test engine. Identify the 

part number of each component you 

describe. For this paragraph (b), treat as 

separate AECDs any devices that 

modulate or activate differently from 

each other. Include all the following: 

(1) Give a general overview of the 

engine, the emission control strategies, 

and all AECDs. 

(2) Describe each AECD’s general 

purpose and function. 

(3) Identify the parameters that each 

AECD senses (including measuring, 

estimating, calculating, or empirically 

deriving the values). Include vesselbased parameters and state whether you 

simulate them during testing with the 

applicable procedures. 

(4) Describe the purpose for sensing 

each parameter. 

(5) Identify the location of each sensor 

the AECD uses. 

(6) Identify the threshold values for 

the sensed parameters that activate the 

AECD. 

(7) Describe the parameters that the 

AECD modulates (controls) in response 

to any sensed parameters, including the 

range of modulation for each parameter, 

the relationship between the sensed 

parameters and the controlled 

parameters and how the modulation 

achieves the AECD’s stated purpose. 

Use graphs and tables, as necessary. 

(8) Describe each AECD’s specific 

calibration details. This may be in the 

form of data tables, graphical 

representations, or some other 

description. 

(9) Describe the hierarchy among the 

AECDs when multiple AECDs sense or 

modulate the same parameter. Describe 

whether the strategies interact in a 

comparative or additive manner and 

identify which AECD takes precedence 

in responding, if applicable. 

(10) Explain the extent to which the 

AECD is included in the applicable test 

procedures specified in subpart F of this 

part. 

(11) Do the following additional 

things for AECDs designed to protect 

engines or vessels: 

(i) Identify the engine and/or vessel 

design limits that make protection 

necessary and describe any damage that 

would occur without the AECD. 

(ii) Describe how each sensed 

parameter relates to the protected 

components’ design limits or those 

operating conditions that cause the need 

for protection. 

(iii) Describe the relationship between 

the design limits/parameters being 

protected and the parameters sensed or 

calculated as surrogates for those design 

limits/parameters, if applicable. 

(iv) Describe how the modulation by 

the AECD prevents engines and/or 

vessels from exceeding design limits. 

(v) Explain why it is necessary to 

estimate any parameters instead of 

measuring them directly and describe 

how the AECD calculates the estimated 

value, if applicable. 

(vi) Describe how you calibrate the 

AECD modulation to activate only 

during conditions related to the stated 

need to protect components and only as 

needed to sufficiently protect those 

components in a way that minimizes the 

emission impact. 

(c) If your engines are equipped with 

an engine diagnostic system, explain 

how it works, describing especially the 

engine conditions (with the 

corresponding diagnostic trouble codes) 

that cause the malfunction-indicator 

light to go on. 

(d) Describe the engines you selected 

for testing and the reasons for selecting 

them. 

(e) Describe the test equipment and 

procedures that you used, including the 

duty cycle(s) and the corresponding 

engine applications. Also describe any 

special or alternate test procedures you 

used. 

(f) Describe how you operated the 

emission-data engine before testing, 

including the duty cycle and the 

number of engine operating hours used 

to stabilize emission levels. Explain 

why you selected the method of service 

accumulation. Describe any scheduled 

maintenance you did. 

(g) List the specifications of the test 

fuel to show that it falls within the 

required ranges we specify in 40 CFR 

part 1065. 

(h) Identify the engine family’s useful 

life. 

(i) Include the maintenance and 

warranty instructions you will give to 

the ultimate purchaser of each new 

engine (see §§ 1042.120 and 1042.125). 

Describe your plan for meeting warranty 

obligations under §§ 1042.120. 

(j) Include the emission-related 

installation instructions you will 

provide if someone else installs your 

engines in a vessel (see § 1042.130). 

(k) Describe your emission control 

information label (see § 1042.135). 

(l) Identify the emission standards 

and/or FELs to which you are certifying 

engines in the engine family. 

(m) Identify the engine family’s 

deterioration factors and describe how 

you developed them (see § 1042.245). 

Present any emission test data you used 

for this. 

(n) State that you operated your 

emission-data engines as described in 

the application (including the test 

procedures, test parameters, and test 

fuels) to show you meet the 

requirements of this part. 

(o) Present emission data for HC, 

NOX, PM, and CO on an emission-data 

engine to show your engines meet 

emission standards as specified in 

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§ 1042.101. Show emission figures 

before and after applying adjustment 

factors for regeneration and 

deterioration factors for each pollutant 

and for each engine. If we specify more 

than one grade of any fuel type (for 

example, high-sulfur and low-sulfur 

diesel fuel), you need to submit test data 

only for one grade, unless the 

regulations of this part specify 

otherwise for your engine. 

Include emission results for each 

mode if you do discrete-mode testing 

under § 1042.505. Note that §§ 1042.235 

and 1042.245 allows you to submit an 

application in certain cases without new 

emission data. 

(p) For Category 1 and Category 2 

engines, state that all the engines in the 

engine family comply with the 

applicable not-to-exceed emission 

standards in § 1042.101 for all normal 

operation and use when tested as 

specified in § 1042.515. Describe any 

relevant testing, engineering analysis, or 

other information in sufficient detail to 

support your statement. 

(q) [Reserved] 

(r) Report all test results, including 

those from invalid tests, whether or not 

they were conducted according to the 

test procedures of subpart F of this part. 

If you measure CO2, report those 

emission levels (in g/kW-hr). We may 

ask you to send other information to 

confirm that your tests were valid under 

the requirements of this part and 40 CFR 

part 1065. 

(s) Describe all adjustable operating 

parameters (see § 1042.115(d)), 

including production tolerances. 

Include the following in your 

description of each parameter: 

(1) The nominal or recommended 

setting. 

(2) The intended physically adjustable 

range. 

(3) The limits or stops used to 

establish adjustable ranges. 

(4) For Category 1 engines, 

information showing why the limits, 

stops, or other means of inhibiting 

adjustment are effective in preventing 

adjustment of parameters on in-use 

engines to settings outside your 

intended physically adjustable ranges. 

(5) For Category 2 engines, propose a 

range of adjustment for each adjustable 

parameter, as described in 

§ 1042.115(d). Include information 

showing why the limits, stops, or other 

means of inhibiting adjustment are 

effective in preventing adjustment of 

parameters on in-use engines to settings 

outside your proposed adjustable 

ranges. 

(t) Provide the information to read, 

record, and interpret all the information 

broadcast by an engine’s onboard 

computers and electronic control units. 

State that, upon request, you will give 

us any hardware, software, or tools we 

would need to do this. If you broadcast 

a surrogate parameter for torque values, 

you must provide us what we need to 

convert these into torque units. You 

may reference any appropriate publicly 

released standards that define 

conventions for these messages and 

parameters. Format your information 

consistent with publicly released 

standards. 

(u) Confirm that your emission-related 

installation instructions specify how to 

ensure that sampling of exhaust 

emissions will be possible after engines 

are installed in vessels and placed in 

service. Show how to sample exhaust 

emissions in a way that prevents 

diluting the exhaust sample with 

ambient air. 

(v) State whether your certification is 

limited for certain engines. If this is the 

case, describe how you will prevent use 

of these engines in applications for 

which they are not certified. This 

applies for engines such as the 

following: 

(1) Constant-speed engines. 

(2) Engines used with controllablepitch propellers. 

(3) Recreational engines. 

(w) Unconditionally certify that all 

the engines in the engine family comply 

with the requirements of this part, other 

referenced parts of the CFR, and the 

Clean Air Act. 

(x) Include good-faith estimates of 

U.S.-directed production volumes. 

Include a justification for the estimated 

production volumes if they are 

substantially different than actual 

production volumes in earlier years for 

similar models. 

(y) Include the information required 

by other subparts of this part. For 

example, include the information 

required by § 1042.725 if you participate 

in the ABT program. 

(z) Include other applicable 

information, such as information 

specified in this part or 40 CFR part 

1068 related to requests for exemptions. 

(aa) Name an agent for service located 

in the United States. Service on this 

agent constitutes service on you or any 

of your officers or employees for any 

action by EPA or otherwise by the 

United States related to the 

requirements of this part. 

(bb) The following provisions apply 

for imported engines: 

(1) Describe your normal practice for 

importing engines. For example, this 

may include identifying the names and 

addresses of any agents you have 

authorized to import your engines. 

Engines imported by nonauthorized 

agents are not covered by your 

certificate. 

(2) For engines below 560 kW, 

identify a test facility in the United 

States where you can test your engines 

if we select them for testing under a 

selective enforcement audit, as specified 

in 40 CFR part 1068. 

§ 1042.210 Preliminary approval. 

If you send us information before you 

finish the application, we will review it 

and make any appropriate 

determinations, especially for questions 

related to engine family definitions, 

auxiliary emission control devices, 

deterioration factors, useful life, testing 

for service accumulation, maintenance, 

and compliance with not-to-exceed 

standards. See § 1042.245 for specific 

provisions that apply for deterioration 

factors. Decisions made under this 

section are considered to be preliminary 

approval, subject to final review and 

approval. We will generally not reverse 

a decision where we have given you 

preliminary approval, unless we find 

new information supporting a different 

decision. If you request preliminary 

approval related to the upcoming model 

year or the model year after that, we will 

make best-efforts to make the 

appropriate determinations as soon as 

practicable. We will generally not 

provide preliminary approval related to 

a future model year more than two years 

ahead of time. 

§ 1042.220 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 § 1042.125. You must send 

the Designated Compliance Officer a 

written request to amend your 

application for certification for an 

engine family if you want to change the 

emission-related maintenance 

instructions in a way that could affect 

emissions. In your request, describe the 

proposed changes to the maintenance 

instructions. We will approve your 

request if we determine that the 

amended instructions are consistent 

with maintenance you performed on 

emission-data engines such that your 

durability demonstration would remain 

valid. If operators follow the original 

maintenance instructions rather than 

the newly specified maintenance, this 

does not allow you to disqualify those 

engines from in-use testing or deny a 

warranty claim. 

(a) If you are decreasing, replacing, or 

eliminating or any specified 

maintenance, you may distribute the 

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new maintenance instructions to your 

customers 30 days after we receive your 

request, unless we disapprove your 

request. We may approve a shorter time 

or waive this requirement. 

(b) If your requested change would 

not decrease the specified maintenance, 

you may distribute the new 

maintenance instructions anytime after 

you send your request. For example, 

this paragraph (b) would cover adding 

instructions to increase the frequency of 

a maintenance step for engines in 

severe-duty applications. 

(c) You do not need to request 

approval if you are making only minor 

corrections (such as correcting 

typographical mistakes), clarifying your 

maintenance instructions, or changing 

instructions for maintenance unrelated 

to emission control. 

§ 1042.225 Amending applications for 

certification. 

Before we issue you a certificate of 

conformity, you may amend your 

application to include new or modified 

engine configurations, subject to the 

provisions of this section. After we have 

issued your certificate of conformity, 

you may send us an amended 

application requesting that we include 

new or modified engine configurations 

within the scope of the certificate, 

subject to the provisions of this section. 

You must amend your application if any 

changes occur with respect to any 

information included in your 

application. 

(a) You must amend your application 

before you take any of the following 

actions: 

(1) Add an engine configuration to an 

engine family. In this case, the engine 

configuration added must be consistent 

with other engine configurations in the 

engine family with respect to the criteria 

listed in § 1042.230. 

(2) Change an engine configuration 

already included in an engine family in 

a way that may affect emissions, or 

change any of the components you 

described in your application for 

certification. This includes production 

and design changes that may affect 

emissions any time during the engine’s 

lifetime. 

(3) Modify an FEL for an engine 

family as described in paragraph (f) of 

this section. 

(b) To amend your application for 

certification as specified in paragraph 

(a) of this section, send the Designated 

Compliance Officer the following 

information: 

(1) Describe in detail the addition or 

change in the engine model or 

configuration you intend to make. 

(2) Include engineering evaluations or 

data showing that the amended engine 

family complies with all applicable 

requirements. You may do this by 

showing that the original emission-data 

engine is still appropriate with respect 

to showing compliance of the amended 

family with all applicable requirements. 

(3) If the original emission-data 

engine for the engine family is not 

appropriate to show compliance for the 

new or modified engine configuration, 

include new test data showing that the 

new or modified engine configuration 

meets the requirements of this part. 

(c) We may ask for more test data or 

engineering evaluations. You must give 

us these within 30 days after we request 

them. 

(d) For engine families already 

covered by a certificate of conformity, 

we will determine whether the existing 

certificate of conformity covers your 

newly added or modified engine. You 

may ask for a hearing if we deny your 

request (see § 1042.920). 

(e) For engine families already 

covered by a certificate of conformity, 

you may start producing the new or 

modified engine configuration anytime 

after you send us your amended 

application and before we make a 

decision under paragraph (d) of this 

section. However, if we determine that 

the affected engines do not meet 

applicable requirements, we will notify 

you to cease production of the engines 

and may require you to recall the 

engines at no expense to the owner. 

Choosing to produce engines under this 

paragraph (e) is deemed to be consent to 

recall all engines that we determine do 

not meet applicable emission standards 

or other requirements and to remedy the 

nonconformity at no expense to the 

owner. If you do not provide 

information required under paragraph 

(c) of this section within 30 days, you 

must stop producing the new or 

modified engines. 

(f) You may ask us to approve a 

change to your FEL in certain cases after 

the start of production. The changed 

FEL may not apply to engines you have 

already introduced into U.S. commerce, 

except as described in this paragraph (f). 

If we approve a changed FEL after the 

start of production, you must include 

the new FEL on the emission control 

information label for all engines 

produced after the change. You may ask 

us to approve a change to your FEL in 

the following cases: 

(1) You may ask to raise your FEL for 

your emission family at any time. In 

your request, you must show that you 

will still be able to meet the emission 

standards as specified in subparts B and 

H of this part. If you amend your 

application by submitting new test data 

to include a newly added or modified 

engine or fuel-system component, as 

described in paragraph (b)(3) of this 

section, use the appropriate FELs with 

corresponding production volumes to 

calculate your production-weighted 

average FEL for the model year, as 

described in subpart H of this part. If 

you amend your application without 

submitting new test data, you must use 

the higher FEL for the entire family to 

calculate your production-weighted 

average FEL under subpart H of this 

part. 

(2) You may ask to lower the FEL for 

your emission family only if you have 

test data from production engines 

showing that emissions are below the 

proposed lower FEL. The lower FEL 

applies only to engines you produce 

after we approve the new FEL. Use the 

appropriate FELs with corresponding 

production volumes to calculate your 

production-weighted average FEL for 

the model year, as described in subpart 

H of this part. 

§ 1042.230 Engine families. 

(a) For purposes of certification, 

divide your product line into families of 

engines that are expected to have 

similar emission characteristics 

throughout the useful life as described 

in this section. You may not group 

Category 1 and Category 2 engines in the 

same family. Your engine family is 

limited to a single model year. 

(b) For Category 1 engines, group 

engines in the same engine family if 

they are the same in all the following 

aspects: 

(1) The combustion cycle and the fuel 

with which the engine is intended or 

designed to be operated. 

(2) The cooling system (for example, 

raw-water vs. separate-circuit cooling). 

(3) Method of air aspiration. 

(4) Method of exhaust aftertreatment 

(for example, catalytic converter or 

particulate trap). 

(5) Combustion chamber design. 

(6) Nominal bore and stroke. 

(7) Number of cylinders (for engines 

with aftertreatment devices only). 

(8) Cylinder arrangement (for engines 

with aftertreatment devices only). 

(9) Method of control for engine 

operation other than governing (i.e., 

mechanical or electronic). 

(10) Application (commercial or 

recreational). 

(11) Numerical level of the emission 

standards that apply to the engine, 

except as allowed under paragraphs (f) 

and (g) of this section. 

(c) For Category 2 engines, group 

engines in the same engine family if 

they are the same in all the following 

aspects: 

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

cycle). 

(2) The fuel with which the engine is 

intended or designed to be operated and 

the fuel system configuration. 

(3) The cooling system (for example, 

air-cooled or water-cooled), and 

procedure(s) employed to maintain 

engine temperature within desired 

limits (thermostat, on-off radiator fans, 

radiator shutters, etc.). 

(4) The method of air aspiration 

(turbocharged, supercharged, naturally 

aspirated, Roots blown). 

(5) The turbocharger or supercharger 

general performance characteristics 

(e.g., approximate boost pressure, 

approximate response time, 

approximate size relative to engine 

displacement). 

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

which inlet air is cooled). 

(7) The type of exhaust aftertreatment 

system (oxidation catalyst, particulate 

trap), and characteristics of the 

aftertreatment system (catalyst loading, 

converter size vs. engine size). 

(8) The combustion chamber 

configuration and the surface-to-volume 

ratio of the combustion chamber when 

the piston is at top dead center position, 

using nominal combustion chamber 

dimensions. 

(9) Nominal bore and stroke 

dimensions. 

(10) The location of the piston rings 

on the piston. 

(11) The intake manifold induction 

port size and configuration. 

(12) The exhaust manifold port size 

and configuration. 

(13) The location of the intake and 

exhaust valves (or ports). 

(14) The size of the intake and 

exhaust valves (or ports). 

(15) The approximate intake and 

exhaust event timing and duration 

(valve or port). 

(16) The configuration of the fuel 

injectors and approximate injection 

pressure. 

(17) The type of fuel injection system 

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

(18) The overall injection timing 

characteristics, or as appropriate 

ignition timing characteristics (i.e., the 

deviation of the timing curves from the 

optimal fuel economy timing curve 

must be similar in degree). 

(19) The type of smoke control 

system. 

(d) [Reserved] 

(e) You may subdivide a group of 

engines that is identical under 

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

different engine families if you show the 

expected emission characteristics are 

different during the useful life. 

However, for the purpose of applying 

small-volume family provisions of this 

part, we will consider the otherwise 

applicable engine family criteria of this 

section. 

(f) You may group engines that are not 

identical with respect to the things 

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

section in the same engine family, as 

follows: 

(1) In unusual circumstances, you 

may group such engines in the same 

engine family if you show that their 

emission characteristics during the 

useful life will be similar. 

(2) If you are a small-volume engine 

manufacturer, you may group any 

Category 1 engines into a single engine 

family or you may group any Category 

2 engines into a single engine family. 

This also applies if you are a postmanufacture marinizer modifying a base 

engine that has a valid certificate of 

conformity for any kind of nonroad or 

heavy-duty highway engine under this 

chapter. 

(3) The provisions of this paragraph 

(f) do not exempt any engines from 

meeting the standards and requirements 

in subpart B of this part. 

(g) If you combine engines that are 

subject to different emission standards 

into a single engine family under 

paragraph (f) of this section, you must 

certify the engine family to the more 

stringent set of standards for that model 

year. 

§ 1042.235 Emission testing required for a 

certificate of conformity. 

This section describes the emission 

testing you must perform to show 

compliance with the emission standards 

in § 1042.101(a). See § 1042.205(p) 

regarding emission testing related to the 

NTE standards. See §§ 1042.240 and 

1042.245 and 40 CFR part 1065, subpart 

E, regarding service accumulation before 

emission testing. 

(a) Select an emission-data engine 

from each engine family for testing. For 

engines at or above 560 kW, you may 

use a development engine that is 

equivalent in design to the engine being 

certified. Using good engineering 

judgment, select the engine 

configuration most likely to exceed an 

applicable emission standard over the 

useful life, considering all exhaust 

emission constituents and the range of 

installation options available to vessel 

manufacturers. 

(b) Test your emission-data engines 

using the procedures and equipment 

specified in subpart F of this part. 

(c) We may measure emissions from 

any of your test engines or other engines 

from the engine family, as follows: 

(1) We may decide to do the testing 

at your plant or any other facility. If we 

do this, you must deliver the test engine 

to a test facility we designate. The test 

engine you provide must include 

appropriate manifolds, aftertreatment 

devices, electronic control units, and 

other emission-related components not 

normally attached directly to the engine 

block. If we do the testing at your plant, 

you must schedule it as soon as possible 

and make available the instruments, 

personnel, and equipment we need. 

(2) If we measure emissions from one 

of your test engines, the results of that 

testing become the official emission 

results for the engine. Unless we later 

invalidate these data, we may decide 

not to consider your data in determining 

if your engine family meets applicable 

requirements. 

(3) Before we test one of your engines, 

we may set its adjustable parameters to 

any point within the specified 

adjustable ranges (see § 1042.115(d)). 

(4) Before we test one of your engines, 

we may calibrate it within normal 

production tolerances for anything we 

do not consider an adjustable parameter. 

(d) You may ask to use emission data 

from a previous model year instead of 

doing new tests, but only if all the 

following are true: 

(1) The engine family from the 

previous model year differs from the 

current engine family only with respect 

to model year or other characteristics 

unrelated to emissions. You may also 

ask to add a configuration subject to 

§ 1042.225. 

(2) The emission-data engine from the 

previous model year remains the 

appropriate emission-data engine under 

paragraph (b) of this section. 

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

requirements that apply to the engine 

family covered by the application for 

certification. For engines originally 

tested under the provisions of 40 CFR 

part 94, you may consider those test 

procedures to be equivalent to the 

procedures we specify in subpart F of 

this part. 

(e) We may require you to test a 

second engine of the same or different 

configuration in addition to the engine 

tested under paragraph (b) of this 

section. 

(f) If you use an alternate test 

procedure under 40 CFR 1065.10 and 

later testing shows that such testing 

does not produce results that are 

equivalent to the procedures specified 

in subpart F of this part, we may reject 

data you generated using the alternate 

procedure. 

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§ 1042.240 Demonstrating compliance with 

exhaust emission standards. 

(a) For purposes of certification, your 

engine family is considered in 

compliance with the emission standards 

in § 1042.101(a) if all emission-data 

engines representing that family have 

test results showing deteriorated 

emission levels at or below these 

standards. Note that your FELs are 

considered to be the applicable 

emission standards with which you 

must comply if you participate in the 

ABT program in subpart H of this part. 

(b) Your engine family is deemed not 

to comply if any emission-data engine 

representing that family has test results 

showing a deteriorated emission level 

above an applicable emission standard 

for any pollutant. 

(c) To compare emission levels from 

the emission-data engine with the 

applicable emission standards for 

Category 1 and Category 2 engines, 

apply deterioration factors to the 

measured emission levels for each 

pollutant. Section 1042.245 specifies 

how to test your engine to develop 

deterioration factors that represent the 

deterioration expected in emissions over 

your engines’ full useful life. Your 

deterioration factors must take into 

account any available data from in-use 

testing with similar engines. Smallvolume engine manufacturers and postmanufacture marinizers may use 

assigned deterioration factors that we 

establish. Apply deterioration factors as 

follows: 

(1) Additive deterioration factor for 

exhaust emissions. Except as specified 

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

an additive deterioration factor for 

exhaust emissions. An additive 

deterioration factor is the difference 

between exhaust emissions at the end of 

the useful life and exhaust emissions at 

the low-hour test point. In these cases, 

adjust the official emission results for 

each tested engine at the selected test 

point by adding the factor to the 

measured emissions. If the deterioration 

factor is less than zero, use zero. 

Additive deterioration factors must be 

specified to one more decimal place 

than the applicable standard. 

(2) Multiplicative deterioration factor 

for exhaust emissions. Use a 

multiplicative deterioration factor if 

good engineering judgment calls for the 

deterioration factor for a pollutant to be 

the ratio of exhaust emissions at the end 

of the useful life to exhaust emissions at 

the low-hour test point. For example, if 

you use aftertreatment technology that 

controls emissions of a pollutant 

proportionally to engine-out emissions, 

it is often appropriate to use a 

multiplicative deterioration factor. 

Adjust the official emission results for 

each tested engine at the selected test 

point by multiplying the measured 

emissions by the deterioration factor. If 

the deterioration factor is less than one, 

use one. A multiplicative deterioration 

factor may not be appropriate in cases 

where testing variability is significantly 

greater than engine-to-engine variability. 

Multiplicative deterioration factors must 

be specified to one more significant 

figure than the applicable standard. 

(3) Deterioration factor for crankcase 

emissions. If your engine vents 

crankcase emissions to the exhaust or to 

the atmosphere, you must account for 

crankcase emission deterioration, using 

good engineering judgment. You may 

use separate deterioration factors for 

crankcase emissions of each pollutant 

(either multiplicative or additive) or 

include the effects in combined 

deterioration factors that include 

exhaust and crankcase emissions 

together for each pollutant. 

(d) Collect emission data using 

measurements to one more decimal 

place than the applicable standard. 

Apply the deterioration factor to the 

official emission result, as described in 

paragraph (c) of this section, then round 

the adjusted figure to the same number 

of decimal places as the emission 

standard. Compare the rounded 

emission levels to the emission standard 

for each emission-data engine. In the 

case of NOX+HC standards, apply the 

deterioration factor to each pollutant 

and then add the results before 

rounding. 

§ 1042.245 Deterioration factors. 

For Category 1 and Category 2 

engines, establish deterioration factors, 

as described in § 1042.240, to determine 

whether your engines will meet 

emission standards for each pollutant 

throughout the useful life. This section 

describes how to determine 

deterioration factors, either with an 

engineering analysis, with pre-existing 

test data, or with new emission 

measurements. 

(a) You may ask us to approve 

deterioration factors for an engine 

family with established technology 

based on engineering analysis instead of 

testing. Engines certified to a NOX+HC 

standard or FEL greater than the Tier 3 

NOX+HC standard are considered to rely 

on established technology for gaseous 

emission control, except that this does 

not include any engines that use 

exhaust-gas recirculation or 

aftertreatment. In most cases, 

technologies used to meet the Tier 1 and 

Tier 2 emission standards would be 

considered to be established technology. 

We must approve your plan to establish 

a deterioration factor under this 

paragraph (a) before you submit your 

application for certification. 

(b) You may ask us to approve 

deterioration factors for an engine 

family based on emission measurements 

from similar highway, stationary, or 

nonroad engines (including locomotive 

engines or other marine engines) if you 

have already given us these data for 

certifying the other engines in the same 

or earlier model years. Use good 

engineering judgment to decide whether 

the two engines are similar. We must 

approve your plan to establish a 

deterioration factor under this 

paragraph (b) before you submit your 

application for certification. We will 

approve your request if you show us 

that the emission measurements from 

other engines reasonably represent inuse deterioration for the engine family 

for which you have not yet determined 

deterioration factors. 

(c) If you are unable to determine 

deterioration factors for an engine 

family under paragraph (a) or (b) of this 

section, first get us to approve a plan for 

determining deterioration factors based 

on service accumulation and related 

testing. We will respond to your 

proposed plan within 45 days of 

receiving your request. Your plan must 

involve measuring emissions from an 

emission-data engine at least three 

times, which are evenly spaced over the 

service-accumulation period unless we 

specify otherwise, such that the 

resulting measurements and 

calculations will represent the 

deterioration expected from in-use 

engines over the full useful life. You 

may use extrapolation to determine 

deterioration factors once you have 

established a trend of changing 

emissions with age for each pollutant. 

You may use an engine installed in a 

vessel to accumulate service hours 

instead of running the engine only in 

the laboratory. You may perform 

maintenance on emission-data engines 

as described in § 1042.125 and 40 CFR 

part 1065, subpart E. 

(d) Include the following information 

in your application for certification: 

(1) If you determine your 

deterioration factors based on test data 

from a different engine family, explain 

why this is appropriate and include all 

the emission measurements on which 

you base the deterioration factor. 

(2) If you determine your 

deterioration factors based on 

engineering analysis, explain why this 

is appropriate and include a statement 

that all data, analyses, evaluations, and 

other information you used are available 

for our review upon request. 

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(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. 

§ 1042.250 Recordkeeping and reporting. 

(a) If you produce engines under any 

provisions of this part that are related to 

production volumes, send the 

Designated Compliance Officer a report 

within 30 days after the end of the 

model year describing the total number 

of engines you produced in each engine 

family. For example, if you use special 

provisions intended for small-volume 

engine manufacturers, report your U.S.- 

directed production volumes to show 

that you do not exceed the applicable 

limits. 

(b) Organize and maintain the 

following records: 

(1) A copy of all applications and any 

summary information you send us. 

(2) Any of the information we specify 

in § 1042.205 that you were not required 

to include in your application. 

(3) A detailed history of each 

emission-data engine. For each engine, 

describe all of the following: 

(i) The emission-data engine’s 

construction, including its origin and 

buildup, steps you took to ensure that 

it represents production engines, any 

components you built specially for it, 

and all the components you include in 

your application for certification. 

(ii) How you accumulated engine 

operating hours (service accumulation), 

including the dates and the number of 

hours accumulated. 

(iii) All maintenance, including 

modifications, parts changes, and other 

service, and the dates and reasons for 

the maintenance. 

(iv) All your emission tests (valid and 

invalid), including documentation on 

routine and standard tests, as specified 

in part 40 CFR part 1065, and the date 

and purpose of each test. 

(v) All tests to diagnose engine or 

emission control performance, giving 

the date and time of each and the 

reasons for the test. 

(vi) Any other significant events. 

(4) Production figures for each engine 

family divided by assembly plant. 

(5) Keep a list of engine identification 

numbers for all the engines you produce 

under each certificate of conformity. 

(c) Keep data from routine emission 

tests (such as test cell temperatures and 

relative humidity readings) for one year 

after we issue the associated certificate 

of conformity. Keep all other 

information specified in paragraph (a) of 

this section for eight years after we issue 

your certificate. 

(d) Store these records in any format 

and on any media, as long as you can 

promptly send us organized, written 

records in English if we ask for them. 

You must keep these records readily 

available. We may review them at any 

time. 

(e) Send us copies of any engine 

maintenance instructions or 

explanations if we ask for them. 

§ 1042.255 EPA decisions. 

(a) If we determine your application is 

complete and shows that the engine 

family meets all the requirements of this 

part and the Clean Air Act, we will 

issue a certificate of conformity for your 

engine family for that model year. We 

may make the approval subject to 

additional conditions. 

(b) We may deny your application for 

certification if we determine that your 

engine family fails to comply with 

emission standards or other 

requirements of this part or the Clean 

Air Act. Our decision may be based on 

a review of all information available to 

us. If we deny your application, we will 

explain why in writing. 

(c) In addition, we may deny your 

application or suspend or revoke your 

certificate if you do any of the 

following: 

(1) Refuse to comply with any testing 

or reporting requirements. 

(2) Submit false or incomplete 

information (paragraph (e) of this 

section applies if this is fraudulent). 

(3) Render inaccurate any test data. 

(4) Deny us from completing 

authorized activities (see 40 CFR 

1068.20). This includes a failure to 

provide reasonable assistance. 

(5) Produce engines for importation 

into the United States at a location 

where local law prohibits us from 

carrying out authorized activities. 

(6) Fail to supply requested 

information or amend your application 

to include all engines being produced. 

(7) Take any action that otherwise 

circumvents the intent of the Clean Air 

Act or this part. 

(d) We may void your certificate if 

you do not keep the records we require 

or do not give us information as 

required under this part or the Clean Air 

Act. 

(e) We may void your certificate if we 

find that you intentionally submitted 

false or incomplete information. 

(f) If we deny your application or 

suspend, revoke, or void your 

certificate, you may ask for a hearing 

(see § 1042.920). 

Subpart D—Testing Production-line 

Engines 

§ 1042.301 General provisions. 

(a) If you produce engines that are 

subject to the requirements of this part, 

you must test them as described in this 

subpart, except as follows: 

(1) Small-volume engine 

manufacturers may omit testing under 

this subpart. 

(2) We may exempt Category 1 engine 

families with a projected U.S.-directed 

production volume below 100 engines 

from routine testing under this subpart. 

Request this exemption in your 

application for certification and include 

your basis for projecting a production 

volume below 100 units. You must 

promptly notify us if your actual 

production exceeds 100 units during the 

model year. If you exceed the 

production limit or if there is evidence 

of a nonconformity, we may require you 

to test production-line engines under 

this subpart, or under 40 CFR part 1068, 

subpart D, even if we have approved an 

exemption under this paragraph (a)(2). 

(3) [Reserved] 

(b) We may suspend or revoke your 

certificate of conformity for certain 

engine families if your production-line 

engines do not meet the requirements of 

this part or you do not fulfill your 

obligations under this subpart (see 

§§ 1042.325 and 1042.340). 

(c) Other requirements apply to 

engines that you produce. Other 

regulatory provisions authorize us to 

suspend, revoke, or void your certificate 

of conformity, or order recalls for engine 

families without regard to whether they 

have passed these production-line 

testing requirements. The requirements 

of this subpart do not affect our ability 

to do selective enforcement audits, as 

described in 40 CFR part 1068. 

Individual engines in families that pass 

these production-line testing 

requirements must also conform to all 

applicable regulations of this part and 

40 CFR part 1068. 

(d) You may use alternate programs or 

measurement methods for testing 

production-line engines in the following 

circumstances: 

(1) [Reserved] 

(2) You may test your engines using 

the CumSum procedures specified in 40 

CFR part 1045 or 1051 instead of the 

procedures specified in this subpart, 

except that the threshold for 

establishing quarterly or annual test 

periods is based on U.S.-directed 

production volumes of 800 instead of 

1600. This alternate program does not 

require prior approval. 

(3) You may ask to use another 

alternate program or measurement 

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method for testing production-line 

engines. In your request, you must show 

us that the alternate program gives equal 

assurance that your engines meet the 

requirements of this part. We may waive 

some or all of this subpart’s 

requirements if we approve your 

alternate program. 

(e) If you certify an engine family with 

carryover emission data, as described in 

§ 1042.235(d), and these equivalent 

engine families consistently pass the 

production-line testing requirements 

over the preceding two-year period, you 

may ask for a reduced testing rate for 

further production-line testing for that 

family. The minimum testing rate is one 

engine per engine family. If we reduce 

your testing rate, we may limit our 

approval to any number of model years. 

In determining whether to approve your 

request, we may consider the number of 

engines that have failed the emission 

tests. 

(f) We may ask you to make a 

reasonable number of production-line 

engines available for a reasonable time 

so we can test or inspect them for 

compliance with the requirements of 

this part. See 40 CFR 1068.27. 

§ 1042.305 Preparing and testing 

production-line engines. 

This section describes how to prepare 

and test production-line engines. You 

must assemble the test engine in a way 

that represents the assembly procedures 

for other engines in the engine family. 

You must ask us to approve any 

deviations from your normal assembly 

procedures for other production engines 

in the engine family. 

(a) Test procedures. Test your 

production-line engines using the 

applicable testing procedures in subpart 

F of this part to show you meet the dutycycle emission standards in subpart B of 

this part. The not-to-exceed standards 

apply for this testing, but you need not 

do additional testing to show that 

production-line engines meet the not-toexceed standards. 

(b) Modifying a test engine. Once an 

engine is selected for testing (see 

§ 1042.310), you may adjust, repair, 

prepare, or modify it or check its 

emissions only if one of the following is 

true: 

(1) You document the need for doing 

so in your procedures for assembling 

and inspecting all your production 

engines and make the action routine for 

all the engines in the engine family. 

(2) This subpart otherwise specifically 

allows your action. 

(3) We approve your action in 

advance. 

(c) Engine malfunction. If an engine 

malfunction prevents further emission 

testing, ask us to approve your decision 

to either repair the engine or delete it 

from the test sequence. 

(d) Setting adjustable parameters. 

Before any test, we may require you to 

adjust any adjustable parameter on a 

Category 1 engine to any setting within 

its physically adjustable range. We may 

adjust or require you to adjust any 

adjustable parameter on a Category 2 

engine to any setting within its specified 

adjustable range. 

(1) We may require you to adjust idle 

speed outside the physically adjustable 

range as needed, but only until the 

engine has stabilized emission levels 

(see paragraph (e) of this section). We 

may ask you for information needed to 

establish an alternate minimum idle 

speed. 

(2) We may specify adjustments 

within the physically adjustable range 

or the specified adjustable range by 

considering their effect on emission 

levels, as well as how likely it is 

someone will make such an adjustment 

with in-use engines. 

(e) Stabilizing emission levels. You 

may stabilize emission levels (or 

establish a Green Engine Factor for 

Category 2 engines) before you test 

production-line engines, as follows: 

(1) You may stabilize emission levels 

by operating the engine in a way that 

represents the way production engines 

will be used, using good engineering 

judgment, for no more than the greater 

of two periods: 

(i) 300 hours. 

(ii) The number of hours you operated 

your emission-data engine for certifying 

the engine family (see 40 CFR part 1065, 

subpart E, or the applicable regulations 

governing how you should prepare your 

test engine). 

(2) For Category 2 engines, you may 

ask us to approve a Green Engine Factor 

for each regulated pollutant for each 

engine family. Use the Green Engine 

Factor to adjust measured emission 

levels to establish a stabilized low-hour 

emission level. 

(f) Damage during shipment. If 

shipping an engine to a remote facility 

for production-line testing makes 

necessary an adjustment or repair, you 

must wait until after the initial emission 

test to do this work. We may waive this 

requirement if the test would be 

impossible or unsafe, or if it would 

permanently damage the engine. Report 

to us in your written report under 

§ 1042.345 all adjustments or repairs 

you make on test engines before each 

test. 

(g) Retesting after invalid tests. You 

may retest an engine if you determine 

an emission test is invalid under 

subpart F of this part. Explain in your 

written report reasons for invalidating 

any test and the emission results from 

all tests. If you retest an engine, you 

may ask us to substitute results of the 

new tests for the original ones. You 

must ask us within ten days of testing. 

We will generally answer within ten 

days after we receive your information. 

§ 1042.310 Engine selection. 

(a) Determine minimum sample sizes 

as follows: 

(1) For Category 1 engines, the 

minimum sample size is one engine or 

one percent of the projected U.S.- 

directed production volume for all your 

Category 1 engine families, whichever is 

greater. 

(2) For Category 2 engines, the 

minimum sample size is one engine or 

one percent of the projected U.S.- 

directed production volume for all your 

Category 2 engine families, whichever is 

greater. 

(b) Randomly select one engine from 

each engine family early in the model 

year. For further testing to reach the 

minimum sample size, randomly select 

a proportional sample from each engine 

family, with testing distributed evenly 

over the course of the model year, 

unless we specify a different schedule 

for your tests. For example, we may 

require you to disproportionately select 

engines from the early part of a model 

year for a new engine model that has not 

previously been subject to productionline testing. 

(c) For each engine that fails to meet 

emission standards, test two engines 

from the same engine family from the 

next fifteen engines produced or within 

seven days, whichever is later. If an 

engine fails to meet emission standards 

for any pollutant, count it as a failing 

engine under this paragraph (c). 

(d) Continue testing until one of the 

following things happens: 

(1) You test the number of engines 

specified in paragraphs (a) and (c) of 

this section. 

(2) The engine family does not 

comply according to § 1042.315 or you 

choose to declare that the engine family 

does not comply with the requirements 

of this subpart. 

(3) You test 30 engines from the 

engine family. 

(e) You may elect to test more 

randomly chosen engines than we 

require under this section. 

§ 1042.315 Determining compliance. 

This section describes the pass-fail 

criteria for the production-line testing 

requirements. We apply these criteria on 

an engine-family basis. See § 1042.320 

for the requirements that apply to 

individual engines that fail a 

production-line test. 

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(a) Calculate your test results as 

follows: 

(1) Initial and final test results. 

Calculate the test results for each 

engine. If you do several tests on an 

engine, calculate the initial test results, 

then add them together and divide by 

the number of tests for the final test 

results on that engine. Include the Green 

Engine Factor to determine low-hour 

emission results, if applicable. 

(2) Final deteriorated test results. 

Apply the deterioration factor for the 

engine family to the final test results 

(see § 1042.240(c)). 

(3) Round deteriorated test results. 

Round the results to one more decimal 

place than the applicable emission 

standard. 

(b) If a production-line engine fails to 

meet emission standards and you test 

two additional engines as described in 

§ 1042.310, calculate the average 

emission level for each pollutant for the 

three engines. If the calculated average 

emission level for any pollutant exceeds 

the applicable emission standard, the 

engine family fails the production-line 

testing requirements of this subpart. Tell 

us within ten working days if this 

happens. You may request to amend the 

application for certification to raise the 

FEL of the engine family as described in 

§ 1042.225(f). 

§ 1042.320 What happens if one of my 

production-line engines fails to meet 

emission standards? 

(a) If you have a production-line 

engine with final deteriorated test 

results exceeding one or more emission 

standards (see § 1042.315(a)), the 

certificate of conformity is automatically 

suspended for that failing engine. You 

must take the following actions before 

your certificate of conformity can cover 

that engine: 

(1) Correct the problem and retest the 

engine to show it complies with all 

emission standards. 

(2) Include in your written report a 

description of the test results and the 

remedy for each engine (see § 1042.345). 

(b) You may request to amend the 

application for certification to raise the 

FEL of the entire engine family at this 

point (see § 1042.225). 

(c) For catalyst-equipped engines, you 

may ask us to allow you to exclude an 

initial failed test if all of the following 

are true: 

(1) The catalyst was in a green 

condition when tested initially. 

(2) The engine met all emission 

standards when retested after 

degreening the catalyst. 

(3) No additional emission-related 

maintenance or repair was performed 

between the initial failed test and the 

subsequent passing test. 

§ 1042.325 What happens if an engine 

family fails the production-line testing 

requirements? 

(a) We may suspend your certificate of 

conformity for an engine family if it fails 

under § 1042.315. The suspension may 

apply to all facilities producing engines 

from an engine family, even if you find 

noncompliant engines only at one 

facility. 

(b) We will tell you in writing if we 

suspend your certificate in whole or in 

part. We will not suspend a certificate 

until at least 15 days after the engine 

family fails. The suspension is effective 

when you receive our notice. 

(c) Up to 15 days after we suspend the 

certificate for an engine family, you may 

ask for a hearing (see § 1042.920). If we 

agree before a hearing occurs that we 

used erroneous information in deciding 

to suspend the certificate, we will 

reinstate the certificate. 

(d) Section 1042.335 specifies steps 

you must take to remedy the cause of 

the engine family’s production-line 

failure. All the engines you have 

produced since the end of the last test 

period are presumed noncompliant and 

should be addressed in your proposed 

remedy. We may require you to apply 

the remedy to engines produced earlier 

if we determine that the cause of the 

failure is likely to have affected the 

earlier engines. 

(e) You may request to amend the 

application for certification to raise the 

FEL of the entire engine family as 

described in § 1051.225(f). We will 

approve your request if it is clear that 

you used good engineering judgment in 

establishing the original FEL. 

§ 1042.330 Selling engines from an engine 

family with a suspended certificate of 

conformity. 

You may sell engines that you 

produce after we suspend the engine 

family’s certificate of conformity under 

§ 1042.315 only if one of the following 

occurs: 

(a) You test each engine you produce 

and show it complies with emission 

standards that apply. 

(b) We conditionally reinstate the 

certificate for the engine family. We may 

do so if you agree to recall all the 

affected engines and remedy any 

noncompliance at no expense to the 

owner if later testing shows that the 

engine family still does not comply. 

§ 1042.335 Reinstating suspended 

certificates. 

(a) Send us a written report asking us 

to reinstate your suspended certificate. 

In your report, identify the reason for 

noncompliance, propose a remedy for 

the engine family, and commit to a date 

for carrying it out. In your proposed 

remedy include any quality control 

measures you propose to keep the 

problem from happening again. 

(b) Give us data from production-line 

testing that shows the remedied engine 

family complies with all the emission 

standards that apply. 

§ 1042.340 When may EPA revoke my 

certificate under this subpart and how may 

I sell these engines again? 

(a) We may revoke your certificate for 

an engine family in the following cases: 

(1) You do not meet the reporting 

requirements. 

(2) Your engine family fails to comply 

with the requirements of this subpart 

and your proposed remedy to address a 

suspended certificate under § 1042.325 

is inadequate to solve the problem or 

requires you to change the engine’s 

design or emission control system. 

(b) To sell engines from an engine 

family with a revoked certificate of 

conformity, you must modify the engine 

family and then show it complies with 

the requirements of this part. 

(1) If we determine your proposed 

design change may not control 

emissions for the engine’s full useful 

life, we will tell you within five working 

days after receiving your report. In this 

case we will decide whether 

production-line testing will be enough 

for us to evaluate the change or whether 

you need to do more testing. 

(2) Unless we require more testing, 

you may show compliance by testing 

production-line engines as described in 

this subpart. 

(3) We will issue a new or updated 

certificate of conformity when you have 

met these requirements. 

§ 1042.345 Reporting. 

(a) Within 45 days of the end of each 

quarter in which production-line testing 

occurs, send us a report with the 

following information: 

(1) Describe any facility used to test 

production-line engines and state its 

location. 

(2) State the total U.S.-directed 

production volume and number of tests 

for each engine family. 

(3) Describe how you randomly 

selected engines. 

(4) Describe each test engine, 

including the engine family’s 

identification and the engine’s model 

year, build date, model number, 

identification number, and number of 

hours of operation before testing. Also 

describe how you developed and 

applied the Green Engine Factor, if 

applicable. 

(5) Identify how you accumulated 

hours of operation on the engines and 

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describe the procedure and schedule 

you used. 

(6) Provide the test number; the date, 

time and duration of testing; test 

procedure; initial test results before and 

after rounding; final test results; and 

final deteriorated test results for all 

tests. Provide the emission results for all 

measured pollutants. Include 

information for both valid and invalid 

tests and the reason for any 

invalidation. 

(7) Describe completely and justify 

any nonroutine adjustment, 

modification, repair, preparation, 

maintenance, or test for the test engine 

if you did not report it separately under 

this subpart. Include the results of any 

emission measurements, regardless of 

the procedure or type of engine. 

(8) Report on each failed engine as 

described in § 1042.320. 

(9) Identify when the model year ends 

for each engine family. 

(b) We may ask you to add 

information to your written report so we 

can determine whether your new 

engines conform with the requirements 

of this subpart. 

(c) An authorized representative of 

your company must sign the following 

statement: 

We submit this report under sections 

208 and 213 of the Clean Air Act. Our 

production-line testing conformed 

completely with the requirements of 40 

CFR part 1042. We have not changed 

production processes or quality-control 

procedures for test engines in a way that 

might affect emission controls. All the 

information in this report is true and 

accurate to the best of my knowledge. I 

know of the penalties for violating the 

Clean Air Act and the regulations. 

(Authorized Company Representative) 

(d) Send electronic reports of 

production-line testing to the 

Designated Compliance Officer using an 

approved information format. If you 

want to use a different format, send us 

a written request with justification for a 

waiver. 

(e) We will send copies of your 

reports to anyone from the public who 

asks for them. See § 1042.915 for 

information on how we treat 

information you consider confidential. 

§ 1042.350 Recordkeeping. 

(a) Organize and maintain your 

records as described in this section. We 

may review your records at any time. 

(b) Keep records of your productionline testing for eight years after you 

complete all the testing required for an 

engine family in a model year. You may 

use any appropriate storage formats or 

media. 

(c) Keep a copy of the written reports 

described in § 1042.345. 

(d) Keep the following additional 

records: 

(1) A description of all test equipment 

for each test cell that you can use to test 

production-line engines. 

(2) The names of supervisors involved 

in each test. 

(3) The name of anyone who 

authorizes adjusting, repairing, 

preparing, or modifying a test engine 

and the names of all supervisors who 

oversee this work. 

(4) If you shipped the engine for 

testing, the date you shipped it, the 

associated storage or port facility, and 

the date the engine arrived at the testing 

facility. 

(5) Any records related to your 

production-line tests that are not in the 

written report. 

(6) A brief description of any 

significant events during testing not 

otherwise described in the written 

report or in this section. 

(7) Any information specified in 

§ 1042.345 that you do not include in 

your written reports. 

(e) If we ask, you must give us 

projected or actual production figures 

for an engine family. We may ask you 

to divide your production figures by 

maximum engine power, displacement, 

fuel type, or assembly plant (if you 

produce engines at more than one 

plant). 

(f) Keep a list of engine identification 

numbers for all the engines you produce 

under each certificate of conformity. 

Give us this list within 30 days if we ask 

for it. 

(g) We may ask you to keep or send 

other information necessary to 

implement this subpart. 

Subpart E—In-use Testing 

§ 1042.401 General Provisions. 

We may perform in-use testing of any 

engine subject to the standards of this 

part. 

Subpart F—Test Procedures 

§ 1042.501 How do I run a valid emission 

test? 

(a) Use the equipment and procedures 

for compression-ignition engines in 40 

CFR part 1065 to determine whether 

Category 1 and Category 2 engines meet 

the duty-cycle emission standards in 

§ 1042.101(a). Measure the emissions of 

all regulated pollutants as specified in 

40 CFR part 1065. Use the applicable 

duty cycles specified in § 1042.505. 

(b) Section 1042.515 describes the 

supplemental test procedures for 

evaluating whether engines meet the 

not-to-exceed emission standards in 

§ 1042.101(c). 

(c) Use the fuels and lubricants 

specified in 40 CFR part 1065, subpart 

H, for all the testing we require in this 

part, except as specified in § 1042.515. 

(1) For service accumulation, use the 

test fuel or any commercially available 

fuel that is representative of the fuel that 

in-use engines will use. 

(2) For diesel-fueled engines, use the 

appropriate diesel fuel specified in 40 

CFR part 1065, subpart H, for emission 

testing. Unless we specify otherwise, the 

appropriate diesel test fuel is the ultra 

low-sulfur diesel fuel. If we allow you 

to use a test fuel with higher sulfur 

levels, identify the test fuel in your 

application for certification and ensure 

that the emission control information 

label is consistent with your selection of 

the test fuel (see § 1042.135(c)(11)). For 

Category 2 engines, you may ask to use 

commercially available diesel fuel 

similar but not necessarily identical to 

the applicable fuel specified in 40 CFR 

part 1065, subpart H; we will approve 

your request if you show us that it does 

not affect your ability to demonstrate 

compliance with the applicable 

emission standards. 

(3) For Category 1 and Category 2 

engines that are expected to use a type 

of fuel (or mixed fuel) other than diesel 

fuel (such as natural gas, methanol, or 

residual fuel), use a commercially 

available fuel of that type for emission 

testing. If an engine is designed to 

operate on different fuels, we may (at 

our discretion) require testing on each 

fuel. Propose test fuel specifications that 

take into account the engine design and 

the properties of commercially available 

fuels. Describe these test fuel 

specifications in the application for 

certification. 

(4) [Reserved] 

(d) You may use special or alternate 

procedures to the extent we allow them 

under 40 CFR 1065.10. 

(e) This subpart is addressed to you as 

a manufacturer, but it applies equally to 

anyone who does testing for you, and to 

us when we perform testing to 

determine if your engines meet emission 

standards. 

(f) Duty-cycle testing is limited to 

ambient temperatures of 20 to 30 °C. 

Atmospheric pressure must be between 

91.000 and 103.325 kPa, and must be 

within ±5 percent of the value recorded 

at the time of the last engine map. 

Testing may be performed with any 

ambient humidity level. Correct dutycycle NOX emissions for humidity as 

specified in 40 CFR part 1065. 

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

This section describes how to test 

engines under steady-state conditions. 

In some cases, we allow you to choose 

the appropriate steady-state duty cycle 

for an engine. In these cases, you must 

use the duty cycle you select in your 

application for certification for all 

testing you perform for that engine 

family. If we test your engines to 

confirm that they meet emission 

standards, we will use the duty cycles 

you select for your own testing. We may 

also perform other testing as allowed by 

the Clean Air Act. 

(a) You may perform steady-state 

testing with either discrete-mode or 

ramped-modal cycles, as follows: 

(1) For discrete-mode testing, sample 

emissions separately for each mode, 

then calculate an average emission level 

for the whole cycle using the weighting 

factors specified for each mode. 

Calculate cycle statistics and compare 

with the established criteria as specified 

in 40 CFR 1065.514 to confirm that the 

test is valid. Operate the engine and 

sampling system as follows: 

(i) Engines with NOX aftertreatment. 

For engines that depend on 

aftertreatment to meet the NOX emission 

standard, operate the engine for 5–6 

minutes, then sample emissions for 1– 

3 minutes in each mode. You may 

extend the sampling time to improve 

measurement accuracy of PM emissions, 

using good engineering judgment. If you 

have a longer sampling time for PM 

emissions, calculate and validate cycle 

statistics separately for the gaseous and 

PM sampling periods. 

(ii) Engines without NOX

aftertreatment. For other engines, 

operate the engine for at least 5 minutes, 

then sample emissions for at least 1 

minute in each mode. 

(2) For ramped-modal testing, start 

sampling at the beginning of the first 

mode and continue sampling until the 

end of the last mode. Calculate 

emissions and cycle statistics the same 

as for transient testing as specified in 40 

CFR part 1065, subpart G. 

(b) Measure emissions by testing the 

engine on a dynamometer with one of 

the following duty cycles (as specified) 

to determine whether it meets the 

emission standards in § 1042.101(a): 

(1) General cycle. Use the 4-mode 

duty cycle or the corresponding 

ramped-modal cycle described in 

paragraph (a) of Appendix II of this part 

for commercial propulsion marine 

engines that are used with (or intended 

to be used with) fixed-pitch propellers, 

propeller-law auxiliary engines, and any 

other engines for which the other duty 

cycles of this section do not apply. Use 

this duty cycle also for commercial 

variable-speed propulsion marine 

engines that are used with (or intended 

to be used with) controllable-pitch 

propellers or with electrically coupled 

propellers, unless these engines are not 

intended for sustained operation (e.g., 

for at least 30 minutes) at all four modes 

when installed in the vessel. 

(2) Recreational marine engines. 

Except as specified in paragraph (b)(3) 

of this section, use the 5-mode duty 

cycle or the corresponding rampedmodal cycle described in paragraph (b) 

of Appendix II of this part for 

recreational marine engines with 

maximum engine power at or above 37 

kW. 

(3) Controllable-pitch and electrically 

coupled propellers. Use the 4-mode 

duty cycle or the corresponding 

ramped-modal cycle described in 

paragraph (c) of Appendix II of this part 

for constant-speed propulsion marine 

engines that are used with (or intended 

to be used with) controllable-pitch 

propellers or with electrically coupled 

propellers. Use this duty cycle also for 

variable-speed propulsion marine 

engines that are used with (or intended 

to be used with) controllable-pitch 

propellers or with electrically coupled 

propellers if the duty cycles in 

paragraph (b)(1) and (b)(2) of this 

section do not apply. 

(4) Constant-speed auxiliary engines. 

Use the 5-mode duty cycle or the 

corresponding ramped-modal cycle 

described in 40 CFR part 1039, 

Appendix II, paragraph (a) for constantspeed auxiliary engines. 

(5) Variable-speed auxiliary engines. 

(i) Use the duty cycle specified in 

paragraph (b)(1) of this section for 

propeller-law auxiliary engines. 

(ii) Use the 6-mode duty cycle or the 

corresponding ramped-modal cycle 

described in 40 CFR part 1039, 

Appendix II, paragraph (b) for variablespeed auxiliary engines with maximum 

engine power below 19 kW that are not 

propeller-law engines. 

(iii) Use the 8-mode duty cycle or the 

corresponding ramped-modal cycle 

described in 40 CFR part 1039, 

Appendix III, paragraph (c) for variablespeed auxiliary engines with maximum 

engine power at or above 19 kW that are 

not propeller-law engines. 

(c) During idle mode, operate the 

engine at its warm idle speed as 

described in 40 CFR part 1065. 

(d) For constant-speed engines whose 

design prevents full-load operation for 

extended periods, you may ask for 

approval under 40 CFR 1065.10(c) to 

replace full-load operation with the 

maximum load for which the engine is 

designed to operate for extended 

periods. 

(e) See 40 CFR part 1065 for detailed 

specifications of tolerances and 

calculations. 

§ 1042.515 Test procedures related to notto-exceed standards. 

(a) This section describes the 

procedures to determine whether your 

engines meet the not-to-exceed emission 

standards in § 1042.101(c). These 

procedures may include any normal 

engine operation and ambient 

conditions that the engines may 

experience in use. Paragraphs (c) 

through (e) of this section define the 

limits of what we will consider normal 

engine operation and ambient 

conditions. 

(b) Measure emissions with one of the 

following procedures: 

(1) Remove the selected engines for 

testing in a laboratory. You may use an 

engine dynamometer to simulate normal 

operation, as described in this section. 

Use the equipment and procedures 

specified in 40 CFR part 1065 to 

conduct laboratory testing. 

(2) Test the selected engines while 

they remain installed in a vessel. Use 

the equipment and procedures specified 

in 40 CFR part 1065 subpart J, to 

conduct field testing. Use fuel meeting 

the specifications of 40 CFR part 1065, 

subpart H, or a fuel typical of what you 

would expect the engine to use in 

service. 

(c) Engine testing may occur under 

the following ranges of ambient 

conditions without correcting measured 

emission levels: 

(1) Atmospheric pressure must be 

between 96.000 and 103.325 kPa, except 

that manufacturers may test at lower 

atmospheric pressures if their test 

facility is located at an altitude that 

makes it impractical to stay within this 

range. This pressure range is intended to 

allow testing under most weather 

conditions at all altitudes up to 1,100 

feet above sea level. 

(2) Ambient air temperature must be 

between 13 and 35 °C (or between 13 °C 

and 30 °C for engines not drawing 

intake air directly from a space that 

could be heated by the engine). 

(3) Ambient water temperature must 

be between 5 and 27 °C. 

(4) Ambient humidity must be 

between 7.1 and 10.7 grams of moisture 

per kilogram of dry air. 

(d) Engine testing may occur at any 

conditions expected during normal 

operation but that are outside the 

conditions described in paragraph (b) of 

this section, as long as measured values 

are corrected to be equivalent to the 

nearest end of the specified range, using 

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good engineering judgment. Correct 

NOX emissions for humidity as 

specified in 40 CFR part 1065, subpart 

G. 

(e) The sampling period may not 

begin until the engine has reached 

stable operating temperatures. For 

example, this would include only 

engine operation after starting and after 

the engine thermostat starts modulating 

the engine’s coolant temperature. The 

sampling period may not include engine 

starting. 

(f) Apply the NTE standards specified 

in § 1042.101(c) to an engine family 

based on the zones and subzones 

corresponding to specific duty cycles 

and engine types as defined in 

Appendix III of this part. For an engine 

family certified to multiple duty cycles, 

the broadest applicable NTE zone 

applies for that family at the time of 

certification. Whenever an engine 

family is certified to multiple duty 

cycles and a specific engine from that 

family is tested for NTE compliance in 

use, determine the applicable NTE zone 

for that engine according to its in-use 

application. An engine family’s NTE 

zone may be modified as follows: 

(1) You may ask us to approve a 

narrower NTE zone for an engine family 

at the time of certification, based on 

information such as how that engine 

family is expected to normally operate 

in use. For example, if an engine family 

is always coupled to a pump or jet 

drive, the engine might be able to 

operate only within a narrow range of 

engine speed and power. 

(2) You may ask us to approve a 

Limited Testing Region (LTR). An LTR 

is a region of engine operation, within 

the applicable NTE zone, where you 

have demonstrated that your engine 

family operates for no more than 5.0 

percent of its normal in-use operation, 

on a time-weighted basis. You must 

specify an LTR using boundaries based 

on engine speed and power (or torque), 

where the LTR boundaries must 

coincide with some portion of the 

boundary defining the overall NTE 

zone. Any emission data collected 

within an LTR for a time duration that 

exceeds 5.0 percent of the duration of its 

respective NTE sampling period (as 

defined in paragraph (c)(3) of this 

section) will be excluded when 

determining compliance with the 

applicable NTE standards. Any 

emission data collected within an LTR 

for a time duration of 5.0 percent or less 

of the duration of the respective NTE 

sampling period will be included when 

determining compliance with the NTE 

standards. 

(3) You must notify us if you design 

your engines for normal in-use 

operation outside the applicable NTE 

zone. If we learn that normal in-use 

operation for your engines includes 

other speeds and loads, we may specify 

a broader NTE zone, as long as the 

modified zone is limited to normal inuse operation for speeds greater than 70 

percent of maximum test speed and 

loads greater than 30 percent of 

maximum power at maximum test 

speed (or 30 percent of maximum test 

torque for constant-speed engines). 

(4) You may exclude emission data 

based on ambient or engine parameter 

limit values as follows: 

(i) NOX catalytic aftertreatment 

minimum temperature. For an engine 

equipped with a catalytic NOX

aftertreatment system, exclude NOX

emission data that is collected when the 

exhaust temperature is less than 250 °C, 

as measured within 30 cm downstream 

of the last NOX aftertreatment device. 

Where there are parallel paths, measure 

the temperature 30 cm downstream of 

the last NOX aftertreatment device in the 

path with the greatest exhaust flow. 

(ii) Oxidizing aftertreatment 

minimum temperature. For an engine 

equipped with an oxidizing catalytic 

aftertreatment system, exclude HC, CO, 

and PM emission data that is collected 

when the exhaust temperature is less 

than 250 °C, as measured within 30 cm 

downstream of the last oxidizing 

aftertreatment device. Where there are 

parallel paths, measure the temperature 

30 cm downstream of the last oxidizing 

aftertreatment device in the path with 

the greatest exhaust flow. 

(iii) Other parameters. You may 

request our approval for other minimum 

or maximum ambient or engine 

parameter limit values at the time of 

certification. 

(g) For engines equipped with 

emission controls that include discrete 

regeneration events, if a regeneration 

event occurs during the NTE test, the 

averaging period must be at least as long 

as the time between the events 

multiplied by the number of full 

regeneration events within the sampling 

period. This requirement applies only 

for engines that send an electronic 

signal indicating the start of the 

regeneration event. 

§ 1042.520 What testing must I perform to 

establish deterioration factors? 

Sections 1042.240 and 1042.245 

describe the required methods for 

testing to establish deterioration factors 

for an engine family. 

§ 1042.525 How do I adjust emission levels 

to account for infrequently regenerating 

aftertreatment devices? 

This section describes how to adjust 

emission results from engines using 

aftertreatment technology with 

infrequent regeneration events. See 

paragraph (e) of this section for how to 

adjust ramped-modal testing. See 

paragraph (f) of this section for how to 

adjust discrete-mode testing. For this 

section, ‘‘regeneration’’ means an 

intended event during which emission 

levels change while the system restores 

aftertreatment performance. For 

example, exhaust gas temperatures may 

increase temporarily to remove sulfur 

from adsorbers or to oxidize 

accumulated particulate matter in a 

trap. For this section, ‘‘infrequent’’ 

refers to regeneration events that are 

expected to occur on average less than 

once over the applicable transient duty 

cycle or ramped-modal cycle, or on 

average less than once per typical mode 

in a discrete-mode test. 

(a) Developing adjustment factors. 

Develop an upward adjustment factor 

and a downward adjustment factor for 

each pollutant based on measured 

emission data and observed 

regeneration frequency. Adjustment 

factors should generally apply to an 

entire engine family, but you may 

develop separate adjustment factors for 

different engine configurations within 

an engine family. If you use adjustment 

factors for certification, you must 

identify the frequency factor, F, from 

paragraph (b) of this section in your 

application for certification and use the 

adjustment factors in all testing for that 

engine family. You may use carryover or 

carry-across data to establish adjustment 

factors for an engine family, as 

described in § 1042.235(d), consistent 

with good engineering judgment. All 

adjustment factors for regeneration are 

additive. Determine adjustment factors 

separately for different test segments. 

For example, determine separate 

adjustment factors for different modes of 

a discrete-mode steady-state test. You 

may use either of the following different 

approaches for engines that use 

aftertreatment with infrequent 

regeneration events: 

(1) You may disregard this section if 

regeneration does not significantly affect 

emission levels for an engine family (or 

configuration) or if it is not practical to 

identify when regeneration occurs. If 

you do not use adjustment factors under 

this section, your engines must meet 

emission standards for all testing, 

without regard to regeneration. 

(2) If your engines use aftertreatment 

technology with extremely infrequent 

regeneration and you are unable to 

apply the provisions of this section, you 

may ask us to approve an alternate 

methodology to account for regeneration 

events. 

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(b) Calculating average adjustment 

factors. Calculate the average 

adjustment factor (EFA) based on the 

following equation: 

EFA = (F)(EFH) + (1¥F)(EFL) 

Where: 

F = the frequency of the regeneration event 

during normal in-use operation, 

expressed in terms of the fraction of 

equivalent tests during which the 

regeneration occurs. You may determine 

F from in-use operating data or running 

replicate tests. For example, if you 

observe that the regeneration occurs 125 

times during 1000 MW-hrs of operation, 

and your engine typically accumulates 1 

MW-hr per test, F would be (125) ÷ 

(1000) ÷ (1) = 0.125. 

EFH = Measured emissions from a test 

segment in which the regeneration 

occurs. 

EFL = Measured emissions from a test 

segment in which the regeneration does 

not occur. 

(c) Applying adjustment factors. 

Apply adjustment factors based on 

whether regeneration occurs during the 

test run. You must be able to identify 

regeneration in a way that is readily 

apparent during all testing. 

(1) If regeneration does not occur 

during a test segment, add an upward 

adjustment factor to the measured 

emission rate. Determine the upward 

adjustment factor (UAF) using the 

following equation: 

UAF = EFA¥EFL

(2) If regeneration occurs or starts to 

occur during a test segment, subtract a 

downward adjustment factor from the 

measured emission rate. Determine the 

downward adjustment factor (DAF) 

using the following equation: 

DAF = EFH¥EFA

(d) Sample calculation. If EFL is 0.10 

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

0.1 (the regeneration occurs once for 

each ten tests), then: 

EFA = (0.1)(0.5 g/kW-hr) + (1.0¥0.1)(0.1 

g/kW-hr) = 0.14 g/kW-hr. 

UAF = 0.14 g/kW-hr¥0.10 g/kW-hr = 

0.04 g/kW-hr. 

DAF = 0.50 g/kW-hr¥0.14 g/kW-hr = 

0.36 g/kW-hr. 

(e) Ramped-modal testing. Develop a 

single sets of adjustment factors for the 

entire test. If a regeneration has started 

but has not been completed when you 

reach the end of a test, use good 

engineering judgment to reduce your 

downward adjustments to be 

proportional to the emission impact that 

occurred in the test. 

(f) Discrete-mode testing. Develop 

separate adjustment factors for each test 

mode. If a regeneration has started but 

has not been completed when you reach 

the end of the sampling time for a test 

mode extend the sampling period for 

that mode until the regeneration is 

completed. 

Subpart G—Special Compliance 

Provisions 

§ 1042.601 General compliance provisions 

for marine engines and vessels. 

Engine and vessel manufacturers, as 

well as owners, operators, and 

rebuilders of engines and vessels subject 

to the requirements of this part, and all 

other persons, must observe the 

provisions of this part, the requirements 

and prohibitions in 40 CFR part 1068, 

and the provisions of the Clean Air Act. 

The provisions of 40 CFR part 1068 

apply for compression-ignition marine 

engines as specified in that part, subject 

to the following provisions: 

(a) The following prohibitions apply 

with respect to recreational marine 

engines and recreational vessels: 

(1) Installing a recreational marine 

engine in a vessel that is not a 

recreational vessel is a violation of 40 

CFR 1068.101(a)(1). 

(2) For a vessel with an engine that is 

certified and labeled as a recreational 

marine engine, using it in a manner 

inconsistent with its intended use as a 

recreational vessel violates 40 CFR 

1068.101(a)(1), except as allowed by this 

chapter. 

(b) Subpart I of this part describes 

how the prohibitions of 40 CFR 

1068.101(a)(1) apply for remanufactured 

engines. The provisions of 40 CFR 

1068.105 do not allow the installation of 

a new remanufactured engine in a vessel 

that is defined as a ‘‘new vessel’’ unless 

the remanufactured engine is subject to 

the same standards as the standards 

applicable to freshly manufactured 

engines of the required model year. 

(c) The provisions of 40 CFR 1068.120 

apply when rebuilding marine engines, 

except as specified in subpart I of this 

part. The following additional 

requirements also apply when 

rebuilding marine engines equipped 

with exhaust aftertreatment: 

(1) Follow all instructions from the 

engine manufacturer and aftertreatment 

manufacturer for checking, repairing, 

and replacing aftertreatment 

components. For example, you must 

replace the catalyst if the catalyst 

assembly is stamped with a build date 

more than ten years ago and the 

manufacturer’s instructions state that 

catalysts over ten years old must be 

replaced when the engine is rebuilt. 

(2) Measure pressure drop across the 

catalyst assembly to ensure that it is 

neither higher nor lower than the 

manufacturer’s specifications and repair 

or replace exhaust-system components 

as needed to bring the pressure drop 

within the manufacturer’s 

specifications. 

(3) For engines equipped with exhaust 

sensors, verify that sensor outputs are 

within the manufacturer’s 

recommended range and repair or 

replace any malfunctioning components 

(sensors, catalysts, or other 

components). 

(d) The provisions of § 1042.635 for 

the national security exemption apply 

instead of 40 CFR 1068.225. 

(e) For replacement engines, apply the 

provisions of 40 CFR 1068.240 as 

described in § 1042.615. 

(f) For the purpose of meeting the 

defect-reporting requirements in 40 CFR 

1068.501, if you manufacture other 

nonroad engines that are substantially 

similar to your marine engines, you may 

consider defects using combined marine 

and non-marine families. 

(g) For a marine engine labeled as 

requiring the use of ultra low-sulfur 

diesel fuel, is a violation of 40 CFR 

1068.101(b)(1) to operate it with highersulfur fuel. It is also a violation of 40 

CFR 1068.101(b)(1) if an engine installer 

or vessel manufacturer fails to follow 

the engine manufacturer’s emissionrelated installation instructions when 

installing a certified engine in a marine 

vessel. 

§ 1042.605 Dressing engines already 

certified to other standards for nonroad or 

heavy-duty highway engines for marine 

use. 

(a) General provisions. If you are an 

engine manufacturer (including 

someone who marinizes a land-based 

engine), this section allows you to 

introduce new marine engines into U.S. 

commerce if they are already certified to 

the requirements that apply to 

compression-ignition engines under 40 

CFR parts 85 and 86 or 40 CFR part 89, 

92, 1033, or 1039 for the appropriate 

model year. If you comply with all the 

provisions of this section, we consider 

the certificate issued under 40 CFR part 

86, 89, 92, 1033, or 1039 for each engine 

to also be a valid certificate of 

conformity under this part 1042 for its 

model year, without a separate 

application for certification under the 

requirements of this part 1042. 

(b) Vessel-manufacturer provisions. If 

you are not an engine manufacturer, you 

may install an engine certified for the 

appropriate model year under 40 CFR 

part 86, 89, 92, 1033, or 1039 in a 

marine vessel as long as you do not 

make any of the changes described in 

paragraph (d)(3) of this section and you 

meet the requirements of paragraph (e) 

of this section. If you modify the nonmarine engine in any of the ways 

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described in paragraph (d)(3) of this 

section, we will consider you a 

manufacturer of a new marine engine. 

Such engine modifications prevent you 

from using the provisions of this 

section. 

(c) Liability. Engines for which you 

meet the requirements of this section are 

exempt from all the requirements and 

prohibitions of this part, except for 

those specified in this section. Engines 

exempted under this section must meet 

all the applicable requirements from 40 

CFR parts 85 and 86 or 40 CFR part 89, 

92, 1033, or 1039. This paragraph (c) 

applies to engine manufacturers, vessel 

manufacturers that use such an engine, 

and all other persons as if the engine 

were used in its originally intended 

application. The prohibited acts of 40 

CFR 1068.101(a)(1) apply to these new 

engines and vessels; however, we 

consider the certificate issued under 40 

CFR part 86, 89, 92, 1033, or 1039 for 

each engine to also be a valid certificate 

of conformity under this part 1042 for 

its model year. If we make a 

determination that these engines do not 

conform to the regulations during their 

useful life, we may require you to recall 

them under 40 CFR part 85, 89, 92, or 

1068. 

(d) Specific criteria and requirements. 

If you are an engine manufacturer and 

meet all the following criteria and 

requirements regarding your new 

marine engine, the engine is eligible for 

an exemption under this section: 

(1) You must produce it by marinizing 

an engine covered by a valid certificate 

of conformity from one of the following 

programs: 

(i) Heavy-duty highway engines (40 

CFR part 86). 

(ii) Land-based compression-ignition 

nonroad engines (40 CFR part 89 or 

1039). 

(iii) Locomotives (40 CFR part 92 or 

1033). To be eligible for dressing under 

this section, the engine must be from a 

locomotive certified to standards that 

are at least as stringent as either the 

standards applicable to new marine 

engines or freshly manufactured 

locomotives in the model year that the 

engine is being dressed. 

(2) The engine must have the label 

required under 40 CFR part 86, 89, 92, 

1033, or 1039. 

(3) You must not make any changes to 

the certified engine that could 

reasonably be expected to increase its 

emissions. For example, if you make 

any of the following changes to one of 

these engines, you do not qualify for the 

engine dressing exemption: 

(i) Change any fuel system parameters 

from the certified configuration, or 

change, remove, or fail to properly 

install any other component, element of 

design, or calibration specified in the 

engine manufacturer’s application for 

certification. This includes 

aftertreatment devices and all related 

components. 

(ii) Replacing an original 

turbocharger, except that small-volume 

engine manufacturers may replace an 

original turbocharger on a recreational 

engine with one that matches the 

performance of the original 

turbocharger. 

(iii) Modify or design the marine 

engine cooling or aftercooling system so 

that temperatures or heat rejection rates 

are outside the original engine 

manufacturer’s specified ranges. 

(4) You must show that fewer than 10 

percent of the engine family’s total sales 

in the United States are used in marine 

applications. This includes engines 

used in any application, without regard 

to which company manufactures the 

vessel or equipment. Show this as 

follows: 

(i) If you are the original manufacturer 

of the engine, base this showing on your 

sales information. 

(ii) In all other cases, you must 

confirm this based on your best estimate 

of the original manufacturer’s sales 

information. 

(e) Labeling and documentation. If 

you are an engine manufacturer or 

vessel manufacturer using this 

exemption, you must do all of the 

following: 

(1) Make sure the original engine label 

will remain clearly visible after 

installation in the vessel. 

(2) Add a permanent supplemental 

label to the engine in a position where 

it will remain clearly visible after 

installation in the vessel. In your engine 

label, do the following: 

(i) Include the heading: ‘‘Marine 

Engine Emission Control Information’’. 

(ii) Include your full corporate name 

and trademark. 

(iii) State: ‘‘This engine was 

marinized without affecting its emission 

controls.’’. 

(iv) State the date you finished 

marinizing the engine (month and year). 

(3) Send the Designated Compliance 

Officer a signed letter by the end of each 

calendar year (or less often if we tell 

you) with all the following information: 

(i) Identify your full corporate name, 

address, and telephone number. 

(ii) List the engine models for which 

you expect to use this exemption in the 

coming year and describe your basis for 

meeting the sales restrictions of 

paragraph (d)(4) of this section. 

(iii) State: ‘‘We prepare each listed 

engine model for marine application 

without making any changes that could 

increase its certified emission levels, as 

described in 40 CFR 1042.605.’’. 

(f) Failure to comply. If your engines 

do not meet the criteria listed in 

paragraph (d) of this section, they will 

be subject to the standards, 

requirements, and prohibitions of this 

part 1042 and the certificate issued 

under 40 CFR part(s) 86, 89, 92, 1033, 

or 1039 will not be deemed to also be 

a certificate issued under this part 1042. 

Introducing these engines into U.S. 

commerce as marine engines without a 

valid exemption or certificate of 

conformity under this part violates the 

prohibitions in 40 CFR 1068.101(a)(1). 

(g) Data submission. (1) If you are 

both the original manufacturer and 

marinizer of an exempted engine, you 

must send us emission test data on the 

appropriate marine duty cycles. You can 

include the data in your application for 

certification or in the letter described in 

paragraph (e)(3) of this section. 

(2) If you are the original 

manufacturer of an exempted engine 

that is marinized by a post-manufacture 

marinizer, you may be required to send 

us emission test data on the appropriate 

marine duty cycles. If such data are 

requested you will be allowed a 

reasonable amount of time to collect the 

data. 

(h) Participation in averaging, 

banking and trading. Engines adapted 

for marine use under this section may 

not generate or use emission credits 

under this part 1042. These engines may 

generate credits under the ABT 

provisions in 40 CFR part(s) 86, 89, 92, 

1033, or 1039, as applicable. These 

engines must use emission credits under 

40 CFR part(s) 86, 89, 92, 1033, or 1039 

as applicable if they are certified to an 

FEL that exceeds an emission standard. 

(i) Operator requirements. The 

requirements specified for vessel 

manufacturers, owners, and operators in 

this subpart (including requirements in 

40 CFR part 1068) apply to these 

engines whether they are certified under 

this part 1042 or another part as allowed 

by this section. 

§ 1042.610 Certifying auxiliary marine 

engines to land-based standards. 

This section applies to auxiliary 

marine engines that are identical to 

certified land-based engines. See 

§ 1042.605 for provisions that apply to 

propulsion marine engines or auxiliary 

marine engines that are modified for 

marine applications. 

(a) General provisions. If you are an 

engine manufacturer, this section allows 

you to introduce new marine engines 

into U.S. commerce if they are already 

certified to the requirements that apply 

to compression-ignition engines under 

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40 CFR part 89 or 1039 for the 

appropriate model year. If you comply 

with all the provisions of this section, 

we consider the certificate issued under 

40 CFR part 89 or 1039 for each engine 

to also be a valid certificate of 

conformity under this part 1042 for its 

model year, without a separate 

application for certification under the 

requirements of this part 1042. 

(b) Vessel-manufacturer provisions. If 

you are not an engine manufacturer, you 

may install an engine certified for landbased applications in a marine vessel as 

long as you meet all the qualifying 

criteria and requirements specified in 

paragraphs (d) and (e) of this section. If 

you modify the non-marine engine, we 

will consider you a manufacturer of a 

new marine engine. Such engine 

modifications prevent you from using 

the provisions of this section. 

(c) Liability. Engines for which you 

meet the requirements of this section are 

exempt from all the requirements and 

prohibitions of this part, except for 

those specified in this section. Engines 

exempted under this section must meet 

all the applicable requirements from 40 

CFR part 89 or 1039. This paragraph (c) 

applies to engine manufacturers, vessel 

manufacturers that use such an engine, 

and all other persons as if the engine 

were used in its originally intended 

application. The prohibited acts of 40 

CFR 1068.101(a)(1) apply to these new 

engines and vessels; however, we 

consider the certificate issued under 40 

CFR part 89 or 1039 for each engine to 

also be a valid certificate of conformity 

under this part 1042 for its model year. 

If we make a determination that these 

engines do not conform to the 

regulations during their useful life, we 

may require you to recall them under 40 

CFR part 89 or 1068. 

(d) Qualifying criteria. If you are an 

engine manufacturer and meet all the 

following criteria and requirements 

regarding your new marine engine, the 

engine is eligible for an exemption 

under this section: 

(1) The marine engine must be 

identical in all material respects to a 

land-based engine covered by a valid 

certificate of conformity for the 

appropriate model year showing that it 

meets emission standards for engines of 

that power rating under 40 CFR part 89 

or 1039. 

(2) The engines may not be used as 

propulsion marine engines. 

(3) You must show that the number of 

auxiliary marine engines from the 

engine family must be smaller than the 

number of land-based engines from the 

engine family sold in the United States, 

as follows: 

(i) If you are the original manufacturer 

of the engine, base this showing on your 

sales information. 

(ii) In all other cases, you must get the 

original manufacturer of the engine to 

confirm this based on its sales 

information. 

(e) Specific requirements. If you are 

an engine manufacturer or vessel 

manufacturer using this exemption, you 

must do all of the following: 

(1) Make sure the original engine label 

will remain clearly visible after 

installation in the vessel. This label or 

a supplemental label must identify that 

the original certification is valid for 

auxiliary marine applications. 

(2) Send a signed letter to the 

Designated Compliance Officer by the 

end of each calendar year (or less often 

if we tell you) with all the following 

information: 

(i) Identify your full corporate name, 

address, and telephone number. 

(ii) List the engine models you expect 

to produce under this exemption in the 

coming year and describe your basis for 

meeting the sales restrictions of 

paragraph (d)(3) of this section. 

(iii) State: ‘‘We produce each listed 

engine model for marine application 

without making any changes that could 

increase its certified emission levels, as 

described in 40 CFR 1042.610.’’. 

(3) If you are the certificate holder, 

you must describe in your application 

for certification how you plan to 

produce engines for both land-based 

and auxiliary marine applications, 

including projected sales of auxiliary 

marine engines to the extent this can be 

determined. If the projected marine 

sales are substantial, we may ask for the 

year-end report of production volumes 

to include actual auxiliary marine 

engine sales. 

(f) Failure to comply. If your engines 

do not meet the criteria listed in 

paragraph (d) of this section, they will 

be subject to the standards, 

requirements, and prohibitions of this 

part 1042 and the certificate issued 

under 40 CFR part 89 or 1039 will not 

be deemed to also be a certificate issued 

under this part 1042. Introducing these 

engines into U.S. commerce as marine 

engines without a valid exemption or 

certificate of conformity under this part 

1042 violates the prohibitions in 40 CFR 

1068.101(a)(1). 

(g) Participation in averaging, banking 

and trading. Engines using this 

exemption may not generate or use 

emission credits under this part 1042. 

These engines may generate credits 

under the ABT provisions in 40 CFR 

part 89 or 1039, as applicable. These 

engines must use emission credits under 

40 CFR part 89 or 1039 as applicable if 

they are certified to an FEL that exceeds 

an emission standard. 

(h) Operator requirements. The 

requirements specified for vessel 

manufacturers, owners, and operators in 

this subpart (including requirements in 

40 CFR part 1068) apply to these 

engines whether they are certified under 

this part 1042 or another part as allowed 

by this section. 

§ 1042.615 Replacement engine 

exemption. 

For replacement engines, apply the 

provisions of 40 CFR 1068.240 as 

described in this section. 

(a) This paragraph (a) applies instead 

of the provisions of 40 CFR 

1068.240(b)(3). The prohibitions in 40 

CFR 1068.101(a)(1) do not apply for a 

new replacement engine meeting Tier 3 

standards if the engine being replaced is 

a Tier 3 or earlier engine (this applies 

where new engines would otherwise be 

subject to Tier 4 or later standards). For 

other cases, the prohibitions in 40 CFR 

1068.101(a)(1) do not apply to a new 

replacement engine if all the following 

conditions are met: 

(1) You use good engineering 

judgment to determine that no engine 

certified to the current requirements of 

this part is produced by any 

manufacturer with the appropriate 

physical or performance characteristics 

to repower the vessel. 

(2) You make a record of your 

determination for each replacement 

engine with the following information 

and keep these records for eight years: 

(i) If you determine that no engine 

certified to the current requirements of 

this part is available with the 

appropriate performance characteristics, 

explain why certified engines produced 

by you and other manufacturers cannot 

be used as a replacement because they 

are not similar to the engine being 

replaced in terms of power or speed. 

(ii) You may determine that all 

engines certified to the current 

requirements of this part that have 

appropriate performance characteristics 

are not available because they do not 

have the appropriate physical 

characteristics. If this is the case, 

explain why these certified engines 

produced by you and other 

manufacturers cannot be used as a 

replacement because their weight or 

dimensions are substantially different 

than those of the engine being replaced, 

or because they will not fit within the 

vessel’s engine compartment or engine 

room. 

(iii) In evaluating appropriate 

physical or performance characteristics, 

you may account for compatibility with 

vessel components you would not 

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37268 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

otherwise replace when installing a new 

engine, including transmissions or 

reduction gears, drive shafts or propeller 

shafts, propellers, cooling systems, 

operator controls, or electrical systems 

for generators or indirect-drive 

configurations. If you make your 

determination on this basis, you must 

identify the vessel components that are 

incompatible with engines certified to 

current standards and explain how they 

are incompatible and why it would be 

unreasonable to replace them. 

(iv) In evaluating appropriate physical 

or performance characteristics, you may 

account for compatibility in a set of two 

or more propulsion engines on a vessel 

where only one of the engines needs 

replacement, but only if each engine not 

needing replacement has operated for 

less than 75 percent of its applicable 

useful life in hours or years (see 

§ 1042.101). If any engine not otherwise 

needing replacement exceeds this 75 

percent threshold, your determination 

must consider replacement of all the 

propulsion engines. 

(v) In addition to the determination 

specified in paragraph (a)(1) of this 

section, you must make a separate 

determination for your own product line 

addressing every tier of emission 

standards that is more stringent than the 

emission standards for the engine being 

replaced. For example, if the engine 

being replaced was built before the Tier 

1 standards started to apply and engines 

of that size are currently subject to Tier 

3 standards, you must consider whether 

any Tier 1 or Tier 2 engines that you 

produce have the appropriate physical 

and performance characteristics for 

replacing the old engine; if you can 

produce a Tier 2 engine with the 

appropriate physical and performance 

characteristics, you must use it as the 

replacement engine. 

(3) You must notify us within 30 days 

after you ship each replacement engine 

under this section. Your notification 

must include all the following things 

and be signed by an authorized 

representative of your company: 

(i) A copy of your records describing 

how you made the determination 

described in paragraph (a)(2) of this 

section for this particular engine. 

(ii) The total number of replacement 

engines you have shipped in the 

applicable calendar year, from all your 

marine engine models. 

(iii) The following statement: 

I certify that the statements and 

information in the enclosed document 

are true, accurate, and complete to the 

best of my knowledge. I am aware that 

there are significant civil and criminal 

penalties for submitting false statements 

and information, or omitting required 

statements and information. 

(4) We may reduce the reporting and 

recordkeeping requirements in this 

section. 

(b) Modifying a vessel to significantly 

increase its value within six months 

after installing a replacement engine 

produced under this section is a 

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

(c) We may void an exemption for an 

engine if we determine that any of the 

conditions described in paragraph (a) of 

this section are not met. 

§ 1042.620 Engines used solely for 

competition. 

The provisions of this section apply 

for new engines and vessels built on or 

after January 1, 2009. 

(a) We may grant you an exemption 

from the standards and requirements of 

this part for a new engine on the 

grounds that it is to be used solely for 

competition. The requirements of this 

part, other than those in this section, do 

not apply to engines that we exempt for 

use solely for competition. The 

prohibitions in § 1068.101(a)(1) do not 

apply to engines exempted under this 

section. 

(b) We will exempt engines that we 

determine will be used solely for 

competition. The basis of our 

determination is described in 

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

Exemptions granted under this section 

are good for only one model year and 

you must request renewal for each 

subsequent model year. We will not 

approve your renewal request if we 

determine the engine will not be used 

solely for competition. 

(c) Engines meeting all the following 

criteria are considered to be used solely 

for competition: 

(1) Neither the engine nor any vessels 

containing the engine may be displayed 

for sale in any public dealership or 

otherwise offered for sale to the general 

public. 

(2) Sale of the vessel in which the 

engine is installed must be limited to 

professional racing teams, professional 

racers, or other qualified racers. Keep 

records documenting this, such as a 

letter requesting an exempted engine. 

(3) The engine and the vessel in 

which it is installed must have 

performance characteristics that are 

substantially superior to noncompetitive 

models. 

(4) The engines are intended for use 

only as specified in paragraph (e) of this 

section. 

(d) You may ask us to approve an 

exemption for engines not meeting the 

applicable criteria listed in paragraph 

(c) of this section as long as you have 

clear and convincing evidence that the 

engines will be used solely for 

competition. 

(e) Engines will not be considered to 

be used solely for competition if they 

are ever used for any recreational or 

other noncompetitive purpose. This 

means that their use must be limited to 

competition events sanctioned by the 

U.S. Coast Guard or another public 

organization with authorizing permits 

for participating competitors. Operation 

for such engines may include only 

racing events or trials to qualify for 

racing events. Authorized attempts to 

set speed records (and the associated 

official trials) are also considered racing 

events. Any use of exempt engines in 

recreational events, such as poker runs 

and lobsterboat races, is a violation of 

40 CFR 1068.101(b)(4). 

(f) You must permanently label 

engines exempted under this section to 

clearly indicate that they are to be used 

only for competition. Failure to properly 

label an engine will void the exemption 

for that engine. 

(g) If we request it, you must provide 

us any information we need to 

determine whether the engines or 

vessels are used solely for competition. 

This would include documentation 

regarding the number of engines and the 

ultimate purchaser of each engine. Keep 

these records for five years. 

§ 1042.625 Special provisions for engines 

used in emergency applications. 

(a) Except as specified in paragraph 

(d) of this section, the prohibitions in 

§ 1068.101(a)(1) do not apply to a new 

engine that is subject to Tier 4 standards 

if the following conditions are met: 

(1) The engine is intended for 

installation in one of the following 

vessels or applications: 

(i) A lifeboat approved by the U.S. 

Coast Guard under approval series 

160.135 (see for example 46 CFR 

199.201(a)(1)), as long as such a vessel 

is not also used as a launch or tender. 

(ii) A rescue boat approved by the 

U.S. Coast Guard under approval series 

160.156 (see for example 46 CFR 

199.202(a)). 

(iii) Generator sets or other auxiliary 

equipment that qualify as final 

emergency power sources under 46 CFR 

part 112. 

(2) The engine meets the Tier 3 

emission standards specified in 

§ 1042.101 as specified in 40 CFR 

1068.265. 

(3) The engine is used only for its 

intended purpose, as specified on the 

emission control information label. 

(b) Except as specified in paragraph 

(d) of this section, the prohibitions in 

§ 1068.101(a)(1) do not apply to a new 

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engine that is subject to Tier 3 standards 

according to the following provisions: 

(1) The engine must be intended for 

installation in a lifeboat or a rescue boat 

as specified in paragraph (a)(1)(i) or (ii) 

of this section. 

(2) This exemption is available from 

the initial effective date for the Tier 3 

standards until the engine model (or one 

of comparable size, weight, and 

performance) has been certified as 

complying with the Tier 3 standards 

and Coast Guard requirements. 

(3) The engine must meet the Tier 2 

emission standards specified in 

Appendix I of this part as specified in 

40 CFR 1068.265. 

(c) If you introduce an engine into 

U.S. commerce under this section, you 

must meet the labeling requirements in 

§ 1042.135, but add one of the following 

statements instead of the compliance 

statement in § 1042.135(c)(10): 

(1) For lifeboats and rescue boats, add 

the following statement: 

THIS ENGINE DOES NOT COMPLY 

WITH CURRENT U.S. EPA EMISSION 

STANDARDS UNDER 40 CFR 1042.625 

AND IS FOR USE SOLELY IN 

LIFEBOATS OR RESCUE BOATS 

(COAST GUARD APPROVAL SERIES 

160.135 OR 160.156). INSTALLATION 

OR USE OF THIS ENGINE IN ANY 

OTHER APPLICATION MAY BE A 

VIOLATION OF FEDERAL LAW 

SUBJECT TO CIVIL PENALTY. 

(2) For engines serving as final 

emergency power sources, add the 

following statement: 

THIS ENGINE DOES NOT COMPLY 

WITH CURRENT U.S. EPA EMISSION 

STANDARDS UNDER 40 CFR 1042.625 

AND IS FOR USE SOLELY IN 

EMERGENCY EQUIPMENT 

REGULATED BY 46 CFR 112. 

INSTALLATION OR USE OF THIS 

ENGINE IN ANY OTHER 

APPLICATION MAY BE A VIOLATION 

OF FEDERAL LAW SUBJECT TO CIVIL 

PENALTY. 

(d) Introducing into commerce a 

vessel containing an engine exempted 

under this section violates the 

prohibitions in 40 CFR 1068.101(a)(1) 

where the vessel is not covered by 

paragraph (a) or (b) of this section, 

unless it is exempt under a different 

provision. Similarly, using such an 

engine or vessel as something other than 

a lifeboat, rescue boat, or emergency 

engine as specified in paragraph (a)(1) of 

this section violates the prohibitions in 

40 CFR 1068.101(a)(1), unless it is 

exempt under a different provision. 

§ 1042.630 Personal-use exemption. 

This section applies to individuals 

who manufacture vessels for personal 

use. If you and your vessel meet all the 

conditions of this section, the vessel and 

its engine are considered to be exempt 

from the standards and requirements of 

this part that apply to new engines and 

new vessels. The prohibitions in 

§ 1068.101(a)(1) do not apply to engines 

exempted under this section. For 

example, you may install an engine that 

was not certified as a marine engine. 

(a) The vessel may not be 

manufactured from a previously 

certified vessel, nor may it be 

manufactured from a partially complete 

vessel that is equivalent to a certified 

vessel. The vessel must be 

manufactured primarily from 

unassembled components, but may 

incorporate some preassembled 

components. For example, fully 

preassembled steering assemblies may 

be used. You may also power the vessel 

with an engine that was previously used 

in a highway or land-based nonroad 

application. 

(b) The vessel may not be sold within 

five years after the date of final 

assembly. 

(c) No individual may manufacture 

more than one vessel in any ten-year 

period under this exemption. 

(d) You may not use the vessel in any 

revenue-generating service or for any 

other commercial purpose, except that 

you may use a vessel exempt under this 

section for commercial fishing that you 

personally do. 

(e) This exemption may not be used 

to circumvent the requirements of this 

part or the requirements of the Clean Air 

Act. For example, this exemption would 

not cover a case in which a person sells 

an almost completely assembled vessel 

to another person, who would then 

complete the assembly. This would be 

considered equivalent to the sale of the 

complete new vessel. This section also 

does not allow engine manufacturers to 

produce new engines that are exempt 

from emission standards and it does not 

provide an exemption from the 

prohibition against tampering with 

certified engines. 

(f) The vessel must be a vessel that is 

not classed or subject to Coast Guard 

inspections or surveys. 

§ 1042.635 National security exemption. 

The standards and requirements of 

this part and prohibitions in 

§ 1068.101(a)(1) do not apply to engines 

exempted under this section. 

(a) You are eligible for the exemption 

for national security only if you are a 

manufacturer. 

(b) Your engine is exempt without a 

request if it will be used or owned by 

an agency of the federal government 

responsible for national defense, where 

the vessel has armor, permanently 

attached weaponry, specialized 

electronic warfare systems, unique 

stealth performance requirements, and/ 

or unique combat maneuverability 

requirements. 

(c) You may request a national 

security exemption for engines not 

meeting the conditions of paragraph (b) 

of this section, as long as your request 

is endorsed by an agency of the federal 

government responsible for national 

defense. In your request, explain why 

you need the exemption. 

(d) Add a legible label, written in 

English, to all engines exempted under 

this section. The label must be 

permanently secured to a readily visible 

part of the engine needed for normal 

operation and not normally requiring 

replacement, such as the engine block. 

This label must include at least the 

following items: 

(1) The label heading ‘‘EMISSION 

CONTROL INFORMATION’’. 

(2) Your corporate name and 

trademark. 

(3) Engine displacement, family 

identification, and model year of the 

engine (as applicable), or whom to 

contact for further information. 

(4) The statement ‘‘THIS ENGINE 

HAS AN EXEMPTION FOR NATIONAL 

SECURITY UNDER 40 CFR 1042.635.’’. 

§ 1042.640 Special provisions for branded 

engines. 

The following provisions apply if you 

identify the name and trademark of 

another company instead of your own 

on your emission control information 

label, as provided by § 1042.135(c)(2): 

(a) You must have a contractual 

agreement with the other company that 

obligates that company to take the 

following steps: 

(1) Meet the emission warranty 

requirements that apply under 

§ 1042.120. This may involve a separate 

agreement involving reimbursement of 

warranty-related expenses. 

(2) Report all warranty-related 

information to the certificate holder. 

(b) In your application for 

certification, identify the company 

whose trademark you will use. 

(c) You remain responsible for 

meeting all the requirements of this 

chapter, including warranty and defectreporting provisions. 

§ 1042.650 Migratory vessels. 

The provisions of this section address 

concerns for vessel owners related to 

extended use of vessels with Tier 4 

engines outside the United States where 

ultra low-sulfur diesel fuel is not 

available. 

(a) Temporary exemption. A vessel 

owner may ask us for a temporary 

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exemption from the tampering 

prohibition in 40 CFR 1068.101(b)(1) for 

a vessel if it will operate only in areas 

outside the United States where ULSD 

is not available. In your request, 

describe where the vessel will operate, 

how long it will operate there, why 

ULSD will be unavailable, and how you 

will modify the engine, including its 

emission controls. If we approve your 

request, you may modify the engine, but 

only as needed to disable or remove the 

emission controls needed for meeting 

the Tier 4 standards. You must return 

the engine to its original certified 

configuration before the vessel returns 

to the United States to avoid violating 

the tampering prohibition in 40 CFR 

1068.101(b)(1). We may set additional 

conditions to prevent circumvention of 

the provisions of this part. 

(b) SOLAS exemption. We may 

approve a permanent exemption from 

the prohibitions in 40 CFR 

1068.101(a)(1) for an engine that is 

subject to Tier 4 standards as described 

in this paragraph (b). 

(1) Vessel owners may ask for a 

permanent exemption from the Tier 4 

standards for an engine that will be 

installed on vessels that will operate for 

extended periods outside the United 

States, provided they demonstrate all of 

the following are true: 

(i) Prior to introduction into service, 

the vessel will comply with applicable 

certification requirements for 

international safety pursuant to the U.S. 

Coast Guard and the International 

Convention for the Protection of Life at 

Sea (SOLAS). The vessel owner must 

maintain compliance with these 

requirements for the life of the 

exempted engine. 

(ii) The vessel will be used in areas 

outside of the United States where 

ULSD will not be available. 

(iii) The mix of vessels with engines 

certified to Tier 3 or earlier standards in 

the owner’s current fleet and the 

owner’s current business operation of 

those vessels makes the exemption 

necessary. Note that because of the large 

fraction of pre-Tier 4 engines in the fleet 

prior to 2021, a request for a Tier 4 

exemption prior to that year must 

clearly demonstrate that unusual 

circumstances apply. 

(2) An engine exempted under this 

paragraph (b) must meet the Tier 3 

emission standards described in 

§ 1402.101, subject to the procedural 

requirements of 40 CFR 1068.265. 

(3) If you introduce an engine into 

U.S. commerce under this section, you 

must meet the labeling requirements in 

§ 1042.135, but add the following 

statement instead of the compliance 

statement in § 1042.135(c)(10): 

THIS ENGINE DOES NOT COMPLY 

WITH CURRENT U.S. EPA EMISSION 

STANDARDS UNDER 40 CFR 1042.650 

AND IS FOR USE SOLELY IN SOLAS 

VESSELS. INSTALLATION OR USE OF 

THIS ENGINE IN ANY OTHER 

APPLICATION MAY BE A VIOLATION 

OF FEDERAL LAW SUBJECT TO CIVIL 

PENALTY. 

(4) Operating a vessel containing an 

engine exempted under this paragraph 

(b) violates the prohibitions in 40 CFR 

1068.101(a)(1) if the vessel in not in full 

compliance with applicable 

requirements for international safety 

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

section. 

(c) Vessels less than 500 gross tons. In 

unusual circumstances for vessels less 

than 500 gross tons, we may approve a 

vessel owner’s request for a permanent 

exemption from the prohibitions in 40 

CFR 1068.101(a)(1) for an engine that is 

subject to Tier 4 standards that will 

operate for extended periods outside the 

United States without it being in 

compliance with applicable certification 

requirements for international safety. 

We may set appropriate additional 

conditions on such exemptions, and 

may void the exemption if those 

conditions are not met. 

§ 1042.660 Requirements for vessel 

manufacturers, owners, and operators. 

(a) The provisions of 40 CFR part 94, 

subpart K, apply to manufacturers, 

owners, and operators of marine vessels 

that contain Category 3 engines subject 

to the provisions of 40 CFR part 94, 

subpart A. 

(b) For vessels equipped with 

emission controls requiring the use of 

specific fuels, lubricants, or other fluids, 

owners and operators must comply with 

the manufacturer/remanufacturer’s 

specifications for such fluids when 

operating the vessels. Failure to comply 

with the requirements of this paragraph 

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

(c) For vessels equipped with SCR 

systems requiring the use of urea or 

other reductants, owners and operators 

must report to us within 30 days any 

operation of such vessels without the 

appropriate reductant. Failure to 

comply with the requirements of this 

paragraph is a violation of 40 CFR 

1068.101(a)(2). 

Subpart H—Averaging, Banking, and 

Trading for Certification 

§ 1042.701 General provisions. 

(a) You may average, bank, and trade 

(ABT) emission credits for purposes of 

certification as described in this subpart 

to show compliance with the standards 

of this part. Participation in this 

program is voluntary. 

(b) The definitions of subpart J of this 

part apply to this subpart. The following 

definitions also apply: 

(1) Actual emission credits means 

emission credits you have generated 

that we have verified by reviewing your 

final report. 

(2) Applicable emission standard 

means an emission standard that is 

specified in subpart B of this part. Note 

that for other subparts, ‘‘applicable 

emission standard’’ is defined to also 

include FELs. 

(3) Averaging set means a set of 

engines in which emission credits may 

be exchanged only with other engines in 

the same averaging set. 

(4) Broker means any entity that 

facilitates a trade of emission credits 

between a buyer and seller. 

(5) Buyer means the entity that 

receives emission credits as a result of 

a trade. 

(6) Reserved emission credits means 

emission credits you have generated 

that we have not yet verified by 

reviewing your final report. 

(7) Seller means the entity that 

provides emission credits during a 

trade. 

(8) Standard means the emission 

standard that applies under subpart B of 

this part for engines not participating in 

the ABT program of this subpart. 

(9) Trade means to exchange emission 

credits, either as a buyer or seller. 

(c) Emission credits may be 

exchanged only within an averaging set. 

Except as specified in paragraph (d) of 

this section, the following criteria define 

the applicable averaging sets: 

(1) Recreational engines. 

(2) Commercial Category 1 engines. 

(3) Category 2 engines. 

(d) Emission credits generated by 

commercial Category 1 engine families 

may be used for compliance by Category 

2 engine families. Such credits must be 

discounted by 25 percent. 

(e) You may not use emission credits 

generated under this subpart to offset 

any emissions that exceed an FEL or 

standard. This applies for all testing, 

including certification testing, in-use 

testing, selective enforcement audits, 

and other production-line testing. 

However, if emissions from an engine 

exceed an FEL or standard (for example, 

during a selective enforcement audit), 

you may use emission credits to 

recertify the engine family with a higher 

FEL that applies only to future 

production. 

(f) Engine families that use emission 

credits for one or more pollutants may 

not generate positive emission credits 

for another pollutant. 

(g) Emission credits may be used in 

the model year they are generated or in 

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future model years. Emission credits 

may not be used for past model years. 

(h) You may increase or decrease an 

FEL during the model year by amending 

your application for certification under 

§ 1042.225. 

(i) You may use NOX+HC credits to 

show compliance with a NOX emission 

standard or use NOX credits to show 

compliance with a NOX+HC emission 

standard. 

§ 1042.705 Generating and calculating 

emission credits. 

The provisions of this section apply 

separately for calculating emission 

credits for NOX, NOX+HC, or PM. 

(a) For each participating family, 

calculate positive or negative emission 

credits relative to the otherwise 

applicable emission standard. Calculate 

positive emission credits for a family 

that has an FEL below the standard. 

Calculate negative emission credits for a 

family that has an FEL above the 

standard. Sum your positive and 

negative credits for the model year 

before rounding. Round calculated 

emission credits to the nearest kilogram 

(kg), using consistent units throughout 

the following equation: 

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

(Volume) × (Power) × (LF) × (UL) × 

(10¥3) 

Where: 

Std = The emission standard, in g/kW-hr. 

FEL = The family emission limit for the 

engine family, in g/kW-hr. 

Volume = The number of engines eligible to 

participate in the averaging, banking, 

and trading program within the given 

engine family during the model year, as 

described in paragraph (c) of this section. 

Power = The average value of maximum 

engine power of all the engine 

configurations within an engine family, 

calculated on a production-weighted 

basis, in kilowatts. 

LF = Load factor. Use 0.69 for propulsion 

marine engines and 0.51 for auxiliary 

marine engines. We may specify a 

different load factor if we approve the 

use of special test procedures for an 

engine family under 40 CFR 

1065.10(c)(2), consistent with good 

engineering judgment. 

UL = The useful life for the given engine 

family, in hours. 

(b) [Reserved] 

(c) In your application for 

certification, base your showing of 

compliance on projected production 

volumes for engines whose point of first 

retail sale is in the United States. As 

described in § 1042.730, compliance 

with the requirements of this subpart is 

determined at the end of the model year 

based on actual production volumes for 

engines whose point of first retail sale 

is in the United States. Do not include 

any of the following engines to calculate 

emission credits: 

(1) Engines permanently exempted 

under subpart G of this part or under 40 

CFR part 1068. 

(2) Exported engines. 

(3) Engines not subject to the 

requirements of this part, such as those 

excluded under § 1042.5. 

(4) [Reserved] 

(5) Any other engines, where we 

indicate elsewhere in this part 1042 that 

they are not to be included in the 

calculations of this subpart. 

§ 1042.710 Averaging emission credits. 

(a) Averaging is the exchange of 

emission credits among your engine 

families. 

(b) You may certify one or more 

engine families to an FEL above the 

emission standard, subject to the FEL 

caps and other provisions in subpart B 

of this part, if you show in your 

application for certification that your 

projected balance of all emission-credit 

transactions in that model year is greater 

than or equal to zero. 

(c) If you certify an engine family to 

an FEL that exceeds the otherwise 

applicable emission standard, you must 

obtain enough emission credits to offset 

the engine family’s deficit by the due 

date for the final report required in 

§ 1042.730. The emission credits used to 

address the deficit may come from your 

other engine families that generate 

emission credits in the same model 

year, from emission credits you have 

banked, or from emission credits you 

obtain through trading. 

§ 1042.715 Banking emission credits. 

(a) Banking is the retention of 

emission credits by the manufacturer 

generating the emission credits for use 

in averaging or trading in future model 

years. 

(b) You may use banked emission 

credits from the previous model year for 

averaging or trading before we verify 

them, but we may revoke these emission 

credits if we are unable to verify them 

after reviewing your reports or auditing 

your records. 

(c) Reserved credits become actual 

emission credits only when we verify 

them in reviewing your final report. 

§ 1042.720 Trading emission credits. 

(a) Trading is the exchange of 

emission credits between 

manufacturers. You may use traded 

emission credits for averaging, banking, 

or further trading transactions. 

(b) You may trade actual emission 

credits as described in this subpart. You 

may also trade reserved emission 

credits, but we may revoke these 

emission credits based on our review of 

your records or reports or those of the 

company with which you traded 

emission credits. You may trade banked 

credits to any certifying manufacturer. 

(c) If a negative emission credit 

balance results from a transaction, both 

the buyer and seller are liable, except in 

cases we deem to involve fraud. See 

§ 1042.255(e) for cases involving fraud. 

We may void the certificates of all 

engine families participating in a trade 

that results in a manufacturer having a 

negative balance of emission credits. 

See § 1042.745. 

§ 1042.725 Information required for the 

application for certification. 

(a) You must declare in your 

application for certification your intent 

to use the provisions of this subpart for 

each engine family that will be certified 

using the ABT program. You must also 

declare the FELs you select for the 

engine family for each pollutant for 

which you are using the ABT program. 

Your FELs must comply with the 

specifications of subpart B of this part, 

including the FEL caps. FELs must be 

expressed to the same number of 

decimal places as the emission 

standards. 

(b) Include the following in your 

application for certification: 

(1) A statement that, to the best of 

your belief, you will not have a negative 

balance of emission credits for any 

averaging set when all emission credits 

are calculated at the end of the year. 

(2) Detailed calculations of projected 

emission credits (positive or negative) 

based on projected production volumes. 

§ 1042.730 ABT reports. 

(a) If any of your engine families are 

certified using the ABT provisions of 

this subpart, you must send an end-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 FEL can be identified 

for each engine you produced. For 

example, you might keep a list of engine 

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identification numbers that correspond 

with certain FEL values. 

(4) The projected and actual 

production volumes for the model year 

with a point of first retail sale in the 

United States, as described in 

§ 1042.705(c). If you changed an FEL 

during the model year, identify the 

actual production volume associated 

with each FEL. 

(5) Maximum engine power for each 

engine configuration, and the 

production-weighted average engine 

power for the engine family. 

(6) Useful life. 

(7) Calculated positive or negative 

emission credits for the whole engine 

family. Identify any emission credits 

that you traded, as described in 

paragraph (d)(1) of this section. 

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

must include the following additional 

information: 

(1) Show that your net balance of 

emission credits from all your 

participating engine families in each 

averaging set in the applicable model 

year is not negative. 

(2) State whether you will retain any 

emission credits for banking. 

(3) State that the report’s contents are 

accurate. 

(d) If you trade emission credits, you 

must send us a report within 90 days 

after the transaction, as follows: 

(1) Sellers must include the following 

information in their report: 

(i) The corporate names of the buyer 

and any brokers. 

(ii) A copy of any contracts related to 

the trade. 

(iii) The engine families that 

generated emission credits for the trade, 

including the number of emission 

credits from each family. 

(2) Buyers must include the following 

information in their report: 

(i) The corporate names of the seller 

and any brokers. 

(ii) A copy of any contracts related to 

the trade. 

(iii) How you intend to use the 

emission credits, including the number 

of emission credits you intend to apply 

to each engine family (if known). 

(e) Send your reports electronically to 

the Designated Compliance Officer 

using an approved information format. 

If you want to use a different format, 

send us a written request with 

justification for a waiver. 

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

report or final report as follows: 

(1) You may correct any errors in your 

end-of-year report when you prepare the 

final report, as long as you send us the 

final report by the time it is due. 

(2) If you or we determine within 270 

days after the end of the model year that 

errors mistakenly decreased your 

balance of emission credits, you may 

correct the errors and recalculate the 

balance of emission credits. You may 

not make these corrections for errors 

that are determined more than 270 days 

after the end of the model year. If you 

report a negative balance of emission 

credits, we may disallow corrections 

under this paragraph (f)(2). 

(3) If you or we determine anytime 

that errors mistakenly increased your 

balance of emission credits, you must 

correct the errors and recalculate the 

balance of emission credits. 

§ 1042.735 Recordkeeping. 

(a) You must organize and maintain 

your records as described in this 

section. We may review your records at 

any time. 

(b) Keep the records required by this 

section for eight years after the due date 

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

use emission credits on any engines if 

you do not keep all the records required 

under this section. You must therefore 

keep these records to continue to bank 

valid credits. Store these records in any 

format and on any media, as long as you 

can promptly send us organized, written 

records in English if we ask for them. 

You must keep these records readily 

available. We may review them at any 

time. 

(c) Keep a copy of the reports we 

require in § 1042.730. 

(d) Keep the following additional 

records for each engine you produce 

that generates or uses emission credits 

under the ABT program: 

(1) Engine family designation. 

(2) Engine identification number. You 

may identify these numbers as a range. 

(3) FEL and useful life. If you change 

the FEL after the start of production, 

identify the date that you started using 

the new FEL and give the engine 

identification number for the first 

engine covered by the new FEL. 

(4) Maximum engine power. 

(5) Purchaser and destination. 

(e) We may require you to keep 

additional records or to send us relevant 

information not required by this section, 

as allowed under the Clean Air Act. 

§ 1042.745 Noncompliance. 

(a) For each engine family 

participating in the ABT program, the 

certificate of conformity is conditional 

upon full compliance with the 

provisions of this subpart during and 

after the model year. You are 

responsible to establish to our 

satisfaction that you fully comply with 

applicable requirements. We may void 

the certificate of conformity for an 

engine family if you fail to comply with 

any provisions of this subpart. 

(b) You may certify your engine 

family to an FEL above an emission 

standard based on a projection that you 

will have enough emission credits to 

offset the deficit for the engine family. 

However, we may void the certificate of 

conformity if you cannot show in your 

final report that you have enough actual 

emission credits to offset a deficit for 

any pollutant in an engine family. 

(c) We may void the certificate of 

conformity for an engine family if you 

fail to keep records, send reports, or give 

us information we request. 

(d) You may ask for a hearing if we 

void your certificate under this section 

(see § 1042.920). 

Subpart I—Special Provisions for 

Remanufactured Marine Engines 

§ 1042.801 General provisions. 

This section describes how the 

provisions of this part 1042 apply for 

certain remanufactured marine engines. 

(a) The requirements of this subpart 

apply for remanufactured Tier 2 and 

earlier commercial marine engines at or 

above 600 kW, excluding those engines 

originally manufactured before 1973. 

Note that the requirements of this 

subpart do not apply for engines below 

600 kW, engines installed on 

recreational vessels, or Tier 3 and later 

engines. 

(b) Any person meeting the definition 

of ‘‘remanufacturer’’ in § 1042.901 may 

apply for a certificate of conformity for 

a remanufactured engine family. 

(c) The rebuilding requirements of 40 

CFR 1068.120 do not apply to 

remanufacturing of engines using a 

certified remanufacturing system under 

this subpart. However, the requirements 

of 40 CFR 1068.120 do apply to all other 

remanufacturing of engines. 

(d) Unless specified otherwise, 

engines certified under this subpart are 

also subject to the other requirements of 

this part. 

(e) For remanufactured engines 

required to have a valid certificate of 

conformity, placing a new marine 

engine back into service following 

remanufacturing is a violation of 40 CFR 

1068.101(a)(1), unless it has a valid 

certificate of conformity for its model 

year and the required label. 

(f) Remanufacturing systems that 

require a fuel change or use of a fuel 

additive may be certified under this 

part. However, they are not considered 

to be ‘‘available’’ with respect to 

triggering the requirement for an engine 

to be covered by a certificate of 

conformity under § 1042.815. The 

following provisions apply: 

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(i) Only fuels and additives registered 

under 40 CFR part 79 may be used 

under this paragraph. 

(ii) You must demonstrate in your 

application that the fuel or additive will 

actually be used by operators, including 

a description of how the vessels and 

dispensing tanks will be labeled. We 

may require you to provide the labels to 

the operators. 

(iii) You must also describe analytical 

methods that can be used by EPA or 

others to verify that fuel meets your 

specifications. 

(iv) You must provide clear 

instructions to the operators specifying 

that they may only use the specified 

fuel/additive, label their vessels and 

fuel dispensing tanks, and keep records 

of their use of the fuel/additive in order 

for their engine to be covered by your 

certificate. Use of the incorrect fuel (or 

fuel without the specified additive) or 

any other failure to comply with the 

requirements of this paragraph is a 

violation of 40 CFR 1068.101(b)(1). 

(g) Vessels equipped with emission 

controls as part of a state or local retrofit 

program prior to January 1, 2017 are 

exempt from the requirements of this 

subpart, as specified in this paragraph 

(g). 

(1) This exemption only applies for 

retrofit programs sponsored by a state 

government (or one of its political 

subdivisions) for the purpose of 

reducing emissions. The exemption 

does not apply where the sponsoring 

government specifies that inclusion in 

the retrofit program is not intended to 

provide an exemption from the 

requirements of this subpart. 

(2) The prohibitions against tampering 

and defeat devices in 40 CFR 

1068.101(b) and the rebuilding 

requirements in 40 CFR 1068.120 apply 

for the exempt engines in the same 

manner as if they were covered by a 

certificate. 

(3) Vessel owners must request an 

exemption prior to remanufacturing the 

engine. Your request must include 

documentation that your vessel has 

been retrofitted consistent with the 

specifications of paragraph (g)(1) of this 

section, and a signed statement 

declaring that to be true. Except for the 

initial request for a specific vessel and 

a specific retrofit, you may consider 

your request to be approved unless we 

notify you otherwise within 30 days of 

the date that we receive your request. 

§ 1042.810 Requirements for owner/ 

operators and installers during 

remanufacture. 

This section describes how the 

remanufacturing regulations affect 

owner/operators and installers for 

engines subject to this subpart. 

(a) See the definition of 

‘‘remanufacture’’ in § 1042.901 to 

determine if you are remanufacturing 

your engine. (Note: Replacing cylinders 

one at a time may qualify as 

remanufacturing, depending on the 

interval between replacement.) 

(b) See the definition of ‘‘new marine 

engine’’ in § 1042.901 to determine if 

remanufacturing your engine makes it 

subject to the requirements of this part. 

If the engine is considered to be new, it 

is subject to the certification 

requirements of this subpart, unless it is 

exempt under subpart G of this part. 

(c) Your engine is not subject to the 

standards of this part if we determine 

that no certified remanufacturing system 

is available for your engine as described 

in § 1042.815. For engines that are 

remanufactured during multiple events 

within a five-year period, you are not 

required to use a certified system until 

all of your engine’s cylinders have been 

replaced after the system became 

available. For example, if you 

remanufacture your 16-cylinder engine 

by replacing four cylinders each January 

and a system becomes available for your 

engine June 1, 2010, your engine must 

be in a certified configuration when you 

replace four cylinders in January of 

2014. At that point, all 16 cylinders 

would have been replaced after June 1, 

2010. 

(d) You may comply with the 

certification requirements of this part 

for your remanufactured engine by 

either obtaining your own certificate of 

conformity as specified in subpart C of 

this part or by having a certifying 

remanufacturer include your engine 

under its certificate of conformity. In 

either case, your remanufactured engine 

must be covered by a certificate before 

it is reintroduced into service. 

(e) Contact a certifying 

remanufacturer to have your engine 

included under its certificate of 

conformity. You must comply with the 

certificate holder’s emission-related 

installation instructions. 

§ 1042.815 Demonstrating availability. 

(a) A certified remanufacturing system 

is considered to be available for a 

specific engine only if EPA has certified 

the remanufacturing system as being in 

compliance with the provisions of this 

part and the certificate holder has 

demonstrated during certification that 

the system meets the criteria of this 

paragraph (a). We may issue a certificate 

for a remanufacturing system that does 

not meet these criteria, but such systems 

would not be considered available. 

(1) The engine configuration must be 

included in the engine family for the 

remanufacturing system. 

(2) The total marginal cost of the 

remanufacturing system, as calculated 

under paragraph (c) of this section, must 

be less than $45,000 per ton of PM 

reduction. 

(3) It must be possible to obtain and 

install the remanufacturing system in a 

timely manner consistent with normal 

remanufacturing procedures. For 

example, a remanufacturing system 

would generally not be considered to be 

available if it required that the engine be 

removed from the vessel and shipped to 

a factory to be remanufactured. 

(4) The remanufacturing system may 

result in increased maintenance costs, 

provided the incremental maintenance 

costs are included in the total costs. The 

remanufacturing system may not 

adversely affect engine reliability or 

power. Note that owner/operators may 

ask us to determine that a 

remanufacturing system is not 

considered available for their vessels 

because of excessive costs under 

§ 1042.850. 

(b) We will maintain a list of available 

remanufacturing systems. A new 

remanufacturing system is considered to 

be available 120 days after we first issue 

a certificate of conformity for it. Where 

we issue a certificate of conformity 

based on carryover data for a system 

that is already considered to be 

available for the configuration, the 120- 

day delay does not apply and the new 

system is considered to be available 

when we issue the certificate. 

(c) For the purpose of paragraph (a)(2) 

of this section, marginal cost means the 

difference in costs between 

remanufacturing the engine using the 

remanufacturing system and 

remanufacturing the engine 

conventionally, divided by the projected 

amount that PM emissions will be 

reduced over the engine’s useful life. 

(1) Total costs include: 

(i) Incremental hardware costs. 

(ii) Incremental labor costs. 

(iii) Incremental operating costs over 

one useful life period. 

(iv) Other costs (such as shipping). 

(2) Calculate the projected amount 

that PM emissions will be reduced over 

the engine’s useful life using the 

following equation: 

PM tons = (EFbase ¥ EFcont) × (PR) × (UL) 

× (LF) × (10¥6) 

Where: 

EFbase = deteriorated baseline PM emission 

rate (g/kW-hr). 

EFcont = deteriorated controlled PM emission 

rate (g/kW-hr). 

PR = maximum engine power for the engine 

(kW). 

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UL = useful life (hr). 

LF = the load factor that would apply for 

your engine under § 1042.705. 

§ 1042.820 Emission standards and 

required emission reductions for 

remanufactured engines. 

(a) The requirements of this section 

apply with respect to emissions as 

measured according to subpart F of this 

part. See paragraph (g) of this section for 

special provisions related to 

remanufacturing systems certified for 

both locomotive and marine engines. 

Remanufactured Tier 2 and earlier 

engines may be certified under this 

subpart only if they have NOX emissions 

equivalent to or less than baseline NOX

levels and PM emissions at least 25.0 

percent less than baseline PM emission 

levels. See § 1042.825 for provisions for 

determining baseline NOX and PM 

emissions. See § 1042.835 for provisions 

related to demonstrating compliance 

with these requirements. 

(b) The NTE and ABT provisions of 

this part do not apply for 

remanufactured engines. 

(c) The exhaust emission standards in 

this section apply for engines using the 

fuel type on which the engines in the 

engine family are designed to operate. 

Engines designed to operate using 

residual fuel must comply with the 

standards and requirements of this part 

when operated using residual fuel. 

(d) Your engines must meet the 

exhaust emission standards of this 

section over their full useful life, as 

defined in § 1042.101(e). 

(e) The duty-cycle emission standards 

in this subpart apply to all testing 

performed according to the procedures 

in § 1042.505, including certification, 

production-line, and in-use testing. 

(f) Sections 1042.120, 1042.125, 

1042.130, 1042.140 apply for 

remanufactured engines as written. 

Section 1042.115 applies for 

remanufactured engines as written, 

except for the requirement that 

electronically controlled engines 

broadcast their speed and output shaft 

torque. 

(g) A remanufacturing system certified 

for locomotive engines under 40 CFR 

part 1033 may be deemed to also meet 

the requirements of this section, as 

specified in § 1042.836. 

§ 1042.825 Baseline determination. 

(a) For the purpose of this subpart, the 

term ‘‘baseline emissions’’ means the 

average measured emission rate 

specified by this section. Baseline 

emissions are specific to a given 

certificate holder and a given engine 

configuration. 

(b) Select a used engine to be the 

emission-data engine for the engine 

family for testing. Using good 

engineering judgment, select the engine 

configuration expected to represent the 

most common configuration in the 

family. 

(c) Remanufacture the engine 

according to OEM specifications (or 

equivalent). The engine is considered 

‘‘the baseline engine’’ at this point. If 

the OEM specifications include a range 

of adjustment for any parameter, set the 

parameter to the midpoint of the range. 

You may ask us to allow you to adjust 

it differently, consistent with good 

engineering judgment. 

(d) Test the baseline engine four times 

according to the test procedures in 

subpart F of this part. The baseline 

emissions are the average of those four 

tests. 

(e) We may require you to test a 

second engine of the same or different 

configuration in addition to the engine 

tested under this section. If we require 

you to test the same configuration, 

average the results of the testing with 

previous results, unless we determine 

that your previous results are not valid. 

(f) Use good engineering judgment for 

all aspects of the baseline 

determination. We may reject your 

baseline if we determine that you did 

not use good engineering judgment, 

consistent with the provisions of 40 CFR 

1068.5. 

§ 1042.830 Labeling. 

(a) At the time of remanufacture, affix 

a permanent and legible label 

identifying each engine. The label must 

be— 

(1) Attached in one piece so it is not 

removable without being destroyed or 

defaced. 

(2) Secured to a part of the engine 

needed for normal operation and not 

normally requiring replacement. 

(3) Durable and readable for the 

engine’s entire useful life. 

(4) Written in English. 

(b) The label must— 

(1) Include the heading ‘‘EMISSION 

CONTROL INFORMATION’’. 

(2) Include your full corporate name 

and trademark. 

(3) Include EPA’s standardized 

designation for the engine family. 

(4) State the engine’s category, 

displacement (in liters or L/cyl), 

maximum engine power (in kW), and 

power density (in kW/L) as needed to 

determine the emission standards for 

the engine family. You may specify 

displacement, maximum engine power, 

and power density as ranges consistent 

with the ranges listed in § 1042.101. See 

§ 1042.140 for descriptions of how to 

specify per-cylinder displacement, 

maximum engine power, and power 

density. 

(5) State: ‘‘THIS MARINE ENGINE 

COMPLIES WITH 40 CFR 1042, 

SUBPART I, FOR [CALENDAR YEAR 

OF REMANUFACTURE].’’. 

(c) You may add information to the 

emission control information label to 

identify other emission standards that 

the engine meets or does not meet (such 

as international standards). You may 

also add other information to ensure 

that the engine will be properly 

maintained and used. 

(d) You may ask us to approve 

modified labeling requirements in this 

section if you show that it is necessary 

or appropriate. We will approve your 

request if your alternate label is 

consistent with the intent of the labeling 

requirements of this section. 

§ 1042.835 Certification of remanufactured 

engines. 

(a) General requirements. See 

§§ 1042.201, 1042.210, 1042.220, 

1042.225, 1042.250, and 1042.255 for 

the general requirements related to 

obtaining a certificate of conformity. See 

§ 1042.836 for special certification 

provisions for remanufacturing systems 

certified for locomotive engines under 

40 CFR 1033.936. 

(b) Applications. See § 1042.840 for a 

description of what you must include in 

your application. 

(c) Engine families. See § 1042.845 for 

instruction about dividing your engines 

into engine families. 

(d) Test data. (1) Measure baseline 

emissions for the test configuration as 

specified in § 1042.825. 

(2) Measure emissions from the test 

engine for your remanufacturing system 

according to the procedures of subpart 

F of this part. 

(3) We may measure emissions from 

any of your test engines or other engines 

from the engine family, as follows: 

(i) We may decide to do the testing at 

your plant or any other facility. If we do 

this, you must deliver the test engine to 

a test facility we designate. The test 

engine you provide must include 

appropriate manifolds, aftertreatment 

devices, electronic control units, and 

other emission-related components not 

normally attached directly to the engine 

block. If we do the testing at your plant, 

you must schedule it as soon as possible 

and make available the instruments, 

personnel, and equipment we need. 

(ii) If we measure emissions from one 

of your test engines, the results of that 

testing become the official emission 

results for the engine. Unless we later 

invalidate these data, we may decide 

not to consider your data in determining 

if your engine family meets applicable 

requirements. 

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(iii) Before we test one of your 

engines, we may set its adjustable 

parameters to any point within the 

specified adjustable ranges (see 

§ 1042.115(d)). 

(iv) Before we test one of your 

engines, we may calibrate it within 

normal production tolerances for 

anything we do not consider an 

adjustable parameter. 

(4) You may ask to use emission data 

from a previous model year instead of 

doing new tests, but only if all the 

following are true: 

(i) The engine family from the 

previous model year differs from the 

current engine family only with respect 

to model year or other characteristics 

unrelated to emissions. You may also 

ask to add a configuration subject to 

§ 1042.225. 

(ii) The emission-data engine from the 

previous model year remains the 

appropriate emission-data engine. 

(iii) The data show that the emissiondata engine would meet all the 

requirements that apply to the engine 

family covered by the application for 

certification. 

(5) We may require you to test a 

second engine of the same or different 

configuration in addition to the engine 

tested under this section. 

(6) If you use an alternate test 

procedure under 40 CFR 1065.10 and 

later testing shows that such testing 

does not produce results that are 

equivalent to the procedures specified 

in subpart F of this part, we may reject 

data you generated using the alternate 

procedure. 

(e) Demonstrating compliance. (1) For 

purposes of certification, your engine 

family is considered in compliance with 

the emission standards in § 1042.820 if 

all emission-data engines representing 

that family have test results showing 

compliance with the standards and 

percent reductions required by that 

section. To compare emission levels 

from the emission-data engine with the 

applicable emission standards, apply an 

additive deterioration factor of 0.015 

g/kW-hr to the measured emission 

levels for PM. Alternatively, you may 

test your engine as specified in 

§ 1042.245 to develop deterioration 

factors that represent the deterioration 

expected in emissions over your 

engines’ full useful life. 

(2) Collect emission data using 

measurements to one more decimal 

place than the applicable standard. 

Apply the deterioration factor to the 

official emission result, then round the 

adjusted figure to the same number of 

decimal places as the emission 

standard. Compare the rounded 

emission levels to the emission standard 

for each emission-data engine. 

(3) Your applicable NOX standard for 

each configuration is the baseline NOX

emission rate for that configuration plus 

5.0 percent (to account for test-to-test 

and engine-to-engine variability). Your 

applicable PM standard for each 

configuration is the baseline PM 

emission rate for that configuration 

multiplied by 0.750 plus the 

deterioration factor. If you choose to 

include configurations in your engine 

family for which you do not measure 

baseline emissions, you must 

demonstrate through engineering 

analysis that your remanufacturing 

system will reduce PM emissions by at 

least 25.0 percent for those 

configurations and not increase NOX

emissions. 

(4) Your engine family is deemed not 

to comply if any emission-data engine 

representing that family for certification 

has test results showing a deteriorated 

emission level above an applicable 

emission standard for any pollutant. 

(f) Safety Evaluation. You must 

exercise due diligence in ensuring that 

your system will not adversely affect 

safety or otherwise violate the 

prohibition of § 1042.115(e). 

(g) Compatibility Evaluation. If you 

are not the original manufacturer of the 

engine, you must contact the original 

manufacturer of the engine to verify that 

your system is compatible with the 

engine. Keep records of your contact 

with the original manufacturer. 

§ 1042.836 Marine certification of 

locomotive remanufacturing systems. 

If you certify a Tier 0, Tier 1, or Tier 

2 remanufacturing system for 

locomotives under 40 CFR part 92 or 

part 1033, you may also certify the 

system under this part 1042, according 

to the provisions of this section. 

(a) Include the following with your 

application for certification under 40 

CFR part 1033: 

(1) A statement of your intent to use 

your remanufacturing system for marine 

engines. Include a list of marine engine 

models for which your system may be 

used. 

(2) If there are significant differences 

in how your remanufacture system will 

be applied to marine engines relative to 

locomotives, in an engineering analysis 

demonstrating that your system will 

achieve emission reductions from 

marine engines similar to those from 

locomotives. 

(3) A description of modifications 

needed for marine applications. 

(4) A demonstration of availability as 

described in § 1042.815, except that the 

total marginal cost threshold does not 

apply. 

(5) An unconditional statement that 

all the engines in the engine family 

comply with the requirements of this 

part, other referenced parts of the CFR, 

and the Clean Air Act. 

(b) Sections 1042.835 and 1042.840 

do not apply for engines certified under 

this section. 

(c) Systems certified under 40 CFR 

part 92 are subject to the following 

restrictions: 

(1) Tier 0 locomotives systems may 

not be used for any Category 1 engines 

or Tier 1 or later Category 2 engines. 

(2) Where systems certified under 40 

CFR part 1033 are also available for an 

engine, you may not use a system 

certified under 40 CFR part 92. 

§ 1042.840 Application requirements for 

remanufactured engines. 

This section specifies the information 

that must be in your application, unless 

we ask you to include less information 

under § 1042.201(c). We may require 

you to provide additional information to 

evaluate your application. 

(a) Describe the engine family’s 

specifications and other basic 

parameters of the engine’s design and 

emission controls. List the fuel type on 

which your engines are designed to 

operate (for example, ultra low-sulfur 

diesel fuel). List each distinguishable 

engine configuration in the engine 

family. For each engine configuration, 

list the maximum engine power and the 

range of values for maximum engine 

power resulting from production 

tolerances, as described in § 1042.140. 

(b) Explain how the emission control 

system operates. Describe in detail all 

system components for controlling 

exhaust emissions, including any 

auxiliary emission control devices 

(AECDs) you add to the engine. Identify 

the part number of each component you 

describe. 

(c) Summarize your cost effectiveness 

analysis used to demonstrate your 

system will meet the availability criteria 

of § 1042.815. Identify the maximum 

allowable costs for vessel modifications 

to meet the these criteria. 

(d) Describe the engines you selected 

for testing and the reasons for selecting 

them. 

(e) Describe the test equipment and 

procedures that you used, including the 

duty cycle(s) and the corresponding 

engine applications. Also describe any 

special or alternate test procedures you 

used. 

(f) Describe how you operated the 

emission-data engine before testing, 

including the duty cycle and the 

number of engine operating hours used 

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to stabilize emission levels. Explain 

why you selected the method of service 

accumulation. Describe any scheduled 

maintenance you did. 

(g) List the specifications of the test 

fuel to show that it falls within the 

required ranges we specify in 40 CFR 

part 1065. See § 1042.801 if your 

certification is based on the use of 

special fuels or additives. 

(h) Identify the engine family’s useful 

life. 

(i) Include the maintenance and 

warranty instructions you will give to 

the owner/operator (see §§ 1042.120 and 

1042.125). 

(j) Include the emission-related 

installation instructions you will 

provide if someone else installs your 

engines in a vessel (see § 1042.130). 

(k) Describe your emission control 

information label (see § 1042.830). 

(l) Identify the engine family’s 

deterioration factors and describe how 

you developed them (see § 1042.245). 

Present any emission test data you used 

for this. 

(m) State that you operated your 

emission-data engines as described in 

the application (including the test 

procedures, test parameters, and test 

fuels) to show you meet the 

requirements of this part. 

(n) Present emission data for HC, 

NOX, PM, and CO as required by 

§ 1042.820. Show emission figures 

before and after applying adjustment 

factors for regeneration and 

deterioration factors for each pollutant 

and for each engine. 

(o) Report all test results, including 

those from invalid tests, whether or not 

they were conducted according to the 

test procedures of subpart F of this part. 

If you measure CO2, report those 

emission levels. We may ask you to 

send other information to confirm that 

your tests were valid under the 

requirements of this part and 40 CFR 

part 1065. 

(p) Describe all adjustable operating 

parameters (see § 1042.115(d)), 

including production tolerances. 

Include the following in your 

description of each parameter: 

(1) The nominal or recommended 

setting. 

(2) The intended physically adjustable 

range. 

(3) The limits or stops used to 

establish adjustable ranges. 

(4) For Category 1 engines, 

information showing why the limits, 

stops, or other means of inhibiting 

adjustment are effective in preventing 

adjustment of parameters on in-use 

engines to settings outside your 

intended physically adjustable ranges. 

(5) For Category 2 engines, propose a 

range of adjustment for each adjustable 

parameter, as described in 

§ 1042.115(d). Include information 

showing why the limits, stops, or other 

means of inhibiting adjustment are 

effective in preventing adjustment of 

parameters on in-use engines to settings 

outside your proposed adjustable 

ranges. 

(q) Unconditionally certify that all the 

engines in the engine family comply 

with the requirements of this part, other 

referenced parts of the CFR, and the 

Clean Air Act. 

(r) Include the information required 

by other subparts of this part. 

(s) Include other applicable 

information, such as information 

specified in this part or 40 CFR part 

1068 related to requests for exemptions. 

(t) Name an agent for service located 

in the United States. Service on this 

agent constitutes service on you or any 

of your officers or employees for any 

action by EPA or otherwise by the 

United States related to the 

requirements of this part. 

(u) If you are not the original 

manufacturer of the engine, include a 

summary of your contact with the 

original manufacturer of the engine and 

provide to us any documentation 

provided to you by the original 

manufacturer. 

§ 1042.845 Remanufactured engine 

families. 

(a) For purposes of certification, 

divide your product line into families of 

engines that are expected to have 

similar emission characteristics 

throughout the useful life as described 

in this section. You may not group 

Category 1 and Category 2 engines in the 

same family. 

(b) In general, group engines in the 

same engine family if they are the same 

in all the following aspects: 

(1) The combustion cycle and fuel 

(the fuels with which the engine is 

intended or designed to be operated). 

(2) The cooling system (for example, 

raw-water vs. separate-circuit cooling). 

(3) Method of air aspiration. 

(4) Method of exhaust aftertreatment 

(for example, catalytic converter or 

particulate trap). 

(5) Combustion chamber design. 

(6) Nominal bore and stroke. 

(7) Method of control for engine 

operation other than governing (i.e., 

mechanical or electronic). 

(8) Original engine manufacturer. 

(c) Alternatively, you may ask us to 

allow you to include other engine 

configurations in your engine family, 

consistent with good engineering 

judgment. 

(d) Do not include in your family any 

configurations for which good 

engineering judgment indicates that 

your emission controls are unlikely to 

provide PM emission reductions similar 

to the configuration(s) tested. 

§ 1042.850 Exemptions and hardship 

relief. 

This section describes exemption and 

hardship provisions that are available 

for owner/operators of engine subject to 

the provisions of this subpart. 

(a) Vessels owned and operated by 

entities that meet the size criterion of 

this paragraph (a) are exempt from the 

requirements of this subpart I. To be 

exempt, your gross annual revenue for 

the calendar year before the 

remanufacture must be less than 

$5,000,000 in 2008 dollars or the 

equivalent value for future years based 

on the Bureau of Labor Statistics’ 

Producer Price Index (see www.bls.gov). 

Include all revenues from any parent 

company and its subsidiaries. The 

exemption applies only for years in 

which you meet this criterion. 

(b) In unusual circumstances, we may 

exempt you from an otherwise 

applicable requirement that you apply a 

certified remanufacturing system when 

remanufacturing your marine engine. 

(1) To be eligible, you must 

demonstrate that all of the following are 

true: 

(i) Unusual circumstances prevent 

you from meeting requirements from 

this chapter. 

(ii) You have taken all reasonable 

steps to minimize the extent of the 

nonconformity. 

(iii) Not having the exemption will 

jeopardize the solvency of your 

company. 

(iv) No other allowances are available 

under the regulations in this chapter to 

avoid the impending violation. 

(2) Send the Designated Compliance 

Officer a written request for an 

exemption before you are in violation. 

(3) We may impose other conditions, 

including provisions to use an engine 

meeting less stringent emission 

standards or to recover the lost 

environmental benefit. 

(4) In determining whether to grant 

the exemptions, we will consider all 

relevant factors, including the 

following: 

(i) The number of engines to be 

exempted. 

(ii) The size of your company and 

your ability to endure the hardship. 

(iii) The length of time a vessel is 

expected to remain in service. 

(c) If you believe that a 

remanufacturing system that we 

identified as being available cannot be 

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installed without significant 

modification of your vessel, you may 

ask us to determine that a 

remanufacturing system is not 

considered available for your vessel 

because the cost would be excessive. 

Subpart J—Definitions and Other 

Reference Information 

§ 1042.901 Definitions. 

The following definitions apply to 

this part. The definitions apply to all 

subparts unless we note otherwise. All 

undefined terms have the meaning the 

Clean Air Act gives to them. The 

definitions follow: 

Adjustable parameter means any 

device, system, or element of design that 

someone can adjust (including those 

which are difficult to access) and that, 

if adjusted, may affect emissions or 

engine performance during emission 

testing or normal in-use operation. This 

includes, but is not limited to, 

parameters related to injection timing 

and fueling rate. You may ask us to 

exclude a parameter that is difficult to 

access if it cannot be adjusted to affect 

emissions without significantly 

degrading engine performance, or if you 

otherwise show us that it will not be 

adjusted in a way that affects emissions 

during in-use operation. 

Aftertreatment means relating to a 

catalytic converter, particulate filter, or 

any other system, component, or 

technology mounted downstream of the 

exhaust valve (or exhaust port) whose 

design function is to decrease emissions 

in the engine exhaust before it is 

exhausted to the environment. Exhaustgas recirculation and turbochargers are 

not aftertreatment. 

Amphibious vehicle means a vehicle 

with wheels or tracks that is designed 

primarily for operation on land and 

secondarily for operation in water. 

Annex VI Technical Code means the 

‘‘Technical Code on Control of Emission 

of Nitrogen Oxides from Marine Diesel 

Engines, 1997,’’ adopted by the 

International Maritime Organization 

(incorporated by reference in 

§ 1042.910). 

Applicable emission standard or 

applicable standard means an emission 

standard to which an engine is subject; 

or, where an engine has been or is being 

certified to another standard or FEL, 

applicable emission standards means 

the FEL and other standards to which 

the engine has been or is being certified. 

This definition does not apply to 

subpart H of this part. 

Auxiliary emission control device 

means any element of design that senses 

temperature, vessel speed, engine RPM, 

transmission gear, or any other 

parameter for the purpose of activating, 

modulating, delaying, or deactivating 

the operation of any part of the emission 

control system. 

Base engine means a land-based 

engine to be marinized, as configured 

prior to marinization. 

Baseline emissions has the meaning 

given in § 1042.825. 

Brake power means the usable power 

output of the engine, not including 

power required to fuel, lubricate, or heat 

the engine, circulate coolant to the 

engine, or to operate aftertreatment 

devices. 

Calibration means the set of 

specifications and tolerances specific to 

a particular design, version, or 

application of a component or assembly 

capable of functionally describing its 

operation over its working range. 

Carryover means the process of 

obtaining a certificate for one model 

year using the same test data from the 

preceding model year, as described in 

§ 1042.235(d). This generally requires 

that the locomotives in the engine 

family do not differ in any aspect 

related to emissions. 

Category 1 means relating to a marine 

engine with specific engine 

displacement below 7.0 liters per 

cylinder. 

Category 2 means relating to a marine 

engine with a specific engine 

displacement at or above 7.0 liters per 

cylinder but less than 30.0 liters per 

cylinder. 

Category 3 means relating to a marine 

engine with a specific engine 

displacement at or above 30.0 liters per 

cylinder. 

Certification means relating to the 

process of obtaining a certificate of 

conformity for an engine family that 

complies with the emission standards 

and requirements in this part. 

Certified emission level means the 

highest deteriorated emission level in an 

engine family for a given pollutant from 

either transient or steady-state testing. 

Clean Air Act means the Clean Air 

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

Commercial means relating to an 

engine or vessel that is not a 

recreational marine engine or a 

recreational vessel. 

Compression-ignition means relating 

to a type of reciprocating, internalcombustion engine that is not a sparkignition engine. Note that marine 

engines powered by natural gas with 

maximum engine power at or above 250 

kW are deemed to be compressionignition engines in § 1042.1. 

Constant-speed engine means an 

engine whose certification is limited to 

constant-speed operation. Engines 

whose constant-speed governor function 

is removed or disabled are no longer 

constant-speed engines. 

Constant-speed operation has the 

meaning given in 40 CFR 1065.1001. 

Crankcase emissions means airborne 

substances emitted to the atmosphere 

from any part of the engine crankcase’s 

ventilation or lubrication systems. The 

crankcase is the housing for the 

crankshaft and other related internal 

parts. 

Critical emission-related component 

means any of the following components: 

(1) Electronic control units, 

aftertreatment devices, fuel-metering 

components, EGR-system components, 

crankcase-ventilation valves, all 

components related to charge-air 

compression and cooling, and all 

sensors and actuators associated with 

any of these components. 

(2) Any other component whose 

primary purpose is to reduce emissions. 

Days means calendar days, unless 

otherwise specified. For example, where 

we specify working days, we mean 

calendar days excluding weekends and 

U.S. national holidays. 

Designated Compliance Officer means 

the Manager, Heavy-Duty and Nonroad 

Engine Group (6403-J), U.S. 

Environmental Protection Agency, 1200 

Pennsylvania Ave., NW., Washington, 

DC 20460. 

Deteriorated emission level means the 

emission level that results from 

applying the appropriate deterioration 

factor to the official emission result of 

the emission-data engine. 

Deterioration factor means the 

relationship between emissions at the 

end of useful life and emissions at the 

low-hour test point (or between highest 

and lowest emission levels, if 

applicable), expressed in one of the 

following ways: 

(1) For multiplicative deterioration 

factors, the ratio of emissions at the end 

of useful life to emissions at the 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. 

Diesel fuel has the meaning given in 

40 CFR 80.2. This generally includes 

No. 1 and No. 2 petroleum diesel fuels 

and biodiesel fuels. 

Discrete-mode means relating to the 

discrete-mode type of steady-state test 

described in § 1042.505. 

Emission control system means any 

device, system, or element of design that 

controls or reduces the emissions of 

regulated pollutants from an engine. 

Emission-data engine means an 

engine that is tested for certification. 

This includes engines tested to establish 

deterioration factors. 

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Emission-related maintenance means 

maintenance that substantially affects 

emissions or is likely to substantially 

affect emission deterioration. 

Engine has the meaning given in 40 

CFR 1068.30. This includes complete 

and partially complete engines. 

Engine configuration means a unique 

combination of engine hardware and 

calibration within an engine family. 

Engines within a single engine 

configuration differ only with respect to 

normal production variability. 

Engine family has the meaning given 

in § 1042.230. 

Engine manufacturer means a 

manufacturer of an engine. See the 

definition of ‘‘manufacturer’’ in this 

section. 

Engineering analysis means a 

summary of scientific and/or 

engineering principles and facts that 

support a conclusion made by a 

manufacturer, with respect to 

compliance with the provisions of this 

part. 

Excluded means relating to an engine 

that either: 

(1) Has been determined not to be a 

nonroad engine, as specified in 40 CFR 

1068.30; or 

(2) Is a nonroad engine that, according 

to § 1042.5, is not subject to this part 

1042. 

Exempted has the meaning given in 

40 CFR 1068.30. 

Exhaust-gas recirculation means a 

technology that reduces emissions by 

routing exhaust gases that had been 

exhausted from the combustion 

chamber(s) back into the engine to be 

mixed with incoming air before or 

during combustion. The use of valve 

timing to increase the amount of 

residual exhaust gas in the combustion 

chamber(s) that is mixed with incoming 

air before or during combustion is not 

considered exhaust-gas recirculation for 

the purposes of this part. 

Family emission limit (FEL) means an 

emission level declared by the 

manufacturer to serve in place of an 

otherwise applicable emission standard 

under the ABT program in subpart H of 

this part. The family emission limit 

must be expressed to the same number 

of decimal places as the emission 

standard it replaces. The family 

emission limit serves as the emission 

standard for the engine family with 

respect to all required testing. 

Freshly manufactured marine engine 

means a new marine engine that has not 

been remanufactured. An engine 

becomes freshly manufactured when it 

is originally manufactured. 

Foreign vessel means a vessel of 

foreign registry or a vessel operated 

under the authority of a country other 

than the United States. 

Fuel system means all components 

involved in transporting, metering, and 

mixing the fuel from the fuel tank to the 

combustion chamber(s), including the 

fuel tank, fuel tank cap, fuel pump, fuel 

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

Fuel type means a general category of 

fuels such as gasoline, diesel fuel, 

residual fuel, or natural gas. There can 

be multiple grades within a single fuel 

type, such as high-sulfur or low-sulfur 

diesel fuel. 

Good engineering judgment has the 

meaning given in 40 CFR 1068.30. See 

40 CFR 1068.5 for the administrative 

process we use to evaluate good 

engineering judgment. 

Green Engine Factor means a factor 

that is applied to emission 

measurements from a Category 2 engine 

that has had little or no service 

accumulation. The Green Engine Factor 

adjusts emission measurements to be 

equivalent to emission measurements 

from an engine that has had 

approximately 300 hours of use. 

High-sulfur diesel fuel means one of 

the following: 

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

fuel means a diesel fuel with a 

maximum sulfur concentration above 

500 parts per million. 

(2) For testing, high-sulfur diesel fuel 

has the meaning given in 40 CFR part 

1065. 

Hydrocarbon (HC) means the 

hydrocarbon group on which the 

emission standards are based for each 

fuel type, as described in § 1042.101(d). 

Identification number means a unique 

specification (for example, a model 

number/serial number combination) 

that allows someone to distinguish a 

particular engine from other similar 

engines. 

Low-hour means relating to an engine 

that has stabilized emissions and 

represents the undeteriorated emission 

level. This would generally involve less 

than 125 hours of operation for engines 

below 560 kW and less than 300 hours 

for engines at or above 560 kW. 

Low-sulfur diesel fuel means one of 

the following: 

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

fuel means a diesel fuel market as 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. 

Manufacture means the physical and 

engineering process of designing, 

constructing, and assembling an engine 

or a vessel. 

Manufacturer has the meaning given 

in section 216(1) of the Clean Air Act 

(42 U.S.C. 7550(1)). In general, this term 

includes any person who manufactures 

an engine or vessel for sale in the 

United States or otherwise introduces a 

new marine engine into U.S. commerce. 

This includes importers who import 

engines or vessels for resale. It also 

includes post-manufacture marinizers, 

but not dealers. All manufacturing 

entities under the control of the same 

person are considered to be a single 

manufacturer. 

Marine engine means a nonroad 

engine that is installed or intended to be 

installed on a marine vessel. This 

includes a portable auxiliary marine 

engine only if its fueling, cooling, or 

exhaust system is an integral part of the 

vessel. A fueling system is considered 

integral to the vessel only if one or more 

essential elements are permanently 

affixed to the vessel. There are two 

kinds of marine engines: 

(1) Propulsion marine engine means a 

marine engine that moves a vessel 

through the water or directs the vessel’s 

movement. 

(2) Auxiliary marine engine means a 

marine engine not used for propulsion. 

Marine vessel has the meaning given 

in 1 U.S.C. 3, except that it does not 

include amphibious vehicles. The 

definition in 1 U.S.C. 3 very broadly 

includes every craft capable of being 

used as a means of transportation on 

water. 

Maximum engine power has the 

meaning given in § 1042.140. 

Maximum test power means the 

power output observed at the maximum 

test speed with the maximum fueling 

rate possible. 

Maximum test speed has the meaning 

given in 40 CFR 1065.1001. 

Maximum test torque has the meaning 

given in 40 CFR 1065.1001. 

Model year means one of the 

following things: 

(1) For freshly manufactured marine 

engines (see definition of ‘‘new marine 

engine,’’ paragraph (1)), model year 

means one of the following: 

(i) Calendar year. 

(ii) Your annual new model 

production period if it is different than 

the calendar year. This must include 

January 1 of the calendar year for which 

the model year is named. It may not 

begin before January 2 of the previous 

calendar year and it must end by 

December 31 of the named calendar 

year. 

(2) For an engine that is converted to 

a marine engine after originally being 

placed into service as a motor-vehicle 

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engine, a nonroad engine that is not a 

marine engine, or a stationary engine, 

model year means the calendar year in 

which the engine was converted (see 

definition of ‘‘new marine engine,’’ 

paragraph (2)). 

(3) For a marine engine excluded 

under § 1042.5 that is later converted to 

operate in an application that is not 

excluded, model year means the 

calendar year in which the engine was 

converted (see definition of ‘‘new 

marine engine, (paragraph (3)). 

(4) For engines that are not freshly 

manufactured but are installed in new 

vessels, model year means the calendar 

year in which the engine is installed in 

the new vessel (see definition of ‘‘new 

marine engine,’’ paragraph (4)). 

(5) For imported engines: 

(i) For imported engines described in 

paragraph (5)(i) of the definition of 

‘‘new marine engine,’’ model year has 

the meaning given in paragraphs (1) 

through (4) of this definition. 

(ii) For imported engines described in 

paragraph (5)(ii) of the definition of new 

marine engine,’’ model year means the 

calendar year in which the engine is 

modified. 

(iii) For imported engines described 

in paragraph (5)(iii) of the definition of 

‘‘new marine engine,’’ model year 

means the calendar year in which the 

importation occurs. 

(6) For freshly manufactured vessels, 

model year means the calendar year in 

which the keel is laid or the vessel is at 

a similar stage of construction. For 

vessels that become new as a result of 

substantial modifications, model year 

means the calendar year in which the 

modifications physically begin. 

(7) For remanufactured engines, 

model year means the calendar year in 

which the remanufacture takes place. 

Motor vehicle has the meaning given 

in 40 CFR 85.1703(a). 

New marine engine means any of the 

following things: 

(1) A freshly manufactured marine 

engine for which the ultimate purchaser 

has never received the equitable or legal 

title. This kind of engine might 

commonly be thought of as ‘‘brand 

new.’’ In the case of this paragraph (1), 

the engine is new from the time it is 

produced until the ultimate purchaser 

receives the title or the product is 

placed into service, whichever comes 

first. 

(2) An engine intended to be installed 

in a vessel that was originally 

manufactured as a motor-vehicle engine, 

a nonroad engine that is not a marine 

engine, or a stationary engine. In this 

case, the engine is no longer a motorvehicle, nonmarine, or stationary engine 

and becomes a ‘‘new marine engine.’’ 

The engine is no longer new when it is 

placed into marine service. 

(3) A marine engine that has been 

previously placed into service in an 

application we exclude under § 1042.5, 

where that engine is installed in a vessel 

that is covered by this part 1042. The 

engine is no longer new when it is 

placed into marine service covered by 

this part 1042. For example, this would 

apply to an engine that is no longer used 

in a foreign vessel. 

(4) An engine not covered by 

paragraphs (1) through (3) of this 

definition that is intended to be 

installed in a new vessel. The engine is 

no longer new when the ultimate 

purchaser receives a title for the vessel 

or it is placed into service, whichever 

comes first. This generally includes 

installation of used engines in new 

vessels. 

(5) A remanufactured marine engine. 

An engine becomes new when it is 

remanufactured (as defined in this 

section) and ceases to be new when 

placed back into service. 

(6) An imported marine engine, 

subject to the following provisions: 

(i) An imported marine engine 

covered by a certificate of conformity 

issued under this part that meets the 

criteria of one or more of paragraphs (1) 

through (4) of this definition, where the 

original engine manufacturer holds the 

certificate, is new as defined by those 

applicable paragraphs. 

(ii) An imported remanufactured 

engine that would have been required to 

be certified if it had been 

remanufactured in the United States. 

(iii) An imported engine that will be 

covered by a certificate of conformity 

issued under this part, where someone 

other than the original engine 

manufacturer holds the certificate (such 

as when the engine is modified after its 

initial assembly), is a new marine 

engine when it is imported. It is no 

longer new when the ultimate purchaser 

receives a title for the engine or it is 

placed into service, whichever comes 

first. 

(iv) An imported marine engine that 

is not covered by a certificate of 

conformity issued under this part at the 

time of importation is new, but only if 

it was produced on or after the dates 

shown in the following table. This 

addresses uncertified engines and 

vessels initially placed into service that 

someone seeks to import into the United 

States. Importation of this kind of 

engine (or vessel containing such an 

engine) is generally prohibited by 40 

CFR part 1068. 

APPLICABILITY OF EMISSION STANDARDS FOR COMPRESSION-IGNITION MARINE ENGINES

Engine category and type Power (kW) Per-cylinder displacement 

(L/cyl) 

Initial model 

year of emission standards 

Category 1 ................................................................................ P < 19 ..................................... All ............................................ 2000 

Category 1 ................................................................................ 19 ≤ P < 37 ............................. All ............................................ 1999 

Category 1, Recreational .......................................................... P ≥ 37 ..................................... disp. < 0.9 ............................... 2007 

Category 1, Recreational .......................................................... All ............................................ 0.9 ≤ disp. < 2.5 ...................... 2006 

Category 1, Recreational .......................................................... All ............................................ disp. ≥ 2.5 ............................... 2004 

Category 1, Commercial ........................................................... P ≥ 37 ..................................... disp. < 0.9 ............................... 2005 

Category 1, Commercial ........................................................... All ............................................ disp. ≥ 0.9 ............................... 2004 

Category 2 and 3 ...................................................................... All ............................................ disp. ≥ 5.0 ............................... 2004 

New vessel means any of the 

following: 

(1) A vessel for which the ultimate 

purchaser has never received the 

equitable or legal title. The vessel is no 

longer new when the ultimate purchaser 

receives this title or it is placed into 

service, whichever comes first. 

(2) For vessels with no Category 3 

engines, a vessel that has been modified 

such that the value of the modifications 

exceeds 50 percent of the value of the 

modified vessel, excluding temporary 

modifications (as defined in this 

section). The value of the modification 

is the difference in the assessed value of 

the vessel before the modification and 

the assessed value of the vessel after the 

modification. The vessel is no longer 

new when it is placed into service. Use 

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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) 

(3) For vessels with Category 3 

engines, a vessel that has undergone a 

modification that substantially alters the 

dimensions or carrying capacity of the 

vessel, changes the type of vessel, or 

substantially prolongs the vessel’s life. 

(4) An imported vessel that has 

already been placed into service, where 

it has an engine not covered by a 

certificate of conformity issued under 

this part at the time of importation that 

was manufactured after the 

requirements of this part start to apply 

(see § 1042.1). 

Noncompliant engine means an 

engine that was originally covered by a 

certificate of conformity but is not in the 

certified configuration or otherwise does 

not comply with the conditions of the 

certificate. 

Nonconforming engine means an 

engine not covered by a certificate of 

conformity that would otherwise be 

subject to emission standards. 

Nonmethane hydrocarbon has the 

meaning given in 40 CFR 1065.1001. 

This generally means the difference 

between the emitted mass of total 

hydrocarbons and the emitted mass of 

methane. 

Nonroad means relating to nonroad 

engines, or vessels, or equipment that 

include nonroad engines. 

Nonroad engine has the meaning 

given in 40 CFR 1068.30. In general, this 

means all internal-combustion engines 

except motor vehicle engines, stationary 

engines, engines used solely for 

competition, or engines used in aircraft. 

Official emission result means the 

measured emission rate for an emissiondata engine on a given duty cycle before 

the application of any deterioration 

factor, but after the applicability of 

regeneration adjustment factors. 

Operator demand has the meaning 

given in 40 CFR 1065.1001. 

Owners manual means a document or 

collection of documents prepared by the 

engine manufacturer for the owner or 

operator to describe appropriate engine 

maintenance, applicable warranties, and 

any other information related to 

operating or keeping the engine. The 

owners manual is typically provided to 

the ultimate purchaser at the time of 

sale. The owners manual may be in 

paper or electronic format. 

Oxides of nitrogen has the meaning 

given in 40 CFR 1065.1001. 

Particulate trap means a filtering 

device that is designed to physically 

trap particulate matter above a certain 

size. 

Passenger means a person that 

provides payment as a condition of 

boarding a vessel. This does not include 

the owner or any paid crew members. 

Placed into service means put into 

initial use for its intended purpose. 

Point of first retail sale means the 

location at which the initial retail sale 

occurs. This generally means a vessel 

dealership or manufacturing facility, but 

may also include an engine seller or 

distributor in cases where loose engines 

are sold to the general public for uses 

such as replacement engines. 

Post-manufacture marinizer means an 

entity that produces a marine engine by 

modifying a non-marine engine, 

whether certified or uncertified, 

complete or partially complete, where 

the entity is not controlled by the 

manufacturer of the base engine or by an 

entity that also controls the 

manufacturer of the base engine. In 

addition, vessel manufacturers that 

substantially modify marine engines are 

post-manufacture marinizers. For the 

purpose of this definition, 

‘‘substantially modify’’ means changing 

an engine in a way that could change 

engine emission characteristics. 

Power density has the meaning given 

in § 1042.140. 

Ramped-modal means relating to the 

ramped-modal type of steady-state test 

described in § 1042.505. 

Rated speed means the maximum 

full-load governed speed for governed 

engines and the speed of maximum 

power for ungoverned engines. 

Recreational marine engine means a 

Category 1 propulsion marine engine 

that is intended by the manufacturer to 

be installed on a recreational vessel. 

Recreational vessel means a vessel 

that is intended by the vessel 

manufacturer to be operated primarily 

for pleasure or leased, rented or 

chartered to another for the latter’s 

pleasure. However, this does not 

include the following vessels: 

(1) Vessels below 100 gross tons that 

carry more than 6 passengers. 

(2) Vessels at or above 100 gross tons 

that carry one or more passengers. 

(3) Vessels used solely for 

competition (see § 1042.620). 

Remanufacture means to replace 

every cylinder liner in a commercial 

engine with maximum engine power at 

or above 600 kW, whether during a 

single maintenance event or 

cumulatively within a five-year period. 

For the purpose of this definition, 

‘‘replace’’ includes removing, 

inspecting, and requalifying a liner. 

Rebuilding a recreational engine or an 

engine with maximum engine power 

below 600 kW is not remanufacturing. 

Remanufacture system or 

remanufacturing system means all 

components (or specifications for 

components) and instructions necessary 

to remanufacture an engine in 

accordance with applicable 

requirements of this part 1042. 

Remanufacturer has the meaning 

given to ‘‘manufacturer’’ in section 

216(1) of the Clean Air Act (42 U.S.C. 

7550(1)) with respect to remanufactured 

marine engines. This term includes any 

person that is engaged in the 

manufacture or assembly of 

remanufactured engines, such as 

persons who: 

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

(2) Install parts in or on an existing 

engine to remanufacture it. 

(3) Own or operate the engine and 

provide specifications as to how an 

engine is to be remanufactured (i.e., 

specifying who will perform the work, 

when the work is to be performed, what 

parts are to be used, or how to calibrate 

the adjustable parameters of the engine). 

Residual fuel has the meaning given 

in 40 CFR 80.2. This generally includes 

all RM grades of marine fuel without 

regard to whether they are known 

commercially as residual fuel. For 

example, fuel marketed as intermediate 

fuel may be residual fuel. 

Revoke has the meaning given in 40 

CFR 1068.30. In general this means to 

terminate the certificate or an 

exemption for an engine family. 

Round has the meaning given in 40 

CFR 1065.1001. 

Scheduled maintenance means 

adjusting, repairing, removing, 

disassembling, cleaning, or replacing 

components or systems periodically to 

keep a part or system from failing, 

malfunctioning, or wearing prematurely. 

It also may mean actions you expect are 

necessary to correct an overt indication 

of failure or malfunction for which 

periodic maintenance is not 

appropriate. 

Small volume boat builder means a 

boat manufacturer with fewer than 500 

employees and with annual worldwide 

production of fewer than 100 boats. For 

manufacturers owned by a parent 

company, these limits apply to the 

combined production and number of 

employees of the parent company and 

all its subsidiaries. 

Small-volume engine manufacturer 

means a manufacturer with annual 

worldwide production of fewer than 

1,000 internal combustion engines 

(marine and nonmarine). For 

manufacturers owned by a parent 

company, the limit applies to the 

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production of the parent company and 

all its subsidiaries. 

Spark-ignition means relating to a 

gasoline-fueled engine or any other type 

of engine with a spark plug (or other 

sparking device) and with operating 

characteristics significantly similar to 

the theoretical Otto combustion cycle. 

Spark-ignition engines usually use a 

throttle to regulate intake air flow to 

control power during normal operation. 

Specified adjustable range means a 

range of adjustment for an adjustable 

parameter that is approved as part of 

certification. Note that Category 1 

engines must comply with emission 

standards over the full physically 

adjustable range for any adjustable 

parameters. 

Steady-state has the meaning given in 

40 CFR 1065.1001. 

Sulfur-sensitive technology means an 

emission control technology that 

experiences a significant drop in 

emission control performance or 

emission-system durability when an 

engine is operated on low-sulfur fuel 

(i.e., fuel with a sulfur concentration of 

300 to 500 ppm) as compared to when 

it is operated on ultra low-sulfur fuel 

(i.e., fuel with a sulfur concentration 

less than 15 ppm). Exhaust-gas 

recirculation is not a sulfur-sensitive 

technology. 

Suspend has the meaning given in 40 

CFR 1068.30. In general this means to 

temporarily discontinue the certificate 

or an exemption for an engine family. 

Temporary modification means a 

modification to a vessel based on a 

written contract for marine services 

such that the modifications will be 

removed from the vessel when the 

contract expires. This provision is 

intended to address short-term contracts 

that would generally be less than 12 

months in duration. You may ask us to 

consider modifications that will be in 

place longer than 12 months as 

temporary modifications. 

Test engine means an engine in a test 

sample. 

Test sample means the collection of 

engines selected from the population of 

an engine family for emission testing. 

This may include testing for 

certification, production-line testing, or 

in-use testing. 

Tier 1 means relating to the Tier 1 

emission standards, as shown in 

Appendix I. 

Tier 2 means relating to the Tier 2 

emission standards, as shown in 

Appendix I. 

Tier 3 means relating to the Tier 3 

emission standards, as shown in 

§ 1042.101. 

Tier 4 means relating to the Tier 4 

emission standards, as shown in 

§ 1042.101. 

Total hydrocarbon has the meaning 

given in 40 CFR 1065.1001. This 

generally means the combined mass of 

organic compounds measured by the 

specified procedure for measuring total 

hydrocarbon, expressed as a 

hydrocarbon with an atomic 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, with 

respect to any new vessel or new marine 

engine, the first person who in good 

faith purchases such new vessel or new 

marine engine for purposes other than 

resale. 

Ultra low-sulfur diesel fuel means one 

of the following: 

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

diesel fuel means a diesel fuel marketed 

as ultra low-sulfur diesel fuel having a 

maximum sulfur concentration of 15 

parts per million. 

(2) For testing, ultra low-sulfur diesel 

fuel has the meaning given in 40 CFR 

part 1065. 

United States has the meaning given 

in 40 CFR 1068.30. 

Upcoming model year means for an 

engine family the model year after the 

one currently in production. 

U.S.-directed production volume 

means the number of engine units, 

subject to the requirements of this part, 

produced by a manufacturer for which 

the manufacturer has a reasonable 

assurance that sale was or will be made 

to ultimate purchasers in the United 

States. 

Useful life means the period during 

which the engine is designed to 

properly function in terms of reliability 

and fuel consumption, without being 

remanufactured, specified as a number 

of hours of operation or calendar years, 

whichever comes first. It is the period 

during which a new engine is required 

to comply with all applicable emission 

standards. See § 1042.101(e). 

Variable-speed engine means an 

engine that is not a constant-speed 

engine. 

Vessel means a marine vessel. 

Vessel operator means any individual 

that physically operates or maintains a 

vessel or exercises managerial control 

over the operation of the vessel. 

Vessel owner means the individual or 

company that holds legal title to a 

vessel. 

Void has the meaning given in 40 CFR 

1068.30. In general this means to 

invalidate a certificate or an exemption 

both retroactively and prospectively. 

Volatile liquid fuel means any fuel 

other than diesel fuel or biodiesel that 

is a liquid at atmospheric pressure and 

has a Reid Vapor Pressure higher than 

2.0 pounds per square inch. 

We (us, our) means the Administrator 

of the Environmental Protection Agency 

and any authorized representatives. 

§ 1042.905 Symbols, acronyms, and 

abbreviations. 

The following symbols, acronyms, 

and abbreviations apply to this part: 

ABT Averaging, banking, and trading. 

AECD auxiliary-emission control device. 

CFR Code of Federal Regulations. 

CO carbon monoxide. 

CO2 carbon dioxide. 

cyl cylinder. 

disp. displacement. 

EPA Environmental Protection Agency. 

FEL Family Emission Limit. 

g grams. 

HC hydrocarbon. 

hr hours. 

kPa kilopascals. 

kW kilowatts. 

L liters. 

LTR Limited Testing Region. 

NARA National Archives and Records 

Administration. 

NMHC nonmethane hydrocarbons. 

NOX oxides of nitrogen (NO and NO2). 

NTE not-to-exceed. 

PM particulate matter. 

RPM revolutions per minute. 

SAE Society of Automotive Engineers. 

SCR selective catalytic reduction. 

THC total hydrocarbon. 

THCE total hydrocarbon equivalent. 

ULSD ultra low-sulfur diesel fuel. 

U.S.C. United States Code. 

§ 1042.910 Reference materials. 

Documents listed in this section have 

been incorporated by reference into this 

part. The Director of the Federal 

Register approved the incorporation by 

reference as prescribed in 5 U.S.C. 

552(a) and 1 CFR part 51. Anyone may 

inspect copies at the U.S. EPA, Air and 

Radiation Docket and Information 

Center, 1301 Constitution Ave., NW., 

Room B102, EPA West Building, 

Washington, DC 20460 or at the 

National Archives and Records 

Administration (NARA). For 

information on the availability of this 

material at NARA, call 202–741–6030, 

or go to: http://www.archives.gov/ 

federal_register/ 

code_of_federal_regulations/ 

ibr_locations.html. 

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37282 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

(a) SAE material. Table 1 to this 

section lists material from the Society of 

Automotive Engineers that we have 

incorporated by reference. The first 

column lists the number and name of 

the material. The second column lists 

the sections of this part where we 

reference it. Anyone may purchase 

copies of these materials from the 

Society of Automotive Engineers, 400 

Commonwealth Drive, Warrendale, PA 

15096 or www.sae.org. Table 1 follows: 

TABLE 1 TO §1042.910.—SAE 

MATERIALS

Document 

No. and name 

Part 1042 

reference 

SAE J1930, Electrical/Electronic Systems Diagnostic 

Terms, Definitions, Abbreviations, and Acronyms, 

revised May 1998 ............. 1042.135 

(b) IMO material. Table 2 to this 

section lists material from the 

International Maritime Organization 

that we have incorporated by reference. 

The first column lists the number and 

name of the material. The second 

column lists the section of this part 

where we reference it. Anyone may 

purchase copies of these materials from 

the International Maritime Organization, 

4 Albert Embankment, London SE1 7SR, 

United Kingdom or www.imo.org. Table 

2 follows: 

TABLE 2 TO §1042.910.—IMO 

MATERIALS

Document No. and name Part 1042 

reference 

Resolutions of the 1997 

MARPOL Conference: 

Resolution 2—Technical 

Code on Control of Emission of Nitrogen Oxides 

from Marine Diesel Engines, 1997 ....................... 1042.901 

§ 1042.915 Confidential information. 

(a) Clearly show what you consider 

confidential by marking, circling, 

bracketing, stamping, or some other 

method. 

(b) We will store your confidential 

information as described in 40 CFR part 

2. Also, we will disclose it only as 

specified in 40 CFR part 2. This applies 

both to any information you send us and 

to any information we collect from 

inspections, audits, or other site visits. 

(c) If you send us a second copy 

without the confidential information, 

we will assume it contains nothing 

confidential whenever we need to 

release information from it. 

(d) If you send us information without 

claiming it is confidential, we may make 

it available to the public without further 

notice to you, as described in 40 CFR 

2.204. 

§ 1042.920 Hearings. 

(a) You may request a hearing under 

certain circumstances, as described 

elsewhere in this part. To do this, you 

must file a written request, including a 

description of your objection and any 

supporting data, within 30 days after we 

make a decision. 

(b) For a hearing you request under 

the provisions of this part, we will 

approve your request if we find that 

your request raises a substantial factual 

issue. 

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

will use the procedures specified in 40 

CFR part 1068, subpart G. 

§ 1042.925 Reporting and recordkeeping 

requirements. 

Under the Paperwork Reduction Act 

(44 U.S.C. 3501 et seq.), the Office of 

Management and Budget approves the 

reporting and recordkeeping specified 

in the applicable regulations. The 

following items illustrate the kind of 

reporting and recordkeeping we require 

for engines regulated under this part: 

(a) We specify the following 

requirements related to engine 

certification in this part 1042: 

(1) In §1042.135 we require engine 

manufacturers to keep certain records 

related to duplicate labels sent to vessel 

manufacturers. 

(2) In §1042.145 we state the 

requirements for interim provisions. 

(3) In subpart C of this part we 

identify a wide range of information 

required to certify engines. 

(4) In §§1042.345 and 1042.350 we 

specify certain records related to 

production-line testing. 

(5) In subpart G of this part we 

identify several reporting and 

recordkeeping items for making 

demonstrations and getting approval 

related to various special compliance 

provisions. 

(6) In §§1042.725, 1042.730, and 

1042.735 we specify certain records 

related to averaging, banking, and 

trading. 

(7) In subpart I of this part we specify 

certain records related to meeting 

requirements for remanufactured 

engines. 

(b) We specify the following 

requirements related to testing in 40 

CFR part 1065: 

(1) In 40 CFR 1065.2 we give an 

overview of principles for reporting 

information. 

(2) In 40 CFR 1065.10 and 1065.12 we 

specify information needs for 

establishing various changes to 

published test procedures. 

(3) In 40 CFR 1065.25 we establish 

basic guidelines for storing test 

information. 

(4) In 40 CFR 1065.695 we identify 

data that may be appropriate for 

collecting during testing of in-use 

engines using portable analyzers. 

(c) We specify the following 

requirements related to the general 

compliance provisions in 40 CFR part 

1068: 

(1) In 40 CFR 1068.5 we establish a 

process for evaluating good engineering 

judgment related to testing and 

certification. 

(2) In 40 CFR 1068.25 we describe 

general provisions related to sending 

and keeping information. 

(3) In 40 CFR 1068.27 we require 

manufacturers to make engines available 

for our testing or inspection if we make 

such a request. 

(4) In 40 CFR 1068.105 we require 

vessel manufacturers to keep certain 

records related to duplicate labels from 

engine manufacturers. 

(5) In 40 CFR 1068.120 we specify 

recordkeeping related to rebuilding 

engines. 

(6) In 40 CFR part 1068, subpart C, we 

identify several reporting and 

recordkeeping items for making 

demonstrations and getting approval 

related to various exemptions. 

(7) In 40 CFR part 1068, subpart D, we 

identify several reporting and 

recordkeeping items for making 

demonstrations and getting approval 

related to importing engines. 

(8) In 40 CFR 1068.450 and 1068.455 

we specify certain records related to 

testing production-line engines in a 

selective enforcement audit. 

(9) In 40 CFR 1068.501 we specify 

certain records related to investigating 

and reporting emission-related defects. 

(10) In 40 CFR 1068.525 and 1068.530 

we specify certain records related to 

recalling nonconforming engines. 

Appendix I to Part 1042.—Summary of 

Previous Emission Standards 

The following standards apply to 

compression-ignition marine engines 

produced before the model years specified in 

§ 1042.1: 

(a) Engines below 37 kW. Tier 1 and Tier 

2 standards for engines below 37 kW apply 

as specified in 40 CFR part 89 and 

summarized in the following table: 

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TABLE 1 TO APPENDIX I.—EMISSION STANDARDS FOR ENGINES BELOW 37 KW (G/KW-HR) 

Rated power (kW) Tier Model year NMHC + NOX CO PM 

kW<8 ................................................ Tier 1 ............................................... 2000 10.5 8.0 1 .0 

Tier 2 ............................................... 2005 7.5 8.0 0 .80 

8≤kW<19 .......................................... Tier 1 ............................................... 2000 9.5 6.6 0 .80 

Tier 2 ............................................... 2005 7.5 6.6 0 .80 

19≤kW<37 ........................................ Tier 1 ............................................... 1999 9.5 5.5 0 .8 

Tier 2 ............................................... 2004 7.5 5.5 0 .6 

(b) Engines at or above 37 kW. Tier 1 and 

Tier 2 standards for engines at or above 37 

kW apply as specified in 40 CFR part 94 and 

summarized as follows: 

(1) Tier 1 standards. NOX emissions from 

model year 2004 and later engines with 

displacement of 2.5 or more liters per 

cylinder may not exceed the following 

values: 

(i) 17.0 g/kW-hr when maximum test speed 

is less than 130 rpm. 

(ii) 45.0 × N¥0.20 when maximum test 

speed is at or above 130 but below 2000 rpm, 

where N is the maximum test speed of the 

engine in revolutions per minute. Round the 

calculated standard to the nearest 0.1 g/kWhr. 

(ii) 9.8 g/kW-hr when maximum test speed 

is 2000 rpm or more. 

(2) Tier 2 primary standards. Exhaust 

emissions may not exceed the values shown 

in the following table: 

TABLE 2 TO APPENDIX I.—PRIMARY TIER 2 EMISSION STANDARDS FOR COMMERCIAL AND RECREATIONAL MARINE

ENGINES AT OR ABOVE 37 KW (G/KW-HR) 

Engine size 

liters/cylinder 

Maximum engine 

power Category Model year 

NOX + THC 

g/kW-hr 

CO 

g/kW-hr 

PM 

g/kW-hr 

disp. < 0.9 .................... power ≥ 37 kW ............ Category 1 Commercial ............... 2005 7.5 5.0 0.40 

Category 1 Recreational .............. 2007 7.5 5.0 0.40 

0.9 ≤ disp. < 1.2 ........... All ................................ Category 1 Commercial ............... 2004 7.2 5.0 0.30 

Category 1 Recreational .............. 2006 7.2 5.0 0.30 

1.2 ≤ disp. < 2.5 ........... All ................................ Category 1 Commercial ............... 2004 7.2 5.0 0.20 

Category 1 Recreational .............. 2006 7.2 5.0 0.20 

2.5 ≤ disp. < 5.0 ........... All ................................ Category 1 Commercial ............... 2007 7.2 5.0 0.20 

Category 1 Recreational .............. 2009 7.2 5.0 0.20 

5.0 ≤ disp. < 15.0 ......... All ................................ Category 2 ................................... 2007 7.8 5.0 0.27 

15.0 ≤ disp. < 20.0 ....... power < 3300 kW ....... Category 2 ................................... 2007 8.7 5.0 0.50 

power ≥ 3300 kW ........ Category 2 ................................... 2007 9.8 5.0 0.50 

20.0 ≤ disp. < 25.0 ....... All ................................ Category 2 ................................... 2007 9.8 5.0 0.50 

25.0 ≤ disp. < 30.0 ....... All ................................ Category 2 ................................... 2007 11 5.0 0.5 

(3) Tier 2 supplemental standards. Not-toexceed emission standards apply for Tier 2 

engines as specified in 40 CFR 94.8(e). 

Appendix II to Part 1042—Steady-State 

Duty Cycles 

(a) The following duty cycles apply as 

specified in § 1042.505(b)(1): 

(1) The following duty cycle applies for 

discrete-mode testing: 

E3 mode 

No. Engine speed 1

Percent of 

maximum test 

power 

Weighting 

factors 

1 ............... Maximum test speed ....................................................................................................................... 100 0 .2 

2 ............... 91% .................................................................................................................................................. 75 0 .5 

3 ............... 80% .................................................................................................................................................. 50 0 .15 

4 ............... 63% .................................................................................................................................................. 25 0 .15 

1Speed terms are defined in 40 CFR part 1065. Percent speed values are relative to maximum test speed. 

(2) The following duty cycle applies for 

ramped-modal testing: 

RMC mode Time in mode 

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

1a Steady-state ..................................... 229 Maximum test speed ............................... 100%. 

1b Transition ......................................... 20 Linear transition ....................................... Linear transition in torque. 

2a Steady-state ..................................... 166 63% ......................................................... 25%. 

2b Transition ......................................... 20 Linear transition ....................................... Linear transition in torque. 

3a Steady-state ..................................... 570 91% ......................................................... 75%. 

3b Transition ......................................... 20 Linear transition ....................................... Linear transition in torque. 

4a Steady-state ..................................... 175 80% ......................................................... 50%. 

1Speed terms are defined in 40 CFR part 1065. Percent speed is relative to maximum test speed. 

2The percent power is relative to the maximum test power. 

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

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

speed if there is a change in speed setting. 

(b) The following duty cycles apply as 

specified in § 1042.505(b)(2): 

(1) The following duty cycle applies for 

discrete-mode testing: 

E5 mode 

No. Engine speed 1

Percent of 

maximum test 

power 

Weighting 

factors 

1 ............... Maximum test speed ....................................................................................................................... 100 0 .08 

2 ............... 91% .................................................................................................................................................. 75 0 .13 

3 ............... 80% .................................................................................................................................................. 50 0 .17 

4 ............... 63% .................................................................................................................................................. 25 0 .32 

5 ............... Warm idle ........................................................................................................................................ 0 0 .3 

1Speed terms are defined in 40 CFR part 1065. Percent speed values are relative to maximum test speed. 

(2) The following duty cycle applies for 

ramped-modal testing: 

RMC mode Time in mode 

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

1a Steady-state ..................................... 167 Warm idle ................................................ 0. 

1b Transition ......................................... 20 Linear transition ....................................... Linear transition in torque. 

2a Steady-state ..................................... 85 Maximum test speed ............................... 100%. 

2b Transition ......................................... 20 Linear transition ....................................... Linear transition in torque. 

3a Steady-state ..................................... 354 63% ......................................................... 25%. 

3b Transition ......................................... 20 Linear transition ....................................... Linear transition in torque. 

4a Steady-state ..................................... 141 91% ......................................................... 75%. 

4b Transition ......................................... 20 Linear transition ....................................... Linear transition in torque. 

5a Steady-state ..................................... 182 80% ......................................................... 50%. 

5b Transition ......................................... 20 Linear transition ....................................... Linear transition in torque. 

6 Steady-state ....................................... 171 Warm idle ................................................ 0. 

1Speed terms are defined in 40 CFR part 1065. Percent speed is relative to maximum test speed. 

2The percent power is relative to the maximum test power. 

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

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

speed if there is a change in speed setting. 

(c) The following duty cycles apply as 

specified in § 1042.505(b)(3): 

(1) The following duty cycle applies for 

discrete-mode testing: 

E2 mode 

No. Engine speed 1 Torque (percent) 2

Weighting 

factors 

1 ............... Engine Governed ............................................................................................................................. 100 0 .2 

2 ............... Engine Governed ............................................................................................................................. 75 0 .5 

3 ............... Engine Governed ............................................................................................................................. 50 0 .15 

4 ............... Engine Governed ............................................................................................................................. 25 0 .15 

1Speed terms are defined in 40 CFR part 1065. 

2The percent torque is relative to the maximum test torque as defined in 40 CFR part 1065. 

(2) The following duty cycle applies for 

ramped-modal testing: 

RMC mode Time in mode 

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

1a Steady-state ..................................... 234 Engine Governed .................................... 100%. 

1b Transition ......................................... 20 Engine Governed .................................... Linear transition. 

2a Steady-state ..................................... 571 Engine Governed .................................... 25%. 

2b Transition ......................................... 20 Engine Governed .................................... Linear transition. 

3a Steady-state ..................................... 165 Engine Governed .................................... 75%. 

3b Transition ......................................... 20 Engine Governed .................................... Linear transition. 

4a Steady-state ..................................... 170 Engine Governed .................................... 50%. 

1The percent torque is relative to the maximum test torque as defined in 40 CFR part 1065. 

2Advance 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. 

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Appendix III to Part 1042—Not-toExceed Zones 

(a) The following definitions apply for this 

Appendix III: 

(1) Percent power means the percentage of 

the maximum power achieved at Maximum 

Test Speed (or at Maximum Test Torque for 

constant-speed engines). 

(2) Percent speed means the percentage of 

Maximum Test Speed. 

(b) Figure 1 of this Appendix illustrates the 

default NTE zone for commercial marine 

engines certified using the duty cycle 

specified in § 1042.505(b)(1), except for 

variable-speed propulsion marine engines 

used with controllable-pitch propellers or 

with electrically coupled propellers, as 

follows: 

(1) Subzone 1 is defined by the following 

boundaries: 

(i) Percent power ≥ 0.7 · (percent speed)2.5. 

(ii) Percent power ≤ (percent speed/0.9)3.5. 

(iii) Percent power ≥ 3.0 · (100%—percent 

speed). 

(2) Subzone 2 is defined by the following 

boundaries: 

(i) Percent power ≥ 0.7 · (percent speed)2.5. 

(ii) Percent power ≤ (percent speed/0.9)3.5. 

(iii) Percent power < 3.0 · (100% ¥ percent 

speed). 

(iv) Percent speed ≥ 70 percent. 

BILLING CODE 1505–01–D 

(c) Figure 2 of this Appendix illustrates the 

default NTE zone for recreational marine 

engines certified using the duty cycle 

specified in § 1042.505(b)(2), except for 

variable-speed marine engines used with 

controllable-pitch propellers or with 

electrically coupled propellers, as follows: 

(1) Subzone 1 is defined by the following 

boundaries: 

(i) Percent power ≥ 0.7 · (percent speed)2.5. 

(ii) Percent power ≤ (percent speed/0.9)3.5. 

(iii) Percent power ≥ 3.0 · (100%¥percent 

speed). 

(iv) Percent power ≤ 95 percent. 

(2) Subzone 2 is defined by the following 

boundaries: 

(i) Percent power ≥ 0.7 · (percent speed)2.5. 

(ii) Percent power ≤ (percent speed/0.9)3.5. 

(iii) Percent power < 3.0 · (100%¥percent 

speed). 

(iv) Percent speed ≥ 70 percent. 

(3) Subzone 3 is defined by the following 

boundaries: 

(i) Percent power ≤ (percent speed/0.9)3.5. 

(ii) Percent power > 95 percent. 


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(d) Figure 3 of this Appendix illustrates the 

default NTE zone for variable-speed marine 

engines used with controllable-pitch 

propellers or with electrically coupled 

propellers that are certified using the duty 

cycle specified in § 1042.505(b)(1), (2), or (3), 

as follows: 

(1) Subzone 1 is defined by the following 

boundaries: 

(i) Percent power ≥ 0.7 · (percent speed)2.5. 

(ii) Percent power ≥ 3.0 · (100%¥percent 

speed). 

(iii) Percent speed ≥ 78.9 percent. 

(2) Subzone 2a is defined by the following 

boundaries: 

(i) Percent power ≥ 0.7 · (percent speed)2.5. 

(ii) Percent speed ≥ 70 percent. 

(iii) Percent speed < 78.9 percent, for 

Percent power > 63.3 percent. 

(iv) Percent power < 3.0 · (100%¥percent 

speed), for Percent speed ≥ 78.9 percent. 

(3) Subzone 2b is defined by the following 

boundaries: 

(i) The line formed by connecting the 

following two points on a plot of speed-vs.- 

power: 

(A) Percent speed = 70 percent; Percent 

power = 28.7 percent. 

(B) Percent speed = 40 percent at governed 

speed; Percent power = 40 percent. 

(ii) Percent power < 0.7 · (percent speed)2.5. 


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(e) Figure 4 of this Appendix illustrates the 

default NTE zone for constant-speed engines 

certified using a duty cycle specified in 

§ 1042.505(b)(3) or (b)(4), as follows: 

(1) Subzone 1 is defined by the following 

boundaries: 

(i) Percent power ≥ 70 percent. 

(ii) [Reserved] 

(2) Subzone 2 is defined by the following 

boundaries: 

(i) Percent power < 70 percent. 

(ii) Percent power ≥ 40 percent. 


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(f) Figure 5 of this Appendix illustrates the 

default NTE zone for variable-speed auxiliary 

marine engines certified using the duty cycle 

specified in § 1042.505(b)(5)(ii) or (iii), as 

follows: 

(1) The default NTE zone is defined by the 

boundaries specified in 40 CFR 86.1370– 

2007(b)(1) and (2). 

(2) A special PM subzone is defined in 40 

CFR 1039.515(b). 

PART 1065—ENGINE-TESTING 

PROCEDURES 

■ 45. The authority citation for part 

1065 continues to read as follows: 

Authority: 42 U.S.C. 7401–7671q. 

Subpart A—[Amended] 

■ 46. Section 1065.1 is revised to read 

as follows: 

§ 1065.1 Applicability. 

(a) This part describes the procedures 

that apply to testing we require for the 

following engines or for vehicles using 

the following engines: 

(1) Locomotives we regulate under 40 

CFR part 1033. For earlier model years, 

manufacturers may use the test 

procedures in this part or those 

specified in 40 CFR part 92 according to 

§ 1065.10. 

(2) Model year 2010 and later heavyduty highway engines we regulate under 

40 CFR part 86. For earlier model years, 

manufacturers may use the test 

procedures in this part or those 

specified in 40 CFR part 86, subpart N, 

according to § 1065.10. 

(3) Nonroad diesel engines we 

regulate under 40 CFR part 1039 and 

stationary diesel engines that are 

certified to the standards in 40 CFR part 

1039 as specified in 40 CFR part 60, 

subpart IIII. For earlier model years, 

manufacturers may use the test 

procedures in this part or those 

specified in 40 CFR part 89 according to 

§ 1065.10. 

(4) Marine diesel engines we regulate 

under 40 CFR part 1042. For earlier 

model years, manufacturers may use the 

test procedures in this part or those 

specified in 40 CFR part 94 according to 

§ 1065.10. 

(5) [Reserved] 

(6) Large nonroad spark-ignition 

engines we regulate under 40 CFR part 

1048, and stationary engines that are 

certified to the standards in 40 CFR part 

1048 or as otherwise specified in 40 

CFR part 60, subpart JJJJ. 

(7) Vehicles we regulate under 40 CFR 

part 1051 (such as snowmobiles and offhighway motorcycles) based on engine 

testing. See 40 CFR part 1051, subpart 

F, for standards and procedures that are 

based on vehicle testing. 

(8) [Reserved] 

(b) The procedures of this part may 

apply to other types of engines, as 

described in this part and in the 

standard-setting part. 

(c) The term ‘‘you’’ means anyone 

performing testing under this part other 

than EPA. 

(1) This part is addressed primarily to 

manufacturers of engines, vehicles, 

equipment, and vessels, but it applies 

equally to anyone who does testing 

under this part for such manufacturers. 

(2) This part applies to any 

manufacturer or supplier of test 

equipment, instruments, supplies, or 

any other goods or services related to 

the procedures, requirements, 

recommendations, or options in this 

part. 

(d) Paragraph (a) of this section 

identifies the parts of the CFR that 

define emission standards and other 

requirements for particular types of 

engines. In this part, we refer to each of 

these other parts generically as the 

‘‘standard-setting part.’’ For example, 40 

CFR part 1051 is always the standardsetting part for snowmobiles and part 86 

is the standard-setting part for heavyduty highway engines. 

(e) Unless we specify otherwise, the 

terms ‘‘procedures’’ and ‘‘test 

procedures’’ in this part include all 

aspects of engine testing, including the 

equipment specifications, calibrations, 

calculations, and other protocols and 

procedural specifications needed to 

measure emissions. 

(f) For vehicles, equipment, or vessels 

subject to this part and regulated under 


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vehicle-based, equipment-based, or 

vessel-based standards, use good 

engineering judgment to interpret the 

term ‘‘engine’’ in this part to include 

vehicles, equipment, or vessels, where 

appropriate. 

(g) For additional information 

regarding these test procedures, visit our 

Web site at www.epa.gov, and in 

particular http://www.epa.gov/otaq/ 

testingregs.htm. 

■ 47. Section 1065.2 is revised to read 

as follows: 

§ 1065.2 Submitting information to EPA 

under this part. 

(a) You are responsible for statements 

and information in your applications for 

certification, requests for approved 

procedures, selective enforcement 

audits, laboratory audits, productionline test reports, field test reports, or any 

other statements you make to us related 

to this part 1065. 

(b) In the standard-setting part and in 

40 CFR 1068.101, we describe your 

obligation to report truthful and 

complete information and the 

consequences of failing to meet this 

obligation. See also 18 U.S.C. 1001 and 

42 U.S.C. 7413(c)(2). 

(c) We may void any certificates or 

approvals associated with a submission 

of information if we find that you 

intentionally submitted false, 

incomplete, or misleading information. 

For example, if we find that you 

intentionally submitted incomplete 

information to mislead EPA when 

requesting approval to use alternate test 

procedures, we may void the certificates 

for all engines families certified based 

on emission data collected using the 

alternate procedures. This would also 

apply if you ignore data from 

incomplete tests or from repeat tests 

with higher emission results. 

(d) We may require an authorized 

representative of your company to 

approve and sign the submission, and to 

certify that all of the information 

submitted is accurate and complete. 

This includes everyone who submits 

information, including manufacturers 

and others. 

(e) See 40 CFR 1068.10 for provisions 

related to confidential information. Note 

however that under 40 CFR 2.301, 

emission data is generally not eligible 

for confidential treatment. 

(f) Nothing in this part should be 

interpreted to limit our ability under 

Clean Air Act section 208 (42 U.S.C. 

7542) to verify that engines conform to 

the regulations. 

■ 48. Section 1065.5 is revised to read 

as follows: 

§ 1065.5 Overview of this part 1065 and its 

relationship to the standard-setting part. 

(a) This part specifies procedures that 

apply generally to testing various 

categories of engines. See the standardsetting part for directions in applying 

specific provisions in this part for a 

particular type of engine. Before using 

this part’s procedures, read the 

standard-setting part to answer at least 

the following questions: 

(1) What duty cycles must I use for 

laboratory testing? 

(2) Should I warm up the test engine 

before measuring emissions, or do I 

need to measure cold-start emissions 

during a warm-up segment of the duty 

cycle? 

(3) Which exhaust gases do I need to 

measure? 

(4) Do any unique specifications 

apply for test fuels? 

(5) What maintenance steps may I 

take before or between tests on an 

emission-data engine? 

(6) Do any unique requirements apply 

to stabilizing emission levels on a new 

engine? 

(7) Do any unique requirements apply 

to test limits, such as ambient 

temperatures or pressures? 

(8) Is field testing required or allowed, 

and are there different emission 

standards or procedures that apply to 

field testing? 

(9) Are there any emission standards 

specified at particular engine-operating 

conditions or ambient conditions? 

(10) Do any unique requirements 

apply for durability testing? 

(b) The testing specifications in the 

standard-setting part may differ from the 

specifications in this part. In cases 

where it is not possible to comply with 

both the standard-setting part and this 

part, you must comply with the 

specifications in the standard-setting 

part. The standard-setting part may also 

allow you to deviate from the 

procedures of this part for other reasons. 

(c) The following table shows how 

this part divides testing specifications 

into subparts: 

TABLE 1 OF § 1065.5.—DESCRIPTION OF PART 1065 SUBPARTS

This subpart Describes these specifications or procedures 

Subpart A ............................. Applicability and general provisions. 

Subpart B ............................. Equipment for testing. 

Subpart C ............................. Measurement instruments for testing. 

Subpart D ............................. Calibration and performance verifications for measurement systems. 

Subpart E ............................. How to prepare engines for testing, including service accumulation. 

Subpart F ............................. How to run an emission test over a predetermined duty cycle. 

Subpart G ............................. Test procedure calculations. 

Subpart H ............................. Fuels, engine fluids, analytical gases, and other calibration standards. 

Subpart I ............................... Special procedures related to oxygenated fuels. 

Subpart J .............................. How to test with portable emission measurement systems (PEMS). 

■ 49. Section 1065.10 is amended by 

revising paragraphs (c)(1), (c)(2), (c)(6), 

and (c)(7) introductory text to read as 

follows: 

§ 1065.10 Other procedures. 

* * * * * 

(c) * * * 

(1) The objective of the procedures in 

this part is to produce emission 

measurements equivalent to those that 

would result from measuring emissions 

during in-use operation using the same 

engine configuration as installed in a 

vehicle, equipment, or vessel. However, 

in unusual circumstances where these 

procedures may result in measurements 

that do not represent in-use operation, 

you must notify us if good engineering 

judgment indicates that the specified 

procedures cause unrepresentative 

emission measurements for your 

engines. Note that you need not notify 

us of unrepresentative aspects of the test 

procedure if measured emissions are 

equivalent to in-use emissions. This 

provision does not obligate you to 

pursue new information regarding the 

different ways your engine might 

operate in use, nor does it obligate you 

to collect any other in-use information 

to verify whether or not these test 

procedures are representative of your 

engine’s in-use operation. If you notify 

us of unrepresentative procedures under 

this paragraph (c)(1), we will cooperate 

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with you to establish whether and how 

the procedures should be appropriately 

changed to result in more representative 

measurements. While the provisions of 

this paragraph (c)(1) allow us to be 

responsive to issues as they arise, we 

would generally work toward making 

these testing changes generally 

applicable through rulemaking. We will 

allow reasonable lead time for 

compliance with any resulting change 

in procedures. We will consider the 

following factors in determining the 

importance of pursuing changes to the 

procedures: 

(i) Whether supplemental emission 

standards or other requirements in the 

standard-setting part address the type of 

operation of concern or otherwise 

prevent inappropriate design strategies. 

(ii) Whether the unrepresentative 

aspect of the procedures affect your 

ability to show compliance with the 

applicable emission standards. 

(iii) The extent to which the 

established procedures require the use 

of emission-control technologies or 

strategies that are expected to ensure a 

comparable degree of emission control 

under the in-use operation that differs 

from the specified procedures. 

(2) You may request to use special 

procedures if your engine cannot be 

tested using the specified procedures. 

For example, this may apply if your 

engine cannot operate on the specified 

duty cycle. In this case, tell us in 

writing why you cannot satisfactorily 

test your engine using this part’s 

procedures and ask to use a different 

approach. We will approve your request 

if we determine that it would produce 

emission measurements that represent 

in-use operation and we determine that 

it can be used to show compliance with 

the requirements of the standard-setting 

part. 

* * * * * 

(6) During the 12 months following 

the effective date of any change in the 

provisions of this part 1065, you may 

use data collected using procedures 

specified in the previously applicable 

version of this part 1065. This paragraph 

(c)(6) does not restrict the use of 

carryover certification data otherwise 

allowed by the standard-setting part. 

(7) You may request to use alternate 

procedures, or procedures that are more 

accurate or more precise than the 

allowed procedures. The following 

provisions apply to requests for 

alternate procedures: 

* * * * * 

■ 50. Section 1065.12 is amended by 

revising paragraphs (a) and (d)(1) to read 

as follows: 

§ 1065.12 Approval of alternate 

procedures. 

(a) To get approval for an alternate 

procedure under § 1065.10(c), send the 

Designated Compliance Officer an 

initial written request describing the 

alternate procedure and why you 

believe it is equivalent to the specified 

procedure. Anyone may request 

alternate procedure approval. This 

means that an individual engine 

manufacturer may request to use an 

alternate procedure. This also means 

that an instrument manufacturer may 

request to have an instrument, 

equipment, or procedure approved as an 

alternate procedure to those specified in 

this part. We may approve your request 

based on this information alone, or, as 

described in this section, we may ask 

you to submit to us in writing 

supplemental information showing that 

your alternate procedure is consistently 

and reliably at least as accurate and 

repeatable as the specified procedure. 

* * * * * 

(d) * * * 

(1) Theoretical basis. Give a brief 

technical description explaining why 

you believe the proposed alternate 

procedure should result in emission 

measurements equivalent to those using 

the specified procedure. You may 

include equations, figures, and 

references. You should consider the full 

range of parameters that may affect 

equivalence. For example, for a request 

to use a different NOX measurement 

procedure, you should theoretically 

relate the alternate detection principle 

to the specified detection principle over 

the expected concentration ranges for 

NO, NO2, and interference gases. For a 

request to use a different PM 

measurement procedure, you should 

explain the principles by which the 

alternate procedure quantifies 

particulate mass similarly to the 

specified procedures. 

* * * * * 

■ 51. Section 1065.15 is amended by 

revising paragraphs (c)(1) and (e) and 

adding paragraph (f) to read as follows: 

§ 1065.15 Overview of procedures for 

laboratory and field testing. 

* * * * * 

(c) * * * 

(1) Engine operation. Engine 

operation is specified over a test 

interval. A test interval is the time over 

which an engine’s total mass of 

emissions and its total work are 

determined. Refer to the standardsetting part for the specific test intervals 

that apply to each engine. Testing may 

involve measuring emissions and work 

in a laboratory-type environment or in 

the field, as described in paragraph (f) 

of this section. 

* * * * * 

(e) The following figure illustrates the 

allowed measurement configurations 

described in this part 1065: 

BILLING CODE 1505–01–D 

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BILLING CODE 1505–01–C 


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(f) This part 1065 describes how to 

test engines in a laboratory-type 

environment or in the field. 

(1) This affects test intervals and duty 

cycles as follows: 

(i) For laboratory testing, you 

generally determine brake-specific 

emissions for duty-cycle testing by 

using an engine dynamometer in a 

laboratory or other environment. This 

typically consists of one or more test 

intervals, each defined by a duty cycle, 

which is a sequence of modes, speeds, 

and/or torques (or powers) that an 

engine must follow. If the standardsetting part allows it, you may also 

simulate field testing with an engine 

dynamometer in a laboratory or other 

environment. 

(ii) Field testing consists of normal inuse engine operation while an engine is 

installed in a vehicle, equipment, or 

vessel rather than following a specific 

engine duty cycle. The standard-setting 

part specifies how test intervals are 

defined for field testing. 

(2) The type of testing may also affect 

what test equipment may be used. You 

may use ‘‘lab-grade’’ test equipment for 

any testing. The term ‘‘lab-grade’’ refers 

to equipment that fully conforms to the 

applicable specifications of this part. 

For some testing you may alternatively 

use ‘‘field-grade’’ equipment. The term 

‘‘field-grade’’ refers to equipment that 

fully conforms to the applicable 

specifications of subpart J of this part, 

but does not fully conform to other 

specifications of this part. You may use 

‘‘field-grade’’ equipment for field 

testing. We also specify in this part and 

in the standard-setting parts certain 

cases in which you may use ‘‘fieldgrade’’ equipment for testing in a 

laboratory-type environment. (Note: 

Although ‘‘field-grade’’ equipment is 

generally more portable than ‘‘labgrade’’ test equipment, portability is not 

relevant to whether equipment is 

considered to be ‘‘field-grade’’ or ‘‘labgrade’’.) 

■ 52. Section 1065.20 is amended by 

revising paragraphs (a)(2), (b)(2), (f), and 

(g) to read as follows: 

§ 1065.20 Units of measure and overview 

of calculations. 

(a) * * * 

(2) We designate brake-specific 

emissions in grams per kilowatt-hour (g/ 

(kW·hr)), rather than the SI unit of 

grams per megajoule (g/MJ). In addition, 

we use the symbol hr to identify hour, 

rather than the SI convention of using 

h. This is based on the fact that engines 

are generally subject to emission 

standards expressed in g/kW·hr. If we 

specify engine standards in grams per 

horsepower·hour (g/(hp·hr)) in the 

standard-setting part, convert units as 

specified in paragraph (d) of this 

section. 

* * * * * 

(b) * * * 

(2) For all substances, cm3/m3, 

formerly ppm (volume). 

* * * * * 

(f) Interpretation of ranges. Interpret a 

range as a tolerance unless we explicitly 

identify it as an accuracy, repeatability, 

linearity, or noise specification. See 

§ 1065.1001 for the definition of 

tolerance. In this part, we specify two 

types of ranges: 

(1) Whenever we specify a range by a 

single value and corresponding limit 

values above and below that value, 

target any associated control point to 

that single value. Examples of this type 

of range include ‘‘± 10% of maximum 

pressure’’, or ‘‘(30 ± 10) kPa’’. 

(2) Whenever we specify a range by 

the interval between two values, you 

may target any associated control point 

to any value within that range. An 

example of this type of range is ‘‘(40 to 

50) kPa’’. 

(g) Scaling of specifications with 

respect to an applicable standard. 

Because this part 1065 is applicable to 

a wide range of engines and emission 

standards, some of the specifications in 

this part are scaled with respect to an 

engine’s applicable standard or 

maximum power. This ensures that the 

specification will be adequate to 

determine compliance, but not overly 

burdensome by requiring unnecessarily 

high-precision equipment. Many of 

these specifications are given with 

respect to a ‘‘flow-weighted mean’’ that 

is expected at the standard or during 

testing. Flow-weighted mean is the 

mean of a quantity after it is weighted 

proportional to a corresponding flow 

rate. For example, if a gas concentration 

is measured continuously from the raw 

exhaust of an engine, its flow-weighted 

mean concentration is the sum of the 

products of each recorded concentration 

times its respective exhaust flow rate, 

divided by the sum of the recorded flow 

rates. As another example, the bag 

concentration from a CVS system is the 

same as the flow-weighted mean 

concentration, because the CVS system 

itself flow-weights the bag 

concentration. Refer to § 1065.602 for 

information needed to estimate and 

calculate flow-weighted means. 

Wherever a specification is scaled to a 

value based upon an applicable 

standard, interpret the standard to be 

the family emission limit if the engine 

is certified under an emission credit 

program in the standard-setting part. 

Subpart B—[Amended] 

■ 53. Section 1065.101 is amended by 

revising paragraph (a) and adding 

paragraph (e) before the figures to read 

as follows: 

§ 1065.101 Overview. 

(a) This subpart specifies equipment, 

other than measurement instruments, 

related to emission testing. The 

provisions of this subpart apply for all 

engine dynamometer testing where 

engine speeds and loads are controlled 

to follow a prescribed duty cycle. See 

subpart J of this part to determine which 

of the provisions of this subpart apply 

for field testing. This equipment 

includes three broad categoriesdynamometers, engine fluid systems 

(such as fuel and intake-air systems), 

and emission-sampling hardware. 

* * * * * 

(e) Dynamometer testing involves 

engine operation over speeds and loads 

that are controlled to a prescribed duty 

cycle. Field testing involves measuring 

emissions over normal in-use operation 

of a vehicle or piece of equipment. Field 

testing does not involve operating an 

engine over a prescribed duty cycle. 

* * * * * 

■ 54. Section 1065.110 is amended by 

revising paragraphs (a) introductory text 

and (e) and adding paragraphs (a)(1)(iv) 

and (f) to read as follows: 

§ 1065.110 Work inputs and outputs, 

accessory work, and operator demand. 

(a) Work. Use good engineering 

judgment to simulate all engine work 

inputs and outputs as they typically 

would operate in use. Account for work 

inputs and outputs during an emission 

test by measuring them; or, if they are 

small, you may show by engineering 

analysis that disregarding them does not 

affect your ability to determine the net 

work output by more than ± 0.5% of the 

net expected work output over the test 

interval. Use equipment to simulate the 

specific types of work, as follows: 

(1) * * * 

(iv) You may use any device that is 

already installed on a vehicle, 

equipment, or vessel to absorb work 

from the engine’s output shaft(s). 

Examples of these types of devices 

include a vessel’s propeller and a 

locomotive’s generator. 

* * * * * 

(e) Operator demand for shaft work. 

Operator demand is defined in 

§ 1065.1001. Command the operator 

demand and the dynamometer(s) to 

follow a prescribed duty cycle with set 

points for engine speed and torque as 

specified in § 1065.512. Refer to the 

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standard-setting part to determine the 

specifications for your duty cycle(s). 

Use a mechanical or electronic input to 

control operator demand such that the 

engine is able to meet the validation 

criteria in § 1065.514 over each 

applicable duty cycle. Record feedback 

values for engine speed and torque as 

specified in § 1065.512. Using good 

engineering judgment, you may improve 

control of operator demand by altering 

on-engine speed and torque controls. 

However, if these changes result in 

unrepresentative testing, you must 

notify us and recommend other test 

procedures under § 1065.10(c)(1). 

(f) Other engine inputs. If your 

electronic control module requires 

specific input signals that are not 

available during dynamometer testing, 

such as vehicle speed or transmission 

signals, you may simulate the signals 

using good engineering judgment. Keep 

records that describe what signals you 

simulate and explain why these signals 

are necessary for representative testing. 

■ 55. Section 1065.120 is amended by 

revising paragraph (a) to read as follows: 

§ 1065.120 Fuel properties and fuel 

temperature and pressure. 

(a) Use fuels as specified in the 

standard-setting part, or as specified in 

subpart H of this part if fuels are not 

specified in the standard-setting part. 

* * * * * 

■ 56. Section 1065.122 is amended by 

revising paragraphs (a) introductory 

text, (a)(1), and (c) to read as follows: 

§ 1065.122 Engine cooling and lubrication. 

(a) Engine cooling. Cool the engine 

during testing so its intake-air, oil, 

coolant, block, and head temperatures 

are within their expected ranges for 

normal operation. You may use 

auxiliary coolers and fans. 

(1) For air-cooled engines only, if you 

use auxiliary fans you must account for 

work input to the fan(s) according to 

§ 1065.110. 

* * * * * 

(c) Lubricating oil. Use lubricating oils 

specified in § 1065.740. For two-stroke 

engines that involve a specified mixture 

of fuel and lubricating oil, mix the 

lubricating oil with the fuel according to 

the manufacturer’s specifications. 

* * * * * 

■ 57. Section 1065.125 is amended by 

revising paragraphs (c) and (d) and 

adding paragraph (e) to read as follows: 

§ 1065.125 Engine intake air. 

* * * * * 

(c) Unless stated otherwise in the 

standard-setting part, maintain the 

temperature of intake air to (25 ± 5) °C, 

as measured upstream of any engine 

component. 

(d) Use an intake-air restriction that 

represents production engines. Make 

sure the intake-air restriction is between 

the manufacturer’s specified maximum 

for a clean filter and the manufacturer’s 

specified maximum allowed. Measure 

the static differential pressure of the 

restriction at the location and at the 

speed and torque set points specified by 

the manufacturer. If the manufacturer 

does not specify a location, measure this 

pressure upstream of any turbocharger 

or exhaust gas recirculation system 

connection to the intake air system. If 

the manufacturer does not specify speed 

and torque points, measure this pressure 

while the engine outputs maximum 

power. As the manufacturer, you are 

liable for emission compliance for all 

values up to the maximum restriction 

you specify for a particular engine. 

(e) This paragraph (e) includes 

provisions for simulating charge-air 

cooling in the laboratory. This approach 

is described in paragraph (e)(1) of this 

section. Limits on using this approach 

are described in paragraphs (e)(2) and 

(3) of this section. 

(1) Use a charge-air cooling system 

with a total intake-air capacity that 

represents production engines’ in-use 

installation. Design any laboratory 

charge-air cooling system to minimize 

accumulation of condensate. Drain any 

accumulated condensate and 

completely close all drains before 

emission testing. Keep the drains closed 

during the emission test. Maintain 

coolant conditions as follows: 

(i) Maintain a coolant temperature of 

at least 20 °C at the inlet to the chargeair cooler throughout testing. 

(ii) At the engine conditions specified 

by the manufacturer, set the coolant 

flow rate to achieve an air temperature 

within ± 5 °C of the value specified by 

the manufacturer after the charge-air 

cooler’s outlet. Measure the air-outlet 

temperature at the location specified by 

the manufacturer. Use this coolant flow 

rate set point throughout testing. If the 

engine manufacturer does not specify 

engine conditions or the corresponding 

charge-air cooler air outlet temperature, 

set the coolant flow rate at maximum 

engine power to achieve a charge-air 

cooler air outlet temperature that 

represents in-use operation. 

(iii) If the engine manufacturer 

specifies pressure-drop limits across the 

charge-air cooling system, ensure that 

the pressure drop across the charge-air 

cooling system at engine conditions 

specified by the manufacturer is within 

the manufacturer’s specified limit(s). 

Measure the pressure drop at the 

manufacturer’s specified locations. 

(2) The objective of this section is to 

produce emission results that are 

representative of in-use operation. If 

good engineering judgment indicates 

that the specifications in this section 

would result in unrepresentative testing 

(such as overcooling of the intake air), 

you may use more sophisticated 

setpoints and controls of charge-air 

pressure drop, coolant temperature, and 

flowrate to achieve more representative 

results. 

(3) This approach does not apply for 

field testing. You may not correct 

measured emission levels from field 

testing to account for any differences 

caused by the simulated cooling in the 

laboratory. 

■ 58. Section 1065.130 is revised to read 

as follows: 

§ 1065.130 Engine exhaust. 

(a) General. Use the exhaust system 

installed with the engine or one that 

represents a typical in-use 

configuration. This includes any 

applicable aftertreatment devices. 

(b) Aftertreatment configuration. If 

you do not use the exhaust system 

installed with the engine, configure any 

aftertreatment devices as follows: 

(1) Position any aftertreatment device 

so its distance from the nearest exhaust 

manifold flange or turbocharger outlet is 

within the range specified by the engine 

manufacturer in the application for 

certification. If this distance is not 

specified, position aftertreatment 

devices to represent typical in-use 

vehicle configurations. 

(2) You may use exhaust tubing that 

is not from the in-use exhaust system 

upstream of any aftertreatment device 

that is of diameter(s) typical of in-use 

configurations. If you use exhaust 

tubing that is not from the in-use 

exhaust system upstream of any 

aftertreatment device, position each 

aftertreatment device according to 

paragraph (b)(1) of this section. 

(c) Sampling system connections. 

Connect an engine’s exhaust system to 

any raw sampling location or dilution 

stage, as follows: 

(1) Minimize laboratory exhaust 

tubing lengths and use a total length of 

laboratory tubing of no more than 10 m 

or 50 outside diameters, whichever is 

greater. The start of laboratory exhaust 

tubing should be specified as the exit of 

the exhaust manifold, turbocharger 

outlet, last aftertreatment device, or the 

in-use exhaust system, whichever is 

furthest downstream. The end of 

laboratory exhaust tubing should be 

specified as the sample point, or first 

point of dilution. If laboratory exhaust 

tubing consists of several different 

outside tubing diameters, count the 

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number of diameters of length of each 

individual diameter, then sum all the 

diameters to determine the total length 

of exhaust tubing in diameters. Use the 

mean outside diameter of any 

converging or diverging sections of 

tubing. Use outside hydraulic diameters 

of any noncircular sections. For 

multiple stack configurations where all 

the exhaust stacks are combined, the 

start of the laboratory exhaust tubing 

may be taken at the last joint of where 

all the stacks are combined. 

(2) You may install short sections of 

flexible laboratory exhaust tubing at any 

location in the engine or laboratory 

exhaust systems. You may use up to a 

combined total of 2 m or 10 outside 

diameters of flexible exhaust tubing. 

(3) Insulate any laboratory exhaust 

tubing downstream of the first 25 

outside diameters of length. 

(4) Use laboratory exhaust tubing 

materials that are smooth-walled, 

electrically conductive, and not reactive 

with exhaust constituents. Stainless 

steel is an acceptable material. 

(5) We recommend that you use 

laboratory exhaust tubing that has either 

a wall thickness of less than 2 mm or 

is air gap-insulated to minimize 

temperature differences between the 

wall and the exhaust. 

(6) We recommend that you connect 

multiple exhaust stacks from a single 

engine into one stack upstream of any 

emission sampling. To ensure mixing of 

the multiple exhaust streams before 

emission sampling, you may configure 

the exhaust system with turbulence 

generators, such as orifice plates or fins, 

to achieve good mixing. We recommend 

a minimum Reynolds number, Re#, of 

4000 for the combined exhaust stream, 

where Re# is based on the inside 

diameter of the single stack. Re# is 

defined in § 1065.640. 

(d) In-line instruments. You may 

insert instruments into the laboratory 

exhaust tubing, such as an in-line smoke 

meter. If you do this, you may leave a 

length of up to 5 outside diameters of 

laboratory exhaust tubing uninsulated 

on each side of each instrument, but you 

must leave a length of no more than 25 

outside diameters of laboratory exhaust 

tubing uninsulated in total, including 

any lengths adjacent to in-line 

instruments. 

(e) Leaks. Minimize leaks sufficiently 

to ensure your ability to demonstrate 

compliance with the applicable 

standards. We recommend performing a 

chemical balance of fuel, intake air, and 

exhaust according to § 1065.655 to 

verify exhaust system integrity. 

(f) Grounding. Electrically ground the 

entire exhaust system. 

(g) Forced cooldown. You may install 

a forced cooldown system for an 

exhaust aftertreatment device according 

to § 1065.530(a)(1)(i). 

(h) Exhaust restriction. As the 

manufacturer, you are liable for 

emission compliance for all values up to 

the maximum restriction(s) you specify 

for a particular engine. Measure and set 

exhaust restriction(s) at the location(s) 

and at the engine speed and torque 

values specified by the manufacturer. 

Also, for variable-restriction 

aftertreatment devices, measure and set 

exhaust restriction(s) at the 

aftertreatment condition (degreening/ 

aging and regeneration/loading level) 

specified by the manufacturer. If the 

manufacturer does not specify a 

location, measure this pressure 

downstream of any turbocharger. If the 

manufacturer does not specify speed 

and torque points, measure pressure 

while the engine produces maximum 

power. Use an exhaust-restriction 

setpoint that represents a typical in-use 

value, if available. If a typical in-use 

value for exhaust restriction is not 

available, set the exhaust restriction at 

(80 to 100)% of the maximum exhaust 

restriction specified by the 

manufacturer, or if the maximum is 5 

kPa or less, the set point must be no less 

than 1.0 kPa from the maximum. For 

example, if the maximum back pressure 

is 4.5 kPa, do not use an exhaust 

restriction set point that is less than 3.5 

kPa. 

(i) Open crankcase emissions. If the 

standard-setting part requires measuring 

open crankcase emissions, you may 

either measure open crankcase 

emissions separately using a method 

that we approve in advance, or route 

open crankcase emissions directly into 

the exhaust system for emission 

measurement. If the engine is not 

already configured to route open 

crankcase emissions for emission 

measurement, route open crankcase 

emissions as follows: 

(1) Use laboratory tubing materials 

that are smooth-walled, electrically 

conductive, and not reactive with 

crankcase emissions. Stainless steel is 

an acceptable material. Minimize tube 

lengths. We also recommend using 

heated or thin-walled or air gapinsulated tubing to minimize 

temperature differences between the 

wall and the crankcase emission 

constituents. 

(2) Minimize the number of bends in 

the laboratory crankcase tubing and 

maximize the radius of any unavoidable 

bend. 

(3) Use laboratory crankcase exhaust 

tubing that meets the engine 

manufacturer’s specifications for 

crankcase back pressure. 

(4) Connect the crankcase exhaust 

tubing into the raw exhaust downstream 

of any aftertreatment system, 

downstream of any installed exhaust 

restriction, and sufficiently upstream of 

any sample probes to ensure complete 

mixing with the engine’s exhaust before 

sampling. Extend the crankcase exhaust 

tube into the free stream of exhaust to 

avoid boundary-layer effects and to 

promote mixing. You may orient the 

crankcase exhaust tube’s outlet in any 

direction relative to the raw exhaust 

flow. 

■ 59. Section 1065.140 is revised to read 

as follows: 

§ 1065.140 Dilution for gaseous and PM 

constituents. 

(a) General. You may dilute exhaust 

with ambient air, synthetic air, or 

nitrogen. For gaseous emission 

measurement the diluent must be at 

least 15°C. Note that the composition of 

the diluent affects some gaseous 

emission measurement instruments’ 

response to emissions. We recommend 

diluting exhaust at a location as close as 

possible to the location where ambient 

air dilution would occur in use. 

(b) Dilution-air conditions and 

background concentrations. Before a 

diluent is mixed with exhaust, you may 

precondition it by increasing or 

decreasing its temperature or humidity. 

You may also remove constituents to 

reduce their background concentrations. 

The following provisions apply to 

removing constituents or accounting for 

background concentrations: 

(1) You may measure constituent 

concentrations in the diluent and 

compensate for background effects on 

test results. See § 1065.650 for 

calculations that compensate for 

background concentrations. 

(2) Either measure these background 

concentrations the same way you 

measure diluted exhaust constituents, or 

measure them in a way that does not 

affect your ability to demonstrate 

compliance with the applicable 

standards. For example, you may use 

the following simplifications for 

background sampling: 

(i) You may disregard any 

proportional sampling requirements. 

(ii) You may use unheated gaseous 

sampling systems. 

(iii) You may use unheated PM 

sampling systems. 

(iv) You may use continuous 

sampling if you use batch sampling for 

diluted emissions. 

(v) You may use batch sampling if you 

use continuous sampling for diluted 

emissions. 

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(3) For removing background PM, we 

recommend that you filter all dilution 

air, including primary full-flow dilution 

air, with high-efficiency particulate air 

(HEPA) filters that have an initial 

minimum collection efficiency 

specification of 99.97% (see § 1065.1001 

for procedures related to HEPAfiltration efficiencies). Ensure that 

HEPA filters are installed properly so 

that background PM does not leak past 

the HEPA filters. If you choose to 

correct for background PM without 

using HEPA filtration, demonstrate that 

the background PM in the dilution air 

contributes less than 50% to the net PM 

collected on the sample filter. You may 

correct net PM without restriction if you 

use HEPA filtration. 

(c) Full-flow dilution; constantvolume sampling (CVS). You may dilute 

the full flow of raw exhaust in a dilution 

tunnel that maintains a nominally 

constant volume flow rate, molar flow 

rate or mass flow rate of diluted 

exhaust, as follows: 

(1) Construction. Use a tunnel with 

inside surfaces of 300 series stainless 

steel. Electrically ground the entire 

dilution tunnel. We recommend a thinwalled and insulated dilution tunnel to 

minimize temperature differences 

between the wall and the exhaust gases. 

(2) Pressure control. Maintain static 

pressure at the location where raw 

exhaust is introduced into the tunnel 

within ± 1.2 kPa of atmospheric 

pressure. You may use a booster blower 

to control this pressure. If you test an 

engine using more careful pressure 

control and you show by engineering 

analysis or by test data that you require 

this level of control to demonstrate 

compliance at the applicable standards, 

we will maintain the same level of static 

pressure control when we test that 

engine. 

(3) Mixing. Introduce raw exhaust into 

the tunnel by directing it downstream 

along the centerline of the tunnel. You 

may introduce a fraction of dilution air 

radially from the tunnel’s inner surface 

to minimize exhaust interaction with 

the tunnel walls. You may configure the 

system with turbulence generators such 

as orifice plates or fins to achieve good 

mixing. We recommend a minimum 

Reynolds number, Re#, of 4000 for the 

diluted exhaust stream, where Re# is 

based on the inside diameter of the 

dilution tunnel. Re# is defined in 

§ 1065.640. 

(4) Flow measurement 

preconditioning. You may condition the 

diluted exhaust before measuring its 

flow rate, as long as this conditioning 

takes place downstream of any heated 

HC or PM sample probes, as follows: 

(i) You may use flow straighteners, 

pulsation dampeners, or both of these. 

(ii) You may use a filter. 

(iii) You may use a heat exchanger to 

control the temperature upstream of any 

flow meter, but you must take steps to 

prevent aqueous condensation as 

described in paragraph (c)(6) of this 

section. 

(5) Flow measurement. Section 

1065.240 describes measurement 

instruments for diluted exhaust flow. 

(6) Aqueous condensation. To ensure 

that you measure a flow that 

corresponds to a measured 

concentration, you may either prevent 

aqueous condensation between the 

sample probe location and the flow 

meter inlet in the dilution tunnel or you 

may allow aqueous condensation to 

occur and then measure humidity at the 

flow meter inlet. You may heat or 

insulate the dilution tunnel walls, as 

well as the bulk stream tubing 

downstream of the tunnel to prevent 

aqueous condensation. Calculations in 

§ 1065.645 and § 1065.650 account for 

either method of addressing humidity in 

the diluted exhaust. Note that 

preventing aqueous condensation 

involves more than keeping pure water 

in a vapor phase (see § 1065.1001). 

(7) Flow compensation. Maintain 

nominally constant molar, volumetric or 

mass flow of diluted exhaust. You may 

maintain nominally constant flow by 

either maintaining the temperature and 

pressure at the flow meter or by directly 

controlling the flow of diluted exhaust. 

You may also directly control the flow 

of proportional samplers to maintain 

proportional sampling. For an 

individual test, validate proportional 

sampling as described in § 1065.545. 

(d) Partial-flow dilution (PFD). Except 

as specified in this paragraph (d), you 

may dilute a partial flow of raw or 

previously diluted exhaust before 

measuring emissions. § 1065.240 

describes PFD-related flow 

measurement instruments. PFD may 

consist of constant or varying dilution 

ratios as described in paragraphs (d)(2) 

and (3) of this section. An example of 

a constant dilution ratio PFD is a 

‘‘secondary dilution PM’’ measurement 

system. 

(1) Applicability. (i) You may not use 

PFD if the standard-setting part 

prohibits it. 

(ii) You may use PFD to extract a 

proportional raw exhaust sample for any 

batch or continuous PM emission 

sampling over any transient duty cycle 

only if we have explicitly approved it 

according to § 1065.10 as an alternative 

procedure to the specified procedure for 

full-flow CVS. 

(iii) You may use PFD to extract a 

proportional raw exhaust sample for any 

batch or continuous gaseous emission 

sampling. 

(iv) You may use PFD to extract a 

proportional raw exhaust sample for any 

batch or continuous PM emission 

sampling over any steady-state duty 

cycle or its ramped-modal cycle (RMC) 

equivalent. 

(v) You may use PFD to extract a 

proportional raw exhaust sample for any 

batch or continuous field-testing. 

(vi) You may use PFD to extract a 

proportional diluted exhaust sample 

from a CVS for any batch or continuous 

emission sampling. 

(vii) You may use PFD to extract a 

constant raw or diluted exhaust sample 

for any continuous emission sampling. 

(2) Constant dilution-ratio PFD. Do 

one of the following for constant 

dilution-ratio PFD: 

(i) Dilute an already proportional 

flow. For example, you may do this as 

a way of performing secondary dilution 

from a CVS tunnel to achieve overall 

dilution ratio for PM sampling. 

(ii) Continuously measure constituent 

concentrations. For example, you might 

dilute to precondition a sample of raw 

exhaust to control its temperature, 

humidity, or constituent concentrations 

upstream of continuous analyzers. In 

this case, you must take into account the 

dilution ratio before multiplying the 

continuous concentration by the 

sampled exhaust flow rate. 

(iii) Extract a proportional sample 

from a separate constant dilution ratio 

PFD system. For example, you might 

use a variable-flow pump to 

proportionally fill a gaseous storage 

medium such as a bag from a PFD 

system. In this case, the proportional 

sampling must meet the same 

specifications as varying dilution ratio 

PFD in paragraph (d)(3) of this section. 

(iv) For each mode of a discrete-mode 

test (such as a locomotive notch setting 

or a specific setting for speed and 

torque), use a constant dilution ratio for 

any PM sampling. You must change the 

overall PM sampling system dilution 

ratio between modes so that the dilution 

ratio on the mode with the highest 

exhaust flow rate meets § 1065.140(e)(2) 

and the dilution ratios on all other 

modes is higher than this (minimum) 

dilution ratio by the ratio of the 

maximum exhaust flow rate to the 

exhaust flow rate of the corresponding 

other mode. This is the same dilution 

ratio requirement for RMC or field 

transient testing. You must account for 

this change in dilution ratio in your 

emission calculations. 

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(3) Varying dilution-ratio PFD. All the 

following provisions apply for varying 

dilution-ratio PFD: 

(i) Use a control system with sensors 

and actuators that can maintain 

proportional sampling over intervals as 

short as 200 ms (i.e., 5 Hz control). 

(ii) For control input, you may use 

any sensor output from one or more 

measurements; for example, intake-air 

flow, fuel flow, exhaust flow, engine 

speed, and intake manifold temperature 

and pressure. 

(iii) Account for any emission transit 

time in the PFD system, as necessary. 

(iv) You may use preprogrammed data 

if they have been determined for the 

specific test site, duty cycle, and test 

engine from which you dilute 

emissions. 

(v) We recommend that you run 

practice cycles to meet the validation 

criteria in § 1065.545. Note that you 

must validate every emission test by 

meeting the validation criteria with the 

data from that specific test. Data from 

previously validated practice cycles or 

other tests may not be used to validate 

a different emission test. 

(vi) You may not use a PFD system 

that requires preparatory tuning or 

calibration with a CVS or with the 

emission results from a CVS. Rather, 

you must be able to independently 

calibrate the PFD. 

(e) Dilution air temperature, dilution 

ratio, residence time, and temperature 

control of PM samples. Dilute PM 

samples at least once upstream of 

transfer lines. You may dilute PM 

samples upstream of a transfer line 

using full-flow dilution, or partial-flow 

dilution immediately downstream of a 

PM probe. In the case of partial-flow 

dilution, you may have up to 26 cm of 

insulated length between the end of the 

probe and the dilution stage, but we 

recommend that the length be as short 

as practical. Configure dilution systems 

as follows: 

(1) Set the diluent (i.e., dilution air) 

temperature to (25 ± 5) °C. Use good 

engineering judgment to select a 

location to measure this temperature. 

We recommend that you measure this 

temperature as close as practical 

upstream of the point where diluent 

mixes with raw exhaust. 

(2) For any PM dilution system (i.e., 

CVS or PFD), dilute raw exhaust with 

diluent such that the minimum overall 

ratio of diluted exhaust to raw exhaust 

is within the range of (5:1–7:1) and is at 

least 2:1 for any primary dilution stage. 

Base this minimum value on the 

maximum engine exhaust flow rate for 

a given test interval. Either measure the 

maximum exhaust flow during a 

practice run of the test interval or 

estimate it based on good engineering 

judgment (for example, you might rely 

on manufacturer-published literature). 

(3) Configure any PM dilution system 

to have an overall residence time of 

(1 to 5) s, as measured from the location 

of initial diluent introduction to the 

location where PM is collected on the 

sample media. Also configure the 

system to have a residence time of 

at least 0.5 s, as measured from the 

location of final diluent introduction to 

the location where PM is collected on 

the sample media. When determining 

residence times within sampling system 

volumes, use an assumed flow 

temperature of 25 °C and pressure of 

101.325 kPa. 

(4) Control sample temperature to a 

(47 ± 5) °C tolerance, as measured 

anywhere within 20 cm upstream or 

downstream of the PM storage media 

(such as a filter). Measure this 

temperature with a bare-wire junction 

thermocouple with wires that are (0.500 

± 0.025) mm diameter, or with another 

suitable instrument that has equivalent 

performance. The intent of these 

specifications is to minimize heat 

transfer to or from the emissions sample 

prior to the final stage of dilution. This 

is accomplished by initially cooling the 

sample through dilution. 

■ 60. Section 1065.145 is revised to read 

as follows: 

§ 1065.145 Gaseous and PM probes, 

transfer lines, and sampling system 

components. 

(a) Continuous and batch sampling. 

Determine the total mass of each 

constituent with continuous or batch 

sampling, as described in 

§ 1065.15(c)(2). Both types of sampling 

systems have probes, transfer lines, and 

other sampling system components that 

are described in this section. 

(b) Gaseous and PM sample probes. A 

probe is the first fitting in a sampling 

system. It protrudes into a raw or 

diluted exhaust stream to extract a 

sample, such that its inside and outside 

surfaces are in contact with the exhaust. 

A sample is transported out of a probe 

into a transfer line, as described in 

paragraph (c) of this section. The 

following provisions apply to sample 

probes: 

(1) Probe design and construction. 

Use sample probes with inside surfaces 

of 300 series stainless steel or, for raw 

exhaust sampling, use any nonreactive 

material capable of withstanding raw 

exhaust temperatures. Locate sample 

probes where constituents are mixed to 

their mean sample concentration. Take 

into account the mixing of any 

crankcase emissions that may be routed 

into the raw exhaust. Locate each probe 

to minimize interference with the flow 

to other probes. We recommend that all 

probes remain free from influences of 

boundary layers, wakes, and eddies— 

especially near the outlet of a rawexhaust tailpipe where unintended 

dilution might occur. Make sure that 

purging or back-flushing of a probe does 

not influence another probe during 

testing. You may use a single probe to 

extract a sample of more than one 

constituent as long as the probe meets 

all the specifications for each 

constituent. 

(2) Probe installation on multi-stack 

engines. We recommend combining 

multiple exhaust streams from multistack engines before emission sampling 

as described in § 1065.130(c)(6). If this 

is impractical, you may install 

symmetrical probes and transfer lines in 

each stack. In this case, each stack must 

be installed such that similar exhaust 

velocities are expected at each probe 

location. Use identical probe and 

transfer line diameters, lengths, and 

bends for each stack. Minimize the 

individual transfer line lengths, and 

manifold the individual transfer lines 

into a single transfer line to route the 

combined exhaust sample to analyzers 

and/or batch samplers. For PM sampling 

the manifold design must merge the 

individual sample streams with a 

maximum angle of 12.5° relative to the 

single sample stream’s flow. Note that 

the manifold must meet the same 

specifications as the transfer line 

according to paragraph (c) of this 

section. If you use this probe 

configuration and you determine your 

exhaust flow rates with a chemical 

balance of exhaust gas concentrations 

and either intake air flow or fuel flow, 

then show by prior testing that the 

concentration of O2 in each stack 

remains within 5% of the mean O2

concentration throughout the entire 

duty cycle. 

(3) Gaseous sample probes. Use either 

single-port or multi-port probes for 

sampling gaseous emissions. You may 

orient these probes in any direction 

relative to the raw or diluted exhaust 

flow. For some probes, you must control 

sample temperatures, as follows: 

(i) For probes that extract NOX from 

diluted exhaust, control the probe’s wall 

temperature to prevent aqueous 

condensation. 

(ii) For probes that extract 

hydrocarbons for THC or NMHC 

analysis from the diluted exhaust of 

compression-ignition engines, 2-stroke 

spark-ignition engines, or 4-stroke 

spark-ignition engines below 19 kW, we 

recommend heating the probe to 

minimize hydrocarbon contamination 

consistent with good engineering 

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judgment. If you routinely fail the 

contamination check in the 1065.520 

pretest check, we recommend heating 

the probe section to approximately 190 

°C to minimize contamination. 

(4) PM sample probes. Use PM probes 

with a single opening at the end. Orient 

PM probes to face directly upstream. If 

you shield a PM probe’s opening with 

a PM pre-classifier such as a hat, you 

may not use the preclassifier we specify 

in paragraph (e)(1) of this section. We 

recommend sizing the inside diameter 

of PM probes to approximate isokinetic 

sampling at the expected mean flow 

rate. 

(c) Transfer lines. You may use 

transfer lines to transport an extracted 

sample from a probe to an analyzer, 

storage medium, or dilution system, 

noting certain restrictions for PM 

sampling in § 1065.140(e). Minimize the 

length of all transfer lines by locating 

analyzers, storage media, and dilution 

systems as close to probes as practical. 

We recommend that you minimize the 

number of bends in transfer lines and 

that you maximize the radius of any 

unavoidable bend. Avoid using 90° 

elbows, tees, and cross-fittings in 

transfer lines. Where such connections 

and fittings are necessary, take steps, 

using good engineering judgment, to 

ensure that you meet the temperature 

tolerances in this paragraph (c). This 

may involve measuring temperature at 

various locations within transfer lines 

and fittings. You may use a single 

transfer line to transport a sample of 

more than one constituent, as long as 

the transfer line meets all the 

specifications for each constituent. The 

following construction and temperature 

tolerances apply to transfer lines: 

(1) Gaseous samples. Use transfer 

lines with inside surfaces of 300 series 

stainless steel, PTFE, VitonTM, or any 

other material that you demonstrate has 

better properties for emission sampling. 

For raw exhaust sampling, use a nonreactive material capable of 

withstanding raw exhaust temperatures. 

You may use in-line filters if they do not 

react with exhaust constituents and if 

the filter and its housing meet the same 

temperature requirements as the transfer 

lines, as follows: 

(i) For NOX transfer lines upstream of 

either an NO2-to-NO converter that 

meets the specifications of § 1065.378 or 

a chiller that meets the specifications of 

§ 1065.376, maintain a sample 

temperature that prevents aqueous 

condensation. 

(ii) For THC transfer lines for testing 

compression-ignition engines, 2-stroke 

spark-ignition engines, or 4-stroke 

spark-ignition engines below 19 kW, 

maintain a wall temperature tolerance 

throughout the entire line of (191 ±11) 

°C. If you sample from raw exhaust, you 

may connect an unheated, insulated 

transfer line directly to a probe. Design 

the length and insulation of the transfer 

line to cool the highest expected raw 

exhaust temperature to no lower than 

191 °C, as measured at the transfer line’s 

outlet. For dilute sampling, you may use 

a transition zone between the probe and 

transfer line of up to 92 cm to allow 

your wall temperature to transition to 

(191 ±11) °C. 

(2) PM samples. We recommend 

heated transfer lines or a heated 

enclosure to minimize temperature 

differences between transfer lines and 

exhaust constituents. Use transfer lines 

that are inert with respect to PM and are 

electrically conductive on the inside 

surfaces. We recommend using PM 

transfer lines made of 300 series 

stainless steel. Electrically ground the 

inside surface of PM transfer lines. 

(d) Optional sample-conditioning 

components for gaseous sampling. You 

may use the following sampleconditioning components to prepare 

gaseous samples for analysis, as long as 

you do not install or use them in a way 

that adversely affects your ability to 

show that your engines comply with all 

applicable gaseous emission standards. 

(1) NO2-to-NO converter. You may use 

an NO2-to-NO converter that meets the 

efficiency-performance check specified 

in § 1065.378 at any point upstream of 

a NOX analyzer, sample bag, or other 

storage medium. 

(2) Sample dryer. You may use either 

type of sample dryer described in this 

paragraph (d)(2) to decrease the effects 

of water on gaseous emission 

measurements. You may not use a 

chemical dryer, or use dryers upstream 

of PM sample filters. 

(i) Osmotic-membrane. You may use 

an osmotic-membrane dryer upstream of 

any gaseous analyzer or storage 

medium, as long as it meets the 

temperature specifications in paragraph 

(c)(1) of this section. Because osmoticmembrane dryers may deteriorate after 

prolonged exposure to certain exhaust 

constituents, consult with the 

membrane manufacturer regarding your 

application before incorporating an 

osmotic-membrane dryer. Monitor the 

dewpoint, Tdew, and absolute pressure, 

ptotal, downstream of an osmoticmembrane dryer. You may use 

continuously recorded values of Tdew

and ptotal in the amount of water 

calculations specified in § 1065.645. If 

you do not continuously record these 

values, you may use their peak values 

observed during a test or their alarm 

setpoints as constant values in the 

calculations specified in § 1065.645. 

You may also use a nominal ptotal, which 

you may estimate as the dryer’s lowest 

absolute pressure expected during 

testing. 

(ii) Thermal chiller. You may use a 

thermal chiller upstream of some gas 

analyzers and storage media. You may 

not use a thermal chiller upstream of a 

THC measurement system for 

compression-ignition engines, 2-stroke 

spark-ignition engines, or 4-stroke 

spark-ignition engines below 19 kW. If 

you use a thermal chiller upstream of an 

NO2-to-NO converter or in a sampling 

system without an NO2-to-NO converter, 

the chiller must meet the NO2 lossperformance check specified in 

§ 1065.376. Monitor the dewpoint, Tdew, 

and absolute pressure, ptotal, 

downstream of a thermal chiller. You 

may use continuously recorded values 

of Tdew and ptotal in the emission 

calculations specified in § 1065.650. If 

you do not continuously record these 

values, you may use the maximum 

temperature and minimum pressure 

values observed during a test or the high 

alarm temperature setpoint and the low 

alarm pressure setpoint as constant 

values in the amount of water 

calculations specified in § 1065.645. 

You may also use a nominal ptotal, which 

you may estimate as the dryer’s lowest 

absolute pressure expected during 

testing. If it is valid to assume the 

degree of saturation in the thermal 

chiller, you may calculate Tdew based on 

the known chiller performance and 

continuous monitoring of chiller 

temperature, Tchiller. If you do not 

continuously record values of Tchiller, 

you may use its peak value observed 

during a test, or its alarm setpoint, as a 

constant value to determine a constant 

amount of water according to 

§ 1065.645. If it is valid to assume that 

Tchiller is equal to Tdew, you may use 

Tchiller in lieu of Tdew according to 

§ 1065.645. If it is valid to assume a 

constant temperature offset between 

Tchiller and Tdew, due to a known and 

fixed amount of sample reheat between 

the chiller outlet and the temperature 

measurement location, you may factor 

in this assumed temperature offset value 

into emission calculations. If we ask for 

it, you must show by engineering 

analysis or by data the validity of any 

assumptions allowed by this paragraph 

(d)(2)(ii). 

(3) Sample pumps. You may use 

sample pumps upstream of an analyzer 

or storage medium for any gas. Use 

sample pumps with inside surfaces of 

300 series stainless steel, PTFE, or any 

other material that you demonstrate has 

better properties for emission sampling. 

For some sample pumps, you must 

control temperatures, as follows: 

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(i) If you use a NOX sample pump 

upstream of either an NO2-to-NO 

converter that meets § 1065.378 or a 

chiller that meets § 1065.376, it must be 

heated to prevent aqueous 

condensation. 

(ii) For testing compression-ignition 

engines, 2-stroke spark-ignition engines, 

or 4-stroke spark-ignition engines below 

19 kW, if you use a THC sample pump 

upstream of a THC analyzer or storage 

medium, its inner surfaces must be 

heated to a tolerance of (191 ±11) °C. 

(4) Ammonia Scrubber. You may use 

ammonia scrubbers for any or all 

gaseous sampling systems to prevent 

interference with NH3, poisoning of the 

NO2-to-NO converter, and deposits in 

the sampling system or analyzers. 

Follow the ammonia scrubber 

manufacturer’s recommendations or use 

good engineering judgment in applying 

ammonia scrubbers. 

(e) Optional sample-conditioning 

components for PM sampling. You may 

use the following sample-conditioning 

components to prepare PM samples for 

analysis, as long as you do not install or 

use them in a way that adversely affects 

your ability to show that your engines 

comply with the applicable PM 

emission standards. You may condition 

PM samples to minimize positive and 

negative biases to PM results, as follows: 

(1) PM preclassifier. You may use a 

PM preclassifier to remove largediameter particles. The PM preclassifier 

may be either an inertial impactor or a 

cyclonic separator. It must be 

constructed of 300 series stainless steel. 

The preclassifier must be rated to 

remove at least 50% of PM at an 

aerodynamic diameter of 10 μm and no 

more than 1% of PM at an aerodynamic 

diameter of 1 μm over the range of flow 

rates for which you use it. Follow the 

preclassifier manufacturer’s instructions 

for any periodic servicing that may be 

necessary to prevent a buildup of PM. 

Install the preclassifier in the dilution 

system downstream of the last dilution 

stage. Configure the preclassifier outlet 

with a means of bypassing any PM 

sample media so the preclassifier flow 

may be stabilized before starting a test. 

Locate PM sample media within 75 cm 

downstream of the preclassifier’s exit. 

You may not use this preclassifier if you 

use a PM probe that already has a 

preclassifier. For example, if you use a 

hat-shaped preclassifier that is located 

immediately upstream of the probe in 

such a way that it forces the sample 

flow to change direction before entering 

the probe, you may not use any other 

preclassifier in your PM sampling 

system. 

(2) Other components. You may 

request to use other PM conditioning 

components upstream of a PM 

preclassifier, such as components that 

condition humidity or remove gaseousphase hydrocarbons from the diluted 

exhaust stream. You may use such 

components only if we approve them 

under § 1065.10. 

■ 61. Section 1065.170 is amended by 

revising the introductory text and 

paragraphs (a) and (c)(1) to read as 

follows: 

§ 1065.170 Batch sampling for gaseous 

and PM constituents. 

Batch sampling involves collecting 

and storing emissions for later analysis. 

Examples of batch sampling include 

collecting and storing gaseous emissions 

in a bag or collecting and storing PM on 

a filter. You may use batch sampling to 

store emissions that have been diluted 

at least once in some way, such as with 

CVS, PFD, or BMD. You may use batchsampling to store undiluted emissions. 

(a) Sampling methods. If you extract 

from a constant-volume flow rate, 

sample at a constant-volume flow rate as 

follows: 

(1) Validate proportional sampling 

after an emission test as described in 

§ 1065.545. Use good engineering 

judgment to select storage media that 

will not significantly change measured 

emission levels (either up or down). For 

example, do not use sample bags for 

storing emissions if the bags are 

permeable with respect to emissions or 

if they offgas emissions to the extent 

that it affects your ability to demonstrate 

compliance with the applicable gaseous 

emission standards. As another 

example, do not use PM filters that 

irreversibly absorb or adsorb gases to the 

extent that it affects your ability to 

demonstrate compliance with the 

applicable PM emission standard. 

(2) You must follow the requirements 

in § 1065.140(e)(2) related to PM 

dilution ratios. For each filter, if you 

expect the net PM mass on the filter to 

exceed 400 μg, assuming a 38 mm 

diameter filter stain area, you may take 

the following actions in sequence: 

(i) First, reduce filter face velocity as 

needed to target a filter loading of 400 

μg, down to 50 cm/s or less. 

(ii) Then, for discrete-mode testing 

only, you may reduce sample time as 

needed to target a filter loading of 400 

μg, but not below the minimum sample 

time specified in the standard-setting 

part. 

(iii) Then, increase overall dilution 

ratio above the values specified in 

§ 1065.140(e)(2) to target a filter loading 

of 400 μg. 

* * * * * 

(c) * * * 

(1) If you use filter-based sampling 

media to extract and store PM for 

measurement, your procedure must 

meet the following specifications: 

(i) If you expect that a filter’s total 

surface concentration of PM will exceed 

400 μg, assuming a 38 mm diameter 

filter stain area, for a given test interval, 

you may use filter media with a 

minimum initial collection efficiency of 

98%; otherwise you must use a filter 

media with a minimum initial 

collection efficiency of 99.7%. 

Collection efficiency must be measured 

as described in ASTM D2986–95a 

(incorporated by reference in 

§ 1065.1010), though you may rely on 

the sample-media manufacturer’s 

measurements reflected in their product 

ratings to show that you meet this 

requirement. 

(ii) The filter must be circular, with an 

overall diameter of 46.50 ± 0.6 mm and 

an exposed diameter of at least 38 mm. 

See the cassette specifications in 

paragraph (c)(1)(vii) of this section. 

(iii) We highly recommend that you 

use a pure PTFE filter material that does 

not have any flow-through support 

bonded to the back and has an overall 

thickness of 40 ± 20 μm. An inert 

polymer ring may be bonded to the 

periphery of the filter material for 

support and for sealing between the 

filter cassette parts. We consider 

Polymethylpentene (PMP) and PTFE 

inert materials for a support ring, but 

other inert materials may be used. See 

the cassette specifications in paragraph 

(c)(1)(vii) of this section. We allow the 

use of PTFE-coated glass fiber filter 

material, as long as this filter media 

selection does not affect your ability to 

demonstrate compliance with the 

applicable standards, which we base on 

a pure PTFE filter material. Note that we 

will use pure PTFE filter material for 

compliance testing, and we may require 

you to use pure PTFE filter material for 

any compliance testing we require, such 

as for selective enforcement audits. 

(iv) You may request to use other 

filter materials or sizes under the 

provisions of § 1065.10. 

(v) To minimize turbulent deposition 

and to deposit PM evenly on a filter, use 

a 12.5° (from center) divergent cone 

angle to transition from the transfer-line 

inside diameter to the exposed diameter 

of the filter face. Use 300 series stainless 

steel for this transition. 

(vi) Maintain a filter face velocity near 

100 cm/s with less than 5% of the 

recorded flow values exceeding 100 

cm/s, unless you expect either the net 

PM mass on the filter to exceed 400 μg, 

assuming a 38 mm diameter filter stain 

area. Measure face velocity as the 

volumetric flow rate of the sample at the 

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pressure upstream of the filter and 

temperature of the filter face as 

measured in § 1065.140(e), divided by 

the filter’s exposed area. You may use 

the exhaust stack or CVS tunnel 

pressure for the upstream pressure if the 

pressure drop through the PM sampler 

up to the filter is less than 2 kPa. 

(vii) Use a clean cassette designed to 

the specifications of Figure 1 of 

§ 1065.170 and made of any of the 

following materials: DelrinTM, 300 series 

stainless steel, polycarbonate, 

acrylonitrile-butadiene-styrene (ABS) 

resin, or conductive polypropylene. We 

recommend that you keep filter 

cassettes clean by periodically washing 

or wiping them with a compatible 

solvent applied using a lint-free cloth. 

Depending upon your cassette material, 

ethanol (C2H5OH) might be an 

acceptable solvent. Your cleaning 

frequency will depend on your engine’s 

PM and HC emissions. 

(viii) If you store filters in cassettes in 

an automatic PM sampler, cover or seal 

individual filter cassettes after sampling 

to prevent communication of semivolatile matter from one filter to 

another. 

* * * * * 

■ 62. Section 1065.190 is amended by 

revising paragraphs (c), (e), (f) and (g) to 

read as follows: 

§ 1065.190 PM-stabilization and weighing 

environments for gravimetric analysis. 

* * * * * 

(c) Verify the cleanliness of the PMstabilization environment using 

reference filters, as described in 

§ 1065.390(d). 

* * * * * 

(e) Verify the following ambient 

conditions using measurement 

instruments that meet the specifications 

in subpart C of this part: 

(1) Continuously measure dewpoint 

and ambient temperature. Use these 

values to determine if the stabilization 

and weighing environments have 

remained within the tolerances 

specified in paragraph (d) of this section 

for at least 60 min. before weighing 

sample media (e.g., filters). We 

recommend that you use an interlock 

that automatically prevents the balance 

from reporting values if either of the 

environments have not been within the 

applicable tolerances for the past 60 

min. 

(2) Continuously measure 

atmospheric pressure within the 

weighing environment. An acceptable 

alternative is to use a barometer that 

measures atmospheric pressure outside 

the weighing environment, as long as 

you can ensure that atmospheric 

pressure at the balance is always within 

±100 Pa of that outside environment 

during weighing operations. Record 

atmospheric pressure as you weigh 

filters, and use these pressure values to 

perform the buoyancy correction in 

§ 1065.690. 

(f) We recommend that you install a 

balance as follows: 

(1) Install the balance on a vibrationisolation platform to isolate it from 

external noise and vibration. 

(2) Shield the balance from convective 

airflow with a static-dissipating draft 

shield that is electrically grounded. 

(3) Follow the balance manufacturer’s 

specifications for all preventive 

maintenance. 

(4) Operate the balance manually or as 

part of an automated weighing system. 

(g) Minimize static electric charge in 

the balance environment, as follows: 

(1) Electrically ground the balance. 

(2) Use 300 series stainless steel 

tweezers if PM sample media (e.g., 

filters) must be handled manually. 

(3) Ground tweezers with a grounding 

strap, or provide a grounding strap for 

the operator such that the grounding 

strap shares a common ground with the 

balance. Make sure grounding straps 

have an appropriate resistor to protect 

operators from accidental shock. 

(4) Provide a static-electricity 

neutralizer that is electrically grounded 

in common with the balance to remove 

static charge from PM sample media 

(e.g., filters), as follows: 

(i) You may use radioactive 

neutralizers such as a Polonium (210Po) 

source. Replace radioactive sources at 

the intervals recommended by the 

neutralizer manufacturer. 

(ii) You may use other neutralizers, 

such as corona-discharge ionizers. If you 

use a corona-discharge ionizer, we 

recommend that you monitor it for 

neutral net charge according to the 

ionizer manufacturer’s 

recommendations. 

(5) We recommend that you use a 

device to monitor the static charge of 

PM sample media (e.g., filter) surface. 

(6) We recommend that you neutralize 

PM sample media (e.g., filters) to within 

±2.0 V of neutral. Measure static 

voltages as follows: 

(i) Measure static voltage of PM 

sample media (e.g., filters) according to 

the electrostatic voltmeter 

manufacturer’s instructions. 

(ii) Measure static voltage of PM 

sample media (e.g., filters) while the 

media is at least 15 cm away from any 

grounded surfaces to avoid mirror image 

charge interference. 

■ 63. Section 1065.195 is amended by 

revising paragraphs (a) and (c)(4) to read 

as follows: 

§ 1065.195 PM-stabilization environment 

for in-situ analyzers. 

(a) This section describes the 

environment required to determine PM 

in-situ. For in-situ analyzers, such as an 

inertial balance, this is the environment 

within a PM sampling system that 

surrounds the PM sample media (e.g., 

filters). This is typically a very small 

volume. 

* * * * * 

(c) * * * 

(4) Absolute pressure. Use good 

engineering judgment to maintain a 

tolerance of absolute pressure if your 

PM measurement instrument requires it. 

* * * * * 

Subpart C—[Amended] 

■ 64. Section 1065.201 is amended by 

revising paragraphs (a) and (b) and 

adding paragraph (h) to read as follows: 

§ 1065.201 Overview and general 

provisions. 

(a) Scope. This subpart specifies 

measurement instruments and 

associated system requirements related 

to emission testing in a laboratory or 

similar environment and in the field. 

This includes laboratory instruments 

and portable emission measurement 

systems (PEMS) for measuring engine 

parameters, ambient conditions, flowrelated parameters, and emission 

concentrations. 

(b) Instrument types. You may use any 

of the specified instruments as 

described in this subpart to perform 

emission tests. If you want to use one of 

these instruments in a way that is not 

specified in this subpart, or if you want 

to use a different instrument, you must 

first get us to approve your alternate 

procedure under § 1065.10. Where we 

specify more than one instrument for a 

particular measurement, we may 

identify which instrument serves as the 

reference for comparing with an 

alternate procedure. 

* * * * * 

(h) Recommended practices. This 

subpart identifies a variety of 

recommended but not required practices 

for proper measurements. We believe in 

most cases it is necessary to follow these 

recommended practices for accurate and 

repeatable measurements and we intend 

to follow them as much as possible for 

our testing. However, we do not 

specifically require you to follow these 

recommended practices to perform a 

valid test, as long as you meet the 

required calibrations and verifications 

of measurement systems specified in 

subpart D of this part. 

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■ 65. Section 1065.210 is amended by 

revising paragraph (a) before the figure 

to read as follows: 

§ 1065.210 Work input and output sensors. 

(a) Application. Use instruments as 

specified in this section to measure 

work inputs and outputs during engine 

operation. We recommend that you use 

sensors, transducers, and meters that 

meet the specifications in Table 1 of 

§ 1065.205. Note that your overall 

systems for measuring work inputs and 

outputs must meet the linearity 

verifications in § 1065.307. We 

recommend that you measure work 

inputs and outputs where they cross the 

system boundary as shown in Figure 1 

of § 1065.210. The system boundary is 

different for air-cooled engines than for 

liquid-cooled engines. If you choose to 

measure work before or after a work 

conversion, relative to the system 

boundary, use good engineering 

judgment to estimate any workconversion losses in a way that avoids 

overestimation of total work. For 

example, if it is impractical to 

instrument the shaft of an exhaust 

turbine generating electrical work, you 

may decide to measure its converted 

electrical work. As another example, 

you may decide to measure the tractive 

(i.e., electrical output) power of a 

locomotive, rather than the brake power 

of the locomotive engine. In these cases, 

divide the electrical work by accurate 

values of electrical generator efficiency 

(h<1), or assume an efficiency of 1 

(h=1), which would over-estimate brakespecific emissions. For the example of 

using locomotive tractive power with a 

generator efficiency of 1 (h=1), this 

means using the tractive power as the 

brake power in emission calculations. 

Do not underestimate any work 

conversion efficiencies for any 

components outside the system 

boundary that do not return work into 

the system boundary. And do not 

overestimate any work conversion 

efficiencies for components outside the 

system boundary that do return work 

into the system boundary. In all cases, 

ensure that you are able to accurately 

demonstrate compliance with the 

applicable standards. 

* * * * * 

■ 66. Section 1065.215 is amended by 

revising paragraph (e) to read as follows: 

§ 1065.215 Pressure transducers, 

temperature sensors, and dewpoint 

sensors. 

* * * * * 

(e) Dewpoint. For PM-stabilization 

environments, we recommend chilledsurface hygrometers, which include 

chilled mirror detectors and chilled 

surface acoustic wave (SAW) detectors. 

For other applications, we recommend 

thin-film capacitance sensors. You may 

use other dewpoint sensors, such as a 

wet-bulb/dry-bulb psychrometer, where 

appropriate. 

■ 67. Section 1065.220 is amended by 

revising paragraph (d) to read as 

follows: 

§ 1065.220 Fuel flow meter. 

* * * * * 

(d) Flow conditioning. For any type of 

fuel flow meter, condition the flow as 

needed to prevent wakes, eddies, 

circulating flows, or flow pulsations 

from affecting the accuracy or 

repeatability of the meter. You may 

accomplish this by using a sufficient 

length of straight tubing (such as a 

length equal to at least 10 pipe 

diameters) or by using specially 

designed tubing bends, straightening 

fins, or pneumatic pulsation dampeners 

to establish a steady and predictable 

velocity profile upstream of the meter. 

Condition the flow as needed to prevent 

any gas bubbles in the fuel from 

affecting the fuel meter. 

■ 68. Section 1065.265 is amended by 

revising paragraph (c) to read as follows: 

§ 1065.265 Nonmethane cutter. 

* * * * * 

(c) Configuration. Configure the 

nonmethane cutter with a bypass line if 

it is needed for the verification 

described in § 1065.365. 

* * * * * 

■ 69. Section 1065.270 is amended by 

revising paragraphs (c) and (d) 

introductory text to read as follows: 

§ 1065.270 Chemiluminescent detector. 

* * * * * 

(c) NO2-to-NO converter. Place 

upstream of the CLD an internal or 

external NO2-to-NO converter that meets 

the verification in § 1065.378. Configure 

the converter with a bypass line if it is 

needed to facilitate this verification. 

(d) Humidity effects. You must 

maintain all CLD temperatures to 

prevent aqueous condensation. If you 

remove humidity from a sample 

upstream of a CLD, use one of the 

following configurations: 

* * * * * 

■ 70. Section 1065.280 is revised to read 

as follows: 

§ 1065.280 Paramagnetic and 

magnetopneumatic O2 detection analyzers. 

(a) Application. You may use a 

paramagnetic detection (PMD) or 

magnetopneumatic detection (MPD) 

analyzer to measure O2 concentration in 

raw or diluted exhaust for batch or 

continuous sampling. You may use O2

measurements with intake air or fuel 

flow measurements to calculate exhaust 

flow rate according to § 1065.650. 

(b) Component requirements. We 

recommend that you use a PMD or MPD 

analyzer that meets the specifications in 

Table 1 of § 1065.205. Note that it must 

meet the linearity verification in 

§ 1065.307. You may use a PMD or MPD 

that has compensation algorithms that 

are functions of other gaseous 

measurements and the engine’s known 

or assumed fuel properties. The target 

value for any compensation algorithm is 

0.0% (that is, no bias high and no bias 

low), regardless of the uncompensated 

signal’s bias. 

■ 71. Section 1065.290 is amended by 

revising paragraph (c)(1) to read as 

follows: 

§ 1065.290 PM gravimetric balance. 

* * * * * 

(c) * * * 

(1) Use a pan that centers the PM 

sample media (such as a filter) on the 

weighing pan. For example, use a pan 

in the shape of a cross that has upswept 

tips that center the PM sample media on 

the pan. 

* * * * * 

Subpart D—[Amended] 

■ 72. Section 1065.303 is revised to read 

as follows: 

§ 1065.303 Summary of required 

calibration and verifications. 

The following table summarizes the 

required and recommended calibrations 

and verifications described in this 

subpart and indicates when these have 

to be performed: 

TABLE 1 OF § 1065.303.—SUMMARY OF REQUIRED CALIBRATION AND VERIFICATIONS

Type of calibration or verification Minimum frequency a

§ 1065.305: Accuracy, repeatability and noise ... Accuracy: Not required, but recommended for initial installation. 

Repeatability: Not required, but recommended for initial installation. 

Noise: Not required, but recommended for initial installation. 

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TABLE 1 OF § 1065.303.—SUMMARY OF REQUIRED CALIBRATION AND VERIFICATIONS—Continued 

Type of calibration or verification Minimum frequency a

§ 1065.307: Linearity ........................................... Speed: Upon initial installation, within 370 days before testing and after major maintenance. 

Torque: Upon initial installation, within 370 days before testing and after major maintenance. 

Electrical power: Upon initial installation, within 370 days before testing and after major maintenance. 

Clean gas and diluted exhaust flows: Upon initial installation, within 370 days before testing 

and after major maintenance, unless flow is verified by propane check or by carbon or oxygen balance. 

Raw exhaust flow: Upon initial installation, within 185 days before testing and after major 

maintenance, unless flow is verified by propane check or by carbon or oxygen balance. 

Gas analyzers: Upon initial installation, within 35 days before testing and after major maintenance. 

PM balance: Upon initial installation, within 370 days before testing and after major maintenance. 

Stand-alone pressure and temperature: Upon initial installation, within 370 days before testing 

and after major maintenance. 

§ 1065.308: Continuous analyzer system response and recording.Upon initial installation, after system reconfiguration, and after major maintenance. 

§ 1065.309: Continuous analyzer uniform response.Upon initial installation, after system reconfiguration, and after major maintenance. 

§ 1065.310: Torque ............................................. Upon initial installation and after major maintenance. 

§ 1065.315: Pressure, temperature, dewpoint .... Upon initial installation and after major maintenance. 

§ 1065.320: Fuel flow .......................................... Upon initial installation and after major maintenance. 

§ 1065.325: Intake flow ....................................... Upon initial installation and after major maintenance. 

§ 1065.330: Exhaust flow .................................... Upon initial installation and after major maintenance. 

§ 1065.340: Diluted exhaust flow (CVS) ............. Upon initial installation and after major maintenance. 

§ 1065.341: CVS and batch sampler 

verification b.

Upon initial installation, within 35 days before testing, and after major maintenance. 

§ 1065.345: Vacuum leak ................................... Before each laboratory test according to subpart F of this part and before each field test according to subpart J of this part. 

§ 1065.350: CO2 NDIR H2O interference ........... Upon initial installation and after major maintenance. 

§ 1065.355: CO NDIR CO2 and H2O interference.Upon initial installation and after major maintenance. 

§ 1065.360: FID calibration THC FID optimization, and THC FID verification.Calibrate all FID analyzers: Upon initial installation and after major maintenance. 

Optimize and determine CH4 response for THC FID analyzers: upon initial installation and 

after major maintenance. 

Verify CH4 response for THC FID analyzers: Upon initial installation, within 185 days before 

testing, and after major maintenance. 

§ 1065.362: Raw exhaust FID O2 interference ... For all FID analyzers: Upon initial installation, and after major maintenance. 

For THC FID analyzers: Upon initial installation, after major maintenance, and after FID optimization according to § 1065.360. 

§ 1065.365: Nonmethane cutter penetration ...... Upon initial installation, within 185 days before testing, and after major maintenance. 

§ 1065.370: CLD CO2 and H2O quench ............. Upon initial installation and after major maintenance. 

§ 1065.372: NDUV HC and H2O interference .... Upon initial installation and after major maintenance. 

§ 1065.376: Chiller NO2 penetration ................... Upon initial installation and after major maintenance. 

§ 1065.378: NO2-to-NO converter conversion .... Upon initial installation, within 35 days before testing, and after major maintenance. 

§ 1065.390: PM balance and weighing .............. Independent verification: Upon initial installation, within 370 days before testing, and after 

major maintenance. 

Zero, span, and reference sample verifications: Within 12 hours of weighing, and after major 

maintenance. 

§ 1065.395: Inertial PM balance and weighing .. Independent verification: Upon initial installation, within 370 days before testing, and after 

major maintenance. 

Other verifications: Upon initial installation and after major maintenance. 

aPerform calibrations and verifications more frequently, according to measurement system manufacturer instructions and good engineering 

judgment. bThe CVS verification described in § 1065.341 is not required for systems that agree within ± 2% based on a chemical balance of carbon or 

oxygen of the intake air, fuel, and diluted exhaust. 

■ 73. Section 1065.305 is amended by 

revising paragraphs (d)(4), (d)(8), and 

(d)(9)(iii) to read as follows: 

§ 1065.305 Verifications for accuracy, 

repeatability, and noise. 

* * * * * 

(d) * * * 

(4) Use the instrument to quantify a 

NIST-traceable reference quantity, yref. 

For gas analyzers the reference gas must 

meet the specifications of § 1065.750. 

Select a reference quantity near the 

mean value expected during testing. For 

all gas analyzers, use a quantity near the 

flow-weighted mean concentration 

expected at the standard or expected 

during testing, whichever is greater. For 

noise verification, use the same zero gas 

from paragraph (e) of this section as the 

reference quantity. In all cases, allow 

time for the instrument to stabilize 

while it measures the reference 

quantity. Stabilization time may include 

time to purge an instrument and time to 

account for its response. 

* * * * * 

(8) Repeat the steps specified in 

paragraphs (d)(2) through (7) of this 

section until you have ten arithmetic 

means (y ̄ 1, y ̄ 2, y ̄i,...y ̄ 10), ten standard 

deviations, (s1, s2, si,...s10), and ten 

errors (e1, e2, ei,...e10). 

(9) * * * 

(iii) Noise. Noise is two times the rootmean-square of the ten standard 

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deviations (that is, noise = 2·rmsσ) when 

the reference signal is a zero-quantity 

signal. Refer to the example of a rootmean-square calculation in § 1065.602. 

We recommend that instrument noise be 

within the specifications in Table 1 of 

§ 1065.205. 

* * * * * 

■ 74. Section 1065.307 is amended by 

revising paragraphs (b), (c)(6), (c)(13), 

and Table 1 and adding paragraphs 

(d)(8) and (e) before the newly revised 

table to read as follows: 

§ 1065.307 Linearity verification. 

* * * * * 

(b) Performance requirements. If a 

measurement system does not meet the 

applicable linearity criteria in Table 1 of 

this section, correct the deficiency by recalibrating, servicing, or replacing 

components as needed. Repeat the 

linearity verification after correcting the 

deficiency to ensure that the 

measurement system meets the linearity 

criteria. Before you may use a 

measurement system that does not meet 

linearity criteria, you must demonstrate 

to us that the deficiency does not 

adversely affect your ability to 

demonstrate compliance with the 

applicable standards. 

(c) * * * 

(6) For all measured quantities, use 

instrument manufacturer 

recommendations and good engineering 

judgment to select reference values, yrefi, 

that cover a range of values that you 

expect would prevent extrapolation 

beyond these values during emission 

testing. We recommend selecting a zero 

reference signal as one of the reference 

values of the linearity verification. For 

stand-alone pressure and temperature 

linearity verifications, we recommend at 

least three reference values. For all other 

linearity verifications select at least ten 

reference values. 

* * * * * 

(13) Use the arithmetic means, y ̄i, and 

reference values, y ̄refi, to calculate leastsquares linear regression parameters and 

statistical values to compare to the 

minimum performance criteria specified 

in Table 1 of this section. Use the 

calculations described in § 1065.602. 

Using good engineering judgment, you 

may weight the results of individual 

data pairs (i.e., (yrefi, y ̄i)), in the linear 

regression calculations. 

(d) * * * 

(8) Temperature. You may perform 

the linearity verification for temperature 

measurement systems with 

thermocouples, RTDs, and thermistors 

by removing the sensor from the system 

and using a simulator in its place. Use 

a NIST-traceable simulator that is 

independently calibrated and, as 

appropriate, cold-junction compensated. 

The simulator uncertainty scaled to 

temperature must be less than 0.5% of 

Tmax. If you use this option, you must 

use sensors that the supplier states are 

accurate to better than 0.5% of Tmax

compared with their standard 

calibration curve. 

(e) Measurement systems that require 

linearity verification. Table 1 of this 

section indicates measurement systems 

that require linearity verifications, 

subject to the following provisions: 

(1) Perform a linearity verification 

more frequently based on the 

instrument manufacturer’s 

recommendation or good engineering 

judgment. 

(2) The expression ‘‘min’’ refers to the 

minimum reference value used during 

the linearity verification. Note that this 

value may be zero or a negative value 

depending on the signal. 

(3) The expression ‘‘max’’ generally 

refers to the maximum reference value 

used during the linearity verification. 

For example for gas dividers, xmax is the 

undivided, undiluted, span gas 

concentration. The following are special 

cases where ‘‘max’’ refers to a different 

value: 

(i) For linearity verification with a PM 

balance, mmax refers to the typical mass 

of a PM filter. 

(ii) For linearity verification of torque, 

Tmax refers to the manufacturer’s 

specified engine torque peak value of 

the lowest torque engine to be tested. 

(4) The specified ranges are inclusive. 

For example, a specified range of 0.98– 

1.02 for a1 means 0.98≤a1≤1.02. 

(5) These linearity verifications are 

optional for systems that pass the flowrate verification for diluted exhaust as 

described in § 1065.341 (the propane 

check) or for systems that agree within 

±2% based on a chemical balance of 

carbon or oxygen of the intake air, fuel, 

and exhaust. 

(6) You must meet the a1 criteria for 

these quantities only if the absolute 

value of the quantity is required, as 

opposed to a signal that is only linearly 

proportional to the actual value. 

(7) The following provisions apply for 

stand-alone temperature measurements: 

(i) The following temperature 

linearity checks are required: 

(A) Air intake. 

(B) Aftertreatment bed(s), for engines 

tested with aftertreatment devices 

subject to cold-start testing. 

(C) Dilution air for PM sampling, 

including CVS, double-dilution, and 

partial-flow systems. 

(D) PM sample, if applicable. 

(E) Chiller sample, for gaseous 

sampling systems that use chillers to 

dry samples. 

(ii) The following temperature 

linearity checks are required only if 

specified by the engine manufacturer: 

(A) Fuel inlet. 

(B) Air outlet to the test cell’s charge 

air cooler air outlet, for engines tested 

with a laboratory heat exchanger that 

simulates an installed charge air cooler. 

(C) Coolant inlet to the test cell’s 

charge air cooler, for engines tested with 

a laboratory heat exchanger that 

simulates an installed charge air cooler. 

(D) Oil in the sump/pan. 

(E) Coolant before the thermostat, for 

liquid-cooled engines. 

(8) The following provisions apply for 

stand-alone pressure measurements: 

(i) The following pressure linearity 

checks are required: 

(A) Air intake restriction. 

(B) Exhaust back pressure. 

(C) Barometer. 

(D) CVS inlet gage pressure. 

(E) Chiller sample, for gaseous 

sampling systems that use chillers to 

dry samples. 

(ii) The following pressure linearity 

checks are required only if specified by 

the engine manufacturer: 

(A) The test cell’s charge air cooler 

and interconnecting pipe pressure drop, 

for turbo-charged engines tested with a 

laboratory heat exchanger that simulates 

an installed charge air cooler. 

(B) Fuel outlet. 

TABLE 1 OF § 1065.307.—MEASUREMENT SYSTEMS THAT REQUIRE LINEARITY VERIFICATIONS

Measurement system Quantity Minimum verification frequency 

Linearity criteria 

xmin(a1¥1)+a0  a1 SEE r 2

Engine speed ............................ fn ............ Within 370 days before testing ≤0.05 % fnmax .... 0.98–1.02 ≤2 % · fnmax ....... ≥0.990 

Engine torque ............................ T ............ Within 370 days before testing ≤1 % · Tmax ....... 0.98–1.02 ≤2 % · Tmax ....... ≥0.990 

Electrical work ........................... W ........... Within 370 days before testing ≤1 % · Tmax ....... 0.98–1.02 ≤2 % · Tmax ....... ≥0.990 

Fuel flow rate ............................ m ̇ ........... Within 370 days before testing d ≤1 % · m ̇ max ...... 0.98–1.02 ≤2 % · m ̇ max ...... ≥0.990 

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TABLE 1 OF § 1065.307.—MEASUREMENT SYSTEMS THAT REQUIRE LINEARITY VERIFICATIONS—Continued 

Measurement system Quantity Minimum verification frequency 

Linearity criteria 

xmin(a1¥1)+a0  a1 SEE r 2

Intake-air flow rate .................... n ̇ ............ Within 370 days before testing ≤1 % · n ̇ max ....... 0.98–1.02 ≤2 % · n ̇ max ....... ≥0.990 

Dilution air flow rate .................. n ̇ ............ Within 370 days before testing ≤1 % · n ̇ max ....... 0.98–1.02 ≤2 % · n ̇ max ....... ≥0.990 

Diluted exhaust flow rate .......... n ̇ ............ Within 370 days before testing ≤1 % · n ̇ max ....... 0.98–1.02 ≤2 % · n ̇ max ....... ≥0.990 

Raw exhaust flow rate .............. n ̇ ............ Within 185 days before testing ≤1 % · n ̇ max ....... 0.98–1.02 ≤2 % · n ̇ max ....... ≥0.990 

Batch sampler flow rates .......... n ̇ ............ Within 370 days before testing ≤1 % · n ̇ max ....... 0.98–1.02 ≤2 % · n ̇ max ....... ≥0.990 

Gas dividers .............................. x/xspan ..... Within 370 days before testing ≤0.5 % · xmax .... 0.98–1.02 ≤2 % · xmax ....... ≥0.990 

Gas analyzers for laboratory 

testing.

x ............ Within 35 days before testing ... ≤0.5 % · xmax .... 0.99–1.01 ≤1 % · xmax ....... ≥0.998 

Gas analyzers for field testing .. x ............ Within 35 days before testing ... ≤1 % · xmax ....... 0.99–1.01 ≤1 % · xmax ....... ≥0.998 

PM balance ............................... m ........... Within 370 days before testing ≤1 % · mmax ...... 0.99–1.01 ≤1 % · mmax ...... ≥0.998 

Stand-alone pressures .............. p ............ Within 370 days before testing ≤1 % · pmax ....... 0.99–1.01 ≤1 % · pmax ....... ≥0.998 

Analog-to-digital conversion of 

stand-alone temperature signals.

T ............ Within 370 days before testing ≤1 % · Tmax ....... 0.99–1.01 ≤1 % · Tmax ....... ≥0.998 

■ 75. Section 1065.308 is revised to read 

as follows: 

§ 1065.308 Continuous gas analyzer 

system-response and updating-recording 

verification—general. 

This section describes a general 

verification procedure for continuous 

gas analyzer system response and 

update recording. See § 1065.309 for 

verification procedures that apply for 

systems or components involving H2O 

correction. 

(a) Scope and frequency. Perform this 

verification after installing or replacing 

a gas analyzer that you use for 

continuous sampling. Also perform this 

verification if you reconfigure your 

system in a way that would change 

system response. For example, perform 

this verification if you add a significant 

volume to the transfer lines by 

increasing their length or adding a filter; 

or if you reduce the frequency at which 

you sample and record gas-analyzer 

concentrations. You do not have to 

perform this verification for gas analyzer 

systems used only for discrete-mode 

testing. 

(b) Measurement principles. This test 

verifies that the updating and recording 

frequencies match the overall system 

response to a rapid change in the value 

of concentrations at the sample probe. 

Gas analyzer systems must be optimized 

such that their overall response to a 

rapid change in concentration is 

updated and recorded at an appropriate 

frequency to prevent loss of 

information. This test also verifies that 

continuous gas analyzer systems meet a 

minimum response time. 

(c) System requirements. To 

demonstrate acceptable updating and 

recording with respect to the system’s 

overall response, use good engineering 

judgment to select one of the following 

criteria that your system must meet: 

(1) The product of the mean rise time 

and the frequency at which the system 

records an updated concentration must 

be at least 5, and the product of the 

mean fall time and the frequency at 

which the system records an updated 

concentration must be at least 5. This 

criterion makes no assumption 

regarding the frequency content of 

changes in emission concentrations 

during emission testing; therefore, it is 

valid for any testing. In any case the 

mean rise time and the mean fall time 

must be no more than 10 seconds. 

(2) The frequency at which the system 

records an updated concentration must 

be at least 5 Hz. This criterion assumes 

that the frequency content of significant 

changes in emission concentrations 

during emission testing do not exceed 1 

Hz. In any case the mean rise time and 

the mean fall time must be no more than 

10 seconds. 

(3) You may use other criteria if we 

approve the criteria in advance. 

(4) You may meet the overall PEMS 

verification in § 1065.920 instead of the 

verification in this section for field 

testing with PEMS. 

(d) Procedure. Use the following 

procedure to verify the response of a 

continuous gas analyzer system: 

(1) Instrument setup. Follow the 

analyzer system manufacturer’s start-up 

and operating instructions. Adjust the 

system as needed to optimize 

performance. 

(2) Equipment setup. We recommend 

using minimal lengths of gas transfer 

lines between all connections and fastacting three-way valves (2 inlets, 1 

outlet) to control the flow of zero and 

blended span gases to the analyzers. 

You may use a gas mixing or blending 

device to equally blend an NO-CO-CO2- 

C3H8-CH4, balance N2 span gas with a 

span gas of NO2, balance purified 

synthetic air. Standard binary span 

gases may also be used, where 

applicable, in place of blended NO-COCO2-C3H8-CH4, balance N2 span gas, but 

separate response tests must then be run 

for each analyzer. In designing your 

experimental setup, avoid pressure 

pulsations due to stopping the flow 

through the gas-blending device. Note 

that you may omit any of these gas 

constituents if they are not relevant to 

your analyzers for this verification. 

(3) Data collection. (i) Start the flow 

of zero gas. 

(ii) Allow for stabilization, accounting 

for transport delays and the slowest 

instrument’s full response. 

(iii) Start recording data at the 

frequency used during emission testing. 

Each recorded value must be a unique 

updated concentration measured by the 

analyzer; you may not use interpolation 

to increase the number of recorded 

values. 

(iv) Switch the flow to allow the 

blended span gases to flow to the 

analyzer. 

(v) Allow for transport delays and the 

slowest instrument’s full response. 

(vi) Repeat the steps in paragraphs 

(d)(3)(i) through (v) of this section to 

record seven full cycles, ending with 

zero gas flowing to the analyzers. 

(vii) Stop recording. 

(e) Performance evaluation. (1) If you 

chose to demonstrate compliance with 

paragraph (c)(1) of this section, use the 

data from paragraph (d)(3) of this 

section to calculate the mean rise time, 

t10–90, and mean fall time, t10–90, for each 

of the analyzers. Multiply these times 

(in seconds) by their respective 

recording frequencies in Hertz (1/ 

second). The value for each result must 

be at least 5. If the value is less than 5, 

increase the recording frequency or 

adjust the flows or design of the 

sampling system to increase the rise 

time and fall time as needed. You may 

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also configure digital filters to increase 

rise and fall times. The mean rise time 

and mean fall time must be no greater 

than 10 seconds. 

(2) If a measurement system fails the 

criterion in paragraph (e)(1) of this 

section, ensure that signals from the 

system are updated and recorded at a 

frequency of at least 5 Hz. In any case, 

the mean rise time and mean fall time 

must be no greater than 10 seconds. 

(3) If a measurement system fails the 

criteria in paragraphs (e)(1) and (2) of 

this section, you may use the 

continuous analyzer system only if the 

deficiency does not adversely affect 

your ability to show compliance with 

the applicable standards. 

■ 76. Section 1065.309 is revised to read 

as follows: 

§ 1065.309 Continuous gas analyzer 

system-response and updating-recording 

verification—with humidified-response 

verification. 

This section describes a verification 

procedure for continuous gas analyzer 

system response and update recording 

for systems or components involving 

H2O correction. See § 1065.308 for 

verification procedures that apply for 

systems not involving humidification. 

(a) Scope and frequency. Perform this 

verification to determine a continuous 

gas analyzer’s response, where one 

analyzer’s response is compensated by 

another’s to quantify a gaseous 

emission. For this check we consider 

water vapor a gaseous constituent. You 

do not have to perform this verification 

for batch gas analyzer systems or for 

continuous analyzer systems that are 

only used for discrete-mode testing. 

Perform this verification after initial 

installation (i.e. test cell 

commissioning). The verification in this 

section is required for initial installation 

of systems or components involving 

H2O correction. For later verifications, 

you may use the procedures specified in 

§ 1065.308, as long as your system 

includes no replacement components 

involving H2O correction that have 

never been verified using the 

procedures in this section. 

(b) Measurement principles. This 

procedure verifies the time-alignment 

and uniform response of continuously 

combined gas measurements. For this 

procedure, ensure that all compensation 

algorithms and humidity corrections are 

turned on. 

(c) System requirements. Demonstrate 

that continuously combined 

concentration measurements have a 

uniform rise and fall during a system 

response to a rapid change in multiple 

gas concentrations. You must meet one 

of the following criteria: 

(1) The product of the mean rise time 

and the frequency at which the system 

records an updated concentration must 

be at least 5, and the product of the 

mean fall time and the frequency at 

which the system records an updated 

concentration must be at least 5. This 

criterion makes no assumption 

regarding the frequency content of 

changes in emission concentrations 

during emission testing; therefore, it is 

valid for any testing. In no case may the 

mean rise time or the mean fall time be 

more than 10 seconds. 

(2) The frequency at which the system 

records an updated concentration must 

be at least 5 Hz. This criterion assumes 

that the frequency content of significant 

changes in emission concentrations 

during emission testing do not exceed 1 

Hz. In no case may the mean rise time 

or the mean fall time be more than 10 

seconds. 

(3) You may use other criteria if we 

approve them in advance. 

(4) You may meet the overall PEMS 

verification in § 1065.920 instead of the 

verification in this section for field 

testing with PEMS. 

(d) Procedure. Use the following 

procedure to verify the response of a 

continuous gas analyzer system: 

(1) Instrument setup. Follow the 

analyzer system manufacturer’s start-up 

and operating instructions. Adjust the 

system as needed to optimize 

performance. 

(2) Equipment setup. We recommend 

using minimal lengths of gas transfer 

lines between all connections and fastacting three-way valves (2 inlets, 1 

outlet) to control the flow of zero and 

blended span gases to the analyzers. 

You may use a gas blending or mixing 

device to equally blend a span gas of 

NO-CO-CO2-C3H8-CH4, balance N2, with 

a span gas of NO2, balance purified 

synthetic air. Standard binary span 

gases may be used, where applicable, in 

place of blended NO-CO-CO2-C3H8-CH4, 

balance N2 span gas, but separate 

response tests must then be run for each 

analyzer. In designing your 

experimental setup, avoid pressure 

pulsations due to stopping the flow 

through the gas blending device. Span 

gases must be humidified before 

entering the analyzer; however, you may 

not humidify NO2 span gas by passing 

it through a sealed humidification 

vessel that contains water. We 

recommend humidifying your NO-COCO2-C3H8-CH4, balance N2 blended gas 

by flowing the gas mixture through a 

sealed vessel that humidifies the gas by 

bubbling it through distilled water and 

then mixing the gas with dry NO2 gas, 

balance purified synthetic air. If your 

system does not use a sample dryer to 

remove water from the sample gas, you 

must humidify your span gas by flowing 

the gas mixture through a sealed vessel 

that humidifies the gas to the highest 

sample dewpoint that you estimate 

during emission sampling by bubbling it 

through distilled water. If your system 

uses a sample dryer during testing that 

has passed the sample dryer verification 

check in § 1065.342, you may introduce 

the humidified gas mixture downstream 

of the sample dryer by bubbling it 

through distilled water in a sealed 

vessel at (25 ± 10) °C, or a temperature 

greater than the dewpoint determined in 

§ 1065.145(d)(2). In all cases, maintain 

the humidified gas temperature 

downstream of the vessel at least 5 °C 

above its local dewpoint in the line. We 

recommend that you heat all gas transfer 

lines and valves located downstream of 

the vessel as needed to avoid 

condensation. Note that you may omit 

any of these gas constituents if they are 

not relevant to your analyzers for this 

verification. If any of your gas 

constituents are not susceptible to water 

compensation, you may perform the 

response check for these analyzers 

without humidification. 

(3) Data collection. (i) Start the flow 

of zero gas. 

(ii) Allow for stabilization, accounting 

for transport delays and the slowest 

instrument’s full response. 

(iii) Start recording data at the 

frequency used during emission testing. 

Each recorded value must be a unique 

updated concentration measured by the 

analyzer; you may not use interpolation 

to increase the number of recorded 

values. 

(iv) Switch the flow to allow the 

blended span gases to flow to the 

analyzers. 

(v) Allow for transport delays and the 

slowest instrument’s full response. 

(vi) Repeat the steps in paragraphs 

(d)(3)(i) through (v) of this section to 

record seven full cycles, ending with 

zero gas flowing to the analyzers. 

(vii) Stop recording. 

(e) Performance evaluations. (1) If you 

chose to demonstrate compliance with 

paragraph (c)(1) of this section, use the 

data from paragraph (d)(3) of this 

section to calculate the mean rise time, 

t10¥90, and mean fall time, tS90¥10, for 

each of the analyzers. Multiply these 

times (in seconds) by their respective 

recording frequencies in Hz (1/second). 

The value for each result must be at 

least 5. If the value is less than 5, 

increase the recording frequency or 

adjust the flows or design of the 

sampling system to increase the rise 

time and fall time as needed. You may 

also configure digital filters to increase 

rise and fall times. In no case may the 

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mean rise time or mean fall time be 

greater than 10 seconds. 

(2) If a measurement system fails the 

criterion in paragraph (e)(1) of this 

section, ensure that signals from the 

system are updated and recorded at a 

frequency of at least 5 Hz. In no case 

may the mean rise time or mean fall 

time be greater than 10 seconds. 

(3) If a measurement system fails the 

criteria in paragraphs (e)(1) and (2) of 

this section, you may use the 

continuous analyzer system only if the 

deficiency does not adversely affect 

your ability to show compliance with 

the applicable standards. 

■ 77. Section 1065.310 is amended by 

revising paragraph (d) to read as 

follows: 

§ 1065.310 Torque calibration. 

* * * * * 

(d) Strain gage or proving ring 

calibration. This technique applies force 

either by hanging weights on a lever arm 

(these weights and their lever arm 

length are not used as part of the 

reference torque determination) or by 

operating the dynamometer at different 

torques. Apply at least six force 

combinations for each applicable 

torque-measuring range, spacing the 

force quantities about equally over the 

range. Oscillate or rotate the 

dynamometer during calibration to 

reduce frictional static hysteresis. In this 

case, the reference torque is determined 

by multiplying the force output from the 

reference meter (such as a strain gage or 

proving ring) by its effective lever-arm 

length, which you measure from the 

point where the force measurement is 

made to the dynamometer’s rotational 

axis. Make sure you measure this length 

perpendicular to the reference meter’s 

measurement axis and perpendicular to 

the dynamometer’s rotational axis. 

■ 78. Section 1065.315 is amended by 

revising paragraph (a)(2) to read as 

follows: 

§ 1065.315 Pressure, temperature, and 

dewpoint calibration. 

(a) * * * 

(2) Temperature. We recommend 

digital dry-block or stirred-liquid 

temperature calibrators, with data 

logging capabilities to minimize 

transcription errors. We recommend 

using calibration reference quantities 

that are NIST-traceable within 0.5% 

uncertainty. You may perform the 

linearity verification for temperature 

measurement systems with 

thermocouples, RTDs, and thermistors 

by removing the sensor from the system 

and using a simulator in its place. Use 

a NIST-traceable simulator that is 

independently calibrated and, as 

appropriate, cold-junction compensated. 

The simulator uncertainty scaled to 

temperature must be less than 0.5% of 

Tmax. If you use this option, you must 

use sensors that the supplier states are 

accurate to better than 0.5% of Tmax

compared with their standard 

calibration curve. 

* * * * * 

■ 79. Section 1065.340 is amended by 

revising paragraphs (f)(5), (f)(6)(ii), (f)(7), 

(f)(9), (f)(10), (g)(6)(i), and Figure 1 to 

read as follows: 

§ 1065.340 Diluted exhaust flow (CVS) 

calibration. 

* * * * * 

(f) * * * 

(5) Set the variable restrictor to its 

wide-open position. Instead of a 

variable restrictor, you may alternately 

vary the pressure downstream of the 

CFV by varying blower speed or by 

introducing a controlled leak. Note that 

some blowers have limitations on 

nonloaded conditions. 

(6) * * * 

(ii) The mean dewpoint of the 

calibration air, T ̄ dew. See § 1065.640 for 

permissible assumptions during 

emission measurements. 

* * * * * 

(7) Incrementally close the restrictor 

valve or decrease the downstream 

pressure to decrease the differential 

pressure across the CFV,Dp ̄ CFV. 

* * * * * 

(9) Determine Cd and the lowest 

allowable pressure ratio, r, according to 

§ 1065.640. 

(10) Use Cd to determine CFV flow 

during an emission test. Do not use the 

CFV below the lowest allowed r, as 

determined in § 1065.640. 

* * * * * 

(g) * * * 

(6) * * * 

(i) The mean flow rate of the reference 

flow meter,n

Ôref. This may include 

several measurements of different 

quantities, such as reference meter 

pressures and temperatures, for 

calculating n

Ôref. 

* * * * * 

BILLING CODE 1505–01–D 

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■ 80. Section 1065.341 is amended by 

revising paragraphs (d) introductory 

text, (d)(7), and (g) introductory text to 

read as follows: 

§ 1065.341 CVS and batch sampler 

verification (propane check). 

* * * * * 

(d) If you performed the vacuum-side 

leak verification of the HC sampling 

system as described in paragraph (c)(8) 

of this section, you may use the HC 

contamination procedure in 

§ 1065.520(g) to verify HC 

contamination. Otherwise, zero, span, 

and verify contamination of the HC 

sampling system, as follows: 

* * * * * 

(7) When the overflow HC 

concentration does not exceed 2 μmol/ 

mol, record this value as xTHCinit and use 

it to correct for HC contamination as 

described in § 1065.660. 

* * * * * 

(g) You may repeat the propane check 

to verify a batch sampler, such as a PM 

secondary dilution system. 

* * * * * 

■ 81. A new § 1065.342 is added to read 

as follows: 

§ 1065.342 Sample dryer verification. 

(a) Scope and frequency. If you use a 

sample dryer as allowed in 

§ 1065.145(d)(2) to remove water from 

the sample gas, verify the performance 

upon installation, after major 

maintenance, for thermal chiller. For 

osmotic membrane dryers, verify the 

performance upon installation, after 

major maintenance, and within 35 days 

of testing. 

(b) Measurement principles. Water 

can inhibit an analyzer’s ability to 

properly measure the exhaust 

component of interest and thus is 

sometimes removed before the sample 

gas reaches the analyzer. For example 

water can negatively interfere with a 

CLD’s NOX response through collisional 

quenching and can positively interfere 

with an NDIR analyzer by causing a 

response similar to CO. 

(c) System requirements. The sample 

dryer must meet the specifications as 

determined in § 1065.145(d)(2) for 

dewpoint, Tdew, and absolute pressure, 

ptotal, downstream of the osmoticmembrane dryer or thermal chiller. 

(d) Sample dryer verification 

procedure. Use the following method to 

determine sample dryer performance, or 

use good engineering judgment to 

develop a different protocol: 

(1) Use PTFE or stainless steel tubing 

to make necessary connections. 

(2) Humidify N2 or purified air by 

bubbling it through distilled water in a 

sealed vessel that humidifies the gas to 

the highest sample dewpoint that you 

estimate during emission sampling. 

(3) Introduce the humidified gas 

upstream of the sample dryer. 

(4) Downstream of the vessel, 

maintain the humidified gas 

temperature at least 5 °C above its 

dewpoint. 

(5) Measure the humidified gas 

dewpoint, Tdew, and pressure, ptotal, as 

close as possible to the inlet of the 

sample dryer to verify the dewpoint is 

the highest that you estimated during 

emission sampling. 

(6) Measure the humidified gas 

dewpoint, Tdew, and pressure, ptotal, as 

close as possible to the outlet of the 

sample dryer. 

(7) The sample dryer meets the 

verification if the results of paragraph 

(d)(6) of this section are less than the 

dew point corresponding to the sample 

dryer specifications as determined in 

§ 1065.145(d)(2) plus 2 °C or if the mole 

fraction from (d)(6) is less than the 

corresponding sample dryer 

specifications plus 0.002 mol/mol. 

(e) Alternate sample dryer verification 

procedure. The following method may 

be used in place of the sample dryer 

verification procedure in (d) of this 

section. If you use a humidity sensor for 

continuous monitoring of dewpoint at 

the sample dryer outlet you may skip 

the performance check in § 1065.342(d), 

but you must make sure that the dryer 

outlet humidity is below the minimum 

values used for quench, interference, 

and compensation checks. 

■ 82. Section 1065.345 is revised to read 

as follows: 

§ 1065.345 Vacuum-side leak verification. 

(a) Scope and frequency. Verify that 

there are no significant vacuum-side 

leaks using one of the leak tests 

described in this section upon initial 

sampling system installation, after 

maintenance such as pre-filter changes, 

and within eight hours before each 

duty-cycle sequence. This verification 

does not apply to any full-flow portion 

of a CVS dilution system. 

(b) Measurement principles. A leak 

may be detected either by measuring a 

small amount of flow when there should 

be zero flow, or by detecting the 

dilution of a known concentration of 

span gas when it flows through the 

vacuum side of a sampling system. 

(c) Low-flow leak test. Test a sampling 

system for low-flow leaks as follows: 

(1) Seal the probe end of the system 

by taking one of the following steps: 

(i) Cap or plug the end of the sample 

probe. 

(ii) Disconnect the transfer line at the 

probe and cap or plug the transfer line. 

(iii) Close a leak-tight valve located in 

the sample transfer line within 92 cm of 

the probe. 

(2) Operate all vacuum pumps. After 

stabilizing, verify that the flow through 

the vacuum-side of the sampling system 

is less than 0.5% of the system’s normal 

in-use flow rate. You may estimate 

typical analyzer and bypass flows as an 

approximation of the system’s normal 

in-use flow rate. 

(d) Dilution-of-span-gas leak test. You 

may use any gas analyzer for this test. 

If you use a FID for this test, correct for 

any HC contamination in the sampling 

system according to § 1065.660. To 

avoid misleading results from this test, 

we recommend using only analyzers 

that have a repeatability of 0.5% or 

better at the span gas concentration used 

for this test. Perform a vacuum-side leak 

test as follows: 

(1) Prepare a gas analyzer as you 

would for emission testing. 

(2) Supply span gas to the analyzer 

port and verify that it measures the span 

gas concentration within its expected 

measurement accuracy and 

repeatability. 

(3) Route overflow span gas to one of 

the following locations in the sampling 

system: 

(i) The end of the sample probe. 

(ii) Disconnect the transfer line at the 

probe connection, and overflow the 

span gas at the open end of the transfer 

line. 

(iii) A three-way valve installed inline between a probe and its transfer 

line, such as a system overflow zero and 

span port. 

(4) Verify that the measured overflow 

span gas concentration is within ± 0.5% 

of the span gas concentration. A 

measured value lower than expected 

indicates a leak, but a value higher than 

expected may indicate a problem with 

the span gas or the analyzer itself. A 

measured value higher than expected 

does not indicate a leak. 

(e) Vacuum-decay leak test. To 

perform this test you must apply a 

vacuum to the vacuum-side volume of 

your sampling system and then observe 

the leak rate of your system as a decay 

in the applied vacuum. To perform this 

test you must know the vacuum-side 

volume of your sampling system to 

within ± 10% of its true volume. For 

this test you must also use measurement 

instruments that meet the specifications 

of subpart C of this part and of this 

subpart D. Perform a vacuum-decay leak 

test as follows: 

(1) Seal the probe end of the system 

as close to the probe opening as possible 

by taking one of the following steps: 

(i) Cap or plug the end of the sample 

probe. 

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(ii) Disconnect the transfer line at the 

probe and cap or plug the transfer line. 

(iii) Close a leak-tight valve in-line 

between a probe and transfer line. 

(2) Operate all vacuum pumps. Draw 

a vacuum that is representative of 

normal operating conditions. In the case 

of sample bags, we recommend that you 

repeat your normal sample bag pumpdown procedure twice to minimize any 

trapped volumes. 

(3) Turn off the sample pumps and 

seal the system. Measure and record the 

absolute pressure of the trapped gas and 

optionally the system absolute 

temperature. Wait long enough for any 

transients to settle and long enough for 

a leak at 0.5% to have caused a pressure 

change of at least 10 times the 

resolution of the pressure transducer, 

then again record the pressure and 

optionally temperature. 

(4) Calculate the leak flow rate based 

on an assumed value of zero for 

pumped-down bag volumes and based 

on known values for the sample system 

volume, the initial and final pressures, 

optional temperatures, and elapsed 

time. Using the calculations specified in 

1065.644, verify that the vacuum-decay 

leak flow rate is less than 0.5% of the 

system’s normal in-use flow rate. 

■ 83. Section 1065.350 is amended by 

revising paragraphs (c) and (d) to read 

as follows: 

§ 1065.350 H2O interference verification 

for CO2 NDIR analyzers. 

* * * * * 

(c) System requirements. A CO2 NDIR 

analyzer must have an H2O interference 

that is within (0.0 ±0.4) mmol/mol, 

though we strongly recommend a lower 

interference that is within (0.0 ±0.2) 

mmol/mol. 

(d) Procedure. Perform the 

interference verification as follows: 

(1) Start, operate, zero, and span the 

CO2 NDIR analyzer as you would before 

an emission test. 

(2) Create a humidified test gas by 

bubbling zero air that meets the 

specifications in § 1065.750 through 

distilled water in a sealed vessel. If the 

sample is not passed through a dryer, 

control the vessel temperature to 

generate an H2O level at least as high as 

the maximum expected during testing. If 

the sample is passed through a dryer 

during testing, control the vessel 

temperature to generate an H2O level at 

least as high as the level determined in 

§ 1065.145(d)(2). 

(3) Introduce the humidified test gas 

into the sample system. You may 

introduce it downstream of any sample 

dryer, if one is used during testing. 

(4) Measure the humidified test gas 

dewpoint, Tdew, and pressure, ptotal, as 

close as possible to the inlet of the 

analyzer. 

(5) Downstream of the vessel, 

maintain the humidified test gas 

temperature at least 5 °C above its 

dewpoint. 

(6) Allow time for the analyzer 

response to stabilize. Stabilization time 

may include time to purge the transfer 

line and to account for analyzer 

response. 

(7) While the analyzer measures the 

sample’s concentration, record 30 

seconds of sampled data. Calculate the 

arithmetic mean of this data. The 

analyzer meets the interference 

verification if this value is within 

(0 ±0.4) mmol/mol. 

* * * * * 

■ 84. Section 1065.355 is amended by 

revising paragraph (d) to read as 

follows: 

§ 1065.355 H2O and CO2 interference 

verification for CO NDIR analyzers. 

* * * * * 

(d) Procedure. Perform the 

interference verification as follows: 

(1) Start, operate, zero, and span the 

CO NDIR analyzer as you would before 

an emission test. 

(2) Create a humidified CO2 test gas 

by bubbling a CO2 span gas through 

distilled water in a sealed vessel. If the 

sample is not passed through a dryer, 

control the vessel temperature to 

generate an H2O level at least as high as 

the maximum expected during testing. If 

the sample is passed through a dryer 

during testing, control the vessel 

temperature to generate an H2O level at 

least as high as the level determined in 

§ 1065.145(d)(2). Use a CO2 span gas 

concentration at least as high as the 

maximum expected during testing. 

(3) Introduce the humidified CO2 test 

gas into the sample system. You may 

introduce it downstream of any sample 

dryer, if one is used during testing. 

(4) Measure the humidified CO2 test 

gas dewpoint, Tdew, and pressure, ptotal, 

as close as possible to the inlet of the 

analyzer. 

(5) Downstream of the vessel, 

maintain the humidified gas 

temperature at least 5 °C above its 

dewpoint. 

(6) Allow time for the analyzer 

response to stabilize. Stabilization time 

may include time to purge the transfer 

line and to account for analyzer 

response. 

(7) While the analyzer measures the 

sample’s concentration, record its 

output for 30 seconds. Calculate the 

arithmetic mean of this data. 

(8) The analyzer meets the 

interference verification if the result of 

paragraph (d)(7) of this section meets 

the tolerance in paragraph (c) of this 

section. 

(9) You may also run interference 

procedures for CO2 and H2O separately. 

If the CO2 and H2O levels used are 

higher than the maximum levels 

expected during testing, you may scale 

down each observed interference value 

by multiplying the observed 

interference by the ratio of the 

maximum expected concentration value 

to the actual value used during this 

procedure. You may run the separate 

interference procedures concentrations 

of H2O (down to 0.025 mol/mol H2O 

content) that are lower than the 

maximum levels expected during 

testing, but you must scale up the 

observed H2O interference by 

multiplying the observed interference 

by the ratio of the maximum expected 

H2O concentration value to the actual 

value used during this procedure. The 

sum of the two scaled interference 

values must meet the tolerance in 

paragraph (c) of this section. 

* * * * * 

■ 85. Section 1065.360 is revised to read 

as follows: 

§ 1065.360 FID optimization and 

verification. 

(a) Scope and frequency. For all FID 

analyzers, calibrate the FID upon initial 

installation. Repeat the calibration as 

needed using good engineering 

judgment. For a FID that measures THC, 

perform the following steps: 

(1) Optimize the response to various 

hydrocarbons after initial analyzer 

installation and after major maintenance 

as described in paragraph (c) of this 

section. 

(2) Determine the methane (CH4) 

response factor after initial analyzer 

installation and after major maintenance 

as described in paragraph (d) of this 

section. 

(3) Verify the methane (CH4) response 

within 185 days before testing as 

described in paragraph (e) of this 

section. 

(b) Calibration. Use good engineering 

judgment to develop a calibration 

procedure, such as one based on the 

FID-analyzer manufacturer’s 

instructions and recommended 

frequency for calibrating the FID. 

Alternately, you may remove system 

components for off-site calibration. For 

a FID that measures THC, calibrate 

using C3H8 calibration gases that meet 

the specifications of § 1065.750. For a 

FID that measures CH4, calibrate using 

CH4 calibration gases that meet the 

specifications of § 1065.750. We 

recommend FID analyzer zero and span 

gases that contain approximately the 

flow-weighted mean concentration of O2

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expected during testing. If you use a FID 

to measure methane (CH4) downstream 

of a nonmethane cutter, you may 

calibrate that FID using CH4 calibration 

gases with the cutter. Regardless of the 

calibration gas composition, calibrate on 

a carbon number basis of one (C1). For 

example, if you use a C3H8 span gas of 

concentration 200 μmol/mol, span the 

FID to respond with a value of 600 

μmol/mol. As another example, if you 

use a CH4 span gas with a concentration 

of 200 μmol/mol, span the FID to 

respond with a value of 200 μmol/mol. 

(c) THC FID response optimization. 

This procedure is only for FID analyzers 

that measure THC. Use good 

engineering judgment for initial 

instrument start-up and basic operating 

adjustment using FID fuel and zero air. 

Heated FIDs must be within their 

required operating temperature ranges. 

Optimize FID response at the most 

common analyzer range expected during 

emission testing. Optimization involves 

adjusting flows and pressures of FID 

fuel, burner air, and sample to minimize 

response variations to various 

hydrocarbon species in the exhaust. Use 

good engineering judgment to trade off 

peak FID response to propane 

calibration gases to achieve minimal 

response variations to different 

hydrocarbon species. For an example of 

trading off response to propane for 

relative responses to other hydrocarbon 

species, see SAE 770141 (incorporated 

by reference in § 1065.1010). Determine 

the optimum flow rates and/or pressures 

for FID fuel, burner air, and sample and 

record them for future reference. 

(d) THC FID CH4 response factor 

determination. This procedure is only 

for FID analyzers that measure THC. 

Since FID analyzers generally have a 

different response to CH4 versus C3H8, 

determine each THC FID analyzer’s CH4

response factor, RFCH4[THC–FID], after FID 

optimization. Use the most recent 

RFCH4[THC–FID] measured according to 

this section in the calculations for HC 

determination described in § 1065.660 

to compensate for CH4 response. 

Determine RFCH4[THC–FID] as follows, 

noting that you do not determine 

RFCH4[THC–FID] for FIDs that are 

calibrated and spanned using CH4 with 

a nonmethane cutter: 

(1) Select a C3H8 span gas 

concentration that you use to span your 

analyzers before emission testing. Use 

only span gases that meet the 

specifications of § 1065.750. Record the 

C3H8 concentration of the gas. 

(2) Select a CH4 span gas 

concentration that you use to span your 

analyzers before emission testing. Use 

only span gases that meet the 

specifications of § 1065.750. Record the 

CH4 concentration of the gas. 

(3) Start and operate the FID analyzer 

according to the manufacturer’s 

instructions. 

(4) Confirm that the FID analyzer has 

been calibrated using C3H8. Calibrate on 

a carbon number basis of one (C1). For 

example, if you use a C3H8 span gas of 

concentration 200 μmol/mol, span the 

FID to respond with a value of 600 

μmol/mol. 

(5) Zero the FID with a zero gas that 

you use for emission testing. 

(6) Span the FID with the C3H8 span 

gas that you selected under paragraph 

(d)(1) of this section. 

(7) Introduce at the sample port of the 

FID analyzer, the CH4 span gas that you 

selected under paragraph (d)(2) of this 

section. 

(8) Allow time for the analyzer 

response to stabilize. Stabilization time 

may include time to purge the analyzer 

and to account for its response. 

(9) While the analyzer measures the 

CH4 concentration, record 30 seconds of 

sampled data. Calculate the arithmetic 

mean of these values. 

(10) Divide the mean measured 

concentration by the recorded span 

concentration of the CH4 calibration gas. 

The result is the FID analyzer’s response 

factor for CH4, RFCH4[THC–FID].

(e) THC FID methane (CH4) response 

verification. This procedure is only for 

FID analyzers that measure THC. If the 

value of RFCH4[THC–FID] from paragraph 

(d) of this section is within ±5.0% of its 

most recent previously determined 

value, the THC FID passes the methane 

response verification. For example, if 

the most recent previous value for 

RFCH4[THC–FID] was 1.05 and it changed 

by ±0.05 to become 1.10 or it changed 

by ¥0.05 to become 1.00, either case 

would be acceptable because ±4.8% is 

less than ±5.0%. Verify RFCH4[THC–FID] as 

follows: 

(1) First verify that the flow rates and/ 

or pressures of FID fuel, burner air, and 

sample are each within ±0.5% of their 

most recent previously recorded values, 

as described in paragraph (c) of this 

section. You may adjust these flow rates 

as necessary. Then determine the 

RFCH4[THC–FID] as described in paragraph 

(d) of this section and verify that it is 

within the tolerance specified in this 

paragraph (e). 

(2) If RFCH4[THC–FID] is is not within 

the tolerance specified in this paragraph 

(e), re-optimize the FID response as 

described in paragraph (c) of this 

section. 

(3) Determine a new RFCH4[THC–FID] as 

described in paragraph (d) of this 

section. Use this new value of 

RFCH4[THC–FID] in the calculations for HC 

determination, as described in 

§ 1065.660. 

■ 86. Section 1065.362 is amended by 

revising paragraph (d) to read as 

follows: 

§ 1065.362 Non-stoichiometric raw 

exhaust FID O2 interference verification. 

* * * * * 

(d) Procedure. Determine FID O2

interference as follows, noting that you 

may use one or more gas dividers to 

create the reference gas concentrations 

that are required to perform this 

verification: 

(1) Select three span reference gases 

that contain a C3H8 concentration that 

you use to span your analyzers before 

emission testing. Use only span gases 

that meet the specifications of 

§ 1065.750. You may use CH4 span 

reference gases for FIDs calibrated on 

CH4 with a nonmethane cutter. Select 

the three balance gas concentrations 

such that the concentrations of O2 and 

N2 represent the minimum, maximum, 

and average O2 concentrations expected 

during testing. The requirement for 

using the average O2 concentration can 

be removed if you choose to calibrate 

the FID with span gas balanced with the 

average expected oxygen concentration. 

(2) Confirm that the FID analyzer 

meets all the specifications of 

§ 1065.360. 

(3) Start and operate the FID analyzer 

as you would before an emission test. 

Regardless of the FID burner’s air source 

during testing, use zero air as the FID 

burner’s air source for this verification. 

(4) Zero the FID analyzer using the 

zero gas used during emission testing. 

(5) Span the FID analyzer using a span 

gas that you use during emission testing. 

(6) Check the zero response of the FID 

analyzer using the zero gas used during 

emission testing. If the mean zero 

response of 30 seconds of sampled data 

is within ±0.5% of the span reference 

value used in paragraph (d)(5) of this 

section, then proceed to the next step; 

otherwise restart the procedure at 

paragraph (d)(4) of this section. 

(7) Check the analyzer response using 

the span gas that has the minimum 

concentration of O2 expected during 

testing. Record the mean response of 30 

seconds of stabilized sample data as 

xO2minHC. 

(8) Check the zero response of the FID 

analyzer using the zero gas used during 

emission testing. If the mean zero 

response of 30 seconds of stabilized 

sample data is within ±0.5% of the span 

reference value used in paragraph (d)(5) 

of this section, then proceed to the next 

step; otherwise restart the procedure at 

paragraph (d)(4) of this section. 

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(9) Check the analyzer response using 

the span gas that has the average 

concentration of O2 expected during 

testing. Record the mean response of 30 

seconds of stabilized sample data as 

xO2avgHC. 

(10) Check the zero response of the 

FID analyzer using the zero gas used 

during emission testing. If the mean 

zero response of 30 seconds of stabilized 

sample data is within ±0.5% of the span 

reference value used in paragraph (d)(5) 

of this section, proceed to the next step; 

otherwise restart the procedure at 

paragraph (d)(4) of this section. 

(11) Check the analyzer response 

using the span gas that has the 

maximum concentration of O2 expected 

during testing. Record the mean 

response of 30 seconds of stabilized 

sample data as xO2maxHC.

(12) Check the zero response of the 

FID analyzer using the zero gas used 

during emission testing. If the mean 

zero response of 30 seconds of stabilized 

sample data is within ±0.5% of the span 

reference value used in paragraph (d)(5) 

of this section, then proceed to the next 

step; otherwise restart the procedure at 

paragraph (d)(4) of this section. 

(13) Calculate the percent difference 

between xO2maxHC and its reference gas 

concentration. Calculate the percent 

difference between xO2avgHC and its 

reference gas concentration. Calculate 

the percent difference between xO2minHC

and its reference gas concentration. 

Determine the maximum percent 

difference of the three. This is the O2

interference. 

(14) If the O2 interference is within 

±2%, the FID passes the O2 interference 

verification; otherwise perform one or 

more of the following to address the 

deficiency: 

(i) Repeat the verification to 

determine if a mistake was made during 

the procedure. 

(ii) Select zero and span gases for 

emission testing that contain higher or 

lower O2 concentrations and repeat the 

verification. 

(iii) Adjust FID burner air, fuel, and 

sample flow rates. Note that if you 

adjust these flow rates on a THC FID to 

meet the O2 interference verification, 

you have reset RFCH4 for the next RFCH4

verification according to § 1065.360. 

Repeat the O2 interference verification 

after adjustment and determine RFCH4. 

(iv) Repair or replace the FID and 

repeat the O2 interference verification. 

(v) Demonstrate that the deficiency 

does not adversely affect your ability to 

demonstrate compliance with the 

applicable emission standards. 

■ 87. Section 1065.365 is revised to read 

as follows: 

§ 1065.365 Nonmethane cutter penetration 

fractions. 

(a) Scope and frequency. If you use a 

FID analyzer and a nonmethane cutter 

(NMC) to measure methane (CH4), 

determine the nonmethane cutter’s 

penetration fractions of methane, PFCH4, 

and ethane, PFC2H6. As detailed in this 

section, these penetration fractions may 

be determined as a combination of NMC 

penetration fractions and FID analyzer 

response factors, depending on your 

particular NMC and FID analyzer 

configuration. Perform this verification 

after installing the nonmethane cutter. 

Repeat this verification within 185 days 

of testing to verify that the catalytic 

activity of the cutter has not 

deteriorated. Note that because 

nonmethane cutters can deteriorate 

rapidly and without warning if they are 

operated outside of certain ranges of gas 

concentrations and outside of certain 

temperature ranges, good engineering 

judgment may dictate that you 

determine a nonmethane cutter’s 

penetration fractions more frequently. 

(b) Measurement principles. A 

nonmethane cutter is a heated catalyst 

that removes nonmethane hydrocarbons 

from an exhaust sample stream before 

the FID analyzer measures the 

remaining hydrocarbon concentration. 

An ideal nonmethane cutter would have 

a methane penetration fraction, PFCH4, 

of 1.000, and the penetration fraction for 

all other nonmethane hydrocarbons 

would be 0.000, as represented by 

PFC2H6. The emission calculations in 

§ 1065.660 use the measured values 

from this verification to account for less 

than ideal NMC performance. 

(c) System requirements. We do not 

limit NMC penetration fractions to a 

certain range. However, we recommend 

that you optimize a nonmethane cutter 

by adjusting its temperature to achieve 

a PFCH4 >0.85 and a PFC2H6 <0.02, as 

determined by paragraphs (d), (e), or (f) 

of this section, as applicable. If we use 

a nonmethane cutter for testing, it will 

meet this recommendation. If adjusting 

NMC temperature does not result in 

achieving both of these specifications 

simultaneously, we recommend that 

you replace the catalyst material. Use 

the most recently determined 

penetration values from this section to 

calculate HC emissions according to 

§ 1065.660 and § 1065.665 as applicable. 

(d) Procedure for a FID calibrated 

with the NMC. The method described in 

this paragraph (d) is recommended over 

the procedures specified in paragraphs 

(e) and (f) of this section. If your FID 

arrangement is such that a FID is always 

calibrated to measure CH4 with the 

NMC, then span that FID with the NMC 

using a CH4 span gas, set the product of 

that FID’s CH4 response factor and CH4

penetration fraction, RFPFCH4[NMC–FID], 

equal to 1.0 for all emission 

calculations, and determine its 

combined ethane (C2H6) response factor 

and penetration fraction, 

RFPFC2H6[NMC–FID] as follows: 

(1) Select a CH4 gas mixture and a 

C2H6 analytical gas mixture and ensure 

that both mixtures meet the 

specifications of § 1065.750. Select a 

CH4 concentration that you would use 

for spanning the FID during emission 

testing and select a C2H6 concentration 

that is typical of the peak NMHC 

concentration expected at the 

hydrocarbon standard or equal to THC 

analyzer’s span value. 

(2) Start, operate, and optimize the 

nonmethane cutter according to the 

manufacturer’s instructions, including 

any temperature optimization. 

(3) Confirm that the FID analyzer 

meets all the specifications of 

§ 1065.360. 

(4) Start and operate the FID analyzer 

according to the manufacturer’s 

instructions. 

(5) Zero and span the FID with the 

cutter and use CH4 span gas to span the 

FID with the cutter. Note that you must 

span the FID on a C1 basis. For example, 

if your span gas has a CH4 reference 

value of 100 μmol/mol, the correct FID 

response to that span gas is 100 μmol/ 

mol because there is one carbon atom 

per CH4 molecule. 

(6) Introduce the C2H6 analytical gas 

mixture upstream of the nonmethane 

cutter. 

(7) Allow time for the analyzer 

response to stabilize. Stabilization time 

may include time to purge the 

nonmethane cutter and to account for 

the analyzer’s response. 

(8) While the analyzer measures a 

stable concentration, record 30 seconds 

of sampled data. Calculate the 

arithmetic mean of these data points. 

(9) Divide the mean by the reference 

value of C2H6, converted to a C1 basis. 

The result is the C2H6 combined 

response factor and penetration fraction, 

RFPFC2H6[NMC–FID]. Use this combined 

response factor and penetration fraction 

and the product of the CH4 response 

factor and CH4 penetration fraction, 

RFPFCH4[NMC–FID], set to 1.0 in emission 

calculations according to 

§ 1065.660(b)(2)(i) or § 1065.665, as 

applicable. 

(e) Procedure for a FID calibrated with 

propane, bypassing the NMC. If you use 

a FID with an NMC that is calibrated 

with propane, C3H8, by bypassing the 

NMC, determine its penetration 

fractions, PFC2H6[NMC–FID] and 

PFCH4[NMC–FID], as follows: 

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(1) Select CH4 and C2H6 analytical gas 

mixtures that meet the specifications of 

§ 1065.750 with the CH4 concentration 

typical of its peak concentration 

expected at the hydrocarbon standard 

and the C2H6 concentration typical of 

the peak total hydrocarbon (THC) 

concentration expected at the 

hydrocarbon standard or the THC 

analyzer span value. 

(2) Start and operate the nonmethane 

cutter according to the manufacturer’s 

instructions, including any temperature 

optimization. 

(3) Confirm that the FID analyzer 

meets all the specifications of 

§ 1065.360. 

(4) Start and operate the FID analyzer 

according to the manufacturer’s 

instructions. 

(5) Zero and span the FID as you 

would during emission testing. Span the 

FID by bypassing the cutter and by 

using C3H8 span gas to span the FID. 

Note that you must span the FID on a 

C1 basis. For example, if your span gas 

has a propane reference value of 100 

μmol/mol, the correct FID response to 

that span gas is 300 μmol/mol because 

there are three carbon atoms per C3H8

molecule. 

(6) Introduce the C2H6 analytical gas 

mixture upstream of the nonmethane 

cutter at the same point the zero gas was 

introduced. 

(7) Allow time for the analyzer 

response to stabilize. Stabilization time 

may include time to purge the 

nonmethane cutter and to account for 

the analyzer’s response. 

(8) While the analyzer measures a 

stable concentration, record 30 seconds 

of sampled data. Calculate the 

arithmetic mean of these data points. 

(9) Reroute the flow path to bypass 

the nonmethane cutter, introduce the 

C2H6 analytical gas mixture to the 

bypass, and repeat the steps in 

paragraphs (e)(7) through (8) of this 

section. 

(10) Divide the mean C2H6

concentration measured through the 

nonmethane cutter by the mean 

concentration measured after bypassing 

the nonmethane cutter. The result is the 

C2H6 penetration fraction, 

PFC2H6[NMC–FID]. Use this penetration 

fraction according to § 1065.660(b)(2)(ii) 

or § 1065.665, as applicable. 

(11) Repeat the steps in paragraphs 

(e)(6) through (10) of this section, but 

with the CH4 analytical gas mixture 

instead of C2H6. The result will be the 

CH4 penetration fraction, PFCH4[NMC–FID]. 

Use this penetration fraction according 

to § 1065.660(b)(2)(ii) or § 1065.665, as 

applicable. 

(f) Procedure for a FID calibrated with 

methane, bypassing the NMC. If you use 

a FID with an NMC that is calibrated 

with methane, CH4, by bypassing the 

NMC, determine its combined ethane 

(C2H6) response factor and penetration 

fraction, RFPFC2H6[NMC–FID], as well as 

its CH4 penetration fraction, 

PFCH4[NMC–FID], as follows: 

(1) Select CH4 and C2H6 analytical gas 

mixtures that meet the specifications of 

§ 1065.750, with the CH4 concentration 

typical of its peak concentration 

expected at the hydrocarbon standard 

and the C2H6 concentration typical of 

the peak total hydrocarbon (THC) 

concentration expected at the 

hydrocarbon standard or the THC 

analyzer span value. 

(2) Start and operate the nonmethane 

cutter according to the manufacturer’s 

instructions, including any temperature 

optimization. 

(3) Confirm that the FID analyzer 

meets all the specifications of 

§ 1065.360. 

(4) Start and operate the FID analyzer 

according to the manufacturer’s 

instructions. 

(5) Zero and span the FID as you 

would during emission testing. Span the 

FID with CH4 span gas by bypassing the 

cutter. Note that you must span the FID 

on a C1 basis. For example, if your span 

gas has a methane reference value of 100 

μmol/mol, the correct FID response to 

that span gas is 100 μmol/mol because 

there is one carbon atom per CH4

molecule. 

(6) Introduce the C2H6 analytical gas 

mixture upstream of the nonmethane 

cutter at the same point the zero gas was 

introduced. 

(7) Allow time for the analyzer 

response to stabilize. Stabilization time 

may include time to purge the 

nonmethane cutter and to account for 

the analyzer’s response. 

(8) While the analyzer measures a 

stable concentration, record 30 seconds 

of sampled data. Calculate the 

arithmetic mean of these data points. 

(9) Reroute the flow path to bypass 

the nonmethane cutter, introduce the 

C2H6 analytical gas mixture to the 

bypass, and repeat the steps in 

paragraphs (e)(7) and (8) of this section. 

(10) Divide the mean C2H6

concentration measured through the 

nonmethane cutter by the mean 

concentration measured after bypassing 

the nonmethane cutter. The result is the 

C2H6 combined response factor and 

penetration fraction, RFPFC2H6[NMC–FID]. 

Use this combined response factor and 

penetration fraction according to 

§ 1065.660(b)(2)(iii) or § 1065.665, as 

applicable. 

(11) Repeat the steps in paragraphs 

(e)(6) through (10) of this section, but 

with the CH4 analytical gas mixture 

instead of C2H6. The result will be the 

CH4 penetration fraction, PFCH4[NMC–FID]. 

Use this penetration fraction according 

to § 1065.660(b)(2)(iii) or § 1065.665, as 

applicable. 

■ 88. Section 1065.370 is amended by 

revising paragraphs (d), (e), and (g)(1) to 

read as follows: 

§ 1065.370 CLD CO2 and H2O quench 

verification. 

* * * * * 

(d) CO2 quench verification 

procedure. Use the following method to 

determine CO2 quench, or use good 

engineering judgment to develop a 

different protocol: 

(1) Use PTFE or stainless steel tubing 

to make necessary connections. 

(2) Connect a pressure-regulated CO2

span gas to the port of a gas divider that 

meets the specifications in § 1065.248 at 

the appropriate time. Use a CO2 span 

gas that meets the specifications of 

§ 1065.750 and attempt to use a 

concentration that is approximately 

twice the maximum CO2 concentration 

expected to enter the CLD sample port 

during testing, if available. 

(3) Connect a pressure-regulated 

purified N2 gas to the port of a gas 

divider that meets the specifications in 

§ 1065.248 at the appropriate time. Use 

a purified N2 gas that meets the 

specifications of § 1065.750. 

(4) Connect a pressure-regulated NO 

span gas to the port of the gas divider 

that meets the specifications in 

§ 1065.248. Use an NO span gas that 

meets the specifications of § 1065.750. 

Attempt to use an NO concentration that 

is approximately twice the maximum 

NO concentration expected during 

testing, if available. 

(5) Configure the gas divider such that 

nearly equal amounts of the span gas 

and balance gas are blended with each 

other. Apply viscosity corrections as 

necessary to appropriately ensure 

correct gas division. 

(6) While flowing NO and CO2

through the gas divider, stabilize the 

CO2 concentration downstream of the 

gas divider and measure the CO2

concentration with an NDIR analyzer 

that has been prepared for emission 

testing. You may alternatively 

determine the CO2 concentration from 

the gas divider cut-point, applying 

viscosity correction as necessary to 

ensure accurate gas division. Record 

this concentration, xCO2meas, and use it 

in the quench verification calculations 

in § 1065.675. 

(7) Measure the NO concentration 

downstream of the gas divider. If the 

CLD has an operating mode in which it 

detects NO-only, as opposed to total 

NOX, operate the CLD in the NO-only 

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operating mode. Record this 

concentration, xNO,CO2, and use it in the 

quench verification calculations in 

§ 1065.675. 

(8) Switch the flow of CO2 off and 

start the flow of 100% purified N2 to the 

inlet port of the gas divider. Monitor the 

CO2 at the gas divider’s outlet until its 

concentration stabilizes at zero. 

(9) Measure NO concentration at the 

gas divider’s outlet. Record this value, 

xNO,N2, and use it in the quench 

verification calculations in § 1065.675. 

(10) Use the values recorded 

according to this paragraph (d) of this 

section and paragraph (e) of this section 

to calculate quench as described in 

§ 1065.675. 

(e) H2O quench verification 

procedure. Use the following method to 

determine H2O quench, or use good 

engineering judgment to develop a 

different protocol: 

(1) Use PTFE or stainless steel tubing 

to make necessary connections. 

(2) If the CLD has an operating mode 

in which it detects NO-only, as opposed 

to total NOX, operate the CLD in the NOonly operating mode. 

(3) Measure an NO calibration span 

gas that meets the specifications of 

§ 1065.750 and is near the maximum 

concentration expected during testing. 

Record this concentration, xNOdry. 

(4) Humidify the NO span gas by 

bubbling it through distilled water in a 

sealed vessel. If the sample is not passed 

through a dryer, control the vessel 

temperature to generate an H2O level at 

least as high as the maximum expected 

during testing. If the sample is passed 

through a dryer during testing, control 

the vessel temperature to generate an 

H2O level at least as high as the level 

determined in § 1065.145(d)(2). We 

recommend that you humidify the gas to 

the highest sample dewpoint that you 

estimate at the CLD inlet during 

emission sampling. Regardless of the 

humidity during this test, the quench 

verification calculations in § 1065.675 

scale the recorded quench to the highest 

dewpoint expected for flow entering the 

CLD sample port during emission 

sampling. 

(5) Introduce the humidified NO test 

gas into the sample system. You may 

introduce it downstream of any sample 

dryer, if one is used during testing. 

(6) Measure the humidified gas 

dewpoint, Tdew, and pressure, ptotal, as 

close as possible to the analyzer inlet. 

(7) Downstream of the vessel, 

maintain the humidified NO test gas 

temperature at least 5 °C above its 

dewpoint. 

(8) Allow time for the analyzer 

response to stabilize. Stabilization time 

may include time to purge the transfer 

line and to account for analyzer 

response. 

(9) While the analyzer measures the 

sample’s concentration, record the 

analyzer’s output for 30 seconds. 

Calculate the arithmetic mean of these 

data. This mean is xNOmeas. 

(10) Set xNOwet equal to xNOmeas from 

paragraph (e)(9) of this section. 

(11) Use xNOwet to calculate the 

quench according to § 1065.675. 

* * * * * 

(g) * * * 

(1) You may omit this verification if 

you can show by engineering analysis 

that for your NOX sampling system and 

your emission calculations procedures, 

the combined CO2 and H2O interference 

for your NOX CLD analyzer always 

affects your brake-specific NOX

emission results within no more than 

±1.0% of the applicable NOX standard. 

* * * * * 

■ 89. Section 1065.372 is amended by 

revising paragraphs (d)(7) and (e)(1) to 

read as follows: 

§ 1065.372 NDUV analyzer HC and H2O 

interference verification. 

* * * * * 

(d) * * * 

(7) Multiply this difference by the 

ratio of the flow-weighted mean HC 

concentration expected at the standard 

to the HC concentration measured 

during the verification. The analyzer 

meets the interference verification of 

this section if this result is within ±2% 

of the NOX concentration expected at 

the standard. 

(e) * * * 

(1) You may omit this verification if 

you can show by engineering analysis 

that for your NOX sampling system and 

your emission calculations procedures, 

the combined HC and H2O interference 

for your NOX NDUV analyzer always 

affects your brake-specific NOX

emission results by less than 0.5% of 

the applicable NOX standard. 

* * * * * 

■ 90. Section 1065.376 is revised to read 

as follows: 

§ 1065.376 Chiller NO2 penetration. 

(a) Scope and frequency. If you use a 

chiller to dry a sample upstream of a 

NOX measurement instrument, but you 

don’t use an NO2-to-NO converter 

upstream of the chiller, you must 

perform this verification for chiller NO2

penetration. Perform this verification 

after initial installation and after major 

maintenance. 

(b) Measurement principles. A chiller 

removes water, which can otherwise 

interfere with a NOX measurement. 

However, liquid water remaining in an 

improperly designed chiller can remove 

NO2 from the sample. If a chiller is used 

without an NO2-to-NO converter 

upstream, it could remove NO2 from the 

sample prior NOX measurement. 

(c) System requirements. A chiller 

must allow for measuring at least 95% 

of the total NO2 at the maximum 

expected concentration of NO2. 

(d) Procedure. Use the following 

procedure to verify chiller performance: 

(1) Instrument setup. Follow the 

analyzer and chiller manufacturers’ 

start-up and operating instructions. 

Adjust the analyzer and chiller as 

needed to optimize performance. 

(2) Equipment setup and data 

collection. (i) Zero and span the total 

NOX gas analyzer(s) as you would before 

emission testing. 

(ii) Select an NO2 calibration gas, 

balance gas of dry air, that has an NO2

concentration within ±5% of the 

maximum NO2 concentration expected 

during testing. 

(iii) Overflow this calibration gas at 

the gas sampling system’s probe or 

overflow fitting. Allow for stabilization 

of the total NOX response, accounting 

only for transport delays and instrument 

response. 

(iv) Calculate the mean of 30 seconds 

of recorded total NOX data and record 

this value as xNOXref.

(v) Stop flowing the NO2 calibration 

gas. 

(vi) Next saturate the sampling system 

by overflowing a dewpoint generator’s 

output, set at a dewpoint of 50 °C, to the 

gas sampling system’s probe or overflow 

fitting. Sample the dewpoint generator’s 

output through the sampling system and 

chiller for at least 10 minutes until the 

chiller is expected to be removing a 

constant rate of water. 

(vii) Immediately switch back to 

overflowing the NO2 calibration gas 

used to establish xNOxref. Allow for 

stabilization of the total NOX response, 

accounting only for transport delays and 

instrument response. Calculate the 

mean of 30 seconds of recorded total 

NOX data and record this value as 

xNOxmeas. 

(viii) Correct xNOxmeas to xNOxdry based 

upon the residual water vapor that 

passed through the chiller at the 

chiller’s outlet temperature and 

pressure. 

(3) Performance evaluation. If xNOxdry

is less than 95% of xNOxref, repair or 

replace the chiller. 

(e) Exceptions. The following 

exceptions apply: 

(1) You may omit this verification if 

you can show by engineering analysis 

that for your NOX sampling system and 

your emission calculations procedures, 

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specific NOX emission results by less 

than 0.5% of the applicable NOX

standard. 

(2) You may use a chiller that you 

determine does not meet this 

verification, as long as you try to correct 

the problem and the measurement 

deficiency does not adversely affect 

your ability to show that engines 

comply with all applicable emission 

standards. 

■ 91. Section 1065.378 is amended by 

revising paragraphs (d) and (e)(1) to read 

as follows: 

§ 1065.378 NO2-to-NO converter 

conversion verification. 

* * * * * 

(d) Procedure. Use the following 

procedure to verify the performance of 

a NO2-to-NO converter: 

(1) Instrument setup. Follow the 

analyzer and NO2-to-NO converter 

manufacturers’ start-up and operating 

instructions. Adjust the analyzer and 

converter as needed to optimize 

performance. 

(2) Equipment setup. Connect an 

ozonator’s inlet to a zero-air or oxygen 

source and connect its outlet to one port 

of a three-way tee fitting. Connect an 

NO span gas to another port, and 

connect the NO2-to-NO converter inlet 

to the last port. 

(3) Adjustments and data collection. 

Perform this check as follows: 

(i) Set ozonator air off, turn ozonator 

power off, and set the analyzer to NO 

mode. Allow for stabilization, 

accounting only for transport delays and 

instrument response. 

(ii) Use an NO concentration that is 

representative of the peak total NOX

concentration expected during testing. 

The NO2 content of the gas mixture 

shall be less than 5% of the NO 

concentration. Record the concentration 

of NO by calculating the mean of 30 

seconds of sampled data from the 

analyzer and record this value as xNOref. 

(iii) Turn on the ozonator O2 supply 

and adjust the O2 flow rate so the NO 

indicated by the analyzer is about 10 

percent less than xNOref. Record the 

concentration of NO by calculating the 

mean of 30 seconds of sampled data 

from the analyzer and record this value 

as xNO∂O2mix. 

(iv) Switch the ozonator on and adjust 

the ozone generation rate so the NO 

measured by the analyzer is 20 percent 

of xNOref, while maintaining at least 10 

percent unreacted NO. Record the 

concentration of NO by calculating the 

mean of 30 seconds of sampled data 

from the analyzer and record this value 

as xNOmeas. 

(v) Switch the NOX analyzer to NOX

mode and measure total NOX. Record 

the concentration of NOX by calculating 

the mean of 30 seconds of sampled data 

from the analyzer and record this value 

as xNOxmeas. 

(vi) Switch off the ozonator but 

maintain gas flow through the system. 

The NOX analyzer will indicate the NOX

in the NO + O2 mixture. Record the 

concentration of NOX by calculating the 

mean of 30 seconds of sampled data 

from the analyzer and record this value 

as xNOx∂O2mix. 

(vii) Turn off the ozonator O2 supply. 

The NOX analyzer will indicate the NOX

in the original NO-in-N2 mixture. 

Record the concentration of NOX by 

calculating the mean of 30 seconds of 

sampled data from the analyzer and 

record this value as xNOxref. This value 

should be no more than 5 percent above 

the xNOref value. 

(4) Performance evaluation. Calculate 

the efficiency of the NOX converter 

efficiency by substituting the 

concentrations obtained into the 

following equation: 

Efficiency

x x

x x

 (%) = 1 2

2

+ −





 − +

+

NOxmeas NOx O mix

NO O mix NOmeas 









×100

(5) If the result is less than 95%, 

repair or replace the NO2-to-NO 

converter. 

(e) * * * 

(1) You may omit this verification if 

you can show by engineering analysis 

that for your NOX sampling system and 

your emission calculations procedures, 

the converter always affects your brakespecific NOX emission results by less 

than 0.5% of the applicable NOX

standard. 

* * * * * 

■ 92. Section 1065.390 is revised to read 

as follows: 

§ 1065.390 PM balance verifications and 

weighing process verification. 

(a) Scope and frequency. This section 

describes three verifications. 

(1) Independent verification of PM 

balance performance within 370 days 

before weighing any filter. 

(2) Zero and span the balance within 

12 h before weighing any filter. 

(3) Verify that the mass determination 

of reference filters before and after a 

filter weighing session are less than a 

specified tolerance. 

(b) Independent verification. Have the 

balance manufacturer (or a 

representative approved by the balance 

manufacturer) verify the balance 

performance within 370 days of testing. 

(c) Zeroing and spanning. You must 

verify balance performance by zeroing 

and spanning it with at least one 

calibration weight, and any weights you 

use must that meet the specifications in 

§ 1065.790 to perform this verification. 

(1) Use a manual procedure in which 

you zero the balance and span the 

balance with at least one calibration 

weight. If you normally use mean values 

by repeating the weighing process to 

improve the accuracy and precision of 

PM measurements, use the same process 

to verify balance performance. 

(2) You may use an automated 

procedure to verify balance 

performance. For example many 

balances have internal calibration 

weights that are used automatically to 

verify balance performance. Note that if 

you use internal balance weights, the 

weights must meet the specifications in 

§ 1065.790 to perform this verification. 

(d) Reference sample weighing. Verify 

all mass readings during a weighing 

session by weighing reference PM 

sample media (e.g., filters) before and 

after a weighing session. A weighing 

session may be as short as desired, but 

no longer than 80 hours, and may 

include both pre-test and post-test mass 

readings. We recommend that weighing 

sessions be eight hours or less. 

Successive mass determinations of each 

reference PM sample media (e.g., filter) 

must return the same value within ±10 

μg or ±10% of the net PM mass expected 

at the standard (if known), whichever is 

higher. If successive reference PM 

sample media (e.g., filter) weighing 

events fail this criterion, invalidate all 

individual test media (e.g., filter) mass 

readings occurring between the 

successive reference media (e.g., filter) 

mass determinations. You may reweigh 

these media (e.g., filter) in another 

weighing session. If you invalidate a 

pre-test media (e.g., filter) mass 

determination, that test interval is void. 

Perform this verification as follows: 

(1) Keep at least two samples of 

unused PM sample media (e.g., filters) 

in the PM-stabilization environment. 

Use these as references. If you collect 


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PM with filters, select unused filters of 

the same material and size for use as 

references. You may periodically 

replace references, using good 

engineering judgment. 

(2) Stabilize references in the PM 

stabilization environment. Consider 

references stabilized if they have been 

in the PM-stabilization environment for 

a minimum of 30 min, and the PMstabilization environment has been 

within the specifications of 

§ 1065.190(d) for at least the preceding 

60 min. 

(3) Exercise the balance several times 

with a reference sample. We 

recommend weighing ten samples 

without recording the values. 

(4) Zero and span the balance. Using 

good engineering judgment, place a test 

mass such as a calibration weight on the 

balance, then remove it. After spanning, 

confirm that the balance returns to a 

zero reading within the normal 

stabilization time. 

(5) Weigh each of the reference media 

(e.g., filters) and record their masses. We 

recommend using substitution weighing 

as described in § 1065.590(j). If you 

normally use mean values by repeating 

the weighing process to improve the 

accuracy and precision of the reference 

media (e.g., filter) mass, you must use 

mean values of sample media (e.g., 

filter) masses. 

(6) Record the balance environment 

dewpoint, ambient temperature, and 

atmospheric pressure. 

(7) Use the recorded ambient 

conditions to correct results for 

buoyancy as described in § 1065.690. 

Record the buoyancy-corrected mass of 

each of the references. 

(8) Subtract each reference media’s 

(e.g., filter’s) buoyancy-corrected 

reference mass from its previously 

measured and recorded buoyancycorrected mass. 

(9) If any of the reference filters’ 

observed mass changes by more than 

that allowed under this paragraph, you 

must invalidate all PM mass 

determinations made since the last 

successful reference media (e.g., filter) 

mass validation. You may discard 

reference PM media (e.g., filters) if only 

one one of the filter’s mass changes by 

more than the allowable amount and 

you can positively identify a special 

cause for that filter’s mass change that 

would not have affected other inprocess filters. Thus, the validation can 

be considered a success. In this case, 

you do not have to include the 

contaminated reference media when 

determining compliance with paragraph 

(d)(10) of this section, but the affected 

reference filter must be immediately 

discarded and replaced prior to the next 

weighing session. 

(10) If any of the reference masses 

change by more than that allowed under 

this paragraph (d), invalidate all PM 

results that were determined between 

the two times that the reference masses 

were determined. If you discarded 

reference PM sample media according to 

paragraph (d)(9) of this section, you 

must still have at least one reference 

mass difference that meets the criteria in 

this paragraph (d). Otherwise, you must 

invalidate all PM results that were 

determined between the two times that 

the reference media (e.g., filters) masses 

were determined. 

Subpart E—[Amended] 

■ 93. Section 1065.405 is revised to read 

as follows: 

§ 1065.405 Test engine preparation and 

maintenance. 

This part 1065 describes how to test 

engines for a variety of purposes, 

including certification testing, 

production-line testing, and in-use 

testing. Depending on which type of 

testing is being conducted, different 

preparation and maintenance 

requirements apply for the test engine. 

(a) If you are testing an emission-data 

engine for certification, make sure it is 

built to represent production engines. 

This includes governors that you 

normally install on production engines. 

Production engines should also be 

tested with their installed governors. If 

you do not install governors on 

production engines, simulate a governor 

that is representative of a governor that 

others will install on your production 

engines. 

(b) Testing generally occurs only after 

the test engine has undergone a 

stabilization step (or in-use operation). 

If the engine has not already been 

stabilized, run the test engine, with all 

emission control systems operating, 

long enough to stabilize emission levels. 

Note that you must generally use the 

same stabilization procedures for 

emission-data engines for which you 

apply the same deterioration factors so 

low-hour emission-data engines are 

consistent with the low-hour engine 

used to develop the deterioration factor. 

(1) Unless otherwise specified in the 

standard-setting part, you may consider 

emission levels stable without 

measurement after 50 h of operation. If 

the engine needs less operation to 

stabilize emission levels, record your 

reasons and the methods for doing this, 

and give us these records if we ask for 

them. If the engine will be tested for 

certification as a low-hour engine, see 

the standard-setting part for limits on 

testing engines to establish low-hour 

emission levels. 

(2) You may stabilize emissions from 

a catalytic exhaust aftertreatment device 

by operating it on a different engine, 

consistent with good engineering 

judgment. Note that good engineering 

judgment requires that you consider 

both the purpose of the test and how 

your stabilization method will affect the 

development and application of 

deterioration factors. For example, this 

method of stabilization is generally not 

appropriate for production engines. We 

may also allow you to stabilize 

emissions from a catalytic exhaust 

aftertreatment device by operating it on 

an engine-exhaust simulator. 

(c) Record any maintenance, 

modifications, parts changes, diagnostic 

or emissions testing and document the 

need for each event. You must provide 

this information if we request it. 

(d) For accumulating operating hours 

on your test engines, select engine 

operation that represents normal in-use 

operation for the engine family. 

(e) If your engine will be used in a 

vehicle equipped with a canister for 

storing evaporative hydrocarbons for 

eventual combustion in the engine and 

the test sequence involves a cold-start or 

hot-start duty cycle, attach a canister to 

the engine before running an emission 

test. You may omit using an evaporative 

canister for any hot-stabilized duty 

cycles. You may request to omit using 

an evaporative canister during testing if 

you can show that it would not affect 

your ability to show compliance with 

the applicable emission standards. You 

may operate the engine without an 

installed canister for service 

accumulation. Prior to an emission test, 

use the following steps to attach a 

canister to your engine: 

(1) Use a canister and plumbing 

arrangement that represents the in-use 

configuration of the largest capacity 

canister in all expected applications. 

(2) Use a canister that is fully loaded 

with fuel vapors. 

(3) Connect the canister’s purge port 

to the engine. 

(4) Plug the canister port that is 

normally connected to the fuel tank. 

■ 94. Section 1065.410 is amended by 

revising paragraphs (c) and (d) to read 

as follows: 

§ 1065.410 Maintenance limits for 

stabilized test engines. 

* * * * * 

(c) Keep a record of the inspection 

and update your application to 

document any changes as a result of the 

inspection. You may use equipment, 

instruments, or engineering grade tools 

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Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37315 

to identify bad engine components. Any 

equipment, instruments, or tools used 

for scheduled maintenance on emission 

data engines must be representative of 

what is planned to be available to 

dealerships and other service outlets. 

(d) If we determine that a part failure, 

system malfunction, or associated 

repairs have made the engine’s emission 

controls unrepresentative of production 

engines, you may no longer use it as an 

emission-data engine. Also, if your test 

engine has a major mechanical failure 

that requires you to take it apart, you 

may no longer use it as an emission-data 

engine. 

* * * * * 

■ 95. Section 1065.415 is amended by 

revising the introductory text and 

removing paragraph (a)(3) to read as 

follows: 

§ 1065.415 Durability demonstration. 

If the standard-setting part requires 

durability testing, you must accumulate 

service in a way that represents how 

you expect the engine to operate in use. 

You may accumulate service hours 

using an accelerated schedule, such as 

through continuous operation or by 

using duty cycles that are more 

aggressive than in-use operation, subject 

to any pre-approval requirements 

established in the applicable standardsetting part. 

* * * * * 

■ 96. The heading to subpart F of part 

1065 is revised to read as follows: 

Subpart F—Performing an Emission 

Test Over Specified Duty Cycles 

97. Section 1065.501 is amended by 

revising paragraphs (a) introductory 

text, (a)(1), and (b) to read as follows: 

§ 1065.501 Overview. 

(a) Use the procedures detailed in this 

subpart to measure engine emissions 

over a specified duty cycle. Refer to 

subpart J of this part for field test 

procedures that describe how to 

measure emissions during in-use engine 

operation. This section describes how 

to: 

(1) Map your engine, if applicable, by 

recording specified speed and torque 

data, as measured from the engine’s 

primary output shaft. 

* * * * * 

(b) An emission test generally consists 

of measuring emissions and other 

parameters while an engine follows one 

or more duty cycles that are specified in 

the standard-setting part. There are two 

general types of duty cycles: 

(1) Transient cycles. Transient duty 

cycles are typically specified in the 

standard-setting part as a second-bysecond sequence of speed commands 

and normalized torque (or power) 

commands. Operate an engine over a 

transient cycle such that the speed and 

torque of the engine’s primary output 

shaft follows the target values. 

Proportionally sample emissions and 

other parameters and use the 

calculations in subpart G of this part to 

calculate emissions. Start a transient test 

according to the standard-setting part, as 

follows: 

(i) A cold-start transient cycle where 

you start to measure emissions just 

before starting an engine that has not 

been warmed up. 

(ii) A hot-start transient cycle where 

you start to measure emissions just 

before starting a warmed-up engine. 

(iii) A hot running transient cycle 

where you start to measure emissions 

after an engine is started, warmed up, 

and running. 

(2) Steady-state cycles. Steady-state 

duty cycles are typically specified in the 

standard-setting part as a list of discrete 

operating points (modes or notches), 

where each operating point has one 

value of a normalized speed command 

and one value of a normalized torque (or 

power) command. Ramped-modal 

cycles for steady-state testing also list 

test times for each mode and transition 

times between modes where speed and 

torque are linearly ramped between 

modes, even for cycles with % power. 

Start a steady-state cycle as a hot 

running test, where you start to measure 

emissions after an engine is started, 

warmed up and running. You may run 

a steady-state duty cycle as a discretemode cycle or a ramped-modal cycle, as 

follows: 

(i) Discrete-mode cycles. Before 

emission sampling, stabilize an engine 

at the first discrete mode. Sample 

emissions and other parameters for that 

mode and then stop emission sampling. 

Record mean values for that mode, and 

then stabilize the engine at the next 

mode. Continue to sample each mode 

discretely and calculate weighted 

emission results according to the 

standard-setting part. 

(ii) Ramped-modal cycles. Perform 

ramped-modal cycles similar to the way 

you would perform transient cycles, 

except that ramped-modal cycles 

involve mostly steady-state engine 

operation. Generate a ramped-modal 

duty cycle as a sequence of second-bysecond (1 Hz) reference speed and 

torque points. Run the ramped-modal 

duty cycle in the same manner as a 

transient cycle and use the 1 Hz 

reference speed and torque values to 

validate the cycle, even for cycles with 

% power. Proportionally sample 

emissions and other parameters during 

the cycle and use the calculations in 

subpart G of this part to calculate 

emissions. 

* * * * * 

■ 98. Section 1065.510 is revised to read 

as follows: 

§ 1065.510 Engine mapping. 

(a) Applicability, scope, and 

frequency. An engine map is a data set 

that consists of a series of paired data 

points that represent the maximum 

brake torque versus engine speed, 

measured at the engine’s primary output 

shaft. Map your engine if the standardsetting part requires engine mapping to 

generate a duty cycle for your engine 

configuration. Map your engine while it 

is connected to a dynamometer or other 

device that can absorb work output from 

the engine’s primary output shaft 

according to § 1065.110. Configure any 

auxiliary work inputs and outputs such 

as hybrid, turbo-compounding, or 

thermoelectric systems to represent 

their in-use configurations, and use the 

same configuration for emission testing. 

See Figure 1 of § 1065.210. This may 

involve configuring initial states of 

charge and rates and times of auxiliarywork inputs and outputs. We 

recommend that you contact the 

Designated Compliance Officer before 

testing to determine how you should 

configure any auxiliary-work inputs and 

outputs. Use the most recent engine 

map to transform a normalized duty 

cycle from the standard-setting part to a 

reference duty cycle specific to your 

engine. Normalized duty cycles are 

specified in the standard-setting part. 

You may update an engine map at any 

time by repeating the engine-mapping 

procedure. You must map or re-map an 

engine before a test if any of the 

following apply: 

(1) If you have not performed an 

initial engine map. 

(2) If the atmospheric pressure near 

the engine’s air inlet is not within ± 5 

kPa of the atmospheric pressure 

recorded at the time of the last engine 

map. 

(3) If the engine or emission-control 

system has undergone changes that 

might affect maximum torque 

performance. This includes changing 

the configuration of auxiliary work 

inputs and outputs. 

(4) If you capture an incomplete map 

on your first attempt or you do not 

complete a map within the specified 

time tolerance. You may repeat mapping 

as often as necessary to capture a 

complete map within the specified time. 

(b) Mapping variable-speed engines. 

Map variable-speed engines as follows: 

(1) Record the atmospheric pressure. 

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(2) Warm up the engine by operating 

it. We recommend operating the engine 

at any speed and at approximately 75% 

of its expected maximum power. 

Continue the warm-up until the engine 

coolant, block, or head absolute 

temperature is within ± 2% of its mean 

value for at least 2 min or until the 

engine thermostat controls engine 

temperature. 

(3) Operate the engine at its warm idle 

speed. 

(i) For engines with a low-speed 

governor, set the operator demand to 

minimum, use the dynamometer or 

other loading device to target a torque 

of zero on the engine’s primary output 

shaft, and allow the engine to govern the 

speed. Measure this warm idle speed; 

we recommend recording at least 30 

values of speed and using the mean of 

those values. 

(ii) For engines without a low-speed 

governor, set the dynamometer to target 

a torque of zero on the engine’s primary 

output shaft, and manipulate the 

operator demand to control the speed to 

target the manufacturer-declared value 

for the lowest engine speed possible 

with minimum load (also known as 

manufacturer-declared warm idle 

speed). 

(iii) For all variable-speed engines 

(with or without a low-speed governor), 

if a nonzero idle torque is representative 

of in-use operation, you may target the 

manufacturer-declared idle torque. If 

you measure the warm idle speed with 

the manufacturer-declared torque at this 

step, you may omit the speed 

measurement in paragraph (b)(6) of this 

section. 

(4) Set operator demand to maximum 

and control engine speed at (95 ± 1) % 

of its warm idle speed determined above 

for at least 15 seconds. For engines with 

reference duty cycles whose lowest 

speed is greater than warm idle speed, 

you may start the map at (95 ± 1) % of 

the lowest reference speed. 

(5) Perform one of the following: 

(i) For any engine subject only to 

steady-state duty cycles (i.e., discretemode or ramped-modal), you may 

perform an engine map by using 

discrete speeds. Select at least 20 evenly 

spaced setpoints between warm idle and 

the highest speed above maximum 

mapped power at which (50 to 75)% of 

maximum power occurs. If this highest 

speed is unsafe or unrepresentative (e.g., 

for ungoverned engines), use good 

engineering judgment to map up to the 

maximum safe speed or the maximum 

representative speed. At each setpoint, 

stabilize speed and allow torque to 

stabilize. Record the mean speed and 

torque at each setpoint. We recommend 

that you stabilize an engine for at least 

15 seconds at each setpoint and record 

the mean feedback speed and torque of 

the last (4 to 6) seconds. Use linear 

interpolation to determine intermediate 

speeds and torques. Use this series of 

speeds and torques to generate the 

power map as described in paragraph (e) 

of this section. 

(ii) For any variable-speed engine, you 

may perform an engine map by using a 

continuous sweep of speed by 

continuing to record the mean feedback 

speed and torque at 1 Hz or more 

frequently and increasing speed at a 

constant rate such that it takes (4 to 6) 

min to sweep from 95% of warm idle to 

the highest speed above maximum 

power at which (50 to 75)% of 

maximum power occurs. If this highest 

speed is unsafe or unrepresentative (e.g., 

for ungoverned engines), use good 

engineering judgment to map up to the 

maximum safe speed or the maximum 

representative speed. Stop recording 

after you complete the sweep. From the 

series of mean speed and maximum 

torque values, use linear interpolation to 

determine intermediate values. Use this 

series of speeds and torques to generate 

the power map as described in 

paragraph (e) of this section. 

(6) For engines with a low-speed 

governor, if a nonzero idle torque is 

representative of in-use operation, 

operate the engine at warm idle with the 

manufacturer-declared idle torque. Set 

the operator demand to minimum, use 

the dynamometer to target the declared 

idle torque, and allow the engine to 

govern the speed. Measure this speed 

and use it as the warm idle speed for 

cycle generation in § 1065.512. We 

recommend recording at least 30 values 

of speed and using the mean of those 

values. You may map the idle governor 

at multiple load levels and use this map 

to determine the measured warm idle 

speed at the declared idle torque. 

(c) Negative torque mapping. If your 

engine is subject to a reference duty 

cycle that specifies negative torque 

values (i.e., engine motoring), generate a 

motoring map by any of the following 

procedures: 

(1) Multiply the positive torques from 

your map by ¥40%. Use linear 

interpolation to determine intermediate 

values. 

(2) Map the amount of negative torque 

required to motor the engine by 

repeating paragraph (b) of this section 

with minimum operator demand. 

(3) Determine the amount of negative 

torque required to motor the engine at 

the following two points near the ends 

of the engine’s speed range. Operate the 

engine at these two points at minimum 

operator demand. Use linear 

interpolation to determine intermediate 

values. 

(i) Low-speed point. For engines 

without a low-speed governor, 

determine the amount of negative torque 

at warm idle speed. For engines with a 

low-speed governor, motor the engine 

above warm idle speed so the governor 

is inactive and determine the amount of 

negative torque at that speed. 

(ii) High-speed point. For engines 

without a high-speed governor, 

determine the amount of negative torque 

at the maximum safe speed or the 

maximum representative speed. For 

engines with a high-speed governor, 

determine the amount of negative torque 

at a speed at or above nhi per 

§ 1065.610(c)(2). 

(d) Mapping constant-speed engines. 

For constant-speed engines, generate a 

map as follows: 

(1) Record the atmospheric pressure. 

(2) Warm up the engine by operating 

it. We recommend operating the engine 

at approximately 75% of the engine’s 

expected maximum power. Continue 

the warm-up until the engine coolant, 

block, or head absolute temperature is 

within ±2% of its mean value for at least 

2 min or until the engine thermostat 

controls engine temperature. 

(3) You may operate the engine with 

a production constant-speed governor or 

simulate a constant-speed governor by 

controlling engine speed with an 

operator demand control system 

described in § 1065.110. Use either 

isochronous or speed-droop governor 

operation, as appropriate. 

(4) With the governor or simulated 

governor controlling speed using 

operator demand, operate the engine at 

no-load governed speed (at high speed, 

not low idle) for at least 15 seconds. 

(5) Record at 1 Hz the mean of 

feedback speed and torque. Use the 

dynamometer to increase torque at a 

constant rate. Unless the standardsetting part specifies otherwise, 

complete the map such that it takes (2 

to 4) min to sweep from no-load 

governed speed to the lowest speed 

below maximum mapped power at 

which the engine develops (85–95)% of 

maximum mapped power. You may 

map your engine to lower speeds. Stop 

recording after you complete the sweep. 

Use this series of speeds and torques to 

generate the power map as described in 

paragraph (e) of this section. 

(e) Power mapping. For all engines, 

create a power-versus-speed map by 

transforming torque and speed values to 

corresponding power values. Use the 

mean values from the recorded map 

data. Do not use any interpolated 

values. Multiply each torque by its 

corresponding speed and apply the 

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appropriate conversion factors to arrive 

at units of power (kW). Interpolate 

intermediate power values between 

these power values, which were 

calculated from the recorded map data. 

(f) Measured and declared test speeds 

and torques. You must select test speeds 

and torques for cycle generation as 

required in this paragraph (f). 

‘‘Measured’’ values are either directly 

measured during the engine mapping 

process or they are determined from the 

engine map. ‘‘Declared’’ values are 

specified by the manufacturer. When 

both measured and declared values are 

available, you may use declared test 

speeds and torques instead of measured 

speeds and torques if they meet the 

criteria in this paragraph (f). Otherwise, 

you must use measured speeds and 

torques derived from the engine map. 

(1) Measured speeds and torques. 

Determine the applicable speeds and 

torques for the duty cycles you will run: 

(i) Measured maximum test speed for 

variable-speed engines according to 

§ 1065.610. 

(ii) Measured maximum test torque 

for constant-speed engines according to 

§ 1065.610. 

(iii) Measured ‘‘A’’, ‘‘B’’, and ‘‘C’’ 

speeds for variable-speed engines 

according to § 1065.610. 

(iv) Measured intermediate speed for 

variable-speed engines according to 

§ 1065.610. 

(v) For variable-speed engines with a 

low-speed governor, measure warm idle 

speed according to § 1065.510(b) and 

use this speed for cycle generation in 

§ 1065.512. For engines with no lowspeed governor, instead use the 

manufacturer-declared warm idle speed. 

(2) Required declared speeds. You 

must declare the lowest engine speed 

possible with minimum load (i.e., 

manufacturer-declared warm idle 

speed). This is applicable only to 

variable-speed engines with no lowspeed governor. For engines with no 

low-speed governor, the declared warm 

idle speed is used for cycle generation 

in § 1065.512. Declare this speed in a 

way that is representative of in-use 

operation. For example, if your engine 

is typically connected to an automatic 

transmission or a hydrostatic 

transmission, declare this speed at the 

idle speed at which your engine 

operates when the transmission is 

engaged. 

(3) Optional declared speeds. You 

may use declared speeds instead of 

measured speeds as follows: 

(i) You may use a declared value for 

maximum test speed for variable-speed 

engines if it is within (97.5 to 102.5)% 

of the corresponding measured value. 

You may use a higher declared speed if 

the length of the ‘‘vector’’ at the 

declared speed is within 2.0% of the 

length of the ‘‘vector’’ at the measured 

value. The term vector refers to the 

square root of the sum of normalized 

engine speed squared and the 

normalized full-load power (at that 

speed) squared, consistent with the 

calculations in § 1065.610. 

(ii) You may use a declared value for 

intermediate, ‘‘A’’, ‘‘B’’, or ‘‘C’’ speeds 

for steady-state tests if the declared 

value is within (97.5 to 102.5)% of the 

corresponding measured value. 

(4) Required declared torques. If a 

nonzero idle or minimum torque is 

representative of in-use operation, you 

must declare the appropriate torque as 

follows: 

(i) For variable-speed engines, declare 

a warm idle torque that is representative 

of in-use operation. For example, if your 

engine is typically connected to an 

automatic transmission or a hydrostatic 

transmission, declare the torque that 

occurs at the idle speed at which your 

engine operates when the transmission 

is engaged. Use this value for cycle 

generation. You may use multiple warm 

idle torques and associated idle speeds 

in cycle generation for representative 

testing. For example, for cycles that start 

the engine and begin with idle, you may 

start a cycle in idle with the 

transmission in neutral with zero torque 

and later switch to a different idle with 

the transmission in drive with the CurbIdle Transmission Torque (CITT). For 

variable-speed engines intended 

primarily for propulsion of a vehicle 

with an automatic transmission where 

that engine is subject to a transient duty 

cycle with idle operation, you must 

declare a CITT. You must specify a CITT 

based on typical applications at the 

mean of the range of idle speeds you 

specify at stabilized temperature 

conditions. 

(ii) For constant-speed engines, 

declare a warm minimum torque that is 

representative of in-use operation. For 

example, if your engine is typically 

connected to a machine that does not 

operate below a certain minimum 

torque, declare this torque and use it for 

cycle generation. 

(5) Optional declared torques. For 

constant-speed engines you may declare 

a maximum test torque. You may use 

the declared value for cycle generation 

if it is within (95 to 100)% of the 

measured value. 

(g) Other mapping procedures. You 

may use other mapping procedures if 

you believe the procedures specified in 

this section are unsafe or 

unrepresentative for your engine. Any 

alternate techniques you use must 

satisfy the intent of the specified 

mapping procedures, which is to 

determine the maximum available 

torque at all engine speeds that occur 

during a duty cycle. Identify any 

deviations from this section’s mapping 

procedures when you submit data to us. 

■ 99. Section 1065.512 is revised to read 

as follows: 

§ 1065.512 Duty cycle generation. 

(a) Generate duty cycles according to 

this section if the standard-setting part 

requires engine mapping to generate a 

duty cycle for your engine 

configuration. The standard-setting part 

generally defines applicable duty cycles 

in a normalized format. A normalized 

duty cycle consists of a sequence of 

paired values for speed and torque or for 

speed and power. 

(b) Transform normalized values of 

speed, torque, and power using the 

following conventions: 

(1) Engine speed for variable-speed 

engines. For variable-speed engines, 

normalized speed may be expressed as 

a percentage between warm idle speed, 

fnidle, and maximum test speed, fntest, or 

speed may be expressed by referring to 

a defined speed by name, such as 

‘‘warm idle,’’ ‘‘intermediate speed,’’ or 

‘‘A,’’ ‘‘B,’’ or ‘‘C’’ speed. Section 

1065.610 describes how to transform 

these normalized values into a sequence 

of reference speeds, fnref. Running duty 

cycles with negative or small 

normalized speed values near warm idle 

speed may cause low-speed idle 

governors to activate and the engine 

torque to exceed the reference torque 

even though the operator demand is at 

a minimum. In such cases, we 

recommend controlling the 

dynamometer so it gives priority to 

follow the reference torque instead of 

the reference speed and let the engine 

govern the speed. Note that the cyclevalidation criteria in § 1065.514 allow 

an engine to govern itself. This 

allowance permits you to test engines 

with enhanced-idle devices and to 

simulate the effects of transmissions 

such as automatic transmissions. For 

example, an enhanced-idle device might 

be an idle speed value that is normally 

commanded only under cold-start 

conditions to quickly warm up the 

engine and aftertreatment devices. In 

this case, negative and very low 

normalized speeds will generate 

reference speeds below this higher 

enhanced idle speed and we 

recommend controlling the 

dynamometer so it gives priority to 

follow the reference torque, controlling 

the operator demand so it gives priority 

to follow reference speed and let the 

engine govern the speed when the 

operator demand is at minimum. 

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(2) Engine torque for variable-speed 

engines. For variable-speed engines, 

normalized torque is expressed as a 

percentage of the mapped torque at the 

corresponding reference speed. Section 

1065.610 describes how to transform 

normalized torques into a sequence of 

reference torques, Tref. Section 1065.610 

also describes special requirements for 

modifying transient duty cycles for 

variable-speed engines intended 

primarily for propulsion of a vehicle 

with an automatic transmission. Section 

1065.610 also describes under what 

conditions you may command Tref

greater than the reference torque you 

calculated from a normalized duty 

cycle. This provision permits you to 

command Tref values that are limited by 

a declared minimum torque. For any 

negative torque commands, command 

minimum operator demand and use the 

dynamometer to control engine speed to 

the reference speed, but if reference 

speed is so low that the idle governor 

activates, we recommend using the 

dynamometer to control torque to zero, 

CITT, or a declared minimum torque as 

appropriate. Note that you may omit 

power and torque points during 

motoring from the cycle-validation 

criteria in § 1065.514. Also, use the 

maximum mapped torque at the 

minimum mapped speed as the 

maximum torque for any reference 

speed at or below the minimum mapped 

speed. 

(3) Engine torque for constant-speed 

engines. For constant-speed engines, 

normalized torque is expressed as a 

percentage of maximum test torque, 

Ttest. Section 1065.610 describes how to 

transform normalized torques into a 

sequence of reference torques, Tref. 

Section 1065.610 also describes under 

what conditions you may command Tref

greater than the reference torque you 

calculated from the normalized duty 

cycle. This provision permits you to 

command Tref values that are limited by 

a declared minimum torque. 

(4) Engine power. For all engines, 

normalized power is expressed as a 

percentage of mapped power at 

maximum test speed, fntest, unless 

otherwise specified by the standardsetting part. Section 1065.610 describes 

how to transform these normalized 

values into a sequence of reference 

powers, Pref. Convert these reference 

powers to corresponding torques for 

operator demand and dynamometer 

control. Use the reference speed 

associated with each reference power 

point for this conversion. As with cycles 

specified with % torque, issue torque 

commands more frequently and linearly 

interpolate between these reference 

torque values generated from cycles 

with % power. 

(5) Ramped-modal cycles. For ramped 

modal cycles, generate reference speed 

and torque values at 1 Hz and use this 

sequence of points to run the cycle and 

validate it in the same manner as with 

a transient cycle. During the transition 

between modes, linearly ramp the 

denormalized reference speed and 

torque values between modes to 

generate reference points at 1 Hz. Do not 

linearly ramp the normalized reference 

torque values between modes and then 

denormalize them. Do not linearly ramp 

normalized or denormalized reference 

power points. These cases will produce 

nonlinear torque ramps in the 

denormalized reference torques. If the 

speed and torque ramp runs through a 

point above the engine’s torque curve, 

continue to command the reference 

torques and allow the operator demand 

to go to maximum. Note that you may 

omit power and either torque or speed 

points from the cycle-validation criteria 

under these conditions as specified in 

§ 1065.514. 

(c) For variable-speed engines, 

command reference speeds and torques 

sequentially to perform a duty cycle. 

Issue speed and torque commands at a 

frequency of at least 5 Hz for transient 

cycles and at least 1 Hz for steady-state 

cycles (i.e., discrete-mode and rampedmodal). Linearly interpolate between 

the 1 Hz reference values specified in 

the standard-setting part to determine 

more frequently issued reference speeds 

and torques. During an emission test, 

record the feedback speeds and torques 

at a frequency of at least 5 Hz for 

transient cycles and at least 1 Hz for 

steady-state cycles. For transient cycles, 

you may record the feedback speeds and 

torques at lower frequencies (as low as 

1 Hz) if you record the average value 

over the time interval between recorded 

values. Calculate the average values 

based on feedback values updated at a 

frequency of at least 5 Hz. Use these 

recorded values to calculate cyclevalidation statistics and total work. 

(d) For constant-speed engines, 

operate the engine with the same 

production governor you used to map 

the engine in § 1065.510 or simulate the 

in-use operation of a governor the same 

way you simulated it to map the engine 

in § 1065.510. Command reference 

torque values sequentially to perform a 

duty cycle. Issue torque commands at a 

frequency of at least 5 Hz for transient 

cycles and at least 1 Hz for steady-state 

cycles (i.e., discrete-mode, rampedmodal). Linearly interpolate between 

the 1 Hz reference values specified in 

the standard-setting part to determine 

more frequently issued reference torque 

values. During an emission test, record 

the feedback speeds and torques at a 

frequency of at least 5 Hz for transient 

cycles and at least 1 Hz for steady-state 

cycles. For transient cycles, you may 

record the feedback speeds and torques 

at lower frequencies (as low as 1 Hz) if 

you record the average value over the 

time interval between recorded values. 

Calculate the average values based on 

feedback values updated at a frequency 

of at least 5 Hz. Use these recorded 

values to calculate cycle-validation 

statistics and total work. 

(e) You may perform practice duty 

cycles with the test engine to optimize 

operator demand and dynamometer 

controls to meet the cycle-validation 

criteria specified in § 1065.514. 

■ 100. Section 1065.514 is revised to 

read as follows: 

§ 1065.514 Cycle-validation criteria for 

operation over specified duty cycles. 

Validate the execution of your duty 

cycle according to this section unless 

the standard-setting part specifies 

otherwise. This section describes how to 

determine if the engine’s operation 

during the test adequately matched the 

reference duty cycle. This section 

applies only to speed, torque, and 

power from the engine’s primary output 

shaft. Other work inputs and outputs are 

not subject to cycle-validation criteria. 

You must compare the original 

reference duty cycle points generated as 

described in § 1065.512 to the 

corresponding feedback values recorded 

during the test. You may compare 

reference duty cycle points recorded 

during the test to the corresponding 

feedback values recorded during the test 

as long as the recorded reference values 

match the original points generated in 

§ 1065.512. The number of points in the 

validation regression are based on the 

number of points in the original 

reference duty cycle generated in 

§ 1065.512. For example if the original 

cycle has 1199 reference points at 1 Hz, 

then the regression will have up to 1199 

pairs of reference and feedback values at 

the corresponding moments in the test. 

The feedback speed and torque signals 

may be filtered—either in real-time 

while the test is run or afterward in the 

analysis program. Any filtering that is 

used on the feedback signals used for 

cycle validation must also be used for 

calculating work. Feedback signals for 

control loops may use different filtering. 

(a) Testing performed by EPA. Our 

tests must meet the specifications of 

paragraph (f) of this section, unless we 

determine that failing to meet the 

specifications is related to engine 

performance rather than to 

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shortcomings of the dynamometer or 

other laboratory equipment. 

(b) Testing performed by 

manufacturers. Emission tests that meet 

the specifications of paragraph (f) of this 

section satisfy the standard-setting 

part’s requirements for duty cycles. You 

may ask to use a dynamometer or other 

laboratory equipment that cannot meet 

those specifications. We will approve 

your request as long as using the 

alternate equipment does not adversely 

affect your ability to show compliance 

with the applicable emission standards. 

(c) Time-alignment. Because time lag 

between feedback values and the 

reference values may bias cyclevalidation results, you may advance or 

delay the entire sequence of feedback 

engine speed and torque pairs to 

synchronize them with the reference 

sequence. If you advance or delay 

feedback signals for cycle validation, 

you must make the same adjustment for 

calculating work. You may use linear 

interpolation between successive 

recorded feedback signals to time shift 

an amount that is a fraction of the 

recording period. 

(d) Omitting additional points. 

Besides engine cranking, you may omit 

additional points from cycle-validation 

statistics as described in the following 

table: 

TABLE 1 OF § 1065.514.—PERMISSIBLE CRITERIA FOR OMITTING POINTS FROM DUTY-CYCLE REGRESSION STATISTICS

When operator demand 

is at its . . . you may omit . . . if . . . 

For reference duty cycles that are specified in terms of speed and torque (fnref, Tref): 

minimum ....................... power and torque ................. Tref < 0% (motoring). 

minimum ....................... power and speed ................. fnref = 0% (idle speed) and Tref = 0% (idle torque) and Tref¥(2% · Tmax mapped) < T < 

Tref + (2% · Tmax mapped). 

minimum ....................... power and either torque or 

speed.

fn > fnref or T > Tref but not if fn > (fnref · 102%) and T > Tref + (2% · Tmax, mapped). 

maximum ...................... power and either torque or 

speed.

fn < fnref or T < Tref but not if fn < (fnref · 98%) and T < Tref¥(2% · Tmax, mapped). 

For reference duty cycles that are specified in terms of speed and power (fnref, Pref): 

minimum ....................... power and torque ................. < Pref < 0% (motoring). 

minimum ....................... power and speed ................. fnref = 0% (idle speed) and Pref = 0% (idle power) and Pref¥(2% · Pmax mapped) <P < 

Pref + (2% · Pmax mapped). 

minimum ....................... power and either torque or 

speed.

fn >fnref or P > Pref but not if fn > (fnref · 102%) and P > Pref + (2% · Pmax mapped). 

maximum ...................... power and either torque or 

speed.

fn < fnref or P < Pref but not if fn < (fnref · 98%) and P < Pref¥(2% · Pmax mapped). 

(e) Statistical parameters. Use the 

remaining points to calculate regression 

statistics described in § 1065.602. 

Round calculated regression statistics to 

the same number of significant digits as 

the criteria to which they are compared. 

Refer to Table 2 of § 1065.514 for the 

default criteria and refer to the standardsetting part to determine if there are 

other criteria for your engine. Calculate 

the following regression statistics: 

(1) Slopes for feedback speed, a1fn, 

feedback torque, a1T, and feedback 

power a1P. 

(2) Intercepts for feedback speed, a0fn, 

feedback torque, a0T, and feedback 

power a0P. 

(3) Standard estimates of error for 

feedback speed, SEEfn, feedback torque, 

SEET, and feedback power SEEP. 

(4) Coefficients of determination for 

feedback speed, r2

fn, feedback torque, 

r2

T, and feedback power r2P. 

(f) Cycle-validation criteria. Unless 

the standard-setting part specifies 

otherwise, use the following criteria to 

validate a duty cycle: 

(1) For variable-speed engines, apply 

all the statistical criteria in Table 2 of 

this section. 

(2) For constant-speed engines, apply 

only the statistical criteria for torque in 

Table 2 of this section. 

(3) For discrete-mode steady-state 

testing, apply cycle-validation criteria 

using one of the following approaches: 

(i) Treat the sampling periods from 

the series of test modes as a continuous 

sampling period, analogous to rampedmodal testing and apply statistical 

criteria as described in paragraph (f)(1) 

or (2) of this section. 

(ii) Evaluate each mode separately to 

validate the duty cycle. For variablespeed engines, all speed values 

measured during the sampling period 

for each mode would need to stay 

within a tolerance of 2 percent of the 

reference value, and all load values 

would need to stay within a tolerance of 

2 percent or ± 0.27 N·m of the reference 

value, whichever is greater. Also, the 

mean speed value during the sampling 

period for each mode would need to be 

within 1 percent of the reference value, 

and the mean load value would need to 

stay within 1 percent or ± 0.12 N·m of 

the reference value, whichever is 

greater. The same torque criteria apply 

for constant-speed engines but the speed 

criteria do not apply. 

TABLE 2 OF § 1065.514.—DEFAULT STATISTICAL CRITERIA FOR VALIDATING DUTY CYCLES

Parameter Speed Torque Power 

Slope, a1 ........................................ 0.950 ≤ a1 ≤ 1.030 ........................ 0.830 ≤ a1 ≤ 1.030 ........................ 0.830 ≤ a1 ≤ 1.030. 

Absolute value of intercept, a0 .... ≤ 10% of warm idle ...................... ≤ 2.0% of maximum mapped 

torque.

≤ 2.0% of maximum mapped 

power. 

Standard error of estimate, SEE ... ≤ 5.0% of maximum test speed ... ≤ 10% of maximum mapped 

torque.

≤ 10% of maximum mapped 

power. 

Coefficient of determination, r 2 ..... ≥ 0.970 .......................................... ≥ 0.850 .......................................... ≥ 0.910. 

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37320 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

■ 101. Section 1065.520 is revised to 

read as follows: 

§ 1065.520 Pre-test verification procedures 

and pre-test data collection. 

(a) If your engine must comply with 

a PM standard, follow the procedures 

for PM sample preconditioning and tare 

weighing according to § 1065.590. 

(b) Unless the standard-setting part 

specifies different tolerances, verify that 

ambient conditions are within the 

following tolerances before the test: 

(1) Ambient temperature of 

(20 to 30) °C. 

(2) Atmospheric pressure of (80.000 to 

103.325) kPa and within ± 5 kPa of the 

value recorded at the time of the last 

engine map. 

(3) Dilution air conditions as specified 

in § 1065.140, except in cases where you 

preheat your CVS before a cold start 

test. 

(c) You may test engines at any 

intake-air humidity, and we may test 

engines at any intake-air humidity. 

(d) Verify that auxiliary-work inputs 

and outputs are configured as they were 

during engine mapping, as described 

in§ 1065.510(a). 

(e) You may perform a final 

calibration of the speed, torque, and 

proportional-flow control systems, 

which may include performing practice 

duty cycles. 

(f) You may perform the following 

recommended procedure to 

precondition sampling systems: 

(1) Start the engine and use good 

engineering judgment to bring it to one 

of the following: 

(i) 100% torque at any speed above its 

peak-torque speed. 

(ii) 100% operator demand. 

(2) Operate any dilution systems at 

their expected flow rates. Prevent 

aqueous condensation in the dilution 

systems. 

(3) Operate any PM sampling systems 

at their expected flow rates. 

(4) Sample PM for at least 10 min 

using any sample media. You may 

change sample media during 

preconditioning. You may discard 

preconditioning samples without 

weighing them. 

(5) You may purge any gaseous 

sampling systems during 

preconditioning. 

(6) You may conduct calibrations or 

verifications on any idle equipment or 

analyzers during preconditioning. 

(7) Proceed with the test sequence 

described in § 1065.530(a)(1). 

(g) Verify the amount of nonmethane 

contamination in the exhaust and 

background HC sampling systems 

within eight hours of starting each dutycycle sequence for laboratory tests. You 

may verify the contamination of a 

background HC sampling system by 

reading the last bag fill and purge using 

zero gas. For any NMHC measurement 

system that involves separately 

measuring methane and subtracting it 

from a THC measurement, verify the 

amount of THC contamination using 

only the THC analyzer response. There 

is no need to operate any separate 

methane analyzer for this verification, 

however you may measure and correct 

for THC contamination in the CH4

sample train for the cases where NMHC 

is determined by subtracting CH4 from 

THC, using an NMC as configured in 

§ 1065.365(d), (e), and (f); and the 

calculations in § 1065.660(b)(2). Perform 

this verification as follows: 

(1) Select the HC analyzer range for 

measuring the flow-weighted mean 

concentration expected at the HC 

standard. 

(2) Zero the HC analyzer at the 

analyzer zero or sample port. Note that 

FID zero and span balance gases may be 

any combination of purified air or 

purified nitrogen that meets the 

specifications of § 1065.750. We 

recommend FID analyzer zero and span 

gases that contain approximately the 

flow-weighted mean concentration of O2

expected during testing. 

(3) Span the HC analyzer using span 

gas introduced at the analyzer span or 

sample port. Span on a carbon number 

basis of one (C1). For example, if you 

use a C3H8 span gas of concentration 

200 μmol/mol, span the FID to respond 

with a value of 600 μmol/mol. 

(4) Overflow zero gas at the HC probe 

or into a fitting between the HC probe 

and its transfer line. 

(5) Measure the THC concentration in 

the sampling and background systems 

as follows: 

(i) For continuous sampling, record 

the mean THC concentration as 

overflow zero air flows. 

(ii) For batch sampling, fill the sample 

medium (e.g., filter) and record its mean 

THC concentration. 

(iii) For the background system, 

record the mean THC concentration of 

the last fill and purge. 

(6) Record this value as the initial 

THC concentration, xTHC[THC–FID]init, and 

use it to correct measured values as 

described in § 1065.660. 

(7) If any of the xTHC[THC–FID]init values 

exceed the greatest of the following 

values, determine the source of the 

contamination and take corrective 

action, such as purging the system 

during an additional preconditioning 

cycle or replacing contaminated 

portions: 

(i) 2% of the flow-weighted mean wet, 

net concentration expected at the HC 

(THC or NMHC) standard. 

(ii) 2% of the flow-weighted mean 

wet, net concentration of HC (THC or 

NMHC) measured during testing. 

(iii) 2 μmol/mol. 

(8) If corrective action does not 

resolve the deficiency, you may request 

to use the contaminated system as an 

alternate procedure under § 1065.10. 

■ 102. Section 1065.525 is revised to 

read as follows: 

§ 1065.525 Engine starting, restarting, 

shutdown, and optional repeating of void 

discrete modes. 

(a) Start the engine using one of the 

following methods: 

(1) Start the engine as recommended 

in the owners manual using a 

production starter motor or air-start 

system and either an adequately charged 

battery, a suitable power supply, or a 

suitable compressed air source. 

(2) Use the dynamometer to start the 

engine. To do this, motor the engine 

within ±25% of its typical in-use 

cranking speed. Stop cranking within 1 

second of starting the engine. 

(b) If the engine does not start after 15 

seconds of cranking, stop cranking and 

determine why the engine failed to start, 

unless the owners manual or the 

service-repair manual describes the 

longer cranking time as normal. 

(c) Respond to engine stalling with 

the following steps: 

(1) If the engine stalls during warmup before emission sampling begins, 

restart the engine and continue warmup. 

(2) If the engine stalls during 

preconditioning before emission 

sampling begins, restart the engine and 

restart the preconditioning sequence. 

(3) If the engine stalls at any time after 

emission sampling begins for a transient 

test or ramped-modal cycle test, the test 

is void. 

(4) Except as described in paragraph 

(d) of this section, void the test if the 

engine stalls at any time after emission 

sampling begins. 

(d) If emission sampling is interrupted 

during one of the modes of a discretemode test, you may void the results only 

for that individual mode and perform 

the following steps to continue the test: 

(1) If the engine has stalled, restart the 

engine. 

(2) Use good engineering judgment to 

restart the test sequence using the 

appropriate steps in § 1065.530(b). 

(3) Precondition the engine by 

operating at the previous mode for 

approximately the same amount of time 

it operated at that mode for the last 

emission measurement. 

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(4) Advance to the mode at which the 

engine stalled and continue with the 

duty cycle as specified in the standardsetting part. 

(5) Complete the remainder of the test 

according to the requirements in this 

subpart. 

(e) Shut down the engine according to 

the manufacturer’s specifications. 

■ 103. Section 1065.530 is revised to 

read as follows: 

§ 1065.530 Emission test sequence. 

(a) Time the start of testing as follows: 

(1) Perform one of the following if you 

precondition sampling systems as 

described in § 1065.520(f): 

(i) For cold-start duty cycles, shut 

down the engine. Unless the standardsetting part specifies that you may only 

perform a natural engine cooldown, you 

may perform a forced engine cooldown. 

Use good engineering judgment to set 

up systems to send cooling air across 

the engine, to send cool oil through the 

engine lubrication system, to remove 

heat from coolant through the engine 

cooling system, and to remove heat from 

any exhaust aftertreatment systems. In 

the case of a forced aftertreatment 

cooldown, good engineering judgment 

would indicate that you not start 

flowing cooling air until the 

aftertreatment system has cooled below 

its catalytic activation temperature. For 

platinum-group metal catalysts, this 

temperature is about 200 °C. Once the 

aftertreatment system has naturally 

cooled below its catalytic activation 

temperature, good engineering judgment 

would indicate that you use clean air 

with a temperature of at least 15 °C, and 

direct the air through the aftertreatment 

system in the normal direction of 

exhaust flow. Do not use any cooling 

procedure that results in 

unrepresentative emissions (see 

§ 1065.10(c)(1)). You may start a coldstart duty cycle when the temperatures 

of an engine’s lubricant, coolant, and 

aftertreatment systems are all between 

(20 and 30) °C. 

(ii) For hot-start emission 

measurements, shut down the engine. 

Start the hot-start duty cycle as 

specified in the standard-setting part. 

(iii) For testing that involves hotstabilized emission measurements, such 

as any steady-state testing, you may 

continue to operate the engine at 

maximum test speed and 100% torque 

if that is the first operating point. 

Otherwise, operate the engine at warm 

idle or the first operating point of the 

duty cycle. In any case, start the 

emission test within 10 min after you 

complete the preconditioning 

procedure. 

(2) If you do not precondition 

sampling systems, perform one of the 

following: 

(i) For cold-start duty cycles, prepare 

the engine according to paragraph 

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

(ii) For hot-start emission 

measurements, first operate the engine 

at any speed above peak-torque speed 

and at (65 to 85)% of maximum mapped 

power until either the engine coolant, 

block, or head absolute temperature is 

within ±2% of its mean value for at least 

2 min or until the engine thermostat 

controls engine temperature. Shut down 

the engine. Start the duty cycle within 

20 min of engine shutdown. 

(iii) For testing that involves hotstabilized emission measurements, bring 

the engine either to warm idle or the 

first operating point of the duty cycle. 

Start the test within 10 min of achieving 

temperature stability. Determine 

temperature stability either as the point 

at which the engine coolant, block, or 

head absolute temperature is within 

±2% of its mean value for at least 2 min, 

or as the point at which the engine 

thermostat controls engine temperature. 

(b) Take the following steps before 

emission sampling begins: 

(1) For batch sampling, connect clean 

storage media, such as evacuated bags or 

tare-weighed filters. 

(2) Start all measurement instruments 

according to the instrument 

manufacturer’s instructions and using 

good engineering judgment. 

(3) Start dilution systems, sample 

pumps, cooling fans, and the datacollection system. 

(4) Pre-heat or pre-cool heat 

exchangers in the sampling system to 

within their operating temperature 

tolerances for a test. 

(5) Allow heated or cooled 

components such as sample lines, 

filters, chillers, and pumps to stabilize 

at their operating temperatures. 

(6) Verify that there are no significant 

vacuum-side leaks according to 

§ 1065.345. 

(7) Adjust the sample flow rates to 

desired levels, using bypass flow, if 

desired. 

(8) Zero or re-zero any electronic 

integrating devices, before the start of 

any test interval. 

(9) Select gas analyzer ranges. You 

may automatically or manually switch 

gas analyzer ranges during a test only if 

switching is performed by changing the 

span over which the digital resolution of 

the instrument is applied. During a test 

you may not switch the gains of an 

analyzer’s analog operational 

amplifier(s). 

(10) Zero and span all continuous 

analyzers using NIST-traceable gases 

that meet the specifications of 

§ 1065.750. Span FID analyzers on a 

carbon number basis of one (1), C1. For 

example, if you use a C3H8 span gas of 

concentration 200 μmol/mol, span the 

FID to respond with a value of 600 

μmol/mol. Span FID analyzers 

consistent with the determination of 

their respective response factors, RF, 

and penetration fractions, PF, according 

to § 1065.365. 

(11) We recommend that you verify 

gas analyzer responses after zeroing and 

spanning by sampling a calibration gas 

that has a concentration near one-half of 

the span gas concentration. Based on the 

results and good engineering judgment, 

you may decide whether or not to rezero, re-span, or re-calibrate a gas 

analyzer before starting a test. 

(12) If you correct for dilution air 

background concentrations of engine 

exhaust constituents, start measuring 

and recording background 

concentrations. 

(13) Drain any condensate from the 

intake air system and close any intake 

air condensate drains that are not 

normally open during in-use operation. 

(c) Start testing as follows: 

(1) If an engine is already running and 

warmed up, and starting is not part of 

the duty cycle, perform the following for 

the various duty cycles: 

(i) Transient and steady-state rampedmodal cycles. Simultaneously start 

running the duty cycle, sampling 

exhaust gases, recording data, and 

integrating measured values. 

(ii) Steady-state discrete-mode cycles. 

Control the engine operation to match 

the first mode in the test cycle. This will 

require controlling engine speed and 

load, engine load, or other operator 

demand settings, as specified in the 

standard-setting part. Follow the 

instructions in the standard-setting part 

to determine how long to stabilize 

engine operation at each mode, how 

long to sample emissions at each mode, 

and how to transition between modes. 

(2) If engine starting is part of the duty 

cycle, initiate data logging, sampling of 

exhaust gases, and integrating measured 

values before attempting to start the 

engine. Initiate the duty cycle when the 

engine starts. 

(d) At the end of each test interval, 

continue to operate all sampling and 

dilution systems to allow the sampling 

system’s response time to elapse. Then 

stop all sampling and recording, 

including the recording of background 

samples. Finally, stop any integrating 

devices and indicate the end of the duty 

cycle in the recorded data. 

(e) Shut down the engine if you have 

completed testing or if it is part of the 

duty cycle. 

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(f) If testing involves another duty 

cycle after a soak period with the engine 

off, start a timer when the engine shuts 

down, and repeat the steps in 

paragraphs (b) through (e) of this section 

as needed. 

(g) Take the following steps after 

emission sampling is complete: 

(1) For any proportional batch sample, 

such as a bag sample or PM sample, 

verify that proportional sampling was 

maintained according to § 1065.545. 

Void any samples that did not maintain 

proportional sampling according to 

§ 1065.545. 

(2) Place any used PM samples into 

covered or sealed containers and return 

them to the PM-stabilization 

environment. Follow the PM sample 

post-conditioning and total weighing 

procedures in § 1065.595. 

(3) As soon as practical after the duty 

cycle is complete, or during the soak 

period if practical, perform the 

following: 

(i) Zero and span all batch gas 

analyzers no later than 30 minutes after 

the duty cycle is complete, or during the 

soak period if practical. 

(ii) Analyze any conventional gaseous 

batch samples no later than 30 minutes 

after the duty cycle is complete, or 

during the soak period if practical. 

(iii) Analyze background samples no 

later than 60 minutes after the duty 

cycle is complete. 

(iv) Analyze non-conventional 

gaseous batch samples, such as ethanol 

(NMCHE) as soon as practical using 

good engineering judgment. 

(4) After quantifying exhaust gases, 

verify drift as follows: 

(i) For batch and continuous gas 

anlyzers, record the mean analyzer 

value after stabilizing a zero gas to the 

analyzer. Stabilization may include time 

to purge the analyzer of any sample gas, 

plus any additional time to account for 

analyzer response. 

(ii) Record the mean analyzer value 

after stabilizing the span gas to the 

analyzer. Stabilization may include time 

to purge the analyzer of any sample gas, 

plus any additional time to account for 

analyzer response. 

(iii) Use these data to validate and 

correct for drift as described in 

§ 1065.550. 

(h) Unless the standard-setting part 

specifies otherwise, determine whether 

or not the test meets the cycle-validation 

criteria in § 1065.514. 

(1) If the criteria void the test, you 

may retest using the same denormalized 

duty cycle, or you may re-map the 

engine, denormalize the reference duty 

cycle based on the new map and retest 

the engine using the new denormalized 

duty cycle. 

(2) If the criteria void the test for a 

constant-speed engine only during 

commands of maximum test torque, you 

may do the following: 

(i) Determine the first and last 

feedback speeds at which maximum test 

torque was commanded. 

(ii) If the last speed is greater than or 

equal to 90% of the first speed, the test 

is void. You may retest using the same 

denormalized duty cycle, or you may remap the engine, denormalize the 

reference duty cycle based on the new 

map and retest the engine using the new 

denormalized duty cycle. 

(iii) If the last speed is less than 90% 

of the first speed, reduce maximum test 

torque by 5%, and proceed as follows: 

(A) Denormalize the entire duty cycle 

based on the reduced maximum test 

torque according to § 1065.512. 

(B) Retest the engine using the 

denormalized test cycle that is based on 

the reduced maximum test torque. 

(C) If your engine still fails the cycle 

criteria, reduce the maximum test 

torque by another 5% of the original 

maximum test torque. 

(D) If your engine fails after repeating 

this procedure four times, such that 

your engine still fails after you have 

reduced the maximum test torque by 

20% of the original maximum test 

torque, notify us and we will consider 

specifying a more appropriate duty 

cycle for your engine under the 

provisions of § 1065.10(c). 

(i) [Reserved] 

(j) Measure and record ambient 

temperature, pressure, and humidity, as 

appropriate. 

■ 104. Section 1065.545 is revised to 

read as follows: 

§ 1065.545 Validation of proportional flow 

control for batch sampling and minimum 

dilution ratio for PM batch sampling. 

For any proportional batch sample 

such as a bag or PM filter, demonstrate 

that proportional sampling was 

maintained using one of the following, 

noting that you may omit up to 5% of 

the total number of data points as 

outliers: 

(a) For any pair of flow meters, use 

recorded sample and total flow rates, 

where total flow rate means the raw 

exhaust flow rate for raw exhaust 

sampling and the dilute exhaust flow 

rate for CVS sampling, or their 1 Hz 

means with the statistical calculations 

in § 1065.602. Determine the standard 

error of the estimate, SEE, of the sample 

flow rate versus the total flow rate. For 

each test interval, demonstrate that SEE 

was less than or equal to 3.5% of the 

mean sample flow rate. 

(b) For any pair of flow meters, use 

recorded sample and total flow rates, 

where total flow rate means the raw 

exhaust flow rate for raw exhaust 

sampling and the dilute exhaust flow 

rate for CVS sampling, or their 1 Hz 

means to demonstrate that each flow 

rate was constant within ±2.5% of its 

respective mean or target flow rate. You 

may use the following options instead of 

recording the respective flow rate of 

each type of meter: 

(1) Critical-flow venturi option. For 

critical-flow venturis, you may use 

recorded venturi-inlet conditions or 

their 1 Hz means. Demonstrate that the 

flow density at the venturi inlet was 

constant within ±2.5% of the mean or 

target density over each test interval. 

For a CVS critical-flow venturi, you may 

demonstrate this by showing that the 

absolute temperature at the venturi inlet 

was constant within ±4% of the mean or 

target absolute temperature over each 

test interval. 

(2) Positive-displacement pump 

option. You may use recorded pumpinlet conditions or their 1 Hz means. 

Demonstrate that the flow density at the 

pump inlet was constant within ±2.5% 

of the mean or target density over each 

test interval. For a CVS pump, you may 

demonstrate this by showing that the 

absolute temperature at the pump inlet 

was constant within ±2% of the mean or 

target absolute temperature over each 

test interval. 

(c) Using good engineering judgment, 

demonstrate with an engineering 

analysis that the proportional-flow 

control system inherently ensures 

proportional sampling under all 

circumstances expected during testing. 

For example, you might use CFVs for 

both sample flow and total flow and 

demonstrate that they always have the 

same inlet pressures and temperatures 

and that they always operate under 

critical-flow conditions. 

(d) Use measured or calculated flows 

and/or tracer gas concentrations (e.g., 

CO2) to determine the minimum 

dilution ratio for PM batch sampling 

over the test interval. 

■ 105. Section 1065.550 is revised to 

read as follows: 

§ 1065.550 Gas analyzer range validation, 

drift validation, and drift correction. 

(a) Range validation. If an analyzer 

operated above 100% of its range at any 

time during the test, perform the 

following steps: 

(1) For batch sampling, re-analyze the 

sample using the lowest analyzer range 

that results in a maximum instrument 

response below 100%. Report the result 

from the lowest range from which the 

analyzer operates below 100% of its 

range. 

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(2) For continuous sampling, repeat 

the entire test using the next higher 

analyzer range. If the analyzer again 

operates above 100% of its range, repeat 

the test using the next higher range. 

Continue to repeat the test until the 

analyzer always operates at less than 

100% of its range. 

(b) Drift validation and drift 

correction. Calculate two sets of brakespecific emission results. Calculate one 

set using the data before drift correction 

and calculate the other set after 

correcting all the data for drift according 

to § 1065.672. Use the two sets of brakespecific emission results as follows: 

(1) This test is validated for drift if, for 

each regulated pollutant, the difference 

between the uncorrected and the 

corrected brake-specific emission values 

is within ±4% of the uncorrected results 

or applicable standard, whichever is 

greater. If not, the entire test is void. 

(2) If the test is validated for drift, you 

must use only the drift-corrected 

emission results when reporting 

emissions, unless you demonstrate to us 

that using the drift-corrected results 

adversely affects your ability to 

demonstrate that your engine complies 

with the applicable standards. 

■ 106. Section 1065.590 is revised to 

read as follows: 

§ 1065.590 PM sampling media (e.g., 

filters) preconditioning and tare weighing. 

Before an emission test, take the 

following steps to prepare PM sampling 

media (e.g., filters) and equipment for 

PM measurements: 

(a) Make sure the balance and PMstabilization environments meet the 

periodic verifications in § 1065.390. 

(b) Visually inspect unused sample 

media (e.g., filters) for defects and 

discard defective media. 

(c) To handle PM sampling media 

(e.g., filters), use electrically grounded 

tweezers or a grounding strap, as 

described in § 1065.190. 

(d) Place unused sample media (e.g., 

filters) in one or more containers that 

are open to the PM-stabilization 

environment. If you are using filters, 

you may place them in the bottom half 

of a filter cassette. 

(e) Stabilize sample media (e.g., 

filters) in the PM-stabilization 

environment. Consider an unused 

sample medium stabilized as long as it 

has been in the PM-stabilization 

environment for a minimum of 30 min, 

during which the PM-stabilization 

environment has been within the 

specifications of § 1065.190. 

(f) Weigh the sample media (e.g., 

filters) automatically or manually, as 

follows: 

(1) For automatic weighing, follow the 

automation system manufacturer’s 

instructions to prepare samples for 

weighing. This may include placing the 

samples in a special container. 

(2) For manual weighing, use good 

engineering judgment to determine if 

substitution weighing is necessary to 

show that an engine meets the 

applicable standard. You may follow the 

substitution weighing procedure in 

paragraph (j) of this section, or you may 

develop your own procedure. 

(g) Correct the measured mass of each 

sample medium (e.g., filter) for 

buoyancy as described in § 1065.690. 

These buoyancy-corrected values are 

subsequently subtracted from the posttest mass of the corresponding sample 

media (e.g., filters) and collected PM to 

determine the mass of PM emitted 

during the test. 

(h) You may repeat measurements to 

determine the mean mass of each 

sample medium (e.g., filter). Use good 

engineering judgment to exclude 

outliers from the calculation of mean 

mass values. 

(i) If you use filters as sample media, 

load unused filters that have been tareweighed into clean filter cassettes and 

place the loaded cassettes in a clean, 

covered or sealed container before 

removing them from the stabilization 

environment for transport to the test site 

for sampling. We recommend that you 

keep filter cassettes clean by 

periodically washing or wiping them 

with a compatible solvent applied using 

a lint-free cloth. Depending upon your 

cassette material, ethanol (C2H5OH) 

might be an acceptable solvent. Your 

cleaning frequency will depend on your 

engine’s level of PM and HC emissions. 

(j) Substitution weighing involves 

measurement of a reference weight 

before and after each weighing of PM 

sampling media (e.g., filters). While 

substitution weighing requires more 

measurements, it corrects for a balance’s 

zero-drift and it relies on balance 

linearity only over a small range. This 

is most advantageous when quantifying 

net PM masses that are less than 0.1% 

of the sample medium’s mass. However, 

it may not be advantageous when net 

PM masses exceed 1% of the sample 

medium’s mass. If you utilize 

substitution weighing, it must be used 

for both pre-test and post-test weighing. 

The same substitution weight must be 

used for both pre-test and post-test 

weighing. Correct the mass of the 

substitution weight for buoyancy if the 

density of the substitution weight is less 

than 2.0 g/cm3. The following steps are 

an example of substitution weighing: 

(1) Use electrically grounded tweezers 

or a grounding strap, as described in 

§ 1065.190. 

(2) Use a static neutralizer as 

described in § 1065.190 to minimize 

static electric charge on any object 

before it is placed on the balance pan. 

(3) Select a substitution weight that 

meets the requirements for calibration 

weights found in § 1065.790. The 

substitution weight must also have the 

same density as the weight you use to 

span the microbalance, and be similar in 

mass to an unused sample medium (e.g., 

filter). A 47 mm PTFE membrane filter 

will typically have a mass in the range 

of 80 to 100 mg. 

(4) Record the stable balance reading, 

then remove the calibration weight. 

(5) Weigh an unused sample medium 

(e.g., a new filter), record the stable 

balance reading and record the balance 

environment’s dewpoint, ambient 

temperature, and atmospheric pressure. 

(6) Reweigh the calibration weight 

and record the stable balance reading. 

(7) Calculate the arithmetic mean of 

the two calibration-weight readings that 

you recorded immediately before and 

after weighing the unused sample. 

Subtract that mean value from the 

unused sample reading, then add the 

true mass of the calibration weight as 

stated on the calibration-weight 

certificate. Record this result. This is the 

unused sample’s tare weight without 

correcting for buoyancy. 

(8) Repeat these substitution-weighing 

steps for the remainder of your unused 

sample media. 

(9) Once weighing is completed, 

follow the instructions given in 

paragraphs (g) through (i) of this section. 

■ 107. Section 1065.595 is revised to 

read as follows: 

§ 1065.595 PM sample post-conditioning 

and total weighing. 

After testing is complete, return the 

sample media (e.g., filters) to the 

weighing and PM-stabilization 

environments. 

(a) Make sure the weighing and PMstabilization environments meet the 

ambient condition specifications in 

§ 1065.190(e)(1). If those specifications 

are not met, leave the test sample media 

(e.g., filters) covered until proper 

conditions have been met. 

(b) In the PM-stabilization 

environment, remove PM samples from 

sealed containers. If you use filters, you 

may remove them from their cassettes 

before or after stabilization. We 

recommend always removing the top 

portion of the cassette before 

stabilization. When you remove a filter 

from a cassette, separate the top half of 

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the cassette from the bottom half using 

a cassette separator designed for this 

purpose. 

(c) To handle PM samples, use 

electrically grounded tweezers or a 

grounding strap, as described in 

§ 1065.190. 

(d) Visually inspect the sampling 

media (e.g., filters) and collected 

particulate. If either the sample media 

(e.g., filters) or particulate sample 

appear to have been compromised, or 

the particulate matter contacts any 

surface other than the filter, the sample 

may not be used to determine 

particulate emissions. In the case of 

contact with another surface, clean the 

affected surface before continuing. 

(e) To stabilize PM samples, place 

them in one or more containers that are 

open to the PM-stabilization 

environment, as described in 

§ 1065.190. If you expect that a sample 

medium’s (e.g., filter’s) total surface 

concentration of PM will be less than 

400 μg, assuming a 38 mm diameter 

filter stain area, expose the filter to a 

PM-stabilization environment meeting 

the specifications of § 1065.190 for at 

least 30 minutes before weighing. If you 

expect a higher PM concentration or do 

not know what PM concentration to 

expect, expose the filter to the 

stabilization environment for at least 60 

minutes before weighing. Note that 400 

μg on sample media (e.g., filters) is an 

approximate net mass of 0.07 g/kW·hr 

for a hot-start test with compressionignition engines tested according to 40 

CFR part 86, subpart N, or 50 mg/mile 

for light-duty vehicles tested according 

to 40 CFR part 86, subpart B. 

(f) Repeat the procedures in 

§ 1065.590(f) through (i) to determine 

post-test mass of the sample media (e.g., 

filters). 

(g) Subtract each buoyancy-corrected 

tare mass of the sample medium (e.g., 

filter) from its respective buoyancycorrected mass. The result is the net PM 

mass, mPM. Use mPM in emission 

calculations in § 1065.650. 

Subpart G—[Amended] 

■ 108. Section 1065.601 is amended by 

revising paragraph (c)(1) to read as 

follows: 

§ 1065.601 Overview. 

* * * * * 

(c) * * * 

(1) Mass-based emission calculations 

prescribed by the International 

Organization for Standardization (ISO), 

according to ISO 8178, except the 

following: 

(i) ISO 8178–1 Section 14.4, NOX

Correction for Humidity and 

Temperature. See § 1065.670 for 

approved methods for humidity 

corrections. 

(ii) ISO 8178–1 Section 15.1, 

Particulate Correction Factor for 

Humidity. 

* * * * * 

■ 109. Section 1065.602 is amended by 

revising paragraphs (f)(3) before the 

table and (l) introductory text to read as 

follows: 

§ 1065.602 Statistics. 

* * * * * 

(f) * * * 

(3) Use Table 1 of this section to 

compare t to the tcrit values tabulated 

versus the number of degrees of 

freedom. If t is less than tcrit, then t 

passes the t-test. The Microsoft Excel 

software package contains a TINV 

function that returns results equivalent 

to § 1065.602 Table 1 and may be used 

in place of Table 1. 

* * * * * 

(l) Flow-weighted mean 

concentration. In some sections of this 

part, you may need to calculate a flowweighted mean concentration to 

determine the applicability of certain 

provisions. A flow-weighted mean is the 

mean of a quantity after it is weighted 

proportional to a corresponding flow 

rate. For example, if a gas concentration 

is measured continuously from the raw 

exhaust of an engine, its flow-weighted 

mean concentration is the sum of the 

products of each recorded concentration 

times its respective exhaust molar flow 

rate, divided by the sum of the recorded 

flow rate values. As another example, 

the bag concentration from a CVS 

system is the same as the flow-weighted 

mean concentration because the CVS 

system itself flow-weights the bag 

concentration. You might already expect 

a certain flow-weighted mean 

concentration of an emission at its 

standard based on previous testing with 

similar engines or testing with similar 

equipment and instruments. If you need 

to estimate your expected flow-weighted 

mean concentration of an emission at its 

standard, we recommend using the 

following examples as a guide for how 

to estimate the flow-weighted mean 

concentration expected at the standard. 

Note that these examples are not exact 

and that they contain assumptions that 

are not always valid. Use good 

engineering judgment to determine if 

you can use similar assumptions. 

* * * * * 

■ 110. Section 1065.610 is revised to 

read as follows: 

§ 1065.610 Duty cycle generation. 

This section describes how to 

generate duty cycles that are specific to 

your engine, based on the normalized 

duty cycles in the standard-setting part. 

During an emission test, use a duty 

cycle that is specific to your engine to 

command engine speed, torque, and 

power, as applicable, using an engine 

dynamometer and an engine operator 

demand. Paragraph (a) of this section 

describes how to ‘‘normalize’’ your 

engine’s map to determine the 

maximum test speed and torque for your 

engine. The rest of this section describes 

how to use these values to 

‘‘denormalize’’ the duty cycles in the 

standard-setting parts, which are all 

published on a normalized basis. Thus, 

the term ‘‘normalized’’ in paragraph (a) 

of this section refers to different values 

than it does in the rest of the section. 

(a) Maximum test speed, fntest. This 

section generally applies to duty cycles 

for variable-speed engines. For constantspeed engines subject to duty cycles that 

specify normalized speed commands, 

use the no-load governed speed as the 

measured fntest. This is the highest 

engine speed where an engine outputs 

zero torque. For variable-speed engines, 

determine the measured fntest from the 

power-versus-speed map, generated 

according to § 1065.510, as follows: 

(1) Based on the map, determine 

maximum power, Pmax, and the speed at 

which maximum power occurred, fnPmax. 

Divide every recorded power by Pmax

and divide every recorded speed by 

fnPmax. The result is a normalized powerversus-speed map. Your measured fntest

is the speed at which the sum of the 

squares of normalized speed and power 

is maximum, as follows: 

fntest = fni at the maximum of (fnnormi2 + 

Pnormi2) 

Eq. 1065.610–1 

Where: 

fntest = maximum test speed. 

i = an indexing variable that represents one 

recorded value of an engine map. 

fnnormi = an engine speed normalized by 

dividing it by fnPmax. 

Pnormi = an engine power normalized by 

dividing it by Pmax. 

Example: 

(fnnorm1 = 1.002, Pnorm1 = 0.978, fn1 = 2359.71) 

(fnnorm2 = 1.004, Pnorm2 = 0.977, fn2 = 2364.42) 

(fnnorm3 = 1.006, Pnorm3 = 0.974, fn3 = 2369.13) 

(fnnorm12 + Pnorm12) = (1.0022 + 0.9782) = 1.960 

(fnnorm22 + Pnorm22) = (1.0042 + 0.9772) = 1.963 

(fnnorm32 + Pnorm32) = (1.0062 + 0.9742) = 1.961 

maximum = 1.963 at i = 2 

fntest = 2364.42 rev/min 

(2) For variable-speed engines, 

transform normalized speeds to 

reference speeds according to paragraph 

(c) of this section by using the measured 

maximum test speed determined 

according to paragraph (a)(1) of this 

section—or use your declared maximum 

test speed, as allowed in § 1065.510. 

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(3) For constant-speed engines, 

transform normalized speeds to 

reference speeds according to paragraph 

(c) of this section by using the measured 

no-load governed speed—or use your 

declared maximum test speed, as 

allowed in § 1065.510. 

(b) Maximum test torque, Ttest. For 

constant-speed engines, determine the 

measured Ttest from the power-versusspeed map, generated according to 

§ 1065.510, as follows: 

(1) Based on the map, determine 

maximum power, Pmax, and the speed at 

which maximum power occurs, fnPmax. 

Divide every recorded power by Pmax

and divide every recorded speed by 

fnPmax. The result is a normalized powerversus-speed map. Your measured Ttest

is the torque at which the sum of the 

squares of normalized speed and power 

is maximum, as follows: 

Ttest = Ti at the maximum of (fnnormi2 + 

Pnormi2) 

Eq. 1065.610–2 

Where: 

Ttest = maximum test torque. 

Example: 

(fnnorm1 = 1.002, Pnorm1 = 0.978, T1 = 722.62 

N·m) 

(fnnorm2 = 1.004, Pnorm2 = 0.977, T2 = 720.44 

N·m) 

(fnnorm3 = 1.006, Pnorm3 = 0.974, T3 = 716.80 

N·m) 

(fnnorm12 + Pnorm12) = (1.0022 + 0.9782) = 1.960 

(fnnorm12 + Pnorm12) = (1.0042 + 0.9772) = 1.963 

(fnnorm12 + Pnorm12) = (1.0062 + 0.9742) = 1.961 

maximum = 1.963 at i = 2 

Ttest = 720.44 N·m 

(2) Transform normalized torques to 

reference torques according to 

paragraph (d) of this section by using 

the measured maximum test torque 

determined according to paragraph 

(b)(1) of this section—or use your 

declared maximum test torque, as 

allowed in § 1065.510. 

(c) Generating reference speed values 

from normalized duty cycle speeds. 

Transform normalized speed values to 

reference values as follows: 

(1) % speed. If your normalized duty 

cycle specifies % speed values, use your 

warm idle speed and your maximum 

test speed to transform the duty cycle, 

as follows: 

fnref = % speed · (fntest ¥ fnidle) + fnidle

Eq. 1065.610–3 

Example: 

% speed = 85% 

fntest = 2364 rev/min 

fnidle = 650 rev/min 

fnref = 85% · (2364¥650 ) + 650 

fnref = 2107 rev/min 

(2) A, B, and C speeds. If your 

normalized duty cycle specifies speeds 

as A, B, or C values, use your powerversus-speed curve to determine the 

lowest speed below maximum power at 

which 50% of maximum power occurs. 

Denote this value as nlo. Take nlo to be 

warm idle speed if all power points at 

speeds below the maximum power 

speed are higher than 50% of maximum 

power. Also determine the highest 

speed above maximum power at which 

70% of maximum power occurs. Denote 

this value as nhi. If all power points at 

speeds above the maximum power 

speed are higher than 70% of maximum 

power, take nhi to be the declared 

maximum safe engine speed or the 

declared maximum representative 

engine speed, whichever is lower. Use 

nhi and nlo to calculate reference values 

for A, B, or C speeds as follows: 

fnrefA = 0.25 · (nhi ¥ nlo) + nlo

Eq. 1065.610–4 

fnrefB = 0.50 · (nhi ¥ nnlo) + nlo

Eq. 1065.610–5 

fnrefC = 0.75 · (nhi ¥ nlo) + nlo

Eq. 1065.610–6 

Example: 

nlo = 1005 rev/min 

nhi = 2385 rev/min 

fnrefA = 0.25 · (2385¥1005) + 1005 

fnrefB = 0.50 · (2385¥1005) + 1005 

fnrefC = 0.75 · (2385¥1005) + 1005 

fnrefA = 1350 rev/min 

fnrefB = 1695 rev/min 

fnrefC = 2040 rev/min 

(3) Intermediate speed. If your 

normalized duty cycle specifies a speed 

as ‘‘intermediate speed,’’ use your 

torque-versus-speed curve to determine 

the speed at which maximum torque 

occurs. This is peak torque speed. 

Identify your reference intermediate 

speed as one of the following values: 

(i) Peak torque speed if it is between 

(60 and 75)% of maximum test speed. 

(ii) 60% of maximum test speed if 

peak torque speed is less than 60% of 

maximum test speed. 

(iii) 75% of maximum test speed if 

peak torque speed is greater than 75% 

of maximum test speed. 

(d) Generating reference torques from 

normalized duty-cycle torques. 

Transform normalized torques to 

reference torques using your map of 

maximum torque versus speed. 

(1) Reference torque for variablespeed engines. For a given speed point, 

multiply the corresponding % torque by 

the maximum torque at that speed, 

according to your map. If your engine is 

subject to a reference duty cycle that 

specifies negative torque values (i.e., 

engine motoring), use negative torque 

for those motoring points (i.e., the 

motoring torque). If you map negative 

torque as allowed under § 1065.510 

(c)(2) and the low-speed governor 

activates, resulting in positive torques, 

you may replace those positive motoring 

mapped torques with negative values 

between zero and the largest negative 

motoring torque. For both maximum 

and motoring torque maps, linearly 

interpolate mapped torque values to 

determine torque between mapped 

speeds. If the reference speed is below 

the minimum mapped speed (i.e., 95% 

of idle speed or 95% of lowest required 

speed, whichever is higher), use the 

mapped torque at the minimum mapped 

speed as the reference torque. The result 

is the reference torque for each speed 

point. 

(2) Reference torque for constantspeed engines. Multiply a % torque 

value by your maximum test torque. The 

result is the reference torque for each 

point. 

(3) Required deviations. We require 

the following deviations for variablespeed engines intended primarily for 

propulsion of a vehicle with an 

automatic transmission where that 

engine is subject to a transient duty 

cycle with idle operation. These 

deviations are intended to produce a 

more representative transient duty cycle 

for these applications. For steady-state 

duty cycles or transient duty cycles with 

no idle operation, these requirements do 

not apply. Idle points for steady state 

duty cycles of such engines are to be run 

at conditions simulating neutral or park 

on the transmission. 

(i) Zero-percent speed is the warm 

idle speed measured according to 

§ 1065.510(b)(6) with CITT applied, i.e., 

measured warm idle speed in drive. 

(ii) If the cycle begins with a set of 

contiguous idle points (zero-percent 

speed, and zero-percent torque), leave 

the reference torques set to zero for this 

initial contiguous idle segment. This is 

to represent free idle operation with the 

transmission in neutral or park at the 

start of the transient duty cycle, after the 

engine is started. If the initial idle 

segment is longer than 24 s, change the 

reference torques for the remaining idle 

points in the initial contiguous idle 

segment to CITT (i.e., change idle points 

corresponding to 25 s to the end of the 

initial idle segment to CITT). This is to 

represent shifting the transmission to 

drive. 

(iii) For all other idle points, change 

the reference torque to CITT. This is to 

represent the transmission operating in 

drive. 

(iv) If the engine is intended primarily 

for automatic transmissions with a 

Neutral-When-Stationary feature that 

automatically shifts the transmission to 

neutral after the vehicle is stopped for 

a designated time and automatically 

shifts back to drive when the operator 

increases demand (i.e., pushes the 

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37326 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

accelerator pedal), change the reference 

torque back to zero for idle points in 

drive after the designated time. 

(v) For all points with normalized 

speed at or below zero percent and 

reference torque from zero to CITT, set 

the reference torque to CITT. This is to 

provide smoother torque references 

below idle speed. 

(vi) For motoring points, make no 

changes. 

(vii) For consecutive points with 

reference torques from zero to CITT that 

immediately follow idle points, change 

their reference torques to CITT. This is 

to provide smooth torque transition out 

of idle operation. This does not apply if 

the Neutral-When-Stationary feature is 

used and the transmission has shifted to 

neutral. 

(viii) For consecutive points with 

reference torque from zero to CITT that 

immediately precede idle points, change 

their reference torques to CITT. This is 

to provide smooth torque transition into 

idle operation. 

(4) Permissible deviations for any 

engine. If your engine does not operate 

below a certain minimum torque under 

normal in-use conditions, you may use 

a declared minimum torque as the 

reference value instead of any value 

denormalized to be less than the 

declared value. For example, if your 

engine is connected to a hydrostatic 

transmission and it has a minimum 

torque even when all the driven 

hydraulic actuators and motors are 

stationary and the engine is at idle, then 

you may use this declared minimum 

torque as a reference torque value 

instead of any reference torque value 

generated under paragraph (d)(1) or (2) 

of this section that is between zero and 

this declared minimum torque. 

(e) Generating reference power values 

from normalized duty cycle powers. 

Transform normalized power values to 

reference speed and power values using 

your map of maximum power versus 

speed. 

(1) First transform normalized speed 

values into reference speed values. For 

a given speed point, multiply the 

corresponding % power by the mapped 

power at maximum test speed, fntest, 

unless specified otherwise by the 

standard-setting part. The result is the 

reference power for each speed point, 

Pref. Convert these reference powers to 

corresponding torques for operator 

demand and dynamometer control and 

for duty cycle validation per 1065.514. 

Use the reference speed associated with 

each reference power point for this 

conversion. As with cycles specified 

with % torque, linearly interpolate 

between these reference torque values 

generated from cycles with % power. 

(2) Permissible deviations for any 

engine. If your engine does not operate 

below a certain power under normal inuse conditions, you may use a declared 

minimum power as the reference value 

instead of any value denormalized to be 

less than the declared value. For 

example, if your engine is directly 

connected to a propeller, it may have a 

minimum power called idle power. In 

this case, you may use this declared 

minimum power as a reference power 

value instead of any reference power 

value generated per paragraph (e)(1) of 

this section that is from zero to this 

declared minimum power. 

■ 111. Section 1065.640 is amended by 

revising paragraphs (a) and (e) and 

redesignating the second ‘‘Table 3’’ as 

‘‘Table 4’’ to read as follows: 

§ 1065.640 Flow meter calibration 

calculations. 

* * * * * 

(a) Reference meter conversions. The 

calibration equations in this section use 

molar flow rate, n ̇ ref, as a reference 

quantity. If your reference meter outputs 

a flow rate in a different quantity, such 

as standard volume rate, V ̇ stdref, actual 

volume rate, V ̇ actref, or mass rate, m ̇ ref, 

convert your reference meter output to 

a molar flow rate using the following 

equations, noting that while values for 

volume rate, mass rate, pressure, 

temperature, and molar mass may 

change during an emission test, you 

should ensure that they are as constant 

as practical for each individual set point 

during a flow meter calibration: 

    n V p

T R

V p

T R

m

M ref

stdref std

std

actref act

act

ref

mix

= ⋅

⋅ = ⋅⋅ = Eq. 1065.640-1

Where: 

N ̇ ref = reference molar flow rate. 

V ̇ stdref = reference volume flow rate, corrected 

to a standard pressure and a standard 

temperature. 

V ̇ actref = reference volume flow rate at the 

actual pressure and temperature of the 

flow rate. 

N ̇ ref = reference mass flow. 

pstd = standard pressure. 

pact = actual pressure of the flow rate. 

Tstd = standard temperature. 

Tact = actual temperature of the flow rate. 

R = molar gas constant. 

Mmix = molar mass of the flow rate. 

Example 1: 

V ̇ stdref = 1000.00 ft3/min = 0.471948 m3/s 

p = 29.9213 in Hg @ 32 °F = 101325 Pa 

T = 68.0 °F = 293.15 K 

R = 8.314472 J/(mol · K) 

nref = ⋅

⋅

0 471948 101325

293 15 8 314472

.

. .

N ̇ ref = 19.169 mol/s 

Example 2: 

M ̇ ref = 17.2683 kg/min = 287.805 g/s 

Mmix = 28.7805 g/mol 

nref = 287 05

28 7805

.

.

n ̇ ref = 10.0000 mol/s 

(e) CFV calibration. Some CFV flow 

meters consist of a single venturi and 

some consist of multiple venturis, 

where different combinations of 

venturis are used to meter different flow 

rates. For CFV flow meters that consist 

of multiple venturis, either calibrate 

each venturi independently to 

determine a separate discharge 

coefficient, Cd, for each venturi, or 

calibrate each combination of venturis 

as one venturi. In the case where you 

calibrate a combination of venturis, use 

the sum of the active venturi throat 

areas as At, the square root of the sum 

of the squares of the active venturi 

throat diameters as dt, and the ratio of 

the venturi throat to inlet diameters as 

the ratio of the square root of the sum 

of the active venturi throat diameters 

(dt) to the diameter of the common 

entrance to all of the venturis (D). To 

determine the Cd for a single venturi or 

a single combination of venturis, 

perform the following steps: 

(1) Use the data collected at each 

calibration set point to calculate an 

individual Cd for each point using Eq. 

1065.640–4. 

(2) Calculate the mean and standard 

deviation of all the Cd values according 

to Eqs. 1065.602–1 and 1065.602–2. 

(3) If the standard deviation of all the 

Cd values is less than or equal to 0.3% 

of the mean Cd, use the mean Cd in Eq. 

1065.642–6, and use the CFV only down 

to the lowest r measured during 

calibration using the following equation: 

r p

p = −1 ∆

in

Eq. 1065.640 -13

(4) If the standard deviation of all the 

Cd values exceeds 0.3% of the mean Cd, 


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Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37327 

omit the Cd values corresponding to the 

data point collected at the lowest r 

measured during calibration. 

(5) If the number of remaining data 

points is less than seven, take corrective 

action by checking your calibration data 

or repeating the calibration process. If 

you repeat the calibration process, we 

recommend checking for leaks, applying 

tighter tolerances to measurements and 

allowing more time for flows to 

stabilize. 

(6) If the number of remaining Cd

values is seven or greater, recalculate 

the mean and standard deviation of the 

remaining Cd values. 

(7) If the standard deviation of the 

remaining Cd values is less than or equal 

to 0.3% of the mean of the remaining Cd, 

use that mean Cd in Eq. 1065.642–6, and 

use the CFV values only down to the 

lowest r associated with the remaining 

Cd. 

(8) If the standard deviation of the 

remaining Cd still exceeds 0.3% of the 

mean of the remaining Cd values, repeat 

the steps in paragraph (e)(4) through (8) 

of this section. 

■ 112. Section 1065.642 is amended by 

revising paragraph (b) to read as follows: 

§ 1065.642 SSV, CFV, and PDP molar flow 

rate calculations. 

* * * * * 

(b) SSV molar flow rate. Based on the 

Cd versus Re# equation you determined 

according to § 1065.640, calculate SSV 

molar flow rate, n ̇ during an emission 

test as follows: 

nCC  A p

Z M RT = ⋅⋅ ⋅⋅ ⋅⋅ d f

t in

mix in

Eq. 1065.642-3

Example: 

At = 0.01824 m2

pin = 99132 Pa 

Z = 1 

Mmix = 28.7805 g/mol = 0.0287805 kg/mol 

R = 8.314472 J/(mol·K) 

Tin = 298.15 K 

Re# = 7.232·10 

y = 1.399 

b = 0.8 

Dp = 2.312 kPa 

Using Eq. 1065.640–7, 

rssv = 0.997 

Using Eq. 1065.640–6, 

Cf = 0.274 

Using Eq. 1065.640–5, 

Cd = 0.990 

n =⋅⋅ ⋅

⋅ ⋅⋅ 0 990 0 274 0 01824 991321 0 0287805 8 314472 298 15 . . ... .

n ̇ = 58.173 mol/s 

* * * * * 

■ 113. A new § 1065.644 is added to 

read as follows: 

§ 1065.644 Vacuum-decay leak rate. 

This section describes how to 

calculate the leak rate of a vacuumdecay leak verification, which is 

described in § 1065.345(e). Use Eq. 

1065.644–1 to calculate the leak rate, 

n ̇leak, and compare it to the criterion 

specified in § 1065.345(e). 

n V

R

p

T

p

T

t t leak

vac = ⋅

− 



 





( ) −

2

2

1

1

2 1

Eq. 1065.644-1

Where: 

Vvac = geometric volume of the vacuum-side 

of the sampling system. 

R = molar gas constant. 

p2 = Vacuum-side absolute pressure at time 

t2. 

T2 = Vacuum-side absolute temperature at 

time t2. 

p1 = Vacuum-side absolute pressure at time 

t1. 

T1 = Vacuum-side absolute temperature at 

time t1. 

t2 = time at completion of vacuum-decay leak 

verification test. 

t1 = time at start of vacuum-decay leak 

verification test. 

Example: 

Vvac = 2.0000 L = 0.00200 m3

R = 8.314472 J/(mol·K) 

p2 = 50.600 kPa = 50600 Pa 

T2 = 293.15 K 

p1 = 25.300 kPa = 25300 Pa 

T1 = 293.15 K 

t2 = 10:57:35 AM 

t1 = 10:56:25 AM 

nleak= ⋅

− 



 



 0 0002

8 314472

50600

293 15

25300

293 15

10 57 3

.

.

. .

: : 5 10 56 25

0 00200

8 314472

86 304

70

0 00030

( ) −

= ⋅

=

: :

.

.

.

.





n

n

leak

leak mol s/

■ 114. Section 1065.645 is revised to 

read as follows: 

§ 1065.645 Amount of water in an ideal 

gas. 

This section describes how to 

determine the amount of water in an 

ideal gas, which you need for various 

performance verifications and emission 

calculations. Use the equation for the 

vapor pressure of water in paragraph (a) 

of this section or another appropriate 

equation and, depending on whether 

you measure dewpoint or relative 

humidity, perform one of the 


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37328 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

calculations in paragraph (b) or (c) of 

this section. 

(a) Vapor pressure of water. Calculate 

the vapor pressure of water for a given 

saturation temperature condition, Tsat, 

as follows, or use good engineering 

judgment to use a different relationship 

of the vapor pressure of water to a given 

saturation temperature condition: 

(1) For humidity measurements made 

at ambient temperatures from 

(0 to 100) °C, or for humidity 

measurements made over super-cooled 

water at ambient temperatures from 

(¥50 to 0) °C, use the following 

equation: 

− ( ) = ⋅− 



 



log .  + ⋅ . . log 10 2 10 10 79574 273 16

p 1 5 02800

T

T H O

sat

sat

273 16

1 50475 10 10 1 4 8 2969 273 16 1

. . .  .



 



 + ⋅⋅ −

 − −⋅ − 



 



 Tsat















+ ⋅ ⋅−









− − − 















0 42873 10 1 10 3 4 76955 1 273 16. . .

Tsat









+ 0 21386 . Eq. 1065.645-1

Where: 

pH20 = vapor pressure of water at saturation 

temperature condition, kPa. 

Tsat = saturation temperature of water at 

measured conditions, K. 

Example: 

Tsat = 9.5 °C 

Tdsat= 9.5 + 273.15 = 282.65 K 

− ( ) = ⋅− 



 

 log .  + ⋅ .

. . log 10 2 10 10 79574 273 16282 65

1 5 02800 28pH O

2 65

273 16

1 50475 10 10 4 8 2969 282 65

273 16 1 .

. . . .

 .



 



 + ⋅⋅ − −⋅ − 



 





− − − 



 

− 















+ ⋅ ⋅−

1

0 42873 10 1 10 3 4 76955 1 273 16

282 65 . . .

.   















+ 0 21386 .

¥log10(pH20) = ¥0.073974 

pH20 = 100.073974 = 1.18569 kPa 

(2) For humidity measurements over 

ice at ambient temperatures from (¥100 

to 0) °C, use the following equation: 

− ( ) =⋅ − 



 



log .  + ⋅ . . log . 10 10 9 09685 273 16 1 3 56654 273 1

p T sat

sat

6 0 87682

273 16

1 0 21386

T

T

sat

sat 



 



 +⋅ − 



 



 . + . . Eq. 1065.645-2

Example: 

Tice = ¥15.4 °C 

Tice = ¥15.4 + 273.15 = 257.75 K 

− ( ) =⋅ − 



 



 +

⋅

log . .

.

. log

10

10

9 09685 273 16

257 75

1

3 56654 273

psat

.

.

. .

. .

16

257 75

0 87682 257 75

273 16

1 0 21386





 



 +

⋅ −





 



 +

¥log10(pH2O) =¥0.79821 

pH2O = 100.79821 = 0.15914 kPa 

(b) Dewpoint. If you measure 

humidity as a dewpoint, determine the 

amount of water in an ideal gas, xH2O, 

as follows: 

x p

p H O

H O

abs

2

2 = Eq. 1065.645-3

Where: 

xH2O = amount of water in an ideal gas. 

pH2O = water vapor pressure at the measured 

dewpoint, Tsat = Tdew. 

pabs = wet static absolute pressure at the 

location of your dewpoint measurement. 

Example: 

pabs = 99.980 kPa 

Tsat = Tdew = 9.5 °C 

Using Eq. 1065.645–2, 

pH2O = 1.18489 kPa 

xH2O = 1.18489/99.980 

xH2O = 0.011851 mol/mol 

(c) Relative humidity. If you measure 

humidity as a relative humidity, RH %, 

determine the amount of water in an 

ideal gas, xH2O, as follows: 

x RH p

p H O

H O

abs

2

2 = % ⋅ Eq. 1065.645-4

Where: 

xH2O = amount of water in an ideal gas. 

RH % = relative humidity. 

pH2O = water vapor pressure at 100% relative 

humidity at the location of your relative 

humidity measurement, Tsat = Tamb. 

pabs = wet static absolute pressure at the 

location of your relative humidity 

measurement. 

Example: 

RH % = 50.77% 

pabs = 99.980 kPa 

Tsat = Tamb = 20 °C 

Using Eq. 1065.645–2, 

pH2O = 2.3371 kPa 

xH2O = (50.77% ·2.3371)/99.980 

xH2O = 0.011868 mol/mol 

■ 115. Section 1065.650 is revised to 

read as follows: 

§ 1065.650 Emission calculations. 

(a) General. Calculate brake-specific 

emissions over each test interval in a 

duty cycle. Refer to the standard-setting 

part for any calculations you might need 

to determine a composite result, such as 

a calculation that weights and sums the 


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Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37329 

results of individual test intervals in a 

duty cycle. For summations of 

continuous signals, each indexed value 

(i.e., ‘‘i’’) represents (or approximates) 

the mean value of the parameter for its 

respective time interval, delta-t. 

(b) We specify three alternative ways 

to calculate brake-specific emissions, as 

follows: 

(1) For any testing, you may calculate 

the total mass of emissions, as described 

in paragraph (c) of this section, and 

divide it by the total work generated 

over the test interval, as described in 

paragraph (d) of this section, using the 

following equation: 

e

m

W

= Eq. 1065.650-1

Example: 

mNOx = 64.975 g 

W = 25.783 kW·hr 

eNOx = 64.975/25.783 

eNOx = 2.520 g/(kW·hr) 

(2) For discrete-mode steady-state 

testing, you may calculate the ratio of 

emission mass rate to power, as 

described in paragraph (e) of this 

section, using the following equation: 

e=

m

P

 Eq. 1065.650-2

(3) For field testing, you may calculate 

the ratio of total mass to total work, 

where these individual values are 

determined as described in paragraph (f) 

of this section. You may also use this 

approach for laboratory testing, 

consistent with good engineering 

judgment. This is a special case in 

which you use a signal linearly 

proportional to raw exhaust molar flow 

rate to determine a value proportional to 

total emissions. You then use the same 

linearly proportional signal to 

determine total work using a chemical 

balance of fuel, intake air, and exhaust 

as described in § 1065.655, plus 

information about your engine’s brakespecific fuel consumption. Under this 

method, flow meters need not meet 

accuracy specifications, but they must 

meet the applicable linearity and 

repeatability specifications in subpart D 

or subpart J of this part. The result is a 

brake-specific emission value calculated 

as follows: 

e=

m

W



Eq. 1065.650-3

Example: 

m ̃ = 805.5 ~g 

W ̃ = 52.102 ~kW·hr 

eCO = 805.5/52.102 

eCO = 2.520 g/(kW·hr) 

(c) Total mass of emissions. To 

calculate the total mass of an emission, 

multiply a concentration by its 

respective flow. For all systems, make 

preliminary calculations as described in 

paragraph (c)(1) of this section, then use 

the method in paragraphs (c)(2) through 

(4) of this section that is appropriate for 

your system. Calculate the total mass of 

emissions as follows: 

(1) Concentration corrections. Perform 

the following sequence of preliminary 

calculations on recorded concentrations: 

(i) Correct all THC and CH4

concentrations, including continuous 

readings, sample bags readings, and 

dilution air background readings, for 

initial contamination, as described in 

§ 1065.660(a). 

(ii) Correct all concentrations 

measured on a ‘‘dry’’ basis to a ‘‘wet’’ 

basis, including dilution air background 

concentrations, as described in 

§ 1065.659. 

(iii) Calculate all THC and NMHC 

concentrations, including dilution air 

background concentrations, as described 

in § 1065.660. 

(iv) For emission testing with an 

oxygenated fuel, calculate any HC 

concentrations, including dilution air 

background concentrations, as described 

in § 1065.665. See subpart I of this part 

for testing with oxygenated fuels. 

(v) Correct all the NOX

concentrations, including dilution air 

background concentrations, for intakeair humidity as described in § 1065.670. 

(vi) Compare the background 

corrected mass of NMHC to background 

corrected mass of THC. If the 

background corrected mass of NMHC is 

greater than 0.98 times the background 

corrected mass of THC, take the 

background corrected mass of NMHC to 

be 0.98 times the background corrected 

mass of THC. If you omit the NMHC 

calculations as described in 

§ 1065.660(b)(1), take the background 

corrected mass of NMHC to be 0.98 

times the background corrected mass of 

THC. 

(vii) Calculate brake-specific 

emissions before and after correcting for 

drift, including dilution air background 

concentrations, according to § 1065.672. 

(2) Continuous sampling. For 

continuous sampling, you must 

frequently record a continuously 

updated concentration signal. You may 

measure this concentration from a 

changing flow rate or a constant flow 

rate (including discrete-mode steadystate testing), as follows: 

(i) Varying flow rate. If you 

continuously sample from a changing 

exhaust flow rate, time align and then 

multiply concentration measurements 

by the flow rate from which you 

extracted it. Use good engineering 

judgment to time align flow and 

concentration data to match t50 rise or 

fall times to within ±1 s. We consider 

the following to be examples of 

changing flows that require a 

continuous multiplication of 

concentration times molar flow rate: raw 

exhaust, exhaust diluted with a constant 

flow rate of dilution air, and CVS 

dilution with a CVS flowmeter that does 

not have an upstream heat exchanger or 

electronic flow control. This 

multiplication results in the flow rate of 

the emission itself. Integrate the 

emission flow rate over a test interval to 

determine the total emission. If the total 

emission is a molar quantity, convert 

this quantity to a mass by multiplying 

it by its molar mass, M. The result is the 

mass of the emission, m. Calculate m for 

continuous sampling with variable flow 

using the following equations: 

m M xn t i i

i

N

= ⋅ ⋅⋅

=

∑  ∆ Eq. 1065.650-4 1

Where: 

∆t f =1/ Eq. 1065.650-5 record

Example: 

MNMHC = 13.875389 g/mol 

N = 1200 

xNMHC1 = 84.5 μmol/mol = 84.5 · 10¥6 mol/ 

mol 

xNMHC2 = 86.0 μmol/mol = 86.0 · 10¥6 mol/ 

mol 

n ̇ exh1 = 2.876 mol/s 

n ̇ exh2 = 2.224 mol/s 

frecord = 1 Hz 

Using Eq. 1065.650–5, 

Dt = 1/1 =1 s 

mNMHC = 13.875389 · (84.5 · 10¥6 · 2.876 + 

86.0 · 10¥6 · 2.224 + ... + xNMHC1200 · n ̇ exh) 

· 1 

mNMHC = 25.53 g 

(ii) Constant flow rate. If you 

continuously sample from a constant 

exhaust flow rate, use the same 

emission calculations described in 

paragraph (c)(2)(i) of this section or 

calculate the mean or flow-weighted 

concentration recorded over the test 

interval and treat the mean as a batch 

sample, as described in paragraph 

(c)(3)(ii) of this section. We consider the 

following to be examples of constant 

exhaust flows: CVS diluted exhaust 

with a CVS flowmeter that has either an 

upstream heat exchanger, electronic 

flow control, or both. 

(3) Batch sampling. For batch 

sampling, the concentration is a single 

value from a proportionally extracted 

batch sample (such as a bag, filter, 

impinger, or cartridge). In this case, 

multiply the mean concentration of the 

batch sample by the total flow from 

which the sample was extracted. You 

may calculate total flow by integrating 

a changing flow rate or by determining 


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37330 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

the mean of a constant flow rate, as 

follows: 

(i) Varying flow rate. If you collect a 

batch sample from a changing exhaust 

flow rate, extract a sample proportional 

to the changing exhaust flow rate. We 

consider the following to be examples of 

changing flows that require proportional 

sampling: Raw exhaust, exhaust diluted 

with a constant flow rate of dilution air, 

and CVS dilution with a CVS flowmeter 

that does not have an upstream heat 

exchanger or electronic flow control. 

Integrate the flow rate over a test 

interval to determine the total flow from 

which you extracted the proportional 

sample. Multiply the mean 

concentration of the batch sample by the 

total flow from which the sample was 

extracted. If the total emission is a molar 

quantity, convert this quantity to a mass 

by multiplying it by its molar mass, M. 

The result is the mass of the emission, 

m. In the case of PM emissions, where 

the mean PM concentration is already in 

units of mass per mole of sample, M ̄ PM, 

simply multiply it by the total flow. The 

result is the total mass of PM, mPM. 

Calculate m for batch sampling with 

variable flow using the following 

equation: 

m Mx n t i

N

= ⋅⋅ ⋅ =

∑ i ∆ Eq. 1065.650-6 1

Example: 

MNOx = 46.0055 g/mol 

N = 9000 

x ̄ NOx = 85.6 μmol/mol = 85.6 · 10¥6 mol/mol 

n ̇ dexh1 = 25.534 mol/s 

n ̇ dexh2 = 26.950 mol/s 

frecord = 5 Hz 

Using Eq. 1065.650–5, 

Dt = 1/5 = 0.2 

mNOx = 46.0055 · 85.6 · 10¥6 · (25.534 + 

26.950 + ... + n ̇ exh9000) · 0.2 

mNOx = 4.201 g 

(ii) Constant flow rate. If you batch 

sample from a constant exhaust flow 

rate, extract a sample at a proportional 

or constant flow rate. We consider the 

following to be examples of constant 

exhaust flows: CVS diluted exhaust 

with a CVS flow meter that has either 

an upstream heat exchanger, electronic 

flow control, or both. Determine the 

mean molar flow rate from which you 

extracted the constant flow rate sample. 

Multiply the mean concentration of the 

batch sample by the mean molar flow 

rate of the exhaust from which the 

sample was extracted, and multiply the 

result by the time of the test interval. If 

the total emission is a molar quantity, 

convert this quantity to a mass by 

multiplying it by its molar mass, M. The 

result is the mass of the emission, m. In 

the case of PM emissions, where the 

mean PM concentration is already in 

units of mass per mole of sample, M ̄ PM, 

simply multiply it by the total flow, and 

the result is the total mass of PM, mPM. 

Calculate m for sampling with constant 

flow using the following equations: 

m M xn t = ⋅⋅⋅  ∆ Eq. 1065.650-7

and for PM or any other analysis of a 

batch sample that yields a mass per 

mole of sample, 

M Mx = ⋅ Eq. 1065.650-8

Example: 

M ̄ PM = 144.0 μg/mol = 144.0 · 10¥6 g/mol 

n ̄ dexh = 57.692 mol/s 

Dt = 1200 s 

mPM = 144.0 · 10¥6 · 57.692 · 1200 

mPM = 9.9692 g 

(4) Additional provisions for diluted 

exhaust sampling; continuous or batch. 

The following additional provisions 

apply for sampling emissions from 

diluted exhaust: 

(i) For sampling with a constant 

dilution ratio (DR) of diluted exhaust 

versus exhaust flow (e.g., secondary 

dilution for PM sampling), calculate m 

using the following equation: 

m m DR = ⋅ dil ( ) Eq. 1065.650-9

Example: 

mPMdil = 6.853 g 

DR = 6:1 

mPM = 6.853 · (6) 

mPM = 41.118 g 

(ii) For continuous or batch sampling, 

you may measure background emissions 

in the dilution air. You may then 

subtract the measured background 

emissions, as described in § 1065.667. 

(d) Total work. To calculate total work 

from the engine’s primary output shaft, 

numerically integrate feedback power 

over a test interval. Before integrating, 

adjust the speed and torque data for the 

time alignment used in § 1065.514(c). 

Any advance or delay used on the 

feedback signals for cycle validation 

must also be used for calculating work. 

Account for work of accessories 

according to § 1065.110. Exclude any 

work during cranking and starting. 

Exclude work during actual motoring 

operation (negative feedback torques), 

unless the engine was connected to one 

or more energy storage devices. 

Examples of such energy storage devices 

include hybrid powertrain batteries and 

hydraulic accumulators, like the ones 

illustrated in Figure 1 of § 1065.210. 

Exclude any work during reference zeroload idle periods (0% speed or idle 

speed with 0 N·m reference torque). 

Note, that there must be two 

consecutive reference zero load idle 

points to establish a period where this 

applies. Include work during idle points 

with simulated minimum torque such as 

Curb Idle Transmissions Torque (CITT) 

for automatic transmissions in ‘‘drive’’. 

The work calculation method described 

in paragraphs (b)(1) though (7) of this 

section meets these requirements using 

rectangular integration. You may use 

other logic that gives equivalent results. 

For example, you may use a trapezoidal 

integration method as described in 

paragraph (b)(8) of this section. 

(1) Time align the recorded feedback 

speed and torque values by the amount 

used in § 1065.514(c). 

(2) Calculate shaft power at each point 

during the test interval by multiplying 

all the recorded feedback engine speeds 

by their respective feedback torques. 

(3) Adjust (reduce) the shaft power 

values for accessories according to 

§ 1065.110. 

(4) Set all power values during any 

cranking or starting period to zero. See 

§ 1065.525 for more information about 

engine cranking. 

(5) Set all negative power values to 

zero, unless the engine was connected 

to one or more energy storage devices. 

If the engine was tested with an energy 

storage device, leave negative power 

values unaltered. 

(6) Set all power values to zero during 

idle periods with a corresponding 

reference torque of 0 N·m. 

(7) Integrate the resulting values for 

power over the test interval. Calculate 

total work as follows: 

W Pt i

i

N

= ⋅ =

∑ ∆ Eq. 1065.650-10 1

PfT i ii = ⋅ n Eq. 1065.650-11

Example: 

N = 9000 

fn1 = 1800.2 rev/min 

fn2 = 1805.8 rev/min 

T1 = 177.23 N·m 

T2 = 175.00 N·m 

Crev = 2 · π rad/rev 

Ct1 = 60 s/min 

Cp = 1000 (N·m·rad/s)/kW 

frecord = 5 Hz 

Ct2 = 3600 s/hr 

P1

1800 2 177 23 2 3 14159

60 1000 = ⋅ ⋅⋅

⋅

.. .

P1 = 33.41 kW 

P2 = 33.09 kW 

Using Eq. 1065.650–5, 

Dt = 1⁄5 = 0.2 s 

W

P = ( ) 33 41 33 09 0 2 + ++ ⋅

3600

9000 . . ... .

W = 16.875 kW·hr 

(8) You may use a trapezoidal 

integration method instead of the 


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Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37331 

rectangular integration described in this 

paragraph (b). To do this, you must 

integrate the fraction of work between 

points where the torque is positive. You 

may assume that speed and torque are 

linear between data points. You may not 

set negative values to zero before 

running the integration. 

(e) Steady-state mass rate divided by 

power. To determine steady-state brakespecific emissions for a test interval as 

described in paragraph (b)(2) of this 

section, calculate the mean steady-state 

mass rate of the emission, m

Ô, and the 

mean steady-state power, P ̄ as follows: 

(1) To calculate m

Ô, multiply its mean 

concentration, x ̄, by its corresponding 

mean molar flow rate, n

Ô. If the result is 

a molar flow rate, convert this quantity 

to a mass rate by multiplying it by its 

molar mass, M. The result is the mean 

mass rate of the emission, m

Ô. In the case 

of PM emissions, where the mean PM 

concentration is already in units of mass 

per mole of sample, M ̄ PM, simply 

multiply it by the mean molar flow rate, 

n

Ô. The result is the mass rate of PM, 

m ̇ PM. Calculate m

Ô using the following 

equation: 

m Mxn   = ⋅⋅ Eq. 1065.650-12

(2) Calculate P ̄ using the following 

equation: 

P fT = ⋅ n Eq. 1065.650-13

(3) Divide emission mass rate by 

power to calculate a brake-specific 

emission result as described in 

paragraph (b)(2) of this section. 

(4) The following example shows how 

to calculate mass of emissions using 

mean mass rate and mean power: 

MCO = 28.0101 g/mol 

x ̄ CO = 12.00 mmol/mol = 0.01200 mol/ 

mol 

n

Ô = 1.530 mol/s 

f

 ̄

n = 3584.5 rev/min = 375.37 rad/s 

T ̄ = 121.50 N·m 

m ̄ = 28.0101·0.01200·1.530 

m ̄ = 0.514 g/s = 1850.4 g/hr 

P ̄ = 121.5·375.37 

P ̄ = 45607 

W = 45.607 kW 

eCO = 1850.4/45.61 

eCO = 40.57 g/(kW·hr) 

(f) Ratio of total mass of emissions to 

total work. To determine brake-specific 

emissions for a test interval as described 

in paragraph (b)(3) of this section, 

calculate a value proportional to the 

total mass of each emission. Divide each 

proportional value by a value that is 

similarly proportional to total work. 

(1) Total mass. To determine a value 

proportional to the total mass of an 

emission, determine total mass as 

described in paragraph (c) of this 

section, except substitute for the molar 

flow rate, n ̇ , or the total flow, n, with a 

signal that is linearly proportional to 

molar flow rate, n

Õ, or linearly 

proportional to total flow, n ̃ as follows: 







m

w

M nx

x fueli

fuel

C i Ccombdryi

H Oexhdryi

= ⋅ Eq ⋅ ⋅

+

1

1

1065 65

2

. . 0 14 -

(2) Total work. To calculate a value 

proportional to total work over a test 

interval, integrate a value that is 

proportional to power. Use information 

about the brake-specific fuel 

consumption of your engine, efuel, to 

convert a signal proportional to fuel 

flow rate to a signal proportional to 

power. To determine a signal 

proportional to fuel flow rate, divide a 

signal that is proportional to the mass 

rate of carbon products by the fraction 

of carbon in your fuel, wc.. For your fuel, 

you may use a measured wc or you may 

use the default values in Table 1 of 

§ 1065.655. Calculate the mass rate of 

carbon from the amount of carbon and 

water in the exhaust, which you 

determine with a chemical balance of 

fuel, intake air, and exhaust as 

described in § 1065.655. In the chemical 

balance, you must use concentrations 

from the flow that generated the signal 

proportional to molar flow rate, n

Õ, in 

paragraph (e)(1) of this section. 

Calculate a value proportional to total 

work as follows: 

W Pt i

i

N

= ⋅ =

∑ ∆ Eq. 1065.650-15 1

Where: 



P m

e i

i = fuel

fuel

Eq. 1065.650-16

(3) Brake-specific emissions. Divide 

the value proportional to total mass by 

the value proportional to total work to 

determine brake-specific emissions, as 

described in paragraph (b)(3) of this 

section. 

(4) Example. The following example 

shows how to calculate mass of 

emissions using proportional values: 

N = 3000 

frecord = 5 Hz 

efuel = 285 g/(kW.

hr) 

wfuel = 0.869 g/g 

Mc = 12.0107 g/mol 

n ̇ 1 = 3.922 ∼mol/s = 14119.2 mol/hr 

xCcombdry1 = 91.634 mmol/mol = 0.091634 

mol/mol 

xH2Oexh1 = 27.21 mmol/mol = 0.02721 mol/ 

mol 

Using Eq. 1065.650–5, 

Dt = 0.2 s 







W

n x

x =

⋅

+

+ ⋅

+

12 0107 3 922 0 091634

1 0 02721 1

2 2

2

. . .

.

Ccombdry

H Oexh2

3000 3000

2 3000 1

0 2

285 0

+ + ⋅

+

















⋅

⋅

... . 



n x

x

Ccombdry

H Oexh

.869

W ̃ = 5.09 ∼(kW·hr) 

(g) Rounding. Round emission values 

only after all calculations are complete 

and the result is in g/(kW·hr) or units 

equivalent to the units of the standard, 

such as g/(hp·hr). See the definition of 

‘‘Round’’ in § 1065.1001. 

■ 116. Section 1065.655 is revised to 

read as follows: 

§ 1065.655 Chemical balances of fuel, 

intake air, and exhaust. 

(a) General. Chemical balances of fuel, 

intake air, and exhaust may be used to 

calculate flows, the amount of water in 

their flows, and the wet concentration of 

constituents in their flows. With one 

flow rate of either fuel, intake air, or 

exhaust, you may use chemical balances 

to determine the flows of the other two. 

For example, you may use chemical 

balances along with either intake air or 

fuel flow to determine raw exhaust flow. 


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37332 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

(b) Procedures that require chemical 

balances. We require chemical balances 

when you determine the following: 

(1) A value proportional to total work, 

W ̃ , when you choose to determine 

brake-specific emissions as described in 

§ 1065.650(e). 

(2) The amount of water in a raw or 

diluted exhaust flow, xH2Oexh, when you 

do not measure the amount of water to 

correct for the amount of water removed 

by a sampling system. Correct for 

removed water according to 

§ 1065.659(c)(2). 

(3) The flow-weighted mean fraction 

of dilution air in diluted exhaust, xdil/exh, 

when you do not measure dilution air 

flow to correct for background 

emissions as described in § 1065.667(c). 

Note that if you use chemical balances 

for this purpose, you are assuming that 

your exhaust is stoichiometric, even if it 

is not. 

(c) Chemical balance procedure. The 

calculations for a chemical balance 

involve a system of equations that 

require iteration. We recommend using 

a computer to solve this system of 

equations. You must guess the initial 

values of up to three quantities: The 

amount of water in the measured flow, 

xH2Oexh, fraction of dilution air in 

diluted exhaust, xdil/exh, and the amount 

of products on a C1 basis per dry mole 

of dry measured flow, xCcombdry. You 

may use time-weighted mean values of 

combustion air humidity and dilution 

air humidity in the chemical balance; as 

long as your combustion air and 

dilution air humidities remain within 

tolerances of ± 0.0025 mol/mol of their 

respective mean values over the test 

interval. For each emission 

concentration, x, and amount of water, 

xH2Oexh, you must determine their 

completely dry concentrations, xdry and 

xH2Oexhdry. You must also use your fuel’s 

atomic hydrogen-to-carbon ratio, a, and 

oxygen-to-carbon ratio, b. For your fuel, 

you may measure a and b or you may 

use the default values in Table 1 of 

§ 1065.650. Use the following steps to 

complete a chemical balance: 

(1) Convert your measured 

concentrations such as, xCO2meas, 

xNOmeas, and xH2Oint, to dry 

concentrations by dividing them by one 

minus the amount of water present 

during their respective measurements; 

for example: xH2OxCO2meas, xH2OxNOmeas, 

and xH2Oint. If the amount of water 

present during a ‘‘wet’’ measurement is 

the same as the unknown amount of 

water in the exhaust flow, xH2Oexh, 

iteratively solve for that value in the 

system of equations. If you measure 

only total NOX and not NO and NO2

separately, use good engineering 

judgment to estimate a split in your total 

NOX concentration between NO and 

NO2 for the chemical balances. For 

example, if you measure emissions from 

a stoichiometric spark-ignition engine, 

you may assume all NOX is NO. For a 

compression-ignition engine, you may 

assume that your molar concentration of 

NOX, xNOx, is 75% NO and 25% NO2. 

For NO2 storage aftertreatment systems, 

you may assume xNOx is 25% NO and 

75% NO2. Note that for calculating the 

mass of NOX emissions, you must use 

the molar mass of NO2 for the effective 

molar mass of all NOX species, 

regardless of the actual NO2 fraction of 

NOX. 

(2) Enter the equations in paragraph 

(c)(4) of this section into a computer 

program to iteratively solve for xH2Oexh, 

xCcombdry, and xdil/exh. Use good 

engineering judgment to guess initial 

values for xH2Oexh, xCcombdry, and xdil/exh. 

We recommend guessing an initial 

amount of water that is about twice the 

amount of water in your intake or 

dilution air. We recommend guessing an 

initial value of xCcombdry as the sum of 

your measured CO2, CO, and THC 

values. We also recommend guessing an 

initial xdil/exh between 0.75 and 0.95, 

such as 0.8. Iterate values in the system 

of equations until the most recently 

updated guesses are all within ± 1% of 

their respective most recently calculated 

values. 

(3) Use the following symbols and 

subscripts in the equations for this 

paragraph (c): 

xdil/exh = Amount of dilution gas or excess air 

per mole of exhaust. 

xH2Oexh = Amount of water in exhaust per 

mole of exhaust. 

xCcombdry = Amount of carbon from fuel in the 

exhaust per mole of dry exhaust. 

xH2Oexhdry = Amount of water in exhaust per 

dry mole of dry exhaust. 

xprod/intdry = Amount of dry stoichiometric 

products per dry mole of intake air. 

xdil/exhdry = Amount of dilution gas and/or 

excess air per mole of dry exhaust. 

xint/exhdry = Amount of intake air required to 

produce actual combustion products per 

mole of dry (raw or diluted) exhaust. 

xraw/exhdry = Amount of undiluted exhaust, 

without excess air, per mole of dry (raw 

or diluted) exhaust. 

xO2int = Amount of intake air O2 per mole of 

intake air. 

xCO2intdry = Amount of intake air CO2 per 

mole of dry intake air. You may use 

xCO2intdry = 375 μmol/mol, but we 

recommend measuring the actual 

concentration in the intake air. 

xH2Ointdry = Amount of intake air H2O per 

mole of dry intake air. 

xCO2int = Amount of intake air CO2 per mole 

of intake air. 

xCO2dil = Amount of dilution gas CO2 per 

mole of dilution gas. 

xCO2dildry = Amount of dilution gas CO2 per 

mole of dry dilution gas. If you use air 

as diluent, you may use xCO2dildry = 375 

μmol/mol, but we recommend measuring 

the actual concentration in the intake air. 

xH2Odildry = Amount of dilution gas H2O per 

mole of dry dilution gas. 

xH2Odil = Amount of dilution gas H2O per 

mole of dilution gas. 

x[emission]meas = Amount of measured emission 

in the sample at the respective gas 

analyzer. 

x[emission]dry = Amount of emission per dry 

mole of dry sample. 

xH2O[emission]meas = Amount of water in sample 

at emission-detection location. Measure 

or estimate these values according to 

§ 1065.145(d)(2). 

xH2Oint = Amount of water in the intake air, 

based on a humidity measurement of 

intake air. 

a = Atomic hydrogen-to-carbon ratio in fuel. 

b = Atomic oxygen-to-carbon ratio in fuel. 

(4) Use the following equations to 

iteratively solve for xdil/exh, xH2Oexh, and 

xCcombdry: 

x

x

x dil exh / = −1 raw/exhdry

H2Oexhdry 1+ Eq. 1065.655-1

x

x

x H Oexh

H Oexhdry

H Oexhdry

Eq 2

2

2 1

= +. 1065.655-2

x x x x xx x Ccombdry CO dry COdry THCdry CO dil dil exhdry CO = ++ − ⋅ − 2 22 / int int/ ⋅ x exhdry Eq. 1065.655-3

x x x xx x H Oexhdry Ccombdry THCdry H Odil dil exhdry H O 2 22 2 = − ( ) +⋅ +

α / int int/ ⋅ x exhdry Eq. 1065.655-4


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Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37333 

x

x

x dil exhdry

dil exh

H Oexh

/

/ =

1− 2

Eq. 1065.655-5

x

x

xx x int/

int

exhdry

O

= Ccombdry THCdry COd ⋅ − + 



 



⋅ − ( ) − 1

2 2

2

2

α β ( ) ry NOdry NO dry − − 



 



 x x2 2 Eq. 1065.655-6

x x x xx raw exhdry Ccombdry THCdry THCdry COd / = + 



 



⋅ − ( ) + +

1

2 2

2 α β ( ) ry NO dry exhdry − 



 



x x 2 int/  + Eq. 1065.655-7

x

x

x O

CO

H O

2

2

2

0 209820

1 int

. = −

+

intdry

intdry

Eq. 1065.655-8

x

x

x CO

CO

H O

2

2

2 1 int = +

intdry

intdry

Eq. 1065.655-9

x

x

x H O

H O

H O

2

2

2 1 intdry = Eq. 1065.655-10 −

int

int

x

x

x CO dil

CO

H O

2

2

2 1 = +

dildry

dildry

Eq. 1065.655-11

x

x

x H Odildry

H Odil

H Odil

2

2

2 1 = − Eq. 1065.655-12

x

x

x COdry

COmeas

H OCOmeas

= 1− 2Eq. 1065.655-13

x

x

x CO dry

CO meas

H OCO meas

2

2

2 2 1 = − Eq. 1065.655-14

x

x

x NOdry

NOmeas

H ONOmeas

= 1− 2Eq. 1065.655-15

x

x

x NO dry

NO meas

H ONO meas

2

2

2 2 1 = − Eq. 1065.655-16

x

x

x THCdry

THCmeas

H OTHCmeas

= 1− 2Eq. 1065.655-17


ER06MY08.058</MATH> ER06MY08.059</MATH> ER06MY08.060</MATH> ER06MY08.061</MATH> ER06MY08.062</MATH> ER06MY08.063</MATH> ER06MY08.064</MATH> ER06MY08.065</MATH> ER06MY08.066</MATH> ER06MY08.067</MATH> ER06MY08.068</MATH> ER06MY08.069</MATH> ER06MY08.070</MATH>mstockstill on PROD1PC66 with RULES3
37334 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

(5) The following example is a 

solution for xdil/exh, xH2Oexh, and xCcombdry

using the equations in paragraph (c)(4) 

of this section: 

x mol/mol dil/exh = −

+

1 = 0 182

1 35 18

1000

0 824 .

. . x mmol/mol H Oexh 2

35 18

1 35 18

1000

= 33 98

+

= .

. .

xCcombdry =+ + −⋅− 0 025 29 3

1000000

47 6

1000000

0 371

1000

0 853 0 . . .. . .369

1000 ⋅ = 0 171 0 0247 . . mol/mol

xH O2

1 8

2

0 0247 47 6

1000000

0 012 0 853 0 017 exhdry = − 



 



 + ⋅+⋅ . . . . . .0 171 0 035 . . = mol/mol

x mol/mol dil/exhdry = − = 0 824

1 0 034

0 853 .

. .

xint/exhdry = ⋅

− + 



 



 ⋅ − 

1

2 0 206

1 8

2

0 050 2 0 0247 47 6

1000000

.

. . . .



 



 −

− −⋅ 



 





















29 3

1000000

50 4

1000000

2 12 1

1000000

.. .









= 0 171 . mol/mol

xraw/exhdry =

+ 



 



 ⋅ − 



 



 +

⋅

1

2

1 8

2

0 050 0 0247 47 6

1000000

2

. . . .

47 6

1000000

29 3

1000000

12 1

1000000

0 1 .. . .

+ − 



 





























+ 71 0 182 = . mol/mol

x mol/mol O2

0 209820 0 000375

1 17 22

1000

0 206 int

. .

. = . −

+

=

x mmol/mol CO2

0 000375 1000

1 17 22

1000

0 371 int

.

. = . ×

+

=

x mmol/mol H O2

16 93

1 16 93

1000

17 22 intdry =

−

= .

. .

x mmol/mol CO dil 2

0 375

1 12 01

1000

= 0 37

+

= .

. .

x mmol/mol H O2

11 87

1 11 87

1000

12 01 dildry =

−

= .

. .

x mmol/mol COdry =

−

= 29 0

1 8 601

1000

29 3 .

. .

x mmol/mol CO dry 2

24 98

1 8 601

1000

= 25 2

−

= .

. .

x mmol/mol NOdry =

−

= 50 0

1 8 601

1000

50 4 .

. .

x mmol/mol NO dry 2

12 0

1 8 601

1000

= 12 1

−

= .

. .

x mmol/mol THCdry =

−

= 46

1 33 98

1000

47 6 . .

a = 1.8 

b = 0.05 


ER06MY08.071</MATH> ER06MY08.072</MATH> ER06MY08.073</MATH> ER06MY08.074</MATH> ER06MY08.075</MATH> ER06MY08.076</MATH> ER06MY08.077</MATH> ER06MY08.078</MATH> ER06MY08.079</MATH> ER06MY08.080</MATH> ER06MY08.081</MATH> ER06MY08.082</MATH> ER06MY08.083</MATH> ER06MY08.084</MATH> ER06MY08.085</MATH> ER06MY08.086</Mmstockstill on PROD1PC66 with RULES3
Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37335 

TABLE 1 OF § 1065.655.—DEFAULT VALUES OF ATOMIC HYDROGEN-TO-CARBON RATIO, a, ATOMIC OXYGEN-TO-CARBON

RATIO, b, AND CARBON MASS FRACTION OF FUEL, wC, FOR VARIOUS FUELS

Fuel 

Atomic 

hydrogen and 

oxygen-to-carbon 

ratios 

CHaOb 

Carbon mass 

concentration, 

wC

g/g 

Gasoline ..................................................................................................................................................... CH1.85O0 0.866 

#2 Diesel .................................................................................................................................................... CH1.80O0 0.869 

#1 Diesel .................................................................................................................................................... CH1.93O0 0.861 

Liquified Petroleum Gas ............................................................................................................................ CH2.64O0 0.819 

Natural gas ................................................................................................................................................. CH3.78O0.016 0.747 

Ethanol ....................................................................................................................................................... CH3O0.5 0.521 

Methanol .................................................................................................................................................... CH4O1 0.375 

(d) Calculated raw exhaust molar flow 

rate from measured intake air molar 

flow rate or fuel mass flow rate. You 

may calculate the raw exhaust molar 

flow rate from which you sampled 

emissions, n ̇ exh, based on the measured 

intake air molar flow rate, n ̇ int, or the 

measured fuel mass flow rate, n ̇ fuel, and 

the values calculated using the chemical 

balance in paragraph (c) of this section. 

Note that the chemical balance must be 

based on raw exhaust gas 

concentrations. Solve for the chemical 

balance in paragraph (c) of this section 

at the same frequency that you update 

and record n ̇ intor n ̇ fuel. 

(1) Crankcase flow rate. If engines are 

not subject to crankcase controls under 

the standard-setting part, you may 

calculate raw exhaust flow based on 

n ̇ intor n ̇ fuel using one of the following: 

(i) You may measure flow rate 

through the crankcase vent and subtract 

it from the calculated exhaust flow. 

(ii) You may estimate flow rate 

through the crankcase vent by 

engineering analysis as long as the 

uncertainty in your calculation does not 

adversely affect your ability to show 

that your engines comply with 

applicable emission standards. 

(iii) You may assume your crankcase 

vent flow rate is zero. 

(2) Intake air molar flow rate 

calculation. Based on n ̇ int, calculate n ̇ exh

as follows: 

  n

n

x x

x

exh

H Oexhdry

=

+ ( ) −

( ) +













int

1

1 2

int/exhdry raw/exhdry 



Eq. 1065.655-18

Where: 

n ̇ exh = raw exhaust molar flow rate from 

which you measured emissions. 

n ̇ int = intake air molar flow rate including 

humidity in intake air. 

Example: 

n ̇ int = 3.780 mol/s 

xint/exhdry = 0.69021 mol/mol 

xraw/exhdry = 1.10764 mol/mol 

xH20exhdry = 107.64 mmol/mol = 0.10764 mol/ 

mol 

nexh =

+ −

+





 





3 780

1 0 69021 1 10764

1 0 10764

.

(. . )

(. )

n ̇ exh = 6.066 mol/s 

(3) Fuel mass flow rate calculation. 

Based on mfuel, calculate n ̇ exh as follows: 

  n

mw x

M x exh

fuel c H Oexhdry

c Ccombdry

= ⋅ ⋅+ ( )

⋅

1 2 Eq. 1065.655-19

Where: 

n ̇ exh = raw exhaust molar flow rate from 

which you measured emissions. 

m ̇ fuel = fuel flow rate including humidity in 

intake air. 

Example: 

m ̇ fuel = 7.559 g/s 

wC = 0.869 g/g 

MC = 12.0107 g/mol 

xCcombdry = 99.87 mmol/mol = 0.09987 mol/ 

mol 

xH20exhdry = 107.64 mmol/mol = 0.10764 mol/ 

mol 

nexh = ⋅ ⋅+

⋅

7 559 0 869 1 0 10764

12 0107 0 09987

. . (. )

. .

n ̇ exh = 6.066 mol/s 

■ 117. Section 1065.659 is revised to 

read as follows: 

§ 1065.659 Removed water correction. 

(a) If you remove water upstream of a 

concentration measurement, x, or 

upstream of a flow measurement, n, 

correct for the removed water. Perform 

this correction based on the amount of 

water at the concentration 

measurement, xH2O[emission]meas, and at 

the flow meter, xH2Oexh, whose flow is 

used to determine the concentration’s 

total mass over a test interval. 

(b) When using continuous analyzers 

downstream of a sample dryer for 

transient and ramped-modal testing, you 

must correct for removed water using 

signals from other continuous analyzers. 

When using batch analyzers 

downstream of a sample dryer, you 

must correct for removed water by using 

signals either from other batch analyzers 

or from the flow-weighted average 

concentrations from continuous 

analyzers. Downstream of where you 

removed water, you may determine the 


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37336 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

amount of water remaining by any of the 

following: 

(1) Measure the dewpoint and 

absolute pressure downstream of the 

water removal location and calculate the 

amount of water remaining as described 

in § 1065.645. 

(2) When saturated water vapor 

conditions exist at a given location, you 

may use the measured temperature at 

that location as the dewpoint for the 

downstream flow. If we ask, you must 

demonstrate how you know that 

saturated water vapor conditions exist. 

Use good engineering judgment to 

measure the temperature at the 

appropriate location to accurately reflect 

the dewpoint of the flow. Note that if 

you use this option and the water 

correction in paragraph (d) of this 

section results in a corrected value that 

is greater than the measured value, your 

saturation assumption is invalid and 

you must determine the water content 

according to paragraph (b)(1) of this 

section. 

(3) You may also use a nominal value 

of absolute pressure based on an alarm 

set point, a pressure regulator set point, 

or good engineering judgment. 

(4) Set xH2O[emission]meas equal to that of 

the measured upstream humidity 

condition if it is lower than the dryer 

saturation conditions. 

(c) For a corresponding concentration 

or flow measurement where you did not 

remove water, you may determine the 

amount of initial water by any of the 

following: 

(1) Use any of the techniques 

described in paragraph (b) of this 

section. 

(2) If the measurement comes from 

raw exhaust, you may determine the 

amount of water based on intake-air 

humidity, plus a chemical balance of 

fuel, intake air and exhaust as described 

in § 1065.655. 

(3) If the measurement comes from 

diluted exhaust, you may determine the 

amount of water based on intake-air 

humidity, dilution air humidity, and a 

chemical balance of fuel, intake air, and 

exhaust as described in § 1065.655. 

(d) Perform a removed water 

correction to the concentration 

measurement using the following 

equation: 

x x

x

x = ⋅ −−















 [ ]

[ ]

emission meas

H Oexh

H O emission meas

1

1

2

2

Eq. 1065.659-1

Example: 

xCOmeas = 29.0 μmol/mol 

xH2OCOmeas = 8.601 mmol/mol = 0.008601 

mol/mol 

xH2Oexh = 34.04 mmol/mol = 0.03404 mol/mol 

xCO = ⋅ −

−





 



 29 0 1 0 03404

1 0 008601 . ..

xCO = 28.3 μmol/mol 

■ 118. Section 1065.660 is revised to 

read as follows: 

§ 1065.660 THC and NMHC determination. 

(a) THC determination and THC/CH4

initial contamination corrections. (1) If 

we require you to determine THC 

emissions, calculate xTHC[THC–FID] using 

the initial THC contamination 

concentration xTHC[THC–FID]init from 

§ 1065.520 as follows: 

xx x THC THC cor THC THC uncor THC THC init -FID -FID -FID Eq. 1 [] [] [] = − 065.660-1

Example: 

xTHCuncor = 150.3 μmol/mol 

xTHCinit = 1.1 μmol/mol 

xTHCcor = 150.3 ¥ 1.1 

xTHCcor = 149.2 μmol/mol 

(2) For the NMHC determination 

described in paragraph (b) of this 

section, correct xTHC[THC–FID] for initial 

HC contamination using Eq. 1065.660– 

1. You may correct for initial 

contamination of the CH4 sample train 

using Eq. 1065.660–1, substituting in 

CH4 concentrations for THC. 

(b) NMHC determination. Use one of 

the following to determine NMHC 

concentration, xNMHC: 

(1) If you do not measure CH4, you 

may determine NMHC concentrations as 

described in § 1065.650(c)(1)(vi). 

(2) For nonmethane cutters, calculate 

xNMHC using the nonmethane cutter’s 

penetration fractions (PF) of CH4 and 

C2H6 from § 1065.365, and using the HC 

contamination and wet-to-dry corrected 

THC concentration xTHC[THC–FID]cor as 

determined in paragraph (a) of this 

section. 

(i) Use the following equation for 

penetration fractions determined using 

an NMC configuration as outlined in 

§ 1065.365(d): 

x

x x RF

RFPF NMHC

THC THC cor THC NMC CH THC

C

= − ⋅

−

[] [ ] [] -FID -FID -FID 4

1 26 4 H NMC CH THC

Eq

-FID -FID

. 1065.660-2

[ ] [] ⋅ RF

Where: 

xNMHC = concentration of NMHC. 

xTHC[THC–FID]cor = concentration of THC, HC 

contamination and dry-to-wet corrected, 

as measured by the THC FID during 

sampling while bypassing the NMC. 

xTHC[NMC–FID] = concentration of THC, HC 

contamination (optional) and dry-to-wet 

corrected, as measured by the THC FID 

during sampling through the NMC. 

RFCH4[THC–FID] = response factor of THC FID 

to CH4, according to § 1065.360(d). 

RFPFC2H6[NMC–FID] = nonmethane cutter 

combined ethane response factor and 

penetration fraction, according to 

§ 1065.365(d). 

Example: 

xTHC[THC–FID]cor = 150.3 μmol/mol 

xTHC[NMC–FID] = 20.5 μmol/mol 

RFPFC2H6[NMC–FID] = 0.019 

RFCH4[THC–FID] = 1.05 

xNMHC = − ⋅

− ⋅

150 3 20 5 1 05

1 0 019 1 05

. ..

. .

xNMHC = 130.4 μmol/mol 

(ii) For penetration fractions 

determined using an NMC configuration 

as outlined in § 1065.365(e), use the 

following equation: 


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Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37337 

x

x PF x

PF NMHC

THC THC cor CH NMC THC NMC = ⋅ − [] [ ] [ ] -FID -FID -FID

CH4 NM

4

C-FID -FID

Eq. 1065.660-3

[] [] − PFC H NMC 2 6

Where: 

xNMHC = concentration of NMHC. 

xTHC[THC–FID]cor = concentration of THC, HC 

contamination and dry-to-wet corrected, 

as measured by the THC FID during 

sampling while bypassing the NMC. 

PFCH4[NMC–FID] = nonmethane cutter CH4

penetration fraction, according to 

§ 1065.365(e). 

xTHC[NMC–FID] = concentration of THC, HC 

contamination (optional) and dry-to-wet 

corrected, as measured by the THC FID 

during sampling through the NMC. 

PFC2H6[NMC–FID] = nonmethane cutter ethane 

penetration fraction, according to 

§ 1065.365(e). 

Example: 

xTHC[THC–FID]cor = 150.3 μmol/mol 

PFCH4[NMC–FID] = 0.990 

xTHC[NMC–FID] = 20.5 μmol/mol 

PFC2H6[NMC–FID] = 0.020 

xNMHC = ⋅ −

−

150 3 0 990 20 5

0 990 0 020

.. .

. .

xNMHC = 132.3 μmol/mol 

(iii) For penetration fractions 

determined using an NMC configuration 

as outlined in § 1065.365(f), use the 

following equation: 

x

x PF x RF

NMHC

THC THC cor CH NMC THC CH T = ⋅ −⋅ [] [ ] [ ] -FID -FID NMC-FID 4 4 HC

C H NMC CH THC

-FID

CH4 NMC-FID -FID -FID

Eq [ ]

[ ] [ ] [] PF RFPF RF − ⋅ 26 4

. 1065.660-4

Where: 

xNMHC = concentration of NMHC. 

xTHC[THC-FID]cor = concentration of THC, HC 

contamination and dry-to-wet corrected, 

as measured by the THC FID during 

sampling while bypassing the NMC. 

PFCH4[NMC-FID] = nonmethane cutter CH4

penetration fraction, according to 

§ 1065.365(f). 

xTHC[NMC-FID] = concentration of THC, HC 

contamination (optional) and dry-to-wet 

corrected, as measured by the THC FID 

during sampling through the NMC. 

RFPFC2H6[NMC-FID] = nonmethane cutter CH4

combined ethane response factor and 

penetration fraction, according to 

§ 1065.365(f). 

RFCH4[THC-FID] = response factor of THC FID 

to CH4, according to § 1065.360(d). 

Example: 

xTHC[THC-FID]cor = 150.3 μmol/mol 

PFCH4[NMC-FID] = 0.990 

xTHC[NMC-FID] = 20.5 μmol/mol 

RFPFC2H6[NMC-FID] = 0.019 

RFCH4[THC-FID] = 0.980 

xNMHC = ⋅ −⋅

− ⋅

150 3 0 990 20 5 0 980

0 990 0 019 0 980

.. ..

...

xNMHC = 132.5 μmol/mol 

(3) For a gas chromatograph, calculate 

xNMHC using the THC analyzer’s 

response factor (RF) for CH4, from 

§ 1065.360, and the HC contamination 

and wet-to-dry corrected initial THC 

concentration xTHC[THC-FID]cor as 

determined in section (a) above as 

follows: 

x x RF x NMHC = −⋅ THC THC cor CH THC [] [] -FID -FID CH Eq. 1065.660-5 4 4

Where: 

xNMHC = concentration of NMHC. 

xTHC[THC-FID]cor = concentration of THC, HC 

contamination and dry-to-wet corrected, 

as measured by the THC FID. 

xCH4 = concentration of CH4, HC 

contamination (optional) and dry-to-wet 

corrected, as measured by the gas 

chromatograph FID. 

RFCH4[THC-FID] = response factor of THC-FID 

to CH4. 

Example: 

xTHC[THC-FID][cor = 145.6 μmol/mol 

RFCH4[THC-FID] = 0.970 

xCH4 = 18.9 μmol/mol 

xNMHC = 145.6¥0.970 · 18.9 

xNMHC = 127.3 μmol/mol 

■ 119. Section 1065.665 is revised to 

read as follows: 

§ 1065.665 THCE and NMHCE 

determination. 

(a) If you measured an oxygenated 

hydrocarbon’s mass concentration, first 

calculate its molar concentration in the 

exhaust sample stream from which the 

sample was taken (raw or diluted 

exhaust), and convert this into a C1- 

equivalent molar concentration. Add 

these C1-equivalent molar 

concentrations to the molar 

concentration of NOTHC. The result is 

the molar concentration of THCE. 

Calculate THCE concentration using the 

following equations, noting that 

equation 1065.665–3 is only required if 

you need to convert your OHC 

concentration from mass to moles: 

x x xx i i

i

N

THCE NOTHC OHC OHC =+ − ( ) =

∑ -init Eq. 1065.665-1 1

x x x RF NOTHC THC THC cor OHCi OHC THC i = −⋅ [] [] -FID -FID ( ) Eq. 1065.665-2 i

N

=

∑1


ER06MY08.097</MATH> ER06MY08.098</MATH> ER06MY08.099</MATH> ER06MY08.100</MATH> ER06MY08.101</MATH> ER06MY08.102</MATH> ER06MY08.103</MATH>mstockstill on PROD1PC66 with RULES3
37338 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

x

m

M

m

M

n

n i

i

i i

OHC

dexhOHC

OHC

dexh

dexh

dexhOHC

dexh

= = Eq. 1065.665-3

Where: 

xTHCE = The C1-equivalent sum of the 

concentration of carbon mass 

contributions of non-oxygenated 

hydrocarbons, alcohols, and aldehydes. 

xNOTHC = The C1-equivalent sum of the 

concentration of nonoxygenated THC. 

xOHCi = The C1-equivalent concentration of 

oxygenated species i in diluted exhaust, 

not corrected for initial contamination. 

xOHCi-init = The C1-equivalent concentration of 

the initial system contamination 

(optional) of oxygenated species i, dryto-wet corrected. 

xTHC[THC-FID]cor = The C1-equivalent response 

to NOTHC and all OHC in diluted 

exhaust, HC contamination and dry-towet corrected, as measured by the THCFID. 

RFOHCi[THC-FID] = The response factor of the 

FID to species i relative to propane on a 

C1-equivalent basis. 

C# = The mean number of carbon atoms in 

the particular compound. 

Mdexh = The molar mass of diluted exhaust as 

determined in § 1065.340. 

mdexhOHCi = The mass of oxygenated species 

i in dilute exhaust. 

MOHCi = The C1-equivalent molecular weight 

of oxygenated species i. 

mdexh = The mass of diluted exhaust. 

ndexhOHCi = The number of moles of 

oxygenated species i in total diluted 

exhaust flow. 

ndexh = The total diluted exhaust flow. 

(b) If we require you to determine 

NMHCE, use the following equation: 

x x RF x NMHCE THCE =− ⋅ CH THC 4[ ] -FID CH4 Eq. 1065.665-4

Where: 

xNMHCE = The C1-equivalent sum of the 

concentration of carbon mass 

contributions of non-oxygenated NMHC, 

alcohols, and aldehydes. 

RFCH4[THC–FID] = response factor of THC–FID 

to CH4. 

xCH4 = concentration of CH4, HC 

contamination (optional) and dry-to-wet 

corrected, as measured by the gas 

chromatograph FID. 

(c) The following example shows how 

to determine NMHCE emissions based 

on ethanol (C2H5OH), methanol 

(CH3OH), acetaldehyde (C2H4O), and 

formaldehyde (HCHO) as C1-equivalent 

molar concentrations: 

xTHC[THC–FID]cor = 145.6 μmol/mol 

xCH4 = 18.9 μmol/mol 

xC2H5OH = 100.8 μmol/mol 

xCH3OH = 1.1 μmol/mol 

xC2H4O = 19.1 μmol/mol 

xHCHO = 1.3 μmol/mol 

RFCH4[THC–FID] = 1.07 

RFC2H5OH[THC–FID] = 0.76 

RFCH3OH[THC–FID] = 0.74 

RFH2H4O[THC–FID] = 0.50 

RFHCHO[THC–FID] = 0.0 

xNMHCE = xTHC[THC–FID]cor¥(xC2H5OH · 

RFC2H5OH[THC–FID] + xCH3OH · 

RFCH3OH[THC–FID] + xC2H4O · 

RFC2H4O[THC–FID] + xHCHO · 

RFHCHO[THC–FID] + xC2H5OH + xCH3OH

+ xC2H4O + xHCHO¥(RFCH4[THC-FID] · 

xCH4) 

xNMHCE = 145.6¥(100.8 · 0.76 + 1.1 · 

0.74 + 19.1 · 0.50 + 1.3 · 0) + 100.8 

+ 1.1 + 19.1 + 1.3¥(1.07 · 18.9) 

xNMHCE = 160.71 μmol/mol 

■ 120. Section 1065.667 is amended by 

revising paragraph (b) to read as follows: 

§ 1065.667 Dilution air background 

emission correction. 

* * * * * 

(b) You may determine the total flow 

of dilution air by a direct flow 

measurement. In this case, calculate the 

total mass of background as described in 

§ 1065.650(b), using the dilution air 

flow, ndil. Subtract the background mass 

from the total mass. Use the result in 

brake-specific emission calculations. 

* * * * * 

■ 121. Section 1065.670 is amended by 

revising the introductory text to read as 

follows: 

§ 1065.670 NOX intake-air humidity and 

temperature corrections. 

See the standard-setting part to 

determine if you may correct NOX

emissions for the effects of intake-air 

humidity or temperature. Use the NOX

intake-air humidity and temperature 

corrections specified in the standardsetting part instead of the NOX intakeair humidity correction specified in this 

part 1065. If the standard-setting part 

does not prohibit correcting NOX

emissions for intake-air humidity 

according to this part 1065, first apply 

any NOX corrections for background 

emissions and water removal from the 

exhaust sample, then correct NOX

concentrations for intake-air humidity. 

You may use a time-weighted mean 

combustion air humidity to calculate 

this correction if your combustion air 

humidity remains within a tolerance of 

± 0.0025 mol/mol of the mean value 

over the test interval. For intake-air 

humidity correction, use one of the 

following approaches: 

* * * * * 

■ 122. Section 1065.675 is revised to 

read as follows: 

§ 1065.675 CLD quench verification 

calculations. 

Perform CLD quench-check 

calculations as follows: 

(a) Calculate the amount of water in 

the span gas, xH2Ospan, assuming 

complete saturation at the span-gas 

temperature. 

(b) Estimate the expected amount of 

water and CO2 in the exhaust you 

sample, xH2Oexp and xCO2exp, 

respectively, by considering the 

maximum expected amounts of water in 

combustion air, fuel combustion 

products, and dilution air 

concentrations (if applicable). 

(c) Set xH2Oexp equal to xH2Omeas if you 

are using a sample dryer that passes the 

sample dryer verification check in 

§ 1065.342. 

(d) Calculate water quench as follows: 


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Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37339 

quench

x

x

x

x

x = − −

























⋅

NOwet

H Omeas

NOdry

H O

H Omea

1 1 2 2

2

exp

s

NO CO NO N

NO N

CO

CO meas

+ − ⋅ x x

x

x

x

, ,

,

2 2 exp

2

2

2

Eq. 1065.675-1

Where: 

quench = amount of CLD quench. 

xNOdry = measured concentration of NO 

upstream of a bubbler, according to 

§ 1065.370. 

xNOwet = measured concentration of NO 

downstream of a bubbler, according to 

§ 1065.370. 

xH2Oexp = expected maximum amount of 

water entering the CLD sample port 

during emission testing. 

xH2Omeas = measured amount of water 

entering the CLD sample port during the 

quench verification specified in 

§ 1065.370. 

xNO,CO2 = measured concentration of NO 

when NO span gas is blended with CO2

span gas, according to § 1065.370. 

xNO,N2 = measured concentration of NO when 

NO span gas is blended with N2 span 

gas, according to § 1065.370. 

xCO2exp = expected maximum amount of CO2

entering the CLD sample port during 

emission testing. 

xCO2meas = measured amount of CO2 entering 

the CLD sample port during the quench 

verification specified in § 1065.370. 

Example: 

xNOdry = 1800.0 μmol/mol 

xNOwet = 1760.5 μmol/mol 

xH2Oexp = 0.030 mol/mol 

xH2Omeas = 0.017 mol/mol 

xNO,CO2 = 1480.2 μmol/mol 

xNO,N2 = 1500.8 μmol/mol 

xCO2exp = 2.00% 

xCO2meas = 3.00% 

quench = − −

























⋅ +

1760 5

1 0 017

1800 0

1 0 030

0 017

1480 2

.

.

.

.

.

. − ⋅ 1500 8

1500 8

2 00

3 00

.

.

.

.

quench = ¥0.00888¥0.00915 = ¥1.80% 

■ 123. Section 1065.690 is amended by 

revising paragraph (e) to read as follows: 

§ 1065.690 Buoyancy correction for PM 

sample media. 

* * * * * 

(e) Correction calculation. Correct the 

PM sample media for buoyancy using 

the following equations: 

m m cor uncor

air

weight

air

media

= ⋅

−

−

























1

1

ρ

ρ

ρ

ρ

Eq. 1065.690-1

Where: 

mcor = PM mass corrected for buoyancy. 

muncor = PM mass uncorrected for buoyancy. 

rair = density of air in balance environment. 

rweight = density of calibration weight used to 

span balance. 

rmedia = density of PM sample media, such as 

a filter. 

ρair

abs mix

amb

= ⋅

⋅

p M

R T Eq.1065.690-2

Where: 

pabs = absolute pressure in balance 

environment. 

Mmix = molar mass of air in balance 

environment. 

R = molar gas constant. 

Tamb = absolute ambient temperature of 

balance environment. 

Example: 

pabs = 99.980 kPa 

Tsat = Tdew = 9.5 °C 

Using Eq. 1065.645–2, 

pH20 = 1.1866 kPa 

Using Eq. 1065.645–3, 

xH2O = 0.011868 mol/mol 

Using Eq. 1065.640–9, 

Mmix = 28.83563 g/mol 

R = 8.314472 J/(mol · K) 

Tamb = 20 °C 

ρair = ⋅

⋅

99 980 28 83563

8 314472 293 15

. .

. .

rair = 1.18282 kg/m3

muncorr = 100.0000 mg 

rweight = 8000 kg/m3

rmedia = 920 kg/m3

mcor = ⋅

−

−





















100 0000

1 1 18282

8000

1 1 18282

920

.

.

.

mcor 100.1139 mg 

■ 124. Section 1065.695 is amended by 

revising paragraph (c)(7)(ix) to read as 

follows: 

§ 1065.695 Data requirements. 

* * * * * 

(c) * * * 

(7) * * * 

(ix) Warm-idle speed value. 

* * * * * 

Subpart H—[Amended] 

■ 125. Section 1065.701 is amended by 

revising paragraphs (b), (c), and (e) to 

read as follows: 

§ 1065.701 General requirements for test 

fuels. 

* * * * * 

(b) Fuels meeting alternate 

specifications. We may allow you to use 

a different test fuel (such as California 

Phase 2 gasoline) if it does not affect 

your ability to show that your engines 

would comply with all applicable 

emission standards using the fuel 

specified in this subpart. 

(c) Fuels not specified in this subpart. 

If you produce engines that run on a 

type of fuel (or mixture of fuels) that we 

do not specify in this subpart, you must 

get our written approval to establish the 

appropriate test fuel. See the standardsetting part for provisions related to 


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37340 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

fuels and fuel mixtures not specified in 

this subpart. 

(1) For engines designed to operate on 

a single fuel, we will generally allow 

you to use the fuel if you show us all 

the following things are true: 

(i) Show that your engines will use 

only the designated fuel in service. 

(ii) Show that this type of fuel is 

commercially available. 

(iii) Show that operating the engines 

on the fuel we specify would be 

inappropriate, as in the following 

examples: 

(A) The engine will not run on the 

specified fuel. 

(B) The engine or emission controls 

will not be durable or work properly 

when operating with the specified fuel. 

(C) The measured emission results 

would otherwise be substantially 

unrepresentative of in-use emissions. 

(2) For engines that are designed to 

operate on different fuel types, the 

provisions of paragraphs (c)(1)(ii) and 

(iii) of this section apply with respect to 

each fuel type. 

(3) For engines that are designed to 

operate on different fuel types as well as 

continuous mixtures of those fuels, we 

may require you to test with either the 

worst-case fuel mixture or the most 

representative fuel mixture, unless the 

standard-setting part specifies 

otherwise. 

* * * * * 

(e) Service accumulation and field 

testing fuels. If we do not specify a 

service-accumulation or field-testing 

fuel in the standard-setting part, use an 

appropriate commercially available fuel 

such as those meeting minimum 

specifications from the following table: 

TABLE 1 OF § 1065.701.—EXAMPLES OF SERVICE-ACCUMULATION AND FIELD-TESTING FUELS

Fuel category Subcategory Reference procedure 1

Light distillate and light blends with residual ..................... ASTM D975–07b. 

Diesel .................................................................................. Middle distillate .................................................................. ASTM D6751–07b. 

Biodiesel (B100) ................................................................. ASTM D6985–04a. 

Intermediate and residual fuel ............................................ All ....................................................................................... See § 1065.705. 

Gasoline .............................................................................. Motor vehicle gasoline ....................................................... ASTM D4814–07a. 

Minor oxygenated gasoline blends .................................... ASTM D4814–07a. 

Alcohol ................................................................................ Ethanol (Ed75–85) ............................................................. ASTM D5798–07. 

Methanol (M70–M85) ......................................................... ASTM D5797–07. 

Aviation fuel ........................................................................ Aviation gasoline ................................................................ ASTM D910–07. 

Gas turbine ........................................................................ ASTM D1655–07e01. 

Jet B wide cut .................................................................... ASTM D6615–06. 

Gas turbine fuel .................................................................. General .............................................................................. ASTM D2880–03. 

1ASTM specifications are incorporated by reference in § 1065.1010. 

■ 126. Section 1065.703 is amended by 

revising Table 1 to read as follows: 

§ 1065.703 Distillate diesel fuel. 

* * * * * 

TABLE 1 OF § 1065.703.—TEST FUEL SPECIFICATIONS FOR DISTILLATE DIESEL FUEL

Item Units Ultra low 

sulfur Low sulfur High sulfur Reference procedure 1

Cetane Number ........................................................... .................. 40–50 40–50 40–50 ASTM D613–05. 

Distillation range .......................................................... °C ............

Initial boiling point ................................................ .................. 171–204 171–204 171–204 ASTM D86–07a. 

10 pct. point ......................................................... .................. 204–238 204–238 204–238 

50 pct. point ......................................................... .................. 243–282 243–282 243–282 

90 pct. point ......................................................... .................. 293–332 293–332 293–332 

Endpoint ............................................................... .................. 321–366 321–366 321–366 

Gravity ......................................................................... ° API ........ 32–37 32–37 32–37 ASTM D4052–96e01. 

Total sulfur .................................................................. mg/kg ....... 7–15 300–500 2000–4000 ASTM D2622–07.

Aromatics, min. (Remainder shall be paraffins, 

naphthalenes, and olefins).

g/kg .......... 100 100 100 ASTM D5186–03. 

Flashpoint, min. ........................................................... °C ............ 54 54 54 ASTM D93–07. 

Kinematic Viscosity ..................................................... cSt ........... 2.0–3.2 2.0–3.2 2.0–3.2 ASTM D445–06. 

1ASTM procedures are incorporated by reference in § 1065.1010. See § 1065.701(d) for other allowed procedures. 

■ 127. A new § 1065.705 is added to 

read as follows: 

§ 1065.705 Residual and intermediate 

residual fuel. 

This section describes the 

specifications for fuels meeting the 

definition of residual fuel in 40 CFR 

80.2, including fuels marketed as 

intermediate fuel. Residual fuels for 

service accumulation and any testing 

must meet the following specifications: 

(a) The fuel must be a commercially 

available fuel that is representative of 

the fuel that will be used by the engine 

in actual use. 

(b) The fuel must meet the 

specifications for one of the categories 

in the following table: 

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Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37341 

TABLE 1 OF § 1065.705.—SERVICE ACCUMULATION AND TEST FUEL SPECIFICATIONS FOR RESIDUAL FUEL

Characteristic Unit 

Category ISO–F– 

Test method reference 1

RMA 

30 

RMB 

30 

RMD 

80 

RME 

180 

RMF 

180 

RMG 

380 

RMH 

380 

RMK 

380 

RMH 

700 

RMK 

700 

Density at 15 °C, 

max.

kg/m 3 ......... 960.0 975.0 980.0 991.0 991.0 1010.0 991.0 1010.0 ISO 3675 or ISO 12185: 

1996/Cor 1:2001 (see also 

ISO 8217:2005(E) 7.1). 

Kinematic viscosity 

at 50 °C, max.

cSt .............. 30.0 80.0 180.0 380.0 700.0 ISO 3104:1994/Cor 1:1997. 

Flash point, min ..... °C ............... 60 60 60 60 60 ISO 2719 (see also ISO 

8217:2005(E) 7.2). 

Pour point (upper): 

Winter quality, 

max.

°C ............... 0 24 30 30 30 30 ISO 3016. 

Summer quality, max..................... 6 24 30 30 30 30 ISO 3016. 

Carbon residue, 

max.

(kg/kg)% ..... 10 14 15 20 18 22 22 ISO 10370:1993/Cor 1:1996. 

Ash, max. ............... (kg/kg)% ..... 0.10 0.10 0.10 0.15 0.15 0.15 ISO 6245. 

Water, max ............ (m3/m3)% .... 0.5 0.5 0.5 0.5 0.5 ISO 3733. 

Sulfur, max ............ (kg/kg)% ..... 3.50 4.00 4.50 4.50 4.50 ISO 8754 or ISO 14596: 

1998/Cor 1:1999 (see also 

ISO 8217:2005(E) 7.3). 

Vanadium, max ...... mg/kg ......... 150 350 200 500 300 600 600 ISO 14597 or IP 501 or IP 

470 (see also ISO 

8217:2005(E) 7.8). 

Total sediment potential, max.(kg/kg)% ..... 0.10 0.10 0.10 0.10 0.10 ISO 10307–2 (see also ISO 

8217:2005(E) 7.6). 

Aluminium plus silicon, max.mg/kg ......... 80 80 80 80 80 ISO 10478 or IP 501 or IP 

470 (see also ISO 

8217:2005(E) 7.9). 

Used lubricating oil 

(ULO), max.

.................... Fuel shall be free of ULO. We consider a fuel to be free of ULO if one or more of the elements 

zinc, phosphorus, or calcium is at or below the specified limits. We consider a fuel to contain 

ULO if all three elements exceed the specified limits. 

IP 501 or IP 470 (see ISO 

8217:2005(E) 7.7). 

IP 501 or IP 500 (see ISO 

8217:2005(E) 7.7). 

IP 501 or IP 470 (see ISO 

8217:2005(E) 7.7). 

mg/kg ......... 15 

Zinc ........................ .................... 15 

Phosphorus ............ .................... 15 

Calcium .................. .................... 30 

1 ISO procedures are incorporated by reference in § 1065.1010. See § 1065.701(d) for other allowed procedures. 

■ 128. Section 1065.710 is amended by 

revising Table 1 to read as follows: 

§ 1065.710 Gasoline. 

* * * * * 

TABLE 1 OF § 1065.710.—TEST FUEL SPECIFICATIONS FOR GASOLINE

Item Units General testing Low-temperature testing Reference 

procedure 1

Distillation Range: 

Initial boiling point ................... °C ............ 24–35 2 ........................................... 24–36.

10% point ................................ °C ............ 49–57 .............................................. 37–48 .............................................. ASTM D86–07a. 

50% point ................................ °C ............ 93–110 ............................................ 82–101.

90% point ................................ °C ............ 149–163 .......................................... 158–174.

End point ................................. °C ............ Maximum, 213 ................................ Maximum, 212.

Hydrocarbon composition: 

Olefins ..................................... m3/m3 ...... Maximum, 0.10 ............................... Maximum, 0.175 ............................. ASTM D1319–03. 

Aromatics ................................ .................. Maximum, 0.35 ............................... Maximum, 0.304.

Saturates ................................. .................. Remainder ...................................... Remainder.

Lead (organic) ................................ g/liter ........ Maximum, 0.013 ............................. Maximum, 0.013 ............................. ASTM 

D3237–06e01. 

Phosphorous .................................. g/liter ........ Maximum, 0.0013 ........................... Maximum, 0.005 ............................. ASTM D3231–07. 

Total sulfur ...................................... mg/kg ....... Maximum, 80 .................................. Maximum, 80 .................................. ASTM D2622–07. 

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37342 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

TABLE 1 OF § 1065.710.—TEST FUEL SPECIFICATIONS FOR GASOLINE

Item Units General testing Low-temperature testing Reference 

procedure 1

Volatility (Reid Vapor Pressure) ..... kPa .......... 60.0–63.4 2, 3 ................................... 77.2–81.4 ........................................ ASTM D5191–07. 

1ASTM procedures are incorporated by reference in § 1065.1010. See § 1065.701(d) for other allowed procedures. 

2For testing at altitudes above 1,219 m, the specified volatility range is (52.0 to 55.2) kPa and the specified initial boiling point range is (23.9 to 

40.6) °C. 3For testing unrelated to evaporative emissions, the specified range is (55.2 to 63.4) kPa. 

■ 129. Section 1065.715 is revised to 

read as follows: 

§ 1065.715 Natural gas. 

(a) Except as specified in paragraph 

(b) of this section, natural gas for testing 

must meet the specifications in the 

following table: 

TABLE 1 OF § 1065.715.—TEST FUEL SPECIFICATIONS FOR NATURAL GAS

Item Value 1

Methane, CH4 ........................................................................................... Minimum, 0.87 mol/mol. 

Ethane, C2H6 ............................................................................................ Maximum, 0.055 mol/mol. 

Propane, C3H8 .......................................................................................... Maximum, 0.012 mol/mol. 

Butane, C4H10 ........................................................................................... Maximum, 0.0035 mol/mol. 

Pentane, C5H12 ......................................................................................... Maximum, 0.0013 mol/mol. 

C6 and higher ........................................................................................... Maximum, 0.001 mol/mol. 

Oxygen ..................................................................................................... Maximum, 0.001 mol/mol. 

Inert gases (sum of CO2 and N2) ............................................................. Maximum, 0.051 mol/mol. 

1All parameters are based on the reference procedures in ASTM D1945–03 (incorporated by reference in § 1065.1010). See § 1065.701(d) for 

other allowed procedures. 

(b) In certain cases you may use test 

fuel not meeting the specifications in 

paragraph (a) of this section, as follows: 

(1) You may use fuel that your in-use 

engines normally use, such as pipeline 

natural gas. 

(2) You may use fuel meeting 

alternate specifications if the standardsetting part allows it. 

(3) You may ask for approval to use 

fuel that does not meet the 

specifications in paragraph (a) of this 

section, but only if using the fuel would 

not adversely affect your ability to 

demonstrate compliance with the 

applicable standards. 

(c) When we conduct testing using 

natural gas, we will use fuel that meets 

the specifications in paragraph (a) of 

this section. 

(d) At ambient conditions, natural gas 

must have a distinctive odor detectable 

down to a concentration in air not more 

than one-fifth the lower flammable 

limit. 

■ 130. Section 1065.720 is revised to 

read as follows: 

§ 1065.720 Liquefied petroleum gas. 

(a) Except as specified in paragraph 

(b) of this section, liquefied petroleum 

gas for testing must meet the 

specifications in the following table: 

TABLE 1 OF § 1065.720.—TEST FUEL SPECIFICATIONS FOR LIQUEFIED PETROLEUM GAS

Item Value Reference procedure 1

Propane, C3H8 ......................................................................................... Minimum, 0.85 m3/m3 .................... ASTM D2163–05. 

Vapor pressure at 38 °C ......................................................................... Maximum, 1400 kPa ...................... ASTM D1267–02 or 2598–022. 

Volatility residue (evaporated temperature, 35 °C) ................................. Maximum, ¥38 °C ........................ ASTM D1837–02a. 

Butanes ................................................................................................... Maximum, 0.05 m3/m3 ................... ASTM D2163–05. 

Butenes ................................................................................................... Maximum, 0.02 m3/m3 ................... ASTM D2163–05. 

Pentenes and heavier ............................................................................. Maximum, 0.005 m3/m3 ................. ASTM D2163–05. 

Propene ................................................................................................... Maximum, 0.1 m3/m3 ..................... ASTM D2163–05. 

Residual matter (residue on evap. of 100 ml oil stain observ.) .............. Maximum, 0.05 ml pass3 ............... ASTM D2158–05. 

Corrosion, copper strip ............................................................................ Maximum, No. 1 ............................ ASTM D1838–07. 

Sulfur ....................................................................................................... Maximum, 80 mg/kg ...................... ASTM D2784–06. 

Moisture content ...................................................................................... pass ............................................... ASTM D2713–91. 

1ASTM procedures are incorporated by reference in § 1065.1010. See § 1065.701(d) for other allowed procedures. 

2 If these two test methods yield different results, use the results from ASTM D1267–02. 

3The test fuel must not yield a persistent oil ring when you add 0.3 ml of solvent residue mixture to a filter paper in 0.1 ml increments and examine it in daylight after two minutes. 

(b) In certain cases you may use test 

fuel not meeting the specifications in 

paragraph (a) of this section, as follows: 

(1) You may use fuel that your in-use 

engines normally use, such as 

commercial-quality liquefied petroleum 

gas. 

(2) You may use fuel meeting 

alternate specifications if the standardsetting part allows it. 

(3) You may ask for approval to use 

fuel that does not meet the 

specifications in paragraph (a) of this 

section, but only if using the fuel would 

not adversely affect your ability to 

demonstrate compliance with the 

applicable standards. 

(c) When we conduct testing using 

liquefied petroleum gas, we will use 

fuel that meets the specifications in 

paragraph (a) of this section. 

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Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37343 

(d) At ambient conditions, liquefied 

petroleum gas must have a distinctive 

odor detectable down to a concentration 

in air not more than one-fifth the lower 

flammable limit. 

■ 131. Section 1065.750 is amended by 

revising paragraph (a) to read as follows: 

§ 1065.750 Analytical Gases. 

* * * * * 

(a) Subparts C, D, F, and J of this part 

refer to the following gas specifications: 

(1) Use purified gases to zero 

measurement instruments and to blend 

with calibration gases. Use gases with 

contamination no higher than the 

highest of the following values in the 

gas cylinder or at the outlet of a zerogas generator: 

(i) 2% contamination, measured 

relative to the flow-weighted mean 

concentration expected at the standard. 

For example, if you would expect a 

flow-weighted CO concentration of 

100.0 μmol/mol, then you would be 

allowed to use a zero gas with CO 

contamination less than or equal to 

2.000 μmol/mol. 

(ii) Contamination as specified in the 

following table: 

TABLE 1 OF § 1065.750.—GENERAL SPECIFICATIONS FOR PURIFIED GASES

Constituent Purified synthetic air 1 Purified N2 1

THC (C1 equivalent) ...................................................................................................... < 0.05 μmol/mol ................. < 0.05 μmol/mol. 

CO .................................................................................................................................. < 1 μmol/mol ...................... < 1 μmol/mol. 

CO2 ................................................................................................................................ < 10 μmol/mol .................... < 10 μmol/mol. 

O2 ................................................................................................................................... 0.205 to 0.215 mol/mol ...... < 2 μmol/mol. 

NOX ................................................................................................................................ < 0.02 μmol/mol ................. < 0.02 μmol/mol. 

1We do not require these levels of purity to be NIST-traceable. 

(2) Use the following gases with a FID 

analyzer: 

(i) FID fuel. Use FID fuel with a stated 

H2 concentration of (0.39 to 0.41) mol/ 

mol, balance He, and a stated total 

hydrocarbon concentration of 0.05 

μmol/mol or less. 

(ii) FID burner air. Use FID burner air 

that meets the specifications of purified 

air in paragraph (a)(1) of this section. 

For field testing, you may use ambient 

air. 

(iii) FID zero gas. Zero flameionization detectors with purified gas 

that meets the specifications in 

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

that the purified gas O2 concentration 

may be any value. Note that FID zero 

balance gases may be any combination 

of purified air and purified nitrogen. We 

recommend FID analyzer zero gases that 

contain approximately the expected 

flow-weighted mean concentration of O2

in the exhaust sample during testing. 

(iv) FID propane span gas. Span and 

calibrate THC FID with span 

concentrations of propane, C3H8. 

Calibrate on a carbon number basis of 

one (C1). For example, if you use a C3H8

span gas of concentration 200 μmol/mol, 

span a FID to respond with a value of 

600 μmol/mol. Note that FID span 

balance gases may be any combination 

of purified air and purified nitrogen. We 

recommend FID analyzer span gases 

that contain approximately the flowweighted mean concentration of O2

expected during testing. If the expected 

O2 concentration in the exhaust sample 

is zero, we recommend using a balance 

gas of purified nitrogen. 

(v) FID methane span gas. If you 

always span and calibrate a CH4 FID 

with a nonmethane cutter, then span 

and calibrate the FID with span 

concentrations of methane, CH4. 

Calibrate on a carbon number basis of 

one (C1). For example, if you use a CH4

span gas of concentration 200 μmol/mol, 

span a FID to respond with a value of 

200 μmol/mol. Note that FID span 

balance gases may be any combination 

of purified air and purified nitrogen. We 

recommend FID analyzer span gases 

that contain approximately the expected 

flow-weighted mean concentration of O2

in the exhaust sample during testing. If 

the expected O2 concentration in the 

exhaust sample is zero, we recommend 

using a balance gas of purified nitrogen. 

(3) Use the following gas mixtures, 

with gases traceable within ± 1.0% of 

the NIST-accepted value or other gas 

standards we approve: 

(i) CH4, balance purified synthetic air 

and/or N2 (as applicable). 

(ii) C2H6, balance purified synthetic 

air and/or N2 (as applicable). 

(iii) C3H8, balance purified synthetic 

air and/or N2 (as applicable). 

(iv) CO, balance purified N2. 

(v) CO2, balance purified N2. 

(vi) NO, balance purified N2. 

(vii) NO2, balance purified synthetic 

air. 

(viii) O2, balance purified N2. 

(ix) C3H8, CO, CO2, NO, balance 

purified N2. 

(x) C3H8, CH4, CO, CO2, NO, balance 

purified N2. 

(4) You may use gases for species 

other than those listed in paragraph 

(a)(3) of this section (such as methanol 

in air, which you may use to determine 

response factors), as long as they are 

traceable to within ± 3.0% of the NISTaccepted value or other similar 

standards we approve, and meet the 

stability requirements of paragraph (b) 

of this section. 

(5) You may generate your own 

calibration gases using a precision 

blending device, such as a gas divider, 

to dilute gases with purified N2 or 

purified synthetic air. If your gas 

dividers meet the specifications in 

§ 1065.248, and the gases being blended 

meet the requirements of paragraphs 

(a)(1) and (3) of this section, the 

resulting blends are considered to meet 

the requirements of this paragraph (a). 

* * * * * 

Subpart I—[Amended] 

■ 132. Section 1065.805 is amended by 

revising paragraphs (a), (b), and (c) to 

read as follows: 

§ 1065.805 Sampling system. 

(a) Dilute engine exhaust, and use 

batch sampling to collect proportional 

flow-weighted dilute samples of the 

applicable alcohols and carbonyls. You 

may not use raw sampling for alcohols 

and carbonyls. 

(b) You may collect background 

samples for correcting dilution air for 

background concentrations of alcohols 

and carbonyls. 

(c) Maintain sample temperatures 

within the dilution tunnel, probes, and 

sample lines high enough to prevent 

aqueous condensation up to the point 

where a sample is collected to prevent 

loss of the alcohols and carbonyls by 

dissolution in condensed water. Use 

good engineering judgment to ensure 

that surface reactions of alcohols and 

carbonyls do not occur, as surface 

decomposition of methanol has been 

shown to occur at temperatures greater 

than 120 °C in exhaust from methanolfueled engines. 

* * * * * 

■ 133. Section 1065.845 is amended by 

revising the introductory text to read as 

follows: 

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37344 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

§ 1065.845 Response factor determination. 

Since FID analyzers generally have an 

incomplete response to alcohols and 

carbonyls, determine each FID 

analyzer’s alcohol/carbonyl response 

factor (such as RFMeOH) after FID 

optimization to subtract those responses 

from the FID reading. You are not 

required to determine the response 

factor for a compound unless you will 

subtract its response to compensate for 

a response. Formaldehyde response is 

assumed to be zero and does not need 

to be determined. Use the most recent 

alcohol/carbonyl response factors to 

compensate for alcohol/carbonyl 

response. 

* * * * * 

Subpart J—[Amended] 

■ 134. Section 1065.901 is amended by 

revising paragraphs (b) introductory text 

and (b)(2) to read as follows: 

§ 1065.901 Applicability. 

* * * * * 

(b) Laboratory testing. You may use 

PEMS for any testing in a laboratory or 

similar environment without restriction 

or prior approval if the PEMS meets all 

applicable specifications for laboratory 

testing. You may also use PEMS for any 

testing in a laboratory or similar 

environment if we approve it in 

advance, subject to the following 

provisions: * * * 

(2) Do not apply any PEMS-related 

field-testing adjustments or 

measurement allowances to laboratory 

emission results or standards. 

* * * * * 

■ 135. Section 1065.905 is amended by 

revising paragraphs (c)(14) and (e) 

introductory text to read as follows: 

§ 1065.905 General provisions. 

* * * * * 

(c) * * * 

(14) Does any special measurement 

allowance apply to field-test emission 

results or standards, based on using 

PEMS for field-testing versus using 

laboratory equipment and instruments 

for laboratory testing? 

* * * * * 

(e) Laboratory testing using PEMS. 

You may use PEMS for testing in a 

laboratory as described in § 1065.901(b). 

Use the following procedures and 

specifications when using PEMS for 

laboratory testing: 

* * * * * 

■ 136. Section 1065.910 is revised to 

read as follows: 

§ 1065.910 PEMS auxiliary equipment for 

field testing. 

For field testing you may use various 

types of auxiliary equipment to attach 

PEMS to a vehicle or engine and to 

power PEMS. 

(a) When you use PEMS, you may 

route engine intake air or exhaust 

through a flow meter. Route the engine 

intake air or exhaust as follows: 

(1) Flexible connections. Use short 

flexible connectors where necessary. 

(i) You may use flexible connectors to 

enlarge or reduce the pipe diameters to 

match that of your test equipment. 

(ii) We recommend that you use 

flexible connectors that do not exceed a 

length of three times their largest inside 

diameter. 

(iii) We recommend that you use fourply silicone-fiberglass fabric with a 

temperature rating of at least 315 °C for 

flexible connectors. You may use 

connectors with a spring-steel wire 

helix for support and you may use 

NomexTM coverings or linings for 

durability. You may also use any other 

nonreactive material with equivalent 

permeation-resistance and durability, as 

long as it seals tightly. 

(iv) Use stainless-steel hose clamps to 

seal flexible connectors, or use clamps 

that seal equivalently. 

(v) You may use additional flexible 

connectors to connect to flow meters. 

(2) Tubing. Use rigid 300 series 

stainless steel tubing to connect 

between flexible connectors. Tubing 

may be straight or bent to accommodate 

vehicle geometry. You may use ‘‘T’’ or 

‘‘Y’’ fittings made of 300 series stainless 

steel tubing to join multiple 

connections, or you may cap or plug 

redundant flow paths if the engine 

manufacturer recommends it. 

(3) Flow restriction. Use flowmeters, 

connectors, and tubing that do not 

increase flow restriction so much that it 

exceeds the manufacturer’s maximum 

specified value. You may verify this at 

the maximum exhaust flow rate by 

measuring pressure at the manufacturerspecified location with your system 

connected. You may also perform an 

engineering analysis to verify an 

acceptable configuration, taking into 

account the maximum exhaust flow rate 

expected, the field test system’s flexible 

connectors, and the tubing’s 

characteristics for pressure drops versus 

flow. 

(b) For vehicles or other motive 

equipment, we recommend installing 

PEMS in the same location where a 

passenger might sit. Follow PEMS 

manufacturer instructions for installing 

PEMS in cargo spaces, engine spaces, or 

externally such that PEMS is directly 

exposed to the outside environment. We 

recommend locating PEMS where it will 

be subject to minimal sources of the 

following parameters: 

(1) Ambient temperature changes. 

(2) Ambient pressure changes. 

(3) Electromagnetic radiation. 

(4) Mechanical shock and vibration. 

(5) Ambient hydrocarbons—if using a 

FID analyzer that uses ambient air as 

FID burner air. 

(c) Use mounting hardware as 

required for securing flexible 

connectors, ambient sensors, and other 

equipment. Use structurally sound 

mounting points such as vehicle frames, 

trailer hitch receivers, walkspaces, and 

payload tie-down fittings. We 

recommend mounting hardware such as 

clamps, suction cups, and magnets that 

are specifically designed for your 

application. We also recommend 

considering mounting hardware such as 

commercially available bicycle racks, 

trailer hitches, and luggage racks where 

applicable. 

(d) Field testing may require portable 

electrical power to run your test 

equipment. Power your equipment, as 

follows: 

(1) You may use electrical power from 

the vehicle, equipment, or vessel, up to 

the highest power level, such that all the 

following are true: 

(i) The power system is capable of 

safely supplying power, such that the 

power demand for testing does not 

overload the power system. 

(ii) The engine emissions do not 

change significantly as a result of the 

power demand for testing. 

(iii) The power demand for testing 

does not increase output from the 

engine by more than 1% of its 

maximum power. 

(2) You may install your own portable 

power supply. For example, you may 

use batteries, fuel cells, a portable 

generator, or any other power supply to 

supplement or replace your use of 

vehicle power. You may connect an 

external power source directly to the 

vehicle’s, vessel’s, or equipment’s 

power system; however, during a test 

interval (such as an NTE event) you 

must not supply power to the vehicle’s 

power system in excess of 1% of the 

engine’s maximum power. 

■ 137. Section 1065.915 is amended by 

revising paragraph (a) before the table 

and paragraphs (c), (d)(1), and 

(d)(5)(iii)(B) to read as follows: 

§ 1065.915 PEMS instruments. 

(a) Instrument specifications. We 

recommend that you use PEMS that 

meet the specifications of subpart C of 

this part. For unrestricted use of PEMS 

in a laboratory or similar environment, 

use a PEMS that meets the same 

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specifications as each lab instrument it 

replaces. For field testing or for testing 

with PEMS in a laboratory or similar 

environment, under the provisions of 

§ 1065.905(b), the specifications in the 

following table apply instead of the 

specifications in Table 1 of § 1065.205. 

* * * * * 

(c) Field-testing ambient effects on 

PEMS. We recommend that you use 

PEMS that are only minimally affected 

by ambient conditions such as 

temperature, pressure, humidity, 

physical orientation, mechanical shock 

and vibration, electromagnetic 

radiation, and ambient hydrocarbons. 

Follow the PEMS manufacturer’s 

instructions for proper installation to 

isolate PEMS from ambient conditions 

that affect their performance. If a PEMS 

is inherently affected by ambient 

conditions that you cannot control, you 

may monitor those conditions and 

adjust the PEMS signals to compensate 

for the ambient effect. The standardsetting part may also specify the use of 

one or more field-testing adjustments or 

measurement allowances that you apply 

to results or standards to account for 

ambient effects on PEMS. 

(d) * * * 

(1) Recording ECM signals. If your 

ECM updates a broadcast signal more or 

less frequently than 1 Hz, process data 

as follows: 

(i) If your ECM updates a broadcast 

signal more frequently than 1 Hz, use 

PEMS to sample and record the signal’s 

value more frequently. Calculate and 

record the 1 Hz mean of the more 

frequently updated data. 

(ii) If your ECM updates a broadcast 

signal less frequently than 1 Hz, use 

PEMS to sample and record the signal’s 

value at the most frequent rate. Linearly 

interpolate between recorded values and 

record the interpolated values at 1 Hz. 

(iii) Optionally, you may use PEMS to 

electronically filter the ECM signals to 

meet the rise time and fall time 

specifications in Table 1 of this section. 

Record the filtered signal at 1 Hz. 

* * * * * 

(5) * * * 

(iii) * * * 

(B) Use a single BSFC value that 

approximates the BSFC value over a test 

interval (as defined in subpart K of this 

part). This value may be a nominal 

BSFC value for all engine operation 

determined over one or more laboratory 

duty cycles, or it may be any other BSFC 

that you determine. If you use a nominal 

BSFC, we recommend that you select a 

value based on the BSFC measured over 

laboratory duty cycles that best 

represent the range of engine operation 

that defines a test interval for fieldtesting. You may use the methods of this 

paragraph (d)(5)(iii)(B) only if it does 

not adversely affect your ability to 

demonstrate compliance with 

applicable standards. 

* * * * * 

■ 138. Section 1065.920 is amended by 

revising paragraphs (a), (b)(4)(iii), and 

(b)(7) introductory text to read as 

follows: 

§ 1065.920 PEMS calibrations and 

verifications. 

(a) Subsystem calibrations and 

verifications. Use all the applicable 

calibrations and verifications in subpart 

D of this part, including the linearity 

verifications in § 1065.307, to calibrate 

and verify PEMS. Note that a PEMS 

does not have to meet the systemresponse specifications of § 1065.308 if 

it meets the overall verification 

described in paragraph (b) of this 

section. This section does not apply to 

ECM signals. 

(b) * * * 

(4) * * * 

(iii) If the standard-setting part 

specifies the use of a measurement 

allowance for field testing, also apply 

the measurement allowance during 

calibration using good engineering 

judgment. If the measurement allowance 

is normally added to the standard, this 

means you must subtract the 

measurement allowance from the 

measured PEMS brake-specific emission 

result. 

* * * * * 

(7) The PEMS passes this verification 

if any one of the following are true for 

each constituent: 

* * * * * 

■ 139. Section 1065.925 is amended by 

revising paragraph (h) to read as 

follows: 

§ 1065.925 PEMS preparation for field 

testing. 

* * * * * 

(h) Verify the amount of 

contamination in the PEMS HC 

sampling system as follows: 

(1) Select the HC analyzers’ ranges for 

measuring the maximum concentration 

expected at the HC standard. 

(2) Zero the HC analyzers using a zero 

gas or ambient air introduced at the 

analyzer port. When zeroing the FIDs, 

use the FIDs’ burner air that would be 

used for in-use measurements (generally 

either ambient air or a portable source 

of burner air). 

(3) Span the HC analyzers using span 

gas introduced at the analyzer port. 

When spanning the FIDs, use the FIDs’ 

burner air that would be used in-use (for 

example, use ambient air or a portable 

source of burner air). 

(4) Overflow zero or ambient air at the 

HC probe or into a fitting between the 

HC probe and the transfer line. 

(5) Measure the HC concentration in 

the sampling system: 

(i) For continuous sampling, record 

the mean HC concentration as overflow 

zero air flows. 

(ii) For batch sampling, fill the sample 

medium and record its mean 

concentration. 

(6) Record this value as the initial HC 

concentration, xTHCinit, and use it to 

correct measured values as described in 

§ 1065.660. 

(7) If the initial HC concentration 

exceeds the greater of the following 

values, determine the source of the 

contamination and take corrective 

action, such as purging the system or 

replacing contaminated portions: 

(i) 2% of the flow-weighted mean 

concentration expected at the standard 

or measured during testing. 

(ii) 2 μmol/mol. 

(8) If corrective action does not 

resolve the deficiency, you may use a 

contaminated HC system if it does not 

prevent you from demonstrating 

compliance with the applicable 

emission standards. 

■ 140. Section 1065.935 is amended by 

revising paragraphs (e)(1) and (g)(5) to 

read as follows: 

§ 1065.935 Emission test sequence for 

field testing. 

* * * * * 

(e) * * * 

(1) Continue sampling as needed to 

get an appropriate amount of emission 

measurement, according to the standard 

setting part. If the standard-setting part 

does not describe when to stop 

sampling, develop a written protocol 

before you start testing to establish how 

you will stop sampling. You may not 

determine when to stop testing based on 

emission results. 

* * * * * 

(g) * * * 

(5) Invalidate any test intervals that 

do not meet the drift criterion in 

§ 1065.550. For NMHC, invalidate any 

test intervals if the difference between 

the uncorrected and the corrected brakespecific NMHC emission values are 

within ±10% of the uncorrected results 

or the applicable standard, whichever is 

greater. For test intervals that do meet 

the drift criterion, correct those test 

intervals for drift according to 

§ 1065.672 and use the drift corrected 

results in emissions calculations. 

* * * * * 

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Subpart K—[Amended] 

■ 141. Section 1065.1001 is amended by 

revising the definitions for ‘‘Designated 

Compliance Officer’’, ‘‘Regression 

statistics’’ and ‘‘Tolerance’’ and adding 

definitions in alphabetical order for 

‘‘Dilution ratio’’, ‘‘Measurement 

allowance’’, ‘‘Mode’’, ‘‘NIST-accepted’’, 

‘‘Recommend’’, ‘‘Uncertainty’’, and 

‘‘Work’’ to read as follows: 

§ 1065.1001 Definitions. 

* * * * * 

Designated Compliance Officer means 

the Director, Compliance and Innovative 

Strategies Division (6405–J), U.S. 

Environmental Protection Agency, 1200 

Pennsylvania Ave., NW., Washington, 

DC 20460. 

* * * * * 

Dilution ratio (DR) means the amount 

of diluted exhaust per amount of 

undiluted exhaust. 

* * * * * 

Measurement allowance means a 

specified adjustment in the applicable 

emission standard or a measured 

emission value to reflect the relative 

quality of the measurement. See the 

standard-setting part to determine 

whether any measurement allowances 

apply for your testing. Measurement 

allowances generally apply only for 

field testing and are intended to account 

for reduced accuracy or precision that 

result from using field-grade 

measurement systems. 

Mode means one of the following: 

(1) A distinct combination of engine 

speed and load for steady-state testing. 

(2) A continuous combination of 

speeds and loads specifying a transition 

during a ramped-modal test. 

(3) A distinct operator demand 

setting, such as would occur when 

testing locomotives or constant-speed 

engines. 

NIST-accepted means relating to a 

value that has been assigned or named 

by NIST. 

* * * * * 

Recommend has the meaning given in 

§ 1065.201. 

Regression statistics means any of the 

regression statistics specified in 

§ 1065.602. 

* * * * * 

Tolerance means the interval in 

which at least 95% of a set of recorded 

values of a certain quantity must lie. 

Use the specified recording frequencies 

and time intervals to determine if a 

quantity is within the applicable 

tolerance. The concept of tolerance is 

intended to address random variability. 

You may not take advantage of the 

tolerance specification to incorporate a 

bias into a measurement. 

* * * * * 

Uncertainty means uncertainty with 

respect to NIST-traceability. See the 

definition of NIST-traceable in this 

section. 

* * * * * 

Work has the meaning given in 

§ 1065.110. 

* * * * * 

■ 142. Section 1065.1005 is amended by 

revising paragraphs (a) and (g) to read as 

follows: 

§ 1065.1005 Symbols, abbreviations, 

acronyms, and units of measure. 

* * * * * 

(a) Symbols for quantities. This part 

uses the following symbols and units of 

measure for various quantities: 

Symbol Quantity Unit Unit symbol Base SI units 

% .......... percent ...................................................... 0.01 ........................................................... % ............................. 10–2

a ........... atomic hydrogen to carbon ratio ............... mole per mole ........................................... mol/mol .................... 1 

A ........... area ........................................................... square meter ............................................. m2 ........................... m2 

A0 .......... intercept of least squares regression ........

A1 .......... slope of least squares regression .............

b ........... ratio of diameters ...................................... meter per meter ........................................ m/m ......................... 1 

b ........... atomic oxygen to carbon ratio .................. mole per mole ........................................... mol/mol .................... 1 

C# ......... number of carbon atoms in a molecule ....

d ........... Diameter .................................................... meter ......................................................... m ............................. m 

DR ........ dilution ratio ............................................... mole per mol ............................................. mol/mol .................... 1 

e ............ error between a quantity and its reference 

e ........... brake-specific basis ................................... gram per kilowatt hour .............................. g/(kW · h) ................ g · 3.6–1 · 106 · m–2 · 

kg · s2

F ........... F-test statistic ............................................

f ............ frequency ................................................... hertz .......................................................... Hz ............................ s–1

fn ........... rotational frequency (shaft) ....................... revolutions per minute ............................... rev/min ..................... 2 · pi · 60–1 · s–1

g ............ ratio of specific heats ................................ (joule per kilogram kelvin) per (joule per 

kilogram kelvin).

(J/(kg · K))/(J/(kg · 

K)).

1 

K ........... correction factor ........................................ .................................................................... .................................. 1 

l ............. length ......................................................... meter ......................................................... m ............................. m 

μ ........... viscosity, dynamic ..................................... pascal second ........................................... Pa·s ......................... m–1 · kg · s–1

M .......... molar mass1 .............................................. gram per mole ........................................... g/mol ........................ 10–3 · kg · mol–1

m .......... mass .......................................................... kilogram ..................................................... kg ............................. kg 

m ̇ .......... mass rate .................................................. kilogram per second .................................. kg/s .......................... kg · s–1

n ........... viscosity, kinematic ................................... meter squared per second ........................ m2/s ......................... m2 · s–1

N ........... total number in series ...............................

n ........... amount of substance ................................. mole ........................................................... mol ........................... mol 

n ̇ ........... amount of substance rate ......................... mole per second ....................................... mol/s ........................ mol · s–1

P ........... power ......................................................... kilowatt ...................................................... kW ........................... 103 · m2 · kg · s–3

PF ......... penetration fraction ...................................

p ........... pressure .................................................... pascal ........................................................ Pa ............................ m–1 · kg · s–2

r ........... mass density ............................................. kilogram per cubic meter .......................... kg/m3 ....................... kg · m–3

r ............ ratio of pressures ...................................... pascal per pascal ...................................... Pa/Pa ....................... 1 

R2 ......... coefficient of determination .......................

Ra ......... average surface roughness ...................... micrometer ................................................ μm ........................... m–6

Re# ....... Reynolds number ......................................

RF ......... response factor .........................................

RH% ..... relative humidity ........................................ 0.01 ........................................................... % ............................. 10–2

s ........... non-biased standard deviation ..................

S ........... Sutherland constant .................................. kelvin ......................................................... K .............................. K 

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Symbol Quantity Unit Unit symbol Base SI units 

SEE ...... standard estimate of error .........................

T ........... absolute temperature ................................ kelvin ......................................................... K .............................. K 

T ........... Celsius temperature .................................. degree Celsius .......................................... °C ............................ K–273.15 

T ........... torque (moment of force) .......................... newton meter ............................................ N · m ....................... m2 · kg · s–2

t ............ time ............................................................ second ....................................................... s ............................... s 

Dt .......... time interval, period, 1/frequency .............. second ....................................................... s ............................... s 

V ........... volume ....................................................... cubic meter ................................................ m3 ............................ m3

V ̇ ........... volume rate ............................................... cubic meter per second ............................ m3/s ......................... m3 · s–1

W .......... work ........................................................... kilowatt hour .............................................. kW · h ...................... 3.6 · 10–6 · m2 · kg · 

s–2

wc .......... carbon mass concentration ....................... gram per gram .......................................... g/g ........................... 1 

x ............ amount of substance mole fraction2 ......... mole per mole ........................................... mol/mol .................... (1) 

x ̄ ............ flow-weighted mean concentration ........... mole per mole ........................................... mol/mol .................... 1 

y ............ generic variable .........................................

1See paragraph (f)(2) of this section for the values to use for molar masses. Note that in the cases of NOX and HC, the regulations specify effective molar masses based on assumed speciation rather than actual speciation. 2 Note that mole fractions for THC, THCE, NMHC, NMHCE, and NOTHC are expressed on a C1 equivalent basis. 

* * * * * 

(g) Other acronyms and abbreviations. 

This part uses the following additional 

abbreviations and acronyms: 

ASTM American Society for Testing 

and Materials 

BMD bag mini-diluter 

BSFC brake-specific fuel consumption 

CARB California Air Resources Board 

CFR Code of Federal Regulations 

CFV critical-flow venturi 

CI compression-ignition 

CITT Curb Idle Transmission Torque 

CLD chemiluminescent detector 

CVS constant-volume sampler 

DF deterioration factor 

ECM electronic control module 

EFC electronic flow control 

EGR exhaust gas recirculation 

EPA Environmental Protection Agency 

FEL Family Emission Limit 

FID flame-ionization detector 

IBP initial boiling point 

ISO International Organization for 

Standardization 

LPG liquefied petroleum gas 

NDIR nondispersive infrared 

NDUV nondispersive ultraviolet 

NIST National Institute for Standards 

and Technology 

PDP positive-displacement pump 

PEMS portable emission measurement 

system 

PFD partial-flow dilution 

PMP Polymethylpentene 

pt. a single point at the mean value 

expected at the standard 

PTFE polytetrafluoroethylene 

(commonly known as TeflonTM) 

RE rounding error 

RMC ramped-modal cycle 

RMS root-mean square 

RTD resistive temperature detector 

SSV subsonic venturi 

SI spark-ignition 

UCL upper confidence limit 

UFM ultrasonic flow meter 

U.S.C. United States Code 

■ 143. Section 1065.1010 is revised to 

read as follows: 

§ 1065.1010 Reference materials. 

Documents listed in this section have 

been incorporated by reference into this 

part. The Director of the Federal 

Register approved the incorporation by 

reference as prescribed in 5 U.S.C. 

552(a) and 1 CFR part 51. Anyone may 

inspect copies at the U.S. EPA, Air and 

Radiation Docket and Information 

Center, 1301 Constitution Ave., NW., 

Room B102, EPA West Building, 

Washington, DC 20460 or at the 

National Archives and Records 

Administration (NARA). For 

information on the availability of this 

material at NARA, call 202–741–6030, 

or go to: http://www.archives.gov/ 

federal_register/code_of_

federal_regulations/ibr_locations.html. 

(a) ASTM material. Table 1 of this 

section lists material from the American 

Society for Testing and Materials that 

we have incorporated by reference. The 

first column lists the number and name 

of the material. The second column lists 

the sections of this part where we 

reference it. Anyone may purchase 

copies of these materials from the 

American Society for Testing and 

Materials, 100 Barr Harbor Dr., P.O. Box 

C700, West Conshohocken, PA 19428 or 

www.astm.com. Table 1 follows: 

TABLE 1 OF § 1065.1010.–ASTM MATERIALS

Document No. and name Part 1065 

reference 

ASTM D86–07a, Standard Test Method for Distillation of Petroleum Products at Atmospheric Pressure ............................................ 1065.703, 

1065.710 

ASTM D93–07, Standard Test Methods for Flash Point by Pensky-Martens Closed Cup Tester ......................................................... 1065.703 

ASTM D445–06, Standard Test Method for Kinematic Viscosity of Transparent and Opaque Liquids (and the Calculation of Dynamic Viscosity) ................................................................................................................................................................................... 1065.703 

ASTM D613–05, Standard Test Method for Cetane Number of Diesel Fuel Oil .................................................................................... 1065.703 

ASTM D910–07, Standard Specification for Aviation Gasolines ............................................................................................................ 1065.701 

ASTM D975–07b, Standard Specification for Diesel Fuel Oils ............................................................................................................... 1065.701 

ASTM D1267–02 (Reapproved 2007), Standard Test Method for Gage Vapor Pressure of Liquefied Petroleum (LP) Gases (LPGas Method) ........................................................................................................................................................................................ 1065.720 

ASTM D1319–03, Standard Test Method for Hydrocarbon Types in Liquid Petroleum Products by Fluorescent Indicator Adsorption 1065.710 

ASTM D1655–07e01, Standard Specification for Aviation Turbine Fuels .............................................................................................. 1065.701 

ASTM D1837–02a (Reapproved 2007), Standard Test Method for Volatility of Liquefied Petroleum (LP) Gases ............................... 1065.720 

ASTM D1838–07, Standard Test Method for Copper Strip Corrosion by Liquefied Petroleum (LP) Gases ......................................... 1065.720 

ASTM D1945–03, Standard Test Method for Analysis of Natural Gas by Gas Chromatography ......................................................... 1065.715 

ASTM D2158–05, Standard Test Method for Residues in Liquefied Petroleum (LP) Gases ................................................................ 1065.720 

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TABLE 1 OF § 1065.1010.–ASTM MATERIALS—Continued 

Document No. and name Part 1065 

reference 

ASTM D2163–05, Standard Test Method for Analysis of Liquefied Petroleum (LP) Gases and Propene Concentrates by Gas Chromatography .......................................................................................................................................................................................... 1065.720 

ASTM D2598–02 (Reapproved 2007), Standard Practice for Calculation of Certain Physical Properties of Liquefied Petroleum (LP) 

Gases from Compositional Analysis .................................................................................................................................................... 1065.720 

ASTM D2622–07, Standard Test Method for Sulfur in Petroleum Products by Wavelength Dispersive X-ray Fluorescence Spectrometry ................................................................................................................................................................................................ 1065.703, 

1065.710 

ASTM D2713–91 (Reapproved 2001), Standard Test Method for Dryness of Propane (Valve Freeze Method) .................................. 1065.720 

ASTM D2784–06, Standard Test Method for Sulfur in Liquefied Petroleum Gases (Oxy-Hydrogen Burner or Lamp) ......................... 1065.720 

ASTM D2880–03, Standard Specification for Gas Turbine Fuel Oils ..................................................................................................... 1065.701 

ASTM D2986–95a (Reapproved 1999), Standard Practice for Evaluation of Air Assay Media by the Monodisperse DOP (Dioctyl 

Phthalate) Smoke Test ........................................................................................................................................................................ 1065.170 

ASTM D3231–07, Standard Test Method for Phosphorus in Gasoline .................................................................................................. 1065.710 

ASTM D3237–06e01, Standard Test Method for Lead in Gasoline By Atomic Absorption Spectroscopy ............................................ 1065.710 

ASTM D4052–96e01 (Reapproved 2002), Standard Test Method for Density and Relative Density of Liquids by Digital Density 

Meter .................................................................................................................................................................................................... 1065.703 

ASTM D4814–07a, Standard Specification for Automotive Spark-Ignition Engine Fuel ........................................................................ 1065.701 

ASTM D5186–03, Standard Test Method for Determination of the Aromatic Content and Polynuclear Aromatic Content of Diesel 

Fuels and Aviation Turbine Fuels By Supercritical Fluid Chromatography ......................................................................................... 1065.703 

ASTM D5191–07, Standard Test Method for Vapor Pressure of Petroleum Products (Mini Method) ................................................... 1065.710 

ASTM D5797–07, Standard Specification for Fuel Methanol (M70–M85) for Automotive Spark-Ignition Engines ............................... 1065.701 

ASTM D5798–07, Standard Specification for Fuel Ethanol (Ed75–Ed85) for Automotive Spark-Ignition Engines ............................... 1065.701 

ASTM D6615–06, Standard Specification for Jet B Wide-Cut Aviation Turbine Fuel ............................................................................ 1065.701 

ASTM D6751–07b, Standard Specification for Biodiesel Fuel Blend Stock (B100) for Middle Distillate Fuels ..................................... 1065.701 

ASTM D6985–04a, Standard Specification for Middle Distillate Fuel Oil—Military Marine Applications ............................................... 1065.701 

ASTM F1471–93 (Reapproved 2001), Standard Test Method for Air Cleaning Performance of a High-Efficiency Particulate Air Filter System ............................................................................................................................................................................................ 1065.1001 

(b) ISO material. Table 2 of this 

section lists material from the 

International Organization for 

Standardization that we have 

incorporated by reference. The first 

column lists the number and name of 

the material. The second column lists 

the section of this part where we 

reference it. Anyone may purchase 

copies of these materials from the 

International Organization for 

Standardization, Case Postale 56, CH– 

1211 Geneva 20, Switzerland or 

www.iso.org. Table 2 follows: 

TABLE 2 OF § 1065.1010.—ISO MATERIALS

Document No. and name Part 1065 

reference 

ISO 2719:2002, Determination of flash point—Pensky-Martens closed cup method ............................................................................. 1065.705 

ISO 3016:1994, Petroleum products—Determination of pour point ....................................................................................................... 1065.705 

ISO 3104:1994/Cor 1:1997, Petroleum products—Transparent and opaque liquids—Determination of kinematic viscosity and calculation of dynamic viscosity ............................................................................................................................................................... 1065.705 

ISO 3675:1998, Crude petroleum and liquid petroleum products—Laboratory determination of density—Hydrometer method .......... 1065.705 

ISO 3733:1999, Petroleum products and bituminous materials—Determination of water—Distillation method .................................... 1065.705 

ISO 6245:2001, Petroleum products—Determination of ash .................................................................................................................. 1065.705 

ISO 8217:2005, Petroleum products—Fuels (class F)—Specifications of marine fuels ........................................................................ 1065.705 

ISO 8754:2003, Petroleum products—Determination of sulfur content—Energy-dispersive X-ray fluorescence spectrometry ............ 1065.705 

ISO 10307–2:1993, Petroleum products—Total sediment in residual fuel oils—Part 2: Determination using standard procedures for 

ageing ................................................................................................................................................................................................... 1065.705 

ISO 10370:1993/Cor 1:1996, Petroleum products—Determination of carbon residue—Micro method ................................................. 1065.705 

ISO 10478:1994, Petroleum products—Determination of aluminium and silicon in fuel oils—Inductively coupled plasma emission 

and atomic absorption spectroscopy methods .................................................................................................................................... 1065.705 

ISO 12185:1996/Cor 1:2001, Crude petroleum and petroleum products—Determination of density—Oscillating U-tube method ....... 1065.705 

ISO 14596:2007, Petroleum products—Determination of sulfur content—Wavelength-dispersive X-ray fluorescence spectrometry .. 1065.705 

ISO 14597:1997, Petroleum products—Determination of vanadium and nickel content—Wavelength-dispersive X-ray fluorescence 

spectrometry ......................................................................................................................................................................................... 1065.705 

ISO 14644–1:1999, Cleanrooms and associated controlled environments ............................................................................................ 1065.190 

(c) NIST material. Table 3 of this 

section lists material from the National 

Institute of Standards and Technology 

that we have incorporated by reference. 

The first column lists the number and 

name of the material. The second 

column lists the section of this part 

where we reference it. Anyone may 

purchase copies of these materials from 

the Government Printing Office, 

Washington, DC 20402 or download 

them free from the Internet at 

www.nist.gov. Table 3 follows: 

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Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37349 

TABLE 3 OF § 1065.1010.—NIST MATERIALS

Document No. and name Part 1065 

reference 

ISONIST Special Publication 811, 1995 Edition, Guide for the Use of the International System of Units (SI), Barry N. Taylor, 

Physics Laboratory.

1065.20, 

1065.1001, 

1065.1005 

NIST Technical Note 1297, 1994 Edition, Guidelines for Evaluating and Expressing the Uncertainty of NIST Measurement Results, Barry N. Taylor and Chris E. Kuyatt.1065.1001 

(d) SAE material. Table 4 of this 

section lists material from the Society of 

Automotive Engineering that we have 

incorporated by reference. The first 

column lists the number and name of 

the material. The second column lists 

the sections of this part where we 

reference it. Anyone may purchase 

copies of these materials from the 

Society of Automotive Engineers, 400 

Commonwealth Drive, Warrendale, PA 

15096 or www.sae.org. Table 4 follows: 

TABLE 4 OF § 1065.1010.—SAE MATERIALS

Document No. and name Part 1065 

reference 

‘‘Optimization of Flame Ionization Detector for Determination of Hydrocarbon in Diluted Automotive Exhausts,’’ Reschke Glen D.,

SAE 770141 ......................................................................................................................................................................................... 1065.360 

‘‘Relationships Between Instantaneous and Measured Emissions in Heavy Duty Applications,’’ Ganesan B. and Clark N. N., West 

Virginia University, SAE 2001–01–3536 .............................................................................................................................................. 1065.309 

(e) California Air Resources Board 

material. Table 5 of this section lists 

material from the California Air 

Resources Board that we have 

incorporated by reference. The first 

column lists the number and name of 

the material. The second column lists 

the sections of this part where we 

reference it. Anyone may get copies of 

these materials from the California Air 

Resources Board, 9528 Telstar Ave., El 

Monte, California 91731. Table 5 

follows: 

TABLE 5 OF § 1065.1010.—CALIFORNIA AIR RESOURCES BOARD MATERIALS

Document No. and name Part 1065 

reference 

‘‘California Non-Methane Organic Gas Test Procedures,’’ Amended July 30, 2002, Mobile Source Division, California Air Resources Board ...................................................................................................................................................................................... 1065.805 

(f) Institute of Petroleum material. 

Table 6 of this section lists the Institute 

of Petroleum standard test methods 

material from the Energy Institute that 

we have incorporated by reference. The 

first column lists the number and name 

of the material. The second column lists 

the section of this part where we 

reference it. Anyone may purchase 

copies of these materials from the 

Energy Institute, 61 New Cavendish 

Street , London, W1G 7AR, UK , +44 

(0)20 7467 7100 or 

www.energyinst.org.uk. Table 6 follows: 

TABLE 6 OF § 1065.1010.—INSTITUTE OF PETROLEUM MATERIALS

Document No. and name Part 1065 

reference 

IP–470, Determination of aluminum, silicon, vanadium, nickel, iron, calcium, zinc, and sodium in residual fuels by atomic absorption spectrometry .................................................................................................................................................................................. 1065.705 

IP–500, Determination of the phosphorus content of residual fuels by ultra-violet spectrometry .......................................................... 1065.705 

IP–501, Determination of aluminum, silicon, vanadium, nickel, iron, sodium, calcium, zinc and phosphorus in residual fuel oil by 

ashing, fusion and inductively coupled plasma emission spectrometry .............................................................................................. 1065.705 

PART 1068—GENERAL COMPLIANCE 

PROVISIONS FOR NONROAD 

PROGRAMS 

■ 144. The authority citation for part 

1068 continues to read as follows: 

Authority: 42 U.S.C. 7401–7671q. 

Subpart A—[Amended] 

■ 145. Section 1068.1 is revised by 

adding paragraphs (a)(6) and (a)(7) and 

revising paragraphs (b)(4) and (b)(6) to 

read as follows: 

§ 1068.1 Does this part apply to me? 

(a) * * * 

(6) Locomotives and locomotive 

engines we regulate under 40 CFR part 

1033. 

(7) Marine compression-ignition 

engines we regulate under 40 CFR part 

1042. 

(b) * * * 

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37350 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

(4) Locomotives and locomotive 

engines we regulate under 40 CFR part 

92. 

* * * * * 

(6) Marine diesel engines we regulate 

under 40 CFR part 89 or 94. 

* * * * * 

[FR Doc. E8–7999 Filed 5–5–08; 8:45 am] 

Editorial Note: FR Doc. E8–7999 was 

originally published at pages 25098 to 25352 

in the issue of Tuesday, May 6, 2008. This 

document included numerous typographical 

and other errors that were inadvertently 

introduced in the printing process. Because 

of the number of errors, this document is 

being republished in its entirety. This 

republication does not change the effective 

date of the original document. 

[FR Doc. R8–7999 Filed 6–27–08; 8:45 am] 

BILLING CODE 1505–01–D 

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