Document ID: EPA-HQ-OAR-2007-1184-0004
Agency: epa
Document Type: Supporting & Related Material
Title: 
Posted Date: 2009-07-22T04:00Z

Supporting Statement

for

Information Collection Request

Information Requirements for Locomotives and Locomotive Engines 

(Renewal) 

EPA ICR # 1800.06; OMB Control Number 2060-0392

42 USC 7521 § 206

42 USC 7521 § 213(d)

40 CFR Part 92

40 CFR Part 1033

June 30, 2009

Certification and Compliance Division

Office of Transportation and Air Quality

Office of Air and Radiation

U.S. Environmental Protection Agency

1.  Identification of the Information Collection

1(a)  Title and Number of the Information Collection

	Information Requirements for Locomotive and Locomotive Engines
(Renewal), EPA ICR Number 1800.06, OMB Number 2060-0392.

1(b)  Short Characterization

	This supporting statement is for the renewal of an existing ICR.  Under
Title II of the Clean Air Act (42 U.S.C. 7521 et seq.; CAA), EPA is
charged with issuing certificates of conformity for locomotives and
locomotive engines that comply with applicable emission standards.  Such
a certificate must be issued before locomotives and locomotive engines
may be legally introduced into commerce.  To apply for a certificate of
conformity, manufacturers and remanufacturers of locomotives and
locomotive engines are required to submit descriptions of their planned
production, including detailed descriptions of emission control systems
and test data.  This information is organized by "engine family" groups
expected to have similar emission characteristics and is submitted every
year, at the beginning of the model year.  There are also recordkeeping
requirements.

	Those locomotive and locomotive engine manufacturers and
remanufacturers electing to participate in the Averaging, Banking, and
Trading (ABT) program are also required to submit information regarding
the calculation, actual generation, and usage of credits in quarterly
reports, and an end-of-the-year report.  These reports are used for
certification and enforcement purposes.  Participants must also maintain
records for eight years regarding the engine families included in the
program.  

	The CAA also mandates EPA verify that manufacturers have successfully
translated their certified prototype engines into mass produced engines,
and that these engines comply with emission standards throughout their
useful lives.  Under the Production-line Testing (PLT) Program,
manufacturers are required to test a sample of engines as they leave the
assembly line.  The Installation Audit Program requires remanufacturers
to audit the installation of a sample of remanufactured engines.  These
self-audit programs (collectively referred to as the "PLT Program")
allow manufacturers and remanufacturers to monitor compliance with
statistical certainty and minimize the cost of correcting errors through
early detection.  Under the In-use Testing Program (In-use),
manufacturers and remanufacturers are required to test locomotives after
a number of years of use to verify compliance with emission standards
throughout their useful lives.

	This information is collected by the Heavy-Duty and Nonroad Engines
Group  (HDNEG), Compliance and Innovative Strategies Division (CISD),
Office of Transportation and Air Quality (OTAQ), Office of Air and
Radiation (OAR), U.S. Environmental Protection Agency (EPA).  Besides
CISD, this information could be used by the Office of Enforcement and
Compliance Assurance (OECA) and the Department of Justice for
enforcement purposes.  Non-confidential portions of the applications are
also disclosed in a public database and over the Internet.  This
information is used by trade associations, environmental groups, and the
public.  The information is usually submitted in an electronic format,
and it is stored in HDNEG's certification database.  

	It has been estimated that a total of ten locomotive and locomotive
engine manufacturers and remanufacturers will respond to this collection
with an approximate cost of $2,349,724.

2.  Need for and Use of the Collection

2(a)  Need/Authority for the Collection

	Locomotive and locomotive engine manufacturers may not legally
introduce their products into US commerce unless EPA has certified that
their production complies with applicable emission standards.  To ensure
compliance with these statutes, EPA reviews product information and
manufacturers' test results.  EPA may also tests some locomotives and
locomotive engines to confirm manufacturers' results.

	EPA's emission certification programs are statutorily mandated; the
agency does not have discretion to cease these functions.  Under Section
206(a) of the CAA (42 USC 7521): 

"The Administrator shall test, or require to be tested in such manner as
he deems appropriate, any new motor vehicle or new motor vehicle engine
submitted by a manufacturer to determine whether such vehicle or engine
conforms with the regulations prescribed under §202 of this Act.  If
such vehicle or engine conforms to such regulations, the Administrator
shall issue a certificate of conformity upon such terms, and for such
period (not in excess of one year) as he may prescribe."

	This provision is extended to Nonroad engines and vehicles pursuant to
§213(d) of the CAA.

	EPA also conducts, under 40 CFR 92 Subpart D, an Averaging, Banking,
and Trading (ABT) Program.  This program is one of many regulatory
features designed to enhance the compliance flexibility for and reduce
the burden on the affected engine manufacturers, without compromising
the expected emissions benefit derived from these emissions standards. 

	Section 206(b)(1) of the CAA authorizes EPA to require testing of new
vehicles and engines to verify compliance.  The requirements of the
Locomotive Production Line Testing Program are codified at 40 CFR 92,
Subpart F.  

	Section 207(b) of the Acts mandates the establishment of methods and
testing procedures to ascertain whether certified engines in actual use
in fact comply with applicable emission standards throughout their
useful lives.  The In-use Testing Program procedures for locomotives are
codified at 40 CFR 92, Subpart G.

2(b)  Practical Utility/Users of the Data

	EPA uses the information requested under this collection to verify and
support a three stage compliance assurance system envisioned in the CAA.
 First, certification information is needed to verify that the proper
prototype engines have been selected to represent each locomotive family
(group of locomotives expected to have similar emission
characteristics), and that the necessary testing has been performed to
assure that each locomotive family complies with emission standards. 
Based on this information, EPA issues a certificate of conformity. 
However, prototypes are often hand-built and not typical of assembly
line engines. 

	Second, information collected under the PLT program is used to verify
that manufacturers and remanufacturers have successfully translated
their prototypes into mass-produced engines.  Engines are taken directly
from the assembly line and tested.

	Lastly, in-use testing is designed to determine if locomotives
maintained in accordance with the manufacturer's or remanufacturer's
instructions still emit at acceptable levels after a number of years of
actual use.  If a family of locomotives is found not to comply,
manufacturers are required to recall the family.  

	The ABT program allows manufacturers to generate emission credits. 
Under averaging, a manufacturer could certify one or more engine
families within its product line at levels above the emission standard,
provided the increased emissions are offset by emission reductions from
one or more families certified below the standard.  The average
emissions (weighted by horsepower and production) from all the
manufacturer's engine families involved in the program in a given model
year must be at or below the emission standard.  The banking program
allows manufacturers to bank credits generated in one model year for use
in averaging or trading in subsequent model years.  The trading program
allows credit transactions between manufacturers.

	The information will be received and used by HDNEG, CISD, OTAQ, and
OAR.  Non-confidential portions of the information submitted to HDNEG
are available to and used by importers, environmental groups, members of
the public and state and local government organizations. 

3.  Non-duplication, Consultations, and Other Collection Criteria

3(a)  Non-duplication

	The information requested under this ICR is required by statute. 
Because of its specialized (and sometimes confidential) nature, and the
fact that most of it must be submitted to EPA before locomotives and
locomotive engines can be sold, the information collected is not
available from any other source.  Furthermore, some of the data
requested under the ABT program, such as actual sales volumes, are
claimed as confidential business information (CBI) by manufacturers, and
as such, EPA can only obtain these data if submitted by the
manufacturers.  Participation in the ABT program is voluntary.

3(b)  Public Notice Required Prior to ICR Submission to OMB

	An announcement of the public comment period for this ICR renewal was
published in the Federal Register (73 FR 2487) on January 15, 2008. 
This document may be accessed through the Federal Register's website at 
 HYPERLINK "http://www.gpoaccess.gov/fr/index.html" 
http://www.gpoaccess.gov/fr/index.html .  In addition, all documents
associated with this ICR renewal are accessible on   HYPERLINK
"http://www.regulations.gov"  www.regulations.gov , under Docket #
EPA-HQ-OAR-2007-1184.  No comments were received in response to this ICR
renewal.  

3(c)  Consultations

EPA consulted less than ten past respondents regarding this information
collection burden.

Contact:	David Brann

Company:	EM Diesels

Phone:	708-387-6519

Contact:	Stan Shakenis

Company:	Motive Power, Inc.

Phone:	208-947-4949

3(d)  Effects of Less Frequent Collection

	The CAA states that emission certification must be done on a yearly
basis (CAA 206(a)(1)), coinciding with the industry's "model year." 
Major product changes typically occur at the start of a model year.  For
these reasons, a collection frequency of less than a model year is not
possible.  However, when an engine design is "carried over" to a
subsequent model year, the amount of new information required is
substantially reduced.  This applies to both manufacturers and
remanufacturers.

	Entities electing to engage in emission credit trades or transfers must
submit quarterly reports of their holdings or receipts when their
credits are gain or lost.  The number of credits generated or lost is
proportional to the number of engines produced; therefore, it is best
for manufacturers trading credits to update their credit calculations
every quarter when they update their internal production volume reports.
 This ensures that the manufacturer holds valid credits and warns
manufacturers in advance of the need to acquire credits.  Manufacturers
must not have a negative credit balance at the end of the year.  

	Production-line testing (PLT) reports must also be submitted on a
quarterly basis for similar reasons.  Manufacturers are required to test
up to one percent of their production at random to ensure that mass
produced locomotives and locomotive engines comply with emission
requirements.  (Remanufacturers are required to conduct PLT testing only
if EPA believes that a problem might exist.)  If a problem is found,
manufacturers must correct it and might need to recall locomotives or
locomotive engines that have already been sold.  By conducting this
quality control testing on a quarterly basis, manufacturers learn about
any problems early and are, therefore, able to minimize costs.  

	In-use testing reports must be submitted once per year, within three
months of the completion of the required testing.  Manufacturers and
remanufacturers are only required to test one engine or locomotive
family per year.  Providing this information to EPA at a less frequent
interval would compromise the Agency's ability to expeditiously evaluate
the emissions results and determine, in a timely manner, whether in-use
locomotives conform to emission standards.  Any delay in making such a
determination reduces the universe of locomotives which will be reached
by the recall because both engine scrappage and owners' unwillingness to
participate in recalls increase with the age of the locomotive.

3(e)  General Guidelines

	According to 40 CFR 92.215(a)(3), 92.308(d) and 92.509(b),
certification, ABT and PLT related records must be maintained for eight
years.  However, "records may be retained as hard copy or reduced to
computer disks, etc., depending on the record retention procedures of
the manufacturer or remanufacturer," provided that in every case all the
information contained in the hard copy is retained.  These recordkeeping
requirements stem mainly from the statutory requirement to warrant some
items for long periods of time and because locomotives have extremely
long useful lives.  In addition, the manufacturers must comply with
requirements to recall vehicles and engines failing to meet emission
standards during their useful lives.

	Manufacturers are required to submit confidential business information
such as sales projections and certain sensitive technical descriptions
(please see Section 4(b)(i) for reference).  This information is kept
confidential in accordance with the Freedom of Information Act, EPA
regulations at 40 CFR Part 2, and class determinations issued by EPA's
Office of General Counsel.  Also, non-proprietary information submitted
by manufacturers is held as confidential until the specific locomotive
or locomotive engine to which it pertains is available for purchase.

	No other general guideline is exceeded by this information collection.

3(f)  Confidentiality

	Manufacturers and remanufacturers are allowed to assert a claim of
confidentiality over information provided to EPA.  Confidentiality is
provided in accordance with the Freedom of Information Act and EPA
regulations at 40 CFR Part 2.  For further detail, refer to Section
3(e).

3(g)  Sensitive Questions

	No sensitive questions are asked in this information collection.

4.  Respondents and Information Requested

4(a)  Respondents/North American Industry Classification System (NAICS)
Codes

	Respondents are manufacturers of Nonroad equipment and engines within
the following North American Industry Classification System (NAICS)
codes:

333618	Other Engine Equipment Manufacturing

336510	Railroad Rolling Stock manufacturing 

482111	Line-haul Railroads

4(b)  Information Requested

	To obtain a certificate of conformity, all manufacturers and
remanufacturers must describe their products and supply test data to
verify compliance.  This information is organized by "engine family"
groups expected to have similar emission characteristics.  The burden
associated with certifying a given engine family is reduced after the
first production year (model year), because data and information from
previous years can be "carried over" when no significant changes have
occurred.  For instance, an engine family certified in model year 2001
can be certified in the 2002 model year by "carry over" of data and
paperwork from the 2001 model year if no significant changes have
occurred to the engine family between model years.  Allowing
manufacturers and remanufacturers to "carry over" data and paperwork
saves them the burden of duplication of data and paperwork which would
occur in the absence of such provisions.  Manufacturers and
remanufacturers must also retain records.

	To participate in the ABT programs, manufacturers and remanufacturers
submit calculations of the amount of credits they generate or need to
certify each locomotive family, based on each family's emission limit
and sales volume.  Participation in the program is voluntary.

	Information requested under the PLT and in-use programs consists mainly
of test results and a description of the locomotives tested and the
conditions under which the tests took place.  This information is
essential to determine if locomotives and locomotive engines are in fact
complying with emission standards at different stages.  Whereas the
certification test information indicates whether a specific engine
prototype is capable of meeting emission standards, PLT data is used to
determine if mass-produced engines also comply.  In-use data verifies
that correctly maintained engines also meet the standards when they
reach 50 to 75 percent of their useful lives.

(i)  Data Items  

	The data items in the Tables A to J are requested under these
information collections.  Although most of them must be included in the
certification application, some of them are only required to be kept in
records and submitted upon request, as provided by 92.203(g)(1) and
92.215.

	EPA encourages respondents to apply for a certificate of conformity
electronically and is developing a simple electronic application
template.  A complete application consists of (1) a Statement of
Compliance, (2) a Family Information Entry Form - General Information,
(3) a set of Engine Data Forms (Engine Data Forms 1 through 3), (4) a
Test Information Entry Form (Main Test Information Form and Aggregate
Data Test Information Form), (5) a Locomotive Engine Model Information
Entry Form, and (6) a Part Summary Form.  Tables A, B, and C list the
information items requested in the forms.

	The Locomotive Engine Model Information Entry Form is requested to
evaluate whether engine families were developed correctly.  The
information contained in this form allows EPA engineers to know if the
engine models were grouped correctly, and, most important, if the test
data submitted corresponds to the worst case within that family.  The
calculation of the engine's rated power, torque, etc., is customary
business practice.

	The Part Summary Form allows EPA to make sure that locomotives are
actually built and engines installed properly and in their certified
configurations.  This information is used when conducting PLT and
installation audits (see Section 4(b)(i)(C) below). 

A.  Certification

	For each engine family that complies with EPA emission standards and
requirements, the manufacturer or remanufacturer must submit a number of
information items as part of an application for certification (see Table
A).  Manufacturers and remanufacturers must keep certification-related
records for eight years (92.215(a)(3)) except routine emission records
(see Table B).  Routine emission records must be kept for only one year.
 Per 92.215(a)(6), EPA can void any certificate ab initio for a
locomotive or engine family for which the manufacturer or remanufacturer
does not keep adequate records or fails to provide them upon request by
the Agency.  Per 92.215(a)(4), EPA can require manufacturers and
remanufacturers to submit or retain additional information not
specifically listed here.  Manufacturers and remanufacturers must also
provide access to duly identified EPA officials to any records or
facilities where the information was gathered (i.e., testing facilities;
92.215(d)).  When a manufacturer or remanufacturer needs to make running
changes (i.e., changes to a certified engine, or to add an engine model
to an already certified engine family) a number of data items must be
submitted using the same electronic format used to apply for a
certificate of conformity.  The required items for the certification
application, certification-related recordkeeping, and running changes,
are listed below in Tables A, B, and C, respectively.

Table A

Information Items Requested under the Certification Program

●  All emission control system components.	92.203(d)(2)(i)

	●  Each auxiliary emission control device (AECD).	92.203(d)(2)(iii)

A description of the test locomotive or engine.	92.203(d)(3)

Special or alternate test procedures, if applicable.	92.203(d)(4)

A description of the operating cycle and the period of operation
necessary to accumulate service hours on the test locomotive or engine
and stabilize emission levels.	92.203(d)(5)

A description of all adjustable operating parameters.	92.203(d)(6)

Projected U.S. production information for each configuration.
92.203(d)(8)

A description of the test equipment and fuel proposed to be used.
92.203(d)(9)

All test data obtained by the manufacturer or remanufacturer on each
test engine or locomotive.	92.203(d)(10)

Intended useful life.	92.203(d)(11)

Deterioration factors.	92.203(d)(12); 92.206(b)

At the Administrator's request, the manufacturer or remanufacturer must
supply such additional information as may be required to evaluate the
application.	92.203(e)

If, after a review, EPA determines additional testing is required, the
manufacturer or remanufacturer must provide required test data within 30
days or cease production of the affected locomotives or engines.
92.210(e)(2)

Table B

Recordkeeping requirements - Certification Program

●  A brief history of all test engines.	92.215(a)(2)

	●  A descriptions of any modifications made to the test engine.
92.215(a)(2)(i)(A)

A complete record of all emission tests performed.	92.215(a)(2)(i)(B)

Record and description of all maintenance and other servicing performed.
92.215(a)(2)(i)(C)

Record and description of each test performed to diagnose engine or
emission control system performance.	92.215(a)(2)(i)(D)

A brief description of any significant events affecting the vehicle.
92.215(a)(2)(i)(E)

Copies of all instructions or explanations regarding the use, repair,
adjustment, maintenance, or testing of such locomotive or engine,
relevant to the control of

crankcase, or exhaust emissions issued by the manufacturer or
remanufacturer, for use by other manufacturers or remanufacturers,
assembly plants, distributors, dealers, owners and operators.  Any
material not translated into the English language need not be submitted
unless specifically requested by the Administrator.	92.215(b)

Table C

Running Changes

Information Item	Regulatory Reference

Notification of changes made to the application and request to amend the
application.	92.210(a)

A full description of the change to be made.	92.210(b)(1)

Engineering evaluations or data showing that engines as modified or
added will comply with all applicable emission standards.	92.210(b)(2)

A determination whether the original test fleet selection is still
appropriate, and proposed new test fleet selections, if applicable.
92.210(b)(3)

Upon request, test data on the engine changed or added.	92.210(c)

Supporting documentation, test data and engineering evaluations as
appropriate to demonstrate that all affected engines will still meet
applicable emission standards.	92.210(e)(1)

Manufacturers or remanufacturers requesting a hearing on EPA's denial or
revocation of a certificate of conformity must file their request within
30 days of EPA's decision.  The request must be in writing, and must set
forth their objections to EPA's decision and data to support the
objections.	92.208(c)

(7)

	The Locomotive Engine Model Information Entry Form is requested to
evaluate whether engine families were developed correctly.  The
information contained in this form allows EPA engineers to know if the
engine models were grouped correctly, and, most important, if the test
data submitted corresponds to the worst case within that family.  The
calculation of the engine's rated power, torque, etc., is customary
business practice.

	The Part Summary Form allows EPA to make sure that locomotives are
actually built and engines installed properly and in their certified
configurations.  This information is used when conducting PLT and
installation audits (see Section 4(b)(i)(C) below). 

B.  Average, Banking, and Trading

	Since all new locomotives and locomotive engines are required to meet
both the line-haul and switch duty-cycle standards, manufacturers and
remanufacturers can participate in separate line-haul and switch ABT
programs.  They cannot, however, use credits generated under one program
to satisfy the requirements of the other.  Credits can only be generated
for NOx and PM.  Only manufacturers and remanufacturers of new
locomotives and new locomotive engines manufactured or remanufactured in
the 1999 model year or later can participate.  Failure to submit and
keep accurate information can result in EPA voiding the certificate of
the affected family ab initio, among other penalties.  The information
that must be submitted for each engine family participating in ABT and
the associated recordkeeping requirements are listed in Tables D and E,
below.  Note that Records are to be kept for eight years (92.309(d)).

Table D

Information Items Required under the ABT Program

Information Item	Regulatory Reference

A declaration of intent to include this specific engine family in one or
both of the ABT programs.  Separate declarations are needed for each
program and each pollutant.	92.306(a)(1)

Family emission limits.	92.306(a)(2)

Detailed calculations of projected emission credits based on quarterly
production projections for each participating family and for each
pollutant, using the applicable equation and the applicable values.  If
negative credits are generated, the source for offsetting the deficit
and where the quarterly projected credits will be applied should be
listed.	92.306(a)(3)

A statement that the locomotives or locomotive engines for which
certification is requested will not, to the best of the manufacturer's
or remanufacturer's belief, cause the manufacturer or remanufacturer to
have a negative credit balance at the end of the year.	92.306(a)(4)

(cont.)

Table D

Information Items Required under the ABT Program (cont.)

Information Item	Regulatory Reference

Based on this information, each manufacturer's certification application
must demonstrate:  

1)  That at the end of model year production, each engine family has a
net emissions balance equal to or greater than zero for any pollutant
and program; 

2)  That the manufacturer or remanufacturer will obtain sufficient
credits to offset negative credits (and if credits are purchased, the
identity of the specific source); and 

3)  The designated use of generated/supplied credits.	92.306(b)(1) - (3)

End-of-year reports including a summary of credit activity, all
information included in quarterly reports (to be submitted within 120
days of the end of the calendar year).	92.306(d) 92.309(c) and (d)

Quarterly reports (applicable to those holding or receiving transfers
only and to be submitted within 90 days of the end of the calendar
quarter) including: 

1)  Source/recipients of credits, copies of trading contracts, details
of pollutants, etc.; and 

2)  Details of the engine family, sales, etc., per 92.308(c).	92.309(b)

A statement accompanying all end-of-year and quarterly reports
certifying the accuracy and authenticity of the reports.	92.309(e)

Table E

Recordkeeping Requirements:  ABT Program

Information Item	Regulatory Reference

Manufacturers and Remanufacturers of Locomotive Engines

EPA engine family and configuration	92.308(a)(1)

Engine identification number	92.308(a)(2)

Engine build date and model year	92.308(a)(3)

Power rating	92.308(a)(4)

Purchaser and destination	92.308(a)(5)

Assembly plant	92.308(a)(6)

Manufacturers and Remanufacturers of Engine Families

EPA engine family and model year	92.308(b)(1)

Family emission limit	92.308(b)(2)

(cont.)

Table E

Recordkeeping Requirements:  ABT Program (cont.)

Information Item	Regulatory Reference

Manufacturers and Remanufacturers of Engine Families (cont.)

Rated horse power for each configuration	92.308(b)(3)

Projected and actual production/sales volume for the calendar year
92.308(b)(4) and (5)

Useful life	92.308(b)(6)

For families participating in trading, the following records must be
kept quarterly

Model year and engine family	92.308(c)(1)

Actual quarterly and cumulative applicable production/sales volume
92.308(c)(2)

Value required to calculate credits	92.308(c)(3)

Resulting type and number of credits generated/required	92.308(c)(4)

How and where credit surpluses are dispersed	92.308(c)(5)

How and through what means credit deficits are met	92.308(c)(6)

C.  Audit Programs: Manufacturer Production-Line Testing (PLT) Program
and Remanufacturer Installation Audit Program

	Only manufacturers of freshly manufactured locomotive engines are
subject to PLT requirements described in Table F.  However, if EPA has
reason to believe that there are problems with a remanufacturer's
production, the Agency can extend this requirement to that
remanufacturer.  Remanufacturers are subject to the audit requirements
described on Table H.  Per 92.215(a)(4), EPA can require manufacturers
and remanufacturers to submit or retain additional information not
specifically listed here.  

	Each calendar quarter, manufacturers must conduct testing on a sample
of locomotives or locomotive engines taken directly from the assembly
line.  Per 92.508(e), within 30 days of the end of each quarter,
manufacturers must report the information listed in Table F.  The
recordkeeping requirements associated with the PLT program are listed in
Table G.  Note that records must be kept for eight years after
completion of all testing (92.309(b)).

Table F

Information Items Required Under the PLT Program

Information Item	Regulatory Reference

The location and description of the test facilities where testing was
conducted.	92.508(e)(1)

Total production and sample size for each engine family.	92.508(e)(2)

Applicable standards and/or FELs.	92.508(e)(3)

A description of the test locomotives or locomotive engines.
92.508(e)(4)

For each test conducted:  

1)  Description of the test locomotive or locomotive engine, including
engine family and configuration, year, make, built date, engine ID
number, etc.; 

2)  Location(s) where service accumulation was conducted and description
of accumulation procedure and schedule, if applicable; 

3)  Test number, date, test procedure used, initial test results before
and after rounding, final test results, etc.; 

4)  Complete description of any adjustment, modification, repair,
preparation, maintenance, and testing which was performed on the test
locomotive or locomotive engine; and 

5) Any other information the Administrator may request.	92.508(e)(5)

For each failed locomotive or locomotive engine, a description of the
remedy and test results for all retests as required by Sec. 92.512(g).
92.508(e)(6)

The date of the end of the locomotive or locomotive engine
manufacturer's model year production for each engine family tested.
92.508(e)(7)

A statement found at 92.508(e)(8) signed and endorsement by an
authorized representative of the manufacturer or remanufacturer.
92.508(e)(8)

Upon request, manufacturers must also submit:  

1)  Projected production for each configuration within each engine
family for which certification has been requested and/or approved;
and/or 

2)  Number of locomotives or engines, by configuration and assembly
plant, scheduled for production.	92.509(c)(1) - (2) 

Table G

Recordkeeping Requirements:  PLT Program

Information Item	Regulatory Reference

A description of all testing equipment used and each test cell that can
be used to perform PLT, in accordance with 92.503.	92.309(a)(1)

●  The date, time, and location of each test or audit.	92.309(a)(2)(i)

●  The method by which the green engine factor was calculated or the
number of hours of service accumulated on the test locomotive or
locomotive engine when the test began and ended.	92.309(a)(2)(ii)

●  The names of all supervisory personnel involved in the conduct of
the production line test or audit.	92.309(a)(2)(iii)

●  A record and description of any adjustment, repair, preparation or
modification performed on test locomotives or locomotive engines, giving
the date, associated time, justification, name(s) of the authorizing
personnel, and names of all supervisory personnel responsible for the
conduct of the action.	92.309(a)(2)(iv)

●  If applicable, the date the locomotive or locomotive engine was
shipped from the assembly plant, associated storage facility or port
facility, and the date the locomotive or locomotive engine was received
at the testing facility.	92.309(a)(2)(v)

●  A complete record of all emission tests or audits performed (except
tests performed directly by EPA), including all individual worksheets
and/or other documentation relating to each test, or exact copies.
92.309(a)(2)(vi)

●  A brief description of any significant events during testing not
otherwise described, commencing with the test locomotive or locomotive
engine selection process and including such extraordinary events as
engine damage during shipment.	92.309(a)(2)(vii)

Each calendar quarter, remanufacturers must audit the installation of
locomotives covered by its certificate(s) of conformity for proper
components, component settings, and component installations on randomly
chosen locomotives in an engine family.  Within 30 days of the end of
each quarter, remanufacturers must report the information summarized
below in Table H.

Table H

Information Items Required under the Remanufacturer 

Installation Audit Program

Information Item	Regulatory Reference

The location and description of the test facilities where the audit was
conducted.	92.511(g)(1)

Total production and sample size for each engine family.	92.511(g)(2)

Applicable standards and/or FELs.	92.511(g)(3)

(cont.)

Table H

Information Items Required under the Remanufacturer 

Installation Audit Program (cont.)

Information Item	Regulatory Reference

For each audit conducted: A description of the audit locomotive or
locomotive engine, including engine family and configuration, year,
make, built date, engine ID number, etc., and any other information the
Administrator may request.	92.511(g)(4)

For each failed locomotive or locomotive engine, a description of the
remedy and test results for all retests as required by Sec. 92.512(g).
92.511(g)(5)

A statement found at 92.511(g)(6) signed and endorsement by an
authorized representative of the manufacturer or remanufacturer.
92.511(g)(6)

	When a locomotive or locomotive engine fails PLT or an audit, the
certificate of conformity issued to that locomotive or locomotive engine
family is suspended, effective from the time the testing of that
locomotive or locomotive engine is completed.  The affected manufacturer
or remanufacturer must then remedy the nonconformity, retest or
re-audit, and submit reports with the following information:

Table I

Suspended Certificates and Hearings

●  A statement as to which configuration(s) within a family is to be
the subject of the hearing.	92.513(c)(1)

●  A concise statement of the issues to be raised by the manufacturer
or remanufacturer at the hearing.	92.513(c)(2)

●  A statement specifying reasons why the manufacturer or
remanufacturer believes it will prevail on the merits of each of the
issues raised.	92.513(c)(3)

●  A summary of the evidence which supports the manufacturer's or
remanufacturer's position on each of the issues raised.	92.513(c)(4)

D. In-use Testing Program

	Manufacturers and remanufacturers must test, each year, a sample of
used locomotives from one of their certified locomotive engine families
previously chosen by EPA.  If one manufacturer holds certificates for
both freshly manufactured engine families and remanufactured engine
families, EPA can request the manufacturer to test one engine family of
each category (92.603(a)(1)).  EPA may request a manufacturer to test
more than one engine family if it has reason to believe that engines in
an engine family do not comply with in-use standards (92.603(a)(2)). 
Engine families of less than ten locomotives per year do not need to
participate in in-use testing (92.603(2)).  For each locomotive tested,
the manufacturer or remanufacturer must submit the information listed
below in Table J within 30 days of completion of the testing.

Table J

Information Items Requested under the Locomotive In-use Testing Program

Information Item	Regulatory Reference

All results generated.	92.607(a)

For each individual locomotive tested:

●  Engine family, and configuration.	92.607(a)(1)

●  Locomotive and engine models.	92.607(a)(2)

●  Locomotive and engine serial numbers.	92.607(a)(3)

●  Date of manufacture and/or remanufacture(s), as applicable.
92.607(a)(4)

●  Megawatt-hours of use (or miles, as applicable).	92.607(a)(5)

●  Date and time of each test attempt.	92.607(a)(6)

●  Results (if any) of each test attempt.	92.607(a)(7)

●  Results of all emission testing.	92.607(a)(8)

●  Summary of all maintenance and/or adjustments performed.
92.607(a)(9)

●  Summary of all modifications and/or repairs.	92.607(a)(10)

●  Determinations of noncompliance.	92.607(a)(11)

●  The statement at 92.607(a)(12) signed and endorsement by an
authorized representative of the manufacturer or remanufacturer.
92.607(a)(12)

For each engine family tested:

●  The serial numbers of all locomotive that were excluded from the
test sample because they did not meet maintenance requirements.
92.607(b)(1)

●  The owner of each locomotive(or other entity responsible for the
maintenance of the locomotive).	92.607(b)(2)

●  The specific reasons why the locomotives were excluded from the
test sample.	92.607(b)(3)

(ii)  Respondent Activities

The activities a manufacturer or remanufacturer needs to perform to
comply with the requirements of the certification program are as
follows:

●	Review the regulations and the guidance document;

●	

●	Develop locomotive and locomotive engine family groups;

●	Test locomotives and locomotive engines for compliance with emission
standards;

●	Develop deterioration factors;

●	Data entry and analysis;

●	Submit the application for certification;

●	Prepare and submit carry over applications;

●	Prepare and submit running changes; and

●	Retain and maintain records, and submit them upon request.

Manufacturers and remanufacturers electing to participate in the ABT
programs will carry out the following activities:

●	Review the regulations and the guidance document;

●	Pre-certification activities;

●	Determine which engine families will participate in ABT;

●	Project applicable production volumes for the model year for all
participating families;

●	Submit ABT information with the certification application;

●	Gather information about credit sources/recipients;

●	Monitor production volumes and engine sales (customary business
practice);

●	Develop and submit quarterly reports;

●	Develop and submit end-of-year reports; and

●	Store, file, and maintain information as required.

Activities manufacturers and remanufacturers need to carry out to comply
with PLT and audits requirements are:

●	Gather/maintain production data (customary business practice);

●	Read instructions and regulations;

●	Train personnel;

●	Project testing needs and plan schedules;

●	Select engines to be tested;

●	Inspect engines to be tested;

●	Test engines;

●	Enter data and analyze it;

●	Prepare and submit reports; and

●	Keep records.

Activities associated with in-use testing are:

●	Read instructions and regulations;

●	Train personnel;

●	Procure locomotives;

●	Test locomotives;

●	Enter data and analyze it;

●	Prepare and submit reports; and

●	Keep records.

5.  The Information Collected -- Agency Activities, Collection
Methodology, and Information Management

5(a)  Agency Activities

	As part of the implementation of the certification programs, EPA
officials carry out the following activities:

●	Review and interpret regulations, provide guidance;

●	Gather applications from the industry, enter data into the database;

●	Review the applications for completeness and accuracy;

●	Verify that the correct engines have been selected and tested;

●	Answer questions from manufacturers and the public;

●	Issue appropriate certificates of conformity;

●	Periodically perform maintenance or enhance the database;

●	Make data available to the public, including making it available
through the Internet;

●	Analyze and manage requests for confidentiality;

●	Determining if "carry over" of data from a previous model year is
appropriate or if new testing will be required; and

●	Store, file and maintain data.

	Activities related to ABT involve:

●	Review requirements and providing guidance;

●	Enter the data into the database;

●	Receive quarterly and final reports, reviewing calculations, making
sure that the information submitted by manufacturers and remanufacturers
is accurate and complete;

●	Audit manufacturers and remanufacturers reports and files to make
sure all participants have zero or positive credit balances at the end
of the year; and

●	Keep records.

To ensure through the PLT Program that mass-produced locomotives and
locomotive engines do comply with emission standards, EPA must:

●	Answer questions from manufacturers, remanufacturers and the public;

●	Review submissions for format and completeness;

●	Input data into the database;

●	Analyze and compare results to standards and FELs;

●	Request and review additional information as needed;

●	Take any appropriate enforcement actions;

●	Keep records of the information submitted and EPA's actions and
determinations;

●	Periodically perform maintenance or make enhancements to the
database;

●	Make data from completed test programs available to the public,
including posting it on the Internet; and

●	Analyze and manage requests for confidentiality.

The EPA activities associated with the implementation of the In-use
Testing Program are similar:

●	Evaluate testing requirements;

●	Review information and identify engines for testing (if additional
testing is needed);

●	Inform manufacturers or remanufacturers of any additional testing
required (if needed);

●	Answer manufacturers' questions;

●	Review submissions for format and completeness;

●	Enter results into the database;

●	Analyze, compare and file information submitted;

●	Periodically request and review additional information;

●	Periodically perform maintenance or make enhancements to the
database;

●	Make data from completed test programs available to the public,
including posting it on the Internet; and

●	Analyze and manage requests for confidentiality.

5(b)  Collection Methodology and Management

	EPA currently makes extensive use of electronic media in gathering and
evaluating information from locomotive and locomotive engine
manufacturers and remanufacturers.  HDNEG has developed application
templates for locomotive programs and manufacturers and remanufacturers
submit most of the information in electronic formats. 

	Once the electronic applications and reports are received, the
information is entered into the Certification Database and reviewed for
completeness.  If the manufacturer chooses to make hard copy submittals,
then EPA manually enters the information into the database.  The
certification reviewer analyses the information to ensure compliance
with the CAA and applicable regulations.  

	In the future, the public will be able to access non-confidential
portions of the applications and testing reports by contacting the HDNEG
or through the Engine Certification Information Center at
http://www.epa.gov/otaq/certdata.htm.

	Currently, manufacturers must submit signed statements of compliance in
hard copy.  EPA is working to enable e-signature, so that we can receive
the complete application by electronic transmission directly from the
manufacturer, further reducing costs and burden for both the industry
and the agency.

5(c)  Small Entity Flexibility

	EPA has exempted remanufactured locomotive and locomotive engines owned
by small railroads (as defined by the Small Business Administration)
from the definition of 'new locomotive' and 'new locomotive engine';
thus exempting these remanufactured locomotives and locomotive engines
from compliance with certain emission standards and regulations.  This
is due to the fact that the number of locomotives owned and operated by
small railroads is very low and that the contribution of these engines
to the sector's emission inventory is considered to be trivial.

	Furthermore, EPA has made available to small manufacturers and
remanufacturers a streamlined certification program for small
businesses, applicable through the 2006 model year design to reduce the
financial burden of compliance.  Remanufacturers have the option of
testing locomotives (or locomotive engines) using a modified version of
the FTP, or  testing using a less rigorous alternate procedure, subject
to sales restrictions set by EPA. 

	Under the In-use Testing Program, locomotive families of less than 10
locomotives are exempted from the requirements of the program.  This
provision, found at 92.6039(a)(2), reduces the cost of the program for
manufacturers and remanufacturers with limited production.

	Under the other programs included in this ICR (ABT and PLT), the
information being requested is considered to be the minimum needed to
effectively conduct and maintain their integrity.  Further measures to
simplify reporting for small businesses do not appear prudent or
necessary.

5(d)  Collection Schedule

	Collection frequency in the certification program is largely determined
by the manufacturer's marketing and product plans.  Information must be
submitted for each 'model year' that a manufacturer intends to build (or
import) an engine model.  A certificate of conformity must be obtained
before the start of production (or importation).  Taking these two
considerations into account, manufacturers normally submit information
on an annual basis and submit their certification applications at their
earliest convenience.  In-use testing reports are also submitted once a
year.

	ABT and PLT reports, however, are submitted quarterly, as required by
40 CFR 92.309(b) and 92.508(e).

6.  Estimating the Burden and Cost of the Collection

6(a)  Estimating Respondent Burden

	Burden estimates were taken from previous ICRs and adjusted to reflect
comments from fewer than ten respondents consulted by EPA.  These
estimates are included in Table 1 below, and Tables 2 through 4.

6(b)  Estimating Respondent Costs

(i)  Estimating Burden Hours

	To estimate labor costs, EPA used the Bureau of Labor Statistics' (BLS)
National Industry-specific Occupational Wage Estimates (May 2008) for
the Engine and Turbines Industry under Standard Industrial
Classification (SIC) code 351 and increased by a factor of 1.6 to
account for benefits and overhead.  A reference between the applicable
SIC and NAICS codes used to update hourly rates for this ICR is
available on the BLS website at:    HYPERLINK
"http://www.bls.gov/oes/2008/may/naics3_336000.htm" 
http://www.bls.gov/oes/2008/may/naics3_336000.htm  .  Mean, hourly rates
were used for this estimate and are listed below.

Table 1

Labor Costs Estimates

Occupation	SOC Code Number	Mean Hourly Rate (BLS)	Rate Increased by
Factor of 1.6

Mechanical  Engineers	17-2141	$33.75	$54.00

Engineering Managers	11-9041	$54.63	$87.40

Lawyers	23-1011	$67.14	$107.42

Secretaries, Except Legal, Medical and Executive	43-6014	$14.25	$22.80

(ii)  Estimating Capital and Operations and Maintenance Costs

	Operation and Maintenance costs associated were estimated at
$399,802.70.  These expenses include the cost of diskettes,
photocopying, postage expenses, calls, maintenance of emission
laboratories, and testing costs.  Diskettes are used by manufacturers to
submit their electronic applications and to keep records.

	There are only seven locomotive and locomotive engine manufacturers in
the US market.  Two of them have in-house testing facilities for
certification testing and research.  The cost of maintaining these
laboratories have been estimated at $69,300 per year.  This estimate
includes the cost of test fuels, calibration gases, and equipment.  

	Smaller companies and prefer to hire a contractor to conduct the
necessary certification emission testing in the contractor's facilities.
 EPA has estimated that testing at a private facility costs, on average,
$41,200.  This figure includes the cost of gathering both the line-haul
and switch data required.  This is a one-time expense per engine family
since manufacturers and remanufacturers can carry over emissions data
from one model year to the next.  This cost has been annualized over the
approval period requested for this ICR (three years):  $41,200/three
years = $13,733 per year.  

	The costs associated with maintaining a laboratory were included only
in Table 2 (Certification), but omitted from Tables 3, 4 and 5 which
include the burden for ABT, PLT, and In-use Testing, respectively. 
These tables are included in the associated Excel file. 

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 when submitting an application for a certificate of conformity.  This
fee is requested under the authority of the CAA Section 217.  EPA
recently published the new schedule of fees in the document CISD-07-01,
which can be found at: 
http://www.epa.gov/oms/cert/dearmfr/cisd0701rev.pdf.  

	The new fees rule provides for a reduction in fee when "the full fee
exceeds one percent of the projected aggregate retail price of all
vehicles or engines covered by that certificate" (69 FR 26226, Section
F).  The reduced fee must not exceed one percent of the aggregate retail
price of the vehicles and engines covered by the certificate.  More
information regarding reduced fee certification can be found at: 
http://www.epa.gov/otaq/fees.htm.

	Based on previous year’s data, EPA estimates that in the next three
years an estimated 19 out of 40 new engine families have more than ten
locomotives.  Engine families with less than ten locomotives are not
required to be tested in-use.  Although manufacturers and
remanufacturers are required to test at least two locomotives in each
new engine families, they are only required to test one locomotive per
"carry over" family.  This provision further reduces the financial
burden imposed by the In-use Program upon manufacturers and
remanufacturers.  Section 6(d) outlines EPA's estimates of new engine
families vs. carry over families.

	In assessing the In-use Testing Program's financial burden, EPA also
factored in the loss of revenue resulting from stopping a locomotive for
testing.  That cost was calculated to be around $2,060 per day for two
days of testing.  This amounts to $4,120 per test or locomotive or
$1,373 over the life of this ICR.

	Capital costs were covered by the previous ICR and incurred by
locomotive and locomotive engine manufacturers at the beginning of the
certification program.  Therefore, capital costs are excluded from this
ICR.  EPA does not expect any new locomotive or locomotive engine
manufacturers or remanufacturers to enter the US market in the next
three years and build its own emission testing laboratories.  Other
emission testing expenses are included as O&M costs as explained above.

(iii)  Capital/Start-up Costs

	There are no capital or start-up costs associated with the renewal of
this ICR.  (See 6(b)(ii) for details.)

(iv)  Annualizing Capital Costs

	There are no capital costs associated with the renewal of this ICR. 
(See 6(b)(ii) for details.)

6(c)  Estimating Agency Burden

	Table 5 summarizes EPA's labor costs associated with this information
collection.  These costs are based on 2007 hourly wage rates obtained
from the Office of Personnel Management and adjusted by a factor of 1.6
to account for benefits and overhead.  Specific labor costs for each
program are listed in Tables 7 through 10, which are included in the
associated Excel file.

Table 6

Agency Labor Costs

Occupation	Hourly Rate	Rates Increased by a Factor of 1.6

Engineer (GS-13/10)	$41.71	$66.74

Lawyers (GS-13/7)	$45.65	$73.04

Managers (GS-15)	$52.88	$84.61

	The salary of a senior for clerical support is $13.81 per hour plus
approximately 150% increase for benefits, for a total of $21.72.  These
data were obtained from HDNEG's financial officer.

6(d)  Estimating the Respondent Universe and Total Burden and Costs

	EPA receives approximately 100 certification applications from three
manufacturers and seven remanufacturers.  (Some of the companies in both
categories are the same; the actual number of companies affected by this
collection is ten).  EPA estimates that in the following three years, an
average of 60 of those applications will be "carry overs”.  The
remaining 40 applications represent new engine families for which new
emissions data was collected.  The majority of these new applications
will come from remanufacturers as a result the new regulations
promulgated in 2008. 

	About three respondents are currently participating in the ABT program
with approximately19 engine families.  All manufacturers and
remanufacturers must participate in the PLT and In-use Testing Programs.

6(e)  Bottom Line Burden Hours and Cost Tables

(i)  Respondent Tally 

Table 11

Total Estimated Respondent Burden and Cost Summary

Program	Number of Respon-dents	Number of Activities	Total Hours Per Year
Total Labor Cost Per Year	Total Annual Capital Costs	Total Annual O&M
Costs	Total Costs

Certification	10	9	7,052	$346,534 	$0 	$684,308 	$1,030,842 

ABT	3	7	1,029	$53,381 	$0 	$21 	$53,402 

PLT	10	10	10,880	$490,629 	$0 	$2,662 	$493,291 

In-use Testing	10	7	2,168	$93,882 	$0 	$678,308 	$772,190 

Total	10	33	21,129	$984,425 	$0 	$1,365,299 	$2,349,724 

(ii)  The Agency Tally

Table 12

Total Estimated Agency Burden and Cost Summary

Program	Number of Respon-dents	Number of Activities	Total Hours Per Year
Total Labor Cost Per Year	Total Annual Capital Costs	Total Annual O&M
Costs	Total

Certification	10	11	1,766	$214,421	$0	$2,615	$217,036

ABT	3	4	41	$2,552	$0	$5	$2,557

PLT	10	4	460	$37,992	$0	$77	$38,069

In-use	10	4	343	$30,402	$0	$170	$30,572

Total	10	23	2,610	$285,367	$0	$2,867	$288,234

6(f)  Reasons for Change in Burden

	There is a slight decrease (159 hours) in the total estimated burden
for ICR 1800.06 from the burden currently identified in the OMB
Inventory of Approved ICR Burdens.  This decrease is due to changes in
the estimated number of new applications EPA expects to receive during
the next three years as opposed to carry over applications.  

6(g)  Burden Statement

	Locomotive and locomotive engine manufacturers and remanufacturers
spend, on average, 91 hours per response in emission certification and
compliance activities. 

	These estimates include time to review applicable regulations and
guidance documents, generate and gather the necessary information,
submit applications and reports, and maintain records.

	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 are
listed in 40 CFR Part 9 and 48 CFR Chapter 15.  

	To comment on the Agency's need for this information, the accuracy of
the provided burden estimates, and any suggested methods for minimizing
respondent burden, including the use of automated collection techniques,
EPA has established a public docket for this ICR under Docket ID Number
EPA-HQ-OAR-2007-1184, which is available for online viewing at  
HYPERLINK "http://www.regulations.gov"  www.regulations.gov , or in
person viewing at the Air and Radiation Docket and Information Center in
the EPA Docket Center (EPA/DC), EPA West, Room 3334, 1301 Constitution
Avenue, NW, Washington, D.C.  The EPA Docket Center 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 Reading Room is (202)
566-1744, and the telephone number for the Air and Radiation Docket and
Information Center is (202) 566-1742.  An electronic version of the
public docket is available at www.regulations.gov.  This site can be
used to submit or view public comments, access the index listing of the
contents of the public docket, and to access those documents in the
public docket that are available electronically.  When in the system,
select "search," then key in the Docket ID Number identified above. 
Also, you can send comments to the Office of Information and Regulatory
Affairs, Office of Management and Budget, 725 17th Street, NW,
Washington, D.C. 20503, Attention: Desk Officer for EPA.  Please include
the EPA Docket ID Number EPA-HQ-OAR-2007-1184 and OMB Control Number
2060-0392 in any correspondence.

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