Federal Register, Volume 73 Issue 126 (Monday, June 30, 2008)

[Federal Register Volume 73, Number 126 (Monday, June 30, 2008)]
[Rules and Regulations]
[Pages 37096-37350]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: R8-7999]

[[Page 37095]]

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Part IV

Environmental Protection Agency

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40 CFR Parts 9, 85, et al.

Control of Emissions of Air Pollution From Locomotive Engines and
Marine Compression-Ignition Engines Less Than 30 Liters per Cylinder;
Republication; Final Rule

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

[[Page 37096]]

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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.

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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:

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.
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\1\ North American Industry Classification System (NAICS).
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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 compression-ignition 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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Examples of potentially
Category NAICS code \1\ affected entities
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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).
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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.
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\2\ Marine 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).
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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 emissions-
compliant systems.
Second, we are adopting a set of near-term emission standards,
referred to as Tier 3, for newly-built locomotives and

[[Page 37098]]

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
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PM
Sector Standards tier (percent) NOX (percent)
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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.
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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.
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\3\ Low 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.
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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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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 engine-
based 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

[[Page 37100]]

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}
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\4\ U.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.
\6\ State 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.
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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 [mu]g/m³ and 0.2
[mu]g/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.
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\7\ This 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.
\10\ The 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.
---------------------------------------------------------------------------

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

[[Page 37101]]

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.
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\11\ Two 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.
---------------------------------------------------------------------------

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
first-ever 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 near-term 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 high-efficiency 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 high-efficiency 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

[[Page 37102]]

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 freshly-manufactured 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 as-new 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 cost-effectiveness 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

[[Page 37103]]

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\
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\12\ Nationwide 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/.
---------------------------------------------------------------------------

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.
BILLING CODE 1505-01-D

[[Page 37104]]

[GRAPHIC] [TIFF OMITTED] TR06MY08.000

BILLING CODE 1505-01-C

[[Page 37105]]

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.
---------------------------------------------------------------------------

\13\ See 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.
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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.
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\14\ U.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.
\16\ Hand, 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.
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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, African-Americans,
and Hispanics, living in the vicinity of these facilities, are being
exposed to ambient DPM levels that are 2.0 [mu]g/m³ and 0.2
[mu]g/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.
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\18\ This 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.
\21\ The 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.
---------------------------------------------------------------------------

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.

[[Page 37106]]

(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 ([mu]m) in diameter.
PM2.5 refers to fine particles, generally less than or equal to 2.5
[mu]m in diameter. Inhalable (or ``thoracic'') coarse particles refer
to those particles generally greater than 2.5 [mu]m but less than or
equal to 10 [mu]m in diameter. Ultrafine PM refers to particles less
than 100 nanometers (0.1 [mu]m) 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 [mu]g/
m³ based on the 98th percentile concentration averaged over
three years. The annual standard specifies an expected annual
arithmetic mean not to exceed 15 [mu]g/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 [mu]g/m³ to 35 [mu]g/m³ and the
level of the annual PM2.5 NAAQS was retained at 15 [mu]g/
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.
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\22\ U.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.
\23\ U.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.
---------------------------------------------------------------------------

Health effects associated with short-term exposures (hours to days)
to ambient PM include premature mortality, increased hospital
admissions, heart and lung diseases, increased cough, adverse lower-
respiratory 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\
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\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.
\25\ Pope, 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.
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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.
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\26\ Riediker, 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.
\28\ Brunekreef, 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.
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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.
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\30\ State 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.
\31\ 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 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.
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[[Page 37107]]

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 Number of
counties counties Population a
------------------------------------------------------------------------
1997 PM2.5 Standards: 39 areas currently 208 88,394,000
designated.............................
2006 PM2.5 Standards: counties with 49 18,198,676
violating monitors b...................
-------------------------------
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.
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\32\ A listing of the PM2.5 nonattainment areas is
included in the RIA for this rule.
---------------------------------------------------------------------------

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 [mu]g/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 [mu]g/
m³ the modeled future-year population weighted
PM2.5 design values are expected to decrease on average by
0.08 [mu]g/m³ in 2020 and by 0.16 [mu]g/m³ in
2030. The maximum decrease for future-year PM2.5 design
values will be 0.38 [mu]g/m³ in 2020 and 0.81 [mu]g/
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 high-temperature 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.
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\33\ U.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.
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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

[[Page 37108]]

ozone NAAQS rule is scheduled for March 2008.
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\34\ EPA 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 three-month 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 current practice of making
the secondary standard equal to the proposed 8-hour primary
standard.
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(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.
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\35\ U.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.
\36\ U.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.
---------------------------------------------------------------------------

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.
---------------------------------------------------------------------------

\37\ A listing of the 8-hour ozone nonattainment areas is
included in the RIA for this rule.
---------------------------------------------------------------------------

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.
---------------------------------------------------------------------------

\38\ The Los Angeles South Coast Air Basin 8-hour ozone
nonattainment area will have to attain before June 15, 2021.
---------------------------------------------------------------------------

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.
---------------------------------------------------------------------------

\39\ We 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.
---------------------------------------------------------------------------

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 Angeles-South 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\
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\40\ Ozone 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.
---------------------------------------------------------------------------

The impact of the reductions has also been analyzed with respect to
those areas that have the highest design

[[Page 37109]]

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.
---------------------------------------------------------------------------

\41\ To 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.
\42\ U.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.
\43\ U.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.
\44\ U.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.
---------------------------------------------------------------------------

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.
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\45\ U.S. EPA (2006) National-Scale Air Toxics Assessment for
1999. http://www.epa.gov/ttn/atw/nata1999.
---------------------------------------------------------------------------

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 low-molecular-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
[mu]m), including a subgroup with a large number of ultrafine particles
(< 0.1 [mu]m). 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\
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\46\ U.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.
---------------------------------------------------------------------------

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.
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\47\ U.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.
---------------------------------------------------------------------------

For the Diesel HAD, EPA reviewed 22 epidemiologic studies on the
subject of the carcinogenicity of workers exposed

[[Page 37110]]

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 case-control 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
meta-analyses 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 exhaust-exposed
occupations.^{48, 49}
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\48\ Bhatia, R., Lopipero, P., Smith, A. (1998) Diesel exposure
and lung cancer. Epidemiology 9(1):84-91.
\49\ Lipsett, M; Campleman, S; (1999) Occupational exposure to
diesel exhaust and lung cancer: a meta-analysis. Am J Public Health
80(7): 1009-1017.
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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 [mu]g/
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\
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\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.
\51\ Heinrich, 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.
\52\ Mauderly, 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.
\53\ Nikula, 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.
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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.
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\55\ Kilburn (2000) See HAD Chapter 5-7.
\56\ Hart, 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.
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(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 [mu]g/m\3\. 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

[[Page 37111]]

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 [mu]g/m³ to 1,280 [mu]g/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.
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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.
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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 [mu]g/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.
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\58\ Hand, 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.
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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
[mu]g/m\3\ of port-related diesel PM in ambient air, about 360,000
people lived in areas with at least 0.6 [mu]g/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.
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\59\ 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 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.
\60\ These studies are available in Docket EPA-HQ-OAR-2003-0190.
Studies are also available at http://www.arb.ca.gov/railyard/hra/
hra.htm.
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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 [mu]g/
m³ and 0.2 [mu]g/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.
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\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.
\63\ The 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.
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(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

[[Page 37112]]

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}
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\64\ U.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.
\68\ U.S. Department of Health and Human Services National
Toxicology Program 11th Report on Carcinogens available at: http://
ntp.niehs.nih.gov/go/16183.
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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.
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\69\ Aksoy, 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.
\71\ Rothman, 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.
\72\ U.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.
\73\ Qu, 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.
\74\ Qu, 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.
\75\ Lan, Qing, Zhang, L., Li, G., Vermeulen, R., et al. (2004)
Hematotoxically in Workers Exposed to Low Levels of Benzene. Science
306: 1774-1776.
\76\ Turtletaub, 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.
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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.
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\77\ U.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.
\78\ U.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.
\80\ U.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-F1F6-975E-
7FCE50709CB4C932.
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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\
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\81\ Bevan, 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.
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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\
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\82\ U.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.
\83\ Hauptmann, 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.
\84\ Hauptmann, 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.
\85\ Pinkerton, L.E. 2004. Mortality among a cohort of garment
workers exposed to formaldehyde: an update. Occup. Environ. Med. 61:
193-200.
\86\ Coggon, 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.
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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\
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\88\ U.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.
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Acetaldehyde: EPA has characterized acetaldehyde as a probable
human carcinogen, based on nasal tumors in rats.\89\ Acetaldehyde is
reasonably

[[Page 37113]]

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.
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\89\ U.S. EPA. 1991. Integrated Risk Information System File of
Acetaldehyde. Research and Development, National Center for
Environmental Assessment, Washington, DC. This material is available
electronically at http://www.epa.gov/iris/subst/0290.htm.
\90\ U.S. Department of Health and Human Services National
Toxicology Program 11th Report on Carcinogens available at:
ntp.niehs.nih.gov/index.cfm?objectid=32BA9724-F1F6-975E-
7FCE50709CB4C932.
\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.
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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\
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\92\ U.S. EPA. 1991. Integrated Risk Information System File of
Acetaldehyde. This material is available electronically at http://
www.epa.gov/iris/subst/0290.htm.
\93\ Appleman, 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.
\94\ Appleman, 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.
\95\ Myou, 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.
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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\
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\96\ Weber-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.
\97\ Sim, VM; Pattle, RE. (1957) Effect of possible smog
irritants on human subjects. J Am Med Assoc. 165(15):1908-1913.
\98\ Morris 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.
\99\ Sim VM, Pattle RE. Effect of possible smog irritants on
human subjects. JAMA. 165: 1980-2010, 1957.
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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\
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\100\ U.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.
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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.
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\102\ Perera, 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.
\103\ Perera, 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.
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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 non-cancer effects in animals, including

[[Page 37114]]

abnormal cell changes and growth in respiratory and nasal tissues.\108\
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\104\ U.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.
\105\ Oak 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.
\106\ National 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.
\108\ U.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.
---------------------------------------------------------------------------

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}
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\109\ U.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.
\110\ U.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.
---------------------------------------------------------------------------

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.
---------------------------------------------------------------------------

\111\ These 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.
---------------------------------------------------------------------------

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}
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\112\ U.S. EPA (2002). Latest Findings on National Air Quality--
2002 Status and Trends. EPA 454/K-03-001.
\113\ U.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/.
\114\ U.S. EPA. Regional Haze Regulations, July 1, 1999. (64 FR
35714, July 1, 1999).
---------------------------------------------------------------------------

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

[[Page 37115]]

hazard posed by several pollutants including mercury, dioxin and
PCBs.\115\
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\115\ U.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.
---------------------------------------------------------------------------

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}
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\116\ U.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.
\119\ Lu, 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.
\120\ Marvin, 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.
---------------------------------------------------------------------------

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.
---------------------------------------------------------------------------

\121\ U.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.
---------------------------------------------------------------------------

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\
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\122\ U.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.
---------------------------------------------------------------------------

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

[[Page 37116]]

2040. Further details on our inventory estimates are available in
chapter 3 of the RIA.
BILLING CODE 1505-01-D
[GRAPHIC] [TIFF OMITTED] TR06MY08.001

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.
BILLING CODE 1505-01-D

[[Page 37117]]

[GRAPHIC] [TIFF OMITTED] TR06MY08.002

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.
BILLING CODE 1505-01-D

[[Page 37118]]

[GRAPHIC] [TIFF OMITTED] TR06MY08.003

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

[[Page 37119]]

[GRAPHIC] [TIFF OMITTED] TR06MY08.004

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).
---------------------------------------------------------------------------

\123\ All of the regulatory parts referenced in this preamble
are parts in Title 40 of the Code of Federal Regulations, unless
otherwise noted.
---------------------------------------------------------------------------

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

[[Page 37120]]

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.
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\124\ Marine 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).
---------------------------------------------------------------------------

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\
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\125\ See ``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, Sub-Committee 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.
\126\ See 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).
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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 2008 as Available, 2010 0.22 8.0 1.00
loop intake air cooling. Required.
Remanufactured Tier 0 with separate loop 2008 as Available, 2010 0.22 7.4 0.55
intake air cooling. Required.
Remanufactured Tier 1..................... 2008 as Available, 2010 0.22 7.4 0.55
Required.
Remanufactured Tier 2..................... 2008 as Available, 2013 0.10 5.5 0.30
Required.
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.

[[Page 37121]]

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

[[Page 37122]]

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 0.26 11.8 2.10
required.
Remanufactured Tier 1..................... 2008 as available, 2010 0.26 11.0 1.20
required.
Remanufactured Tier 2..................... 2008 as available, 2013 0.13 8.1 0.60
required.
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).

[[Page 37123]]

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 0.01 3.0 (NOX+NMHC) \a\
2014 0.01 0.30
750-1200 hp........................... 2011 0.075 2.6
2015 0.02 0.50
Over 1200 hp.......................... 2011 0.075 0.50 genset; 2.6 non-genset
2015 0.02 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 Sec. 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 Sec.
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

[[Page 37124]]

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 per-cylinder 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 high- and 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 long-term 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 engine-based 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

[[Page 37125]]

.............................. 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\
----------------------------------------------------------------------------------------------------------------
PM g/bhp-hr (g/kW- NOX+HC \b\ g/bhp-hr
Maximum engine power L/cylinder 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
----------------------------------------------------------------------------------------------------------------
PM g/bhp-hr (g/kW- NOX g/bhp-hr (g/kW- HC g/bhp-hr (g/kW-
Maximum engine power hr) hr) 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

[[Page 37126]]

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 aftertreatment-based 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

[[Page 37127]]

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.
---------------------------------------------------------------------------

\127\ Memorandum to Docket EPA-HQ-OAR-2003-0190, Marine
Vessels--SOLAS Certification, from Jean MarieRevelt, dated January
11, 2007.
---------------------------------------------------------------------------

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
non-SOLAS 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 locomotive-based marine engine option, but
with

[[Page 37128]]

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
multiple-engine 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.

[[Page 37129]]

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 five-year 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

[[Page 37130]]

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.
---------------------------------------------------------------------------

\128\ See 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.
---------------------------------------------------------------------------

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 vessel-related 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

[[Page 37131]]

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 engine-based 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 engine-based 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

[[Page 37132]]

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 pre-blended 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 off-spec 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 non-diesel 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 gaseous- and alcohol-fueled
engines (See 40CFR Sec. 92.8 and Sec. 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

[[Page 37133]]

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 ring-pack design, improved
closed crankcase ventilation systems, or a combination of both, lower
PM emissions will result. We believe that use of existing low-oil-
consumption 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 PM-reducing technologies can be applied to all medium-speed
locomotive and locomotive-based marine engines--including those built
as far back as 1973.
---------------------------------------------------------------------------

\129\ Smith, B., Osborne, D., Fritz, S., ``AAR Locomotive
Emissions Testing 2006 Final Report,'' Association of American
Railroads, Document LA-023.
---------------------------------------------------------------------------

For the remanufacture of locomotive- and 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.

[[Page 37134]]

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 high-pressure,
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.
---------------------------------------------------------------------------

\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.
---------------------------------------------------------------------------

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
heavy-duty 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

[[Page 37135]]

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 passive-
regeneration retrofit technologies for diesel engines designed to
achieve approximately 60 percent control of PM emissions. Recent data
from development of these systems for Euro-4 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\
---------------------------------------------------------------------------

\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.
\132\ Jacob, E., La[euml]mmerman, R., Pappenheimer, A., Rothe,
D. ``Exhaust Gas Aftertreatment System for Euro 4 Heavy-duty
Engines'', MTZ, June, 2006.
---------------------------------------------------------------------------

Data from locomotive testing confirms a relatively low elemental
carbon fraction and relatively high organic fraction for PM emissions
from medium-speed 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.
---------------------------------------------------------------------------

\133\ Smith, B., Osborne, D., Fritz, S. ``AAR Locomotive
Emissions Testing 2006 Final Report'' Association of American
Railroads, Document LA-023.
---------------------------------------------------------------------------

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 heavy-duty 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 [deg]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.
---------------------------------------------------------------------------

\134\ ``Review of SCR Technologies for Diesel Emission Control:
European Experience and Worldwide Perspectives,'' presented by Dr.
Emmanuel Joubert, 10th DEER Conference, July 2004.
\135\ Lambert, C., ``Technical Advantages of Urea SCR for Light-
Duty and Heavy-Duty Diesel Vehicle Applications,'' SEA Technical
Paper 2004-01-1292, 2004.
---------------------------------------------------------------------------

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
[deg]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 NOX-reduction reaction. In
theory, it is possible to achieve 100 percent NOX conversion
if the NH3-to-NOX ratio ([alpha]) 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 [alpha] 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 [alpha] 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
low-temperature 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, cost-effective
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

[[Page 37136]]

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 [deg]C.
---------------------------------------------------------------------------

\136\ Walker, A.P. et al., ``The Development and In-Field
Demonstration of Highly Durable SCR Catalyst Systems,'' SAE 2004-01-
1289.
\137\ Conway, 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.
\139\ Telephone conversation with Gary Keefe, Argillon, June 6,
2006.
---------------------------------------------------------------------------

To ensure that we have the most up-to-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 on-highway 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 sensor-
based 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 [deg]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 [deg]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.
---------------------------------------------------------------------------

\140\ Conway, 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.
\141\ Searles, 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.
---------------------------------------------------------------------------

Another mechanism for catalyst deterioration is chemical
poisoning--the plugging and/or chemical de-activation 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 on-highway, 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 heavy-duty, 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\
---------------------------------------------------------------------------

\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.
---------------------------------------------------------------------------

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

[[Page 37137]]

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
on-highway 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 [deg]C for 90
minutes.\146\ Given these examples of shock and vibration requirements
for today's nonroad, on-highway, 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.
---------------------------------------------------------------------------

\145\ Correspondence 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.
---------------------------------------------------------------------------

(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 post-SCR 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).
---------------------------------------------------------------------------

\147\ ``AAR Manual of Standards and Recommended Practices,''
Standard S-5510, Association of American Railroads.
---------------------------------------------------------------------------

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, less-powerful 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\
---------------------------------------------------------------------------

\148\ Telephone conversation between Brian King, Elliot Bay
Design Group, and Brian Nelson, EPA, July 24, 2006.
---------------------------------------------------------------------------

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

[[Page 37138]]

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 aftertreatment-forcing
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
[deg]C or 12 [deg]F) and ensures that the ratio of urea-to-water 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-of-safety (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 on-highway
diesel stakeholders.
---------------------------------------------------------------------------

\149\ Miller, W. et al., ``The Development of Urea-SCR
Technology for US Heavy Duty Trucks,'' SAE Technical Paper 2000-01-
0190, 2000.
---------------------------------------------------------------------------

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 heavy-duty 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 more-than-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 urea-SCR technology is introduced to the
railroad and marine markets will be gradual--and the reserve urea
production capacity is more-than-adequate 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.
---------------------------------------------------------------------------

\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.
\152\ Assuming the dosing rate of 32.5 percent urea-water
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.
---------------------------------------------------------------------------

(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.

[[Page 37139]]

These NH3 emissions, which can be minimized through the use
of closed-loop 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\
---------------------------------------------------------------------------

\154\ Smedler, Gudmund, ``NOX Emission Control
Options'', 2007 HDD Emission Control Symposium--Gothenberg, Sweden,
September 11, 2007.
---------------------------------------------------------------------------

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 high-temperature operation at 650 [deg]C (to
simulate active DPF regeneration events). Our analysis of the
locomotive engine operating conditions presumes a maximum, post-turbine
exhaust temperature of 560 [deg]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.
---------------------------------------------------------------------------

\155\ Searles, 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.
---------------------------------------------------------------------------

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 Sec. 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.
---------------------------------------------------------------------------

\156\ We 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.
---------------------------------------------------------------------------

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

[[Page 37140]]

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 Sec. 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 Sec. 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

[[Page 37141]]

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).
---------------------------------------------------------------------------

\157\ Under 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.
---------------------------------------------------------------------------

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 Sec. 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 high-load 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

[[Page 37142]]

are adopting the same NTE standards as we have already finalized for
nonroad engines in 40 CFR Sec. 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 on-highway 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 in-use
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 Sec. 1068.501
to replace the provisions of subparts E in parts 92 and 94. This will
result in two significant changes for manufacturers. First, Sec.
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.
---------------------------------------------------------------------------

\158\ The 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.
---------------------------------------------------------------------------

We believe that the nature of the locomotive and large commercial
marine sectors supports a different in-use 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

[[Page 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)
------------------------------------------------------------------------
Primary set Alternative set
For useful life fractions -----------------------------------
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

[[Page 37144]]

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.
---------------------------------------------------------------------------

\159\ However, 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.
---------------------------------------------------------------------------

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

[[Page 37145]]

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 catalyst-equipped 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, Sec. 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\
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\160\ Part 1045 was proposed on May 18, 2007 (72 FR 28097).
---------------------------------------------------------------------------

(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

[[Page 37146]]

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 short-haul
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 In-Use 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\
---------------------------------------------------------------------------

\161\ U.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.
---------------------------------------------------------------------------

(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

[[Page 37147]]

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\
---------------------------------------------------------------------------

\162\ U.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.
---------------------------------------------------------------------------

We are finalizing provisions that require SVMs to undertake
production-line 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, land-based 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

[[Page 37148]]

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\
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\163\ The Waterways Journal, Inc., 2006 Inland River Record.
---------------------------------------------------------------------------

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

[[Page 37149]]

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.
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\164\ Tier 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).
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(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 Sec. Sec.
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

[[Page 37150]]

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.
---------------------------------------------------------------------------

\165\ As 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.
---------------------------------------------------------------------------

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 Sec. 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 Sec. 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 line-haul) 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 pre-1973
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.
---------------------------------------------------------------------------

\166\ ``Locomotive Emission Standards: Regulatory Support
Document'', APPENDIX L, ``Exclusion of Pre-1973 Locomotives'', April
1998.
---------------------------------------------------------------------------

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, high-emitting 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 line-haul locomotive fleets and the
emission reduction trends resulting from our tiered approach to
standards-setting.
Currently, small numbers of old low-horsepower locomotives are
being refurbished as significantly lower-emitting 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

[[Page 37151]]

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 line-haul 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
------------------------------------------------------------------------
Minimum
Applicable tier of proration
standards factor
------------------------------------------------------------------------
Locomotives refurbished before Tier 0+............... 0.60
2015.
Locomotives refurbished in 2015 Tier 3................ 0.60
or later.
------------------------------------------------------------------------

Table IV-3.--Provisions for Refurbished Line-Haul Locomotives
------------------------------------------------------------------------
Minimum
Applicable tier of proration
standards factor
------------------------------------------------------------------------
Locomotives refurbished before Tier 2+/3............. 0.60
2015.
Locomotives refurbished in 2015 Tier 4................ 0.60
or later.
------------------------------------------------------------------------

(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 line-haul 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 Sec.
1033.705 of the new regulations. These replace the existing proration
factors of Sec. 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/bhp-hr 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.

[[Page 37152]]

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-year-old 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 Sec.
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 Sec. 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 Sec. 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

[[Page 37153]]

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[deg]F to 105[deg]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[deg]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 Sec. 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
Sec. 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
energy-saving 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

[[Page 37154]]

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 Sec. 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 Sec. 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 (Sec. 1033.625) and the short term (Sec.
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 design-certification 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

[[Page 37155]]

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

[[Page 37156]]

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 Sec. 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

[[Page 37157]]

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

[[Page 37158]]

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.

[[Page 37159]]

(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 land-based 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.
---------------------------------------------------------------------------

\167\ See http://www.uscg.mil/hq/g-m/mse4/boatlb.htm#LIFEBOAT_
FOR_MERCHANT_VESSELS for Coast Guard requirements for lifeboats
and rescue boats.
---------------------------------------------------------------------------

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

[[Page 37160]]

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 engines\168\ 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.
---------------------------------------------------------------------------

\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.
---------------------------------------------------------------------------

(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 compression-ignition 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 spark-
ignition 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,

[[Page 37161]]

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 variable-pitch 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
variable-pitch 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, Sec.
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 Sec.
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

[[Page 37162]]

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 Sec.
1068.101(a)(1), including the exception noted above, now being located
in Sec. 1068.105(a).
---------------------------------------------------------------------------

\169\ The 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.
---------------------------------------------------------------------------

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, serially-produced 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 Sec. 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.
---------------------------------------------------------------------------

\170\ We 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).
---------------------------------------------------------------------------

First, we are continuing our general regulatory requirement found
in Sec. 1042.115(e) stating that a manufacturer may not design engines
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. 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
Sec. 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 Sec. 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

[[Page 37163]]

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.
---------------------------------------------------------------------------

\171\ The 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.
---------------------------------------------------------------------------

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 heavy-duty 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).
---------------------------------------------------------------------------

\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.
---------------------------------------------------------------------------

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.
---------------------------------------------------------------------------

\173\ The 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.
\174\ Throughout 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.

[[Page 37164]]

Table V-1.--Freshly Manufactured Engine and Equipment Variable Engineering Costs
[Millions of 2005 dollars]
----------------------------------------------------------------------------------------------------------------
Engine Equipment
variable variable Total variable Total for
Year engineering engineering engineering Total for PM NOX+NMHC
costs costs costs
----------------------------------------------------------------------------------------------------------------
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.
[GRAPHIC] [TIFF OMITTED] TR06MY08.005

(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

[[Page 37165]]

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.
---------------------------------------------------------------------------

\175\ The 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.

Table V-3.--Freshly Manufactured Engine and Equipment Fixed Engineering Costs
[Millions of 2005 dollars]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Total fixed
Year Engine Engine tooling Engine Equipment engineering Total for PM Total for NOX
research certification redesign costs +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\
---------------------------------------------------------------------------

\176\ The 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.

Table V-4.--Freshly Manufactured Engine Estimated Increased Operating Costs
[Millions of 2005 dollars]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Fuel Total
Year Reductant use DPF consumption operating Total for PM Total for
maintenance impact costs 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

[[Page 37166]]

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.
---------------------------------------------------------------------------

\177\ Costs 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-5.--Estimated Hardware and Operating Costs Associated With the Locomotive & Marine Remanufacturing
Programs
[Millions of 2005 dollars]
----------------------------------------------------------------------------------------------------------------
Total for
Year Locomotive Marine Total Total for PM 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.

[[Page 37167]]

Table V-6.--Total Engineering & Operating Costs of the Final Program
(Millions of 2005 dollars]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Freshly Freshly Hardware and
Freshly manufactured manufactured operating costs
manufactured equipment engine & associated with Total Total NOX+NMHC
Year engine related related equipment the engineering Total PM costs costs
engineering engineering operating remanufacturing costs
costs costs costs programs
--------------------------------------------------------------------------------------------------------------------------------------------------------
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

[[Page 37168]]

[GRAPHIC] [TIFF OMITTED] TR06MY08.006

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.

[[Page 37169]]

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
----------------------------------------------------------------------------------------------------------------
2006 thru 2040 2006 thru 2040
discounted discounted Cost per ton Cost per ton
Pollutant lifetime cost lifetime cost in 2030 in 2040
per ton at 3% per ton at 7%
----------------------------------------------------------------------------------------------------------------
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 $730
standards..........................
Tier 4 Nonroad Diesel (69 FR 39131). 1,140
Tier 2 Nonroad Diesel (EPA420-R-98- 710
016, Chapter 6)....................
Tier 3 Nonroad Diesel (EPA420-R-98- 480
016, Chapter 6)....................
Tier 2 vehicle/gasoline sulfur (65 1,580--2,650
FR 6774)...........................
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 $8,440
standards..........................
Tier 4 Nonroad Diesel (69 FR 39131). 12,630
Tier 1/Tier 2 Nonroad Diesel (EPA420- 2,700
R-98-016, Chapter 6)...............

[[Page 37170]]

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\
---------------------------------------------------------------------------

\178\ EPA 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.
---------------------------------------------------------------------------

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.
---------------------------------------------------------------------------

\179\ U.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/.
---------------------------------------------------------------------------

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 market-
level 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

[[Page 37171]]

increases of less than 5 percent. Long-term production quantity
decreases are expected to be less than 3 percent.
---------------------------------------------------------------------------

\180\ Results 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-11.--Estimated Market Impacts for 2012, 2016, 2030
(2005$)
----------------------------------------------------------------------------------------------------------------
Average Change in price Change in quantity
variable ---------------------------------------------------
Market c engineering
cost per Absolute Percent Absolute Percent
unit
----------------------------------------------------------------------------------------------------------------
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:
\a\ The 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.
\b\ The 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

[[Page 37172]]

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.
---------------------------------------------------------------------------

\181\ All estimates presented in this section are in 2005$.

Table V-12.--Summary of Estimated Social Costs for 2012, 2016, 2020, 2030 (2005$, $million)
----------------------------------------------------------------------------------------------------------------
2012 2016
---------------------------------------------------
Stakeholder group \a\ Surplus Surplus
change ($) Percent 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 ...........
----------------------------------------------------------------------------------------------------------------

2020 2030
---------------------------------------------------
Stakeholder group Surplus Surplus
change ($) Percent change ($) 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.

[[Page 37173]]

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 ($million, 2005$)
----------------------------------------------------------------------------------------------------------------
Percent of Percent of
Stakeholder Groups \a\ Surplus total Surplus total
change surplus change 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

[[Page 37174]]

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.
---------------------------------------------------------------------------

\182\ U.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]
\183\ Health 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.
---------------------------------------------------------------------------

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.
---------------------------------------------------------------------------

\184\ U.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.
\185\ U.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.
---------------------------------------------------------------------------

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.
---------------------------------------------------------------------------

\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.
---------------------------------------------------------------------------

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.
---------------------------------------------------------------------------

\187\ Bell, M.L., et al. 2004. Ozone and short-term mortality in
95 US urban communities, 1987-2000. Jama, 2004. 292(19): p. 2372-8.
\188\ U.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.
\189\ CASAC (2007). Clean Air Scientific Advisory Committee's
(CASAC) Review of the Agency's Final Ozone Staff Paper. EPA-CASAC-
07-002. March 26.
\190\ Bell, 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.
\192\ Levy, 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.
---------------------------------------------------------------------------

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 PM-related 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 PM-related 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.

[[Page 37175]]

Table VI-1.--Estimated 2030 Monetized PM- and Ozone-Related Health Benefits of the Final Locomotive and Marine
Engine Standards a
----------------------------------------------------------------------------------------------------------------
Mean total benefits Mean total benefits
Premature ozone mortality Reference (billions, 2006$, 3% (billions, 2006$, 7%
function or assumption discount rate) c, d 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:
a Total 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).
b Total 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.
---------------------------------------------------------------------------

\193\ See 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.
---------------------------------------------------------------------------

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.
---------------------------------------------------------------------------

\194\ The 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/
---------------------------------------------------------------------------

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

[[Page 37176]]

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.
---------------------------------------------------------------------------

\195\ SCAQMD (2007). Final 2007 Air Quality Management Plan.
Available at: http://www.aqmd.gov/aqmp/07aqmp/index.html. Accessed
November 8, 2007.
---------------------------------------------------------------------------

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.
---------------------------------------------------------------------------

\196\ Information on BenMAP, including downloads of the
software, can be found at http://www.epa.gov/air/benmap.
---------------------------------------------------------------------------

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.
BILLING CODE 1505-01-D

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BILLING CODE 1505-01-C

[[Page 37178]]

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 non-
fatal 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 [mu]g/m³, and an assumed cutpoint in the short-term
morbidity concentration-response functions at 10 [mu]g/m³.
The impact using four alternative cutpoints (3 [mu]g/m³, 7.5
[mu]g/m³, 12 [mu]g/m³, and 14 [mu]g/
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 Adult, age 30+--ACS 490 (190-790).......... 1,100 (440-1,800)
Epidemiology Literature. cohort study (Pope et
al., 2002).
Adult, age 25+--Six- 1,100 (610-1,600)...... 2,600 (1,400-3,700)
Cities study (Laden et
al., 2006).
Infant, age <1 year-- 1 (1-2)................ 2 (1-3)
Woodruff et al. 1997.
Premature Mortality--Derived from Adult, age 25+--Lower 220 (0-1,100).......... 500 (0-2,400)
Expert Elicitation \b\. Bound (Expert K).

Adult, age 25+--Upper 2,200 (1,100-3,300).... 4,900 (2,500-7,500)
Bound (Expert E).
----------------------------------------------------------------------------------------------------------------
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- 720,000 (610,000-
400,000). 830,000)
----------------------------------------------------------------------------------------------------------------
Ozone-Related Endpoints.........................................................................................
----------------------------------------------------------------------------------------------------------------
Premature Mortality, All ages-- Bell et al., 2004...... 13 (-22-49)............ 54 (-43-150)
Derived from NMMAPS.
Premature Mortality, All ages-- Bell et al., 2005...... 44 (-47-140)........... 180 (-69-420)
Derived from Meta-analyses.
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 0...................... 0
and mortality is not causal.
Hospital admissions--respiratory causes (children, under 2; 14 (-150-170).......... 260 (-350-890)
adult, 65 and older) \e\.
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)
----------------------------------------------------------------------------------------------------------------

[[Page 37179]]

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.
---------------------------------------------------------------------------

\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.
---------------------------------------------------------------------------

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 Adult, age 30+--ACS
Epidemiology Studies c, d. 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 Adult, age 25+--Lower
Expert Elicitation c, d, e. 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- $36,000 ($9,500-
$30,000). $70,000)
7% discount rate....... $14,000 ($3,700- $32,000 ($8,600-
$27,000). $63,000)
----------------------------------------------------------------------------------------------------------------

[[Page 37180]]

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-- Bell et al., 2004...... $100 (-$170-$420)...... $440 (-$340-$1,400)
Derived from NMMAPS.
Premature Mortality, All ages-- Bell et al., 2005...... $340 (-$360-$1,200).... $1,400 (-$550-$3,900)
Derived from Meta-analyses.
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 $0..................... $0
and mortality is not causal.
Hospital admissions--Respiratory causes (children, under 2; -$0.54 (-$4.6-$3.3).... $2.7 (-$11-$17)
adult, 65 and older).
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.

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

\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-4.--Total Monetized Benefits of the Final Locomotive and Marine Engine Rule--3% Discount Rate
--------------------------------------------------------------------------------------------------------------------------------------------------------
2020 2030
--------------------------------------------------------------------------------------------------------------------------------------------------------
Ozone mortality
Ozone mortality function Reference Mean total benefits 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
--------------------------------------------------------------------------------------------------------------------------------------------------------

[[Page 37181]]

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
Ozone mortality function Reference Mean total benefits 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
Ozone mortality function Reference Mean total benefits 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
------------------------------------------------------------------------
Effects Not Included in
Pollutant/Effects 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

[[Page 37182]]

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
short-term 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
elicitation-

[[Page 37183]]

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 [mu]g/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.
---------------------------------------------------------------------------

\199\ National Research Council (NRC). 2002. Estimating the
Public Health Benefits of Proposed Air Pollution Regulations. The
National Academies Press: Washington, DC.
\200\ U.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.
---------------------------------------------------------------------------

(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-to-cost 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.

[[Page 37184]]

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

\201\ U.S. Environmental Protection Agency, 2000. Guidelines for
Preparing Economic Analyses. www.yosemite1.epa.gov/ee/epa/eed/hsf/
pages/Guideline.html.
\202\ Office of Management and Budget, The Executive Office of
the President, 2003. Circular A-4. http://www.whitehouse.gov/omb/
circulars.
---------------------------------------------------------------------------

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 longer-term 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 near-
term 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
stand-alone 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

[[Page 37185]]

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 near-term 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%
--------------------------------------------------------------------------------------------------------------------------------------------------------
Estimated PM2.5 Estimated NOX reductions Total costs a millions
reductions 2006-2040 2006-2040 2006-2040
Alternatives Standards -----------------------------------------------------------------------------
NPV 3% NPV 7% NPV 3% NPV 7% NPV 3% NPV 7%
--------------------------------------------------------------------------------------------------------------------------------------------------------
Final Rule.............................. Locomotive 308,000 134,000 8,760,000 3,710,000 $9,410 $4,310
Remanufacturing.
Marine Remanufacturing,
Tier 3 Near-term
program,.
Tier 4 Long-term
standards.
Alternative 1: Proposed Case (NPRM)..... Proposed Locomotive 286,000 121,000 8,140,000 3,320,000 8,760 3,900
Remanufacturing program,.
Proposed Tier 3 Near-
term program,.
Proposed Tier 4 Long-
term standards.
Alternative 2: Exclusion of Tier 3 Near-term 240,000 96,000 7,640,000 3,030,000 8,080 3,430
Remanufacturing Standards. program,.
Tier 4 Long-term
standards.
Alternative 3: Elimination of Tier 3.... Locomotive 237,000 10,000 8,360,000 3,530,000 9,240 4,160
Remanufacturing,.
Marine Remanufacturing,
Tier 4 Long-term
standards.

[[Page 37186]]

Alternative 4: Tier 4 Exclusively in Tier 4 Long-term 249,000 101,000 8,320,000 3,420,000 9,070+C 3950+C
2013. standards only in 2013.
--------------------------------------------------------------------------------------------------------------------------------------------------------
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 NOX emissions Total costs\a\ Benefits\b,c\ Benefits\b,c\
reductions (tons) reductions (tons) (millions) (billions) PM2.5 (billions) PM2.5
------------------------------------------------------------ only 3% discount only 7% discount
rate 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 8,800 24,000 280,000 760,000 290 720 2.5 8.2 2.3 7.5
Standards..........................................
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).
\c\ 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). 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

[[Page 37187]]

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-for-profit 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
----------------------------------------------------------------------------------------------------------------
Defined by SBA as a small business if
Industry NAICS \a\ Codes less than or equal to:\b\
----------------------------------------------------------------------------------------------------------------
Locomotive:
Manufacturers, remanufacturers and 333618, 336510................. 1,000 employees.
importers of locomotives and
locomotive engines.
Railroad owners and operators....... 482110, 482111................. 1,500 employees.
482112......................... 500 employees.
Engine repair and maintenance....... 488210......................... $6.5 million annual sales.
Marine:
Manufacturers of freshly 333618......................... 1,000 employees.
manufactured marine diesel engines.
Ship and boat building; ship 336611, 346611................. 1,000 employees.
building and repairing.
Engine repair and maintenance....... 811310......................... $6.5 million annual sales.
Water transportation, freight and 483............................ 500 employees.
passenger.
Water transportation, freight and 483............................ $25.5 million annual sales.
passenger--Offshore Marine Services.
Scenic and Sightseeing 487210......................... $6.5 million annual sales.
Transportation, Water.
Navigational Services to Shipping... 488330......................... $6.5 million annual sales.
Commercial Fishing.................. 114............................ $4.0 million annual sales.
Boat building (watercraft not built 336612......................... 500 employees.
in shipyards and typically of the
type suitable or intended for
personal use).
----------------------------------------------------------------------------------------------------------------
Notes:
\a\ North American Industry Classification System
\b\ According 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})
---------------------------------------------------------------------------

\203\ U.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.
\204\ U.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.
---------------------------------------------------------------------------

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.

[[Page 37188]]

(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 post-manufacture 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\
---------------------------------------------------------------------------

\205\ U.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.
---------------------------------------------------------------------------

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, small-volume manufacturers, and small-
volume 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 cost-effective or least burdensome alternative
that achieves the objectives of the rule. The provisions of section 205
do not apply when they are inconsistent with applicable law. Moreover,
section 205 allows EPA to adopt an alternative other than the least
costly, most cost-effective or least burdensome alternative if the
Administrator publishes with the final rule an explanation why that
alternative was not adopted. Before EPA establishes any regulatory
requirements that may significantly or uniquely affect small

[[Page 37189]]

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 yards^{206, 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

[[Page 37190]]

facilities than people living further away and will benefit from the
controls being finalized in this action.
---------------------------------------------------------------------------

\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.
\208\ This 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.
---------------------------------------------------------------------------

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

[[Page 37191]]

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.
---------------------------------------------------------------------------

\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.
\211\ This type of screening 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 emission sources at the individual ports in our sample.
---------------------------------------------------------------------------

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,

[[Page 37192]]

Penalties, Reporting and recordkeeping requirements, Warranties.

Dated: March 14, 2008.
Stephen L. Johnson,
Administrator.

0
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

0
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.

0
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:

Sec. 9.1 OMB approvals under the Paperwork Reduction Act.

* * * * *

------------------------------------------------------------------------
OMB control
40 CFR citation No.
------------------------------------------------------------------------

* * * *
Control of Emissions from Locomotives
1033.825................................................ 2060-0287
------------------------------------------------------------------------

* * * * *
Control of Emissions From New and In-use Marine Compression-ignition
Engines and Vessels
------------------------------------------------------------------------
1042.825................................................ 2060-0827

* * * * *
------------------------------------------------------------------------

* * * * *

PART 85--CONTROL OF AIR POLLUTION FROM MOBILE SOURCES

0
3. The authority citation for part 85 continues to read as follows:

Authority: 42 U.S.C. 7401-7671q.

Subpart Y--[Amended]

0
4. Section 85.2401 is amended by revising paragraphs (a)(7) and (a)(8)
to read as follows:

Sec. 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

0
5. The authority citation for part 86 continues to read as follows:

Authority: 42 U.S.C. 7401-7671q.

Subpart A--[Amended]

0
6. Section 86.007-11 is amended by revising paragraph (a)(2)
introductory text to read as follows:

Sec. 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 Sec. 86.007-
23(c)(2):
* * * * *

0
7. Section 86.117-96 is amended by revising the first equation in
paragraph (d)(2) to read as follows:

Sec. 86.117-96 Evaporative emission enclosure calibrations.

* * * * *
(d) * * *
(2) * * *
[GRAPHIC] [TIFF OMITTED] TR06MY08.008

* * * * *

Subpart N--[Amended]

0
8. Section 86.1305-2010 is amended by revising paragraph (b) to read as
follows:

Sec. 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 Sec. Sec. 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 Sec. 86.004-28.
* * * * *
0
9. Section 86.1333-2010 is amended by adding paragraph (d) to read as
follows:

Sec. 86.1333-2010 Transient test cycle generation.

* * * * *
(d) Determine idle speeds as specified in Sec. 86.1337-2007(a)(9).

0
10. Section 86.1360-2007 is amended by adding paragraph (b)(3) to read
as follows:

Sec. 86.1360-2007 Supplemental emission test; test cycle and
procedures.

* * * * *
(b) * * *
(3) For engines certified using the ramped-modal cycle specified in
Sec. 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.

[[Page 37193]]

(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.
* * * * *

Sec. 86.1362-2007 [Amended]

0
11. Section 86.1362-2007 is amended by removing and reserving paragraph
(d).

0
12. A new Sec. 86.1362-2010 is added to read as follows:

Sec. 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 Sec. 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 Sec. 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:

----------------------------------------------------------------------------------------------------------------
Time in mode
RMC 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
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ Advance 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.
3 The 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.

0
13. Section 86.1363-2007 is amended by revising paragraph (a) and the
equation in paragraph (g)(1) to read as follows:

Sec. 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:

----------------------------------------------------------------------------------------------------------------
Percent load Weighting Mode length
Mode No. Engine speed \1\ \2\ factors (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

[[Page 37194]]

10................................... C........................ 100 0.08 2
11................................... C........................ 25 0.05 2
12................................... C........................ 75 0.05 2
13................................... C........................ 50 0.05 2
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum torque at the commanded test speed.
3 Upon Administrator approval, the manufacturer may use other mode lengths.

* * * * *
(g) * * *
(1) * * *
[GRAPHIC] [TIFF OMITTED] TR06MY08.009

* * * * *

Subpart P--[Amended]

0
14. Subpart P is amended by removing Sec. 86.1504-94.

Sec. Sec. 86.1501-94 through 86.1544-84 [Redesignated]

0
15. Redesignate Sec. Sec. 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
------------------------------------------------------------------------

0
16. Newly desginated Sec. 86.1506 is amended by adding paragraph (b)
to read as follows:

Sec. 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

0
17. The authority citation for part 89 continues to read as follows:

Authority: 42 U.S.C. 7401-7671q.

Subpart J--[Amended]

0
18. A new Sec. 89.916 is added to read as follows:

Sec. 89.916 Emergency-vessel exemption for marine engines below 37
kW.

The prohibitions in Sec. 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

0
19. The authority citation for part 92 continues to read as follows:

Authority: 42 U.S.C. 7401-7671q.

0
20. Section 92.1 is amended by revising paragraph (a) introductory text
and adding paragraph (e) to read as follows:

Sec. 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.

0
21. Section 92.2 is amended by revising the definition for ``Freshly
manufactured locomotive'' to read as follows:

Sec. 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.
* * * * *

0
22. Section 92.12 is amended by revising paragraph (b) and adding
paragraphs (i) and (j) to read as follows:

Sec. 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 cycle-weighted 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

[[Page 37195]]

requirements of 40 CFR subchapter U. This paragraph (j) describes
allowances for manufacturers or remanufacturers to ask for flexibility
in transitioning to the new regulations.
(1) You may ask to use a combination of the test procedures of this
part and those of 40 CFR part 1033. We will approve your request if you
show us that it does not affect your ability to show compliance with
the applicable emission standards. Generally this requires that the
combined procedures would result in emission measurements at least as
high as those that would be measured using the procedures specified in
this part. Alternatively, you may demonstrate that the combined effects
of the procedures is small relative to your compliance margin (the
degree to which your locomotives are below the applicable standards).
(2) You may ask to comply with the administrative requirements of
40 CFR part 1033 and 1068 instead of the equivalent requirements of
this part.
0
23. Section 92.204 is amended by adding paragraph (f) to read as
follows:

Sec. 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.

0
24. Section 92.206 is amended by revising paragraph (c) to read as
follows:

Sec. 92.206 Required information.

* * * * *
(c) Emission data, including exhaust methane data in the case of
locomotives or locomotive engines subject to a non-methane 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 Sec. 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.
* * * * *

0
25. Section 92.208 is amended by revising paragraph (a) to read as
follows:

Sec. 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.
* * * * *

0
26. Section 92.212 is amended by revising paragraph (b)(2)(iv) to read
as follows:

Sec. 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.
* * * * *

0
27. Section 92.501 is amended by adding paragraph (c) to read as
follows:

Sec. 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.

0
28. A new Sec. 92.1007 is added to read as follows:

Sec. 92.1007 Remanufacturing requirements.

(a) See the definition of ``remanufacture'' in Sec. 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 Sec. 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

[[Page 37196]]

paragraph (e) does not apply with respect to parts for maintenance
other than remanufacturing; see Sec. 92.1004 for provisions related to
general maintenance.)
(f) Failure to comply with this section is a violation of Sec.
92.1102(a)(1).

PART 94--CONTROL OF EMISSIONS FROM MARINE COMPRESSION-IGNITION
ENGINES

0
29. The authority citation for part 94 continues to read as follows:

Authority: 42 U.S.C. 7401-7671q.

Subpart A-- [Amended]

0
30. Section 94.1 is amended by revising paragraph (b) to read as
follows:

Sec. 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.
* * * * *

0
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:

Sec. 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)] x ( 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.
* * * * *

0
32. Section 94.12 is amended by adding paragraph (i) to read as
follows:

Sec. 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]

0
33. Section 94.108 is amended by adding paragraph (a)(4) and revising
paragraph (d) to read as follows:

Sec. 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 x 0.0917 x (FSF-0.0040)]

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 x 0.0917 x (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]

0
34. Section 94.208 is amended by revising paragraph (a) to read as
follows:

Sec. 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.
* * * * *

0
35. Section 94.209 is amended by revising paragraph (a) introductory
text to read as follows:

[[Page 37197]]

Sec. 94.209 Special provisions for post-manufacture marinizers and
small-volume manufacturers.

* * * * *
(a) Broader engine families. Instead of the requirements of Sec.
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]

0
36. Section 94.501 is amended by adding paragraph (c) to read as
follows:

Sec. 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]

0
37. A new Sec. 94.914 is added to read as follows:

Sec. 94.914 Emergency vessel exemption.

(a) Except as specified in paragraph (c) of this section, the
prohibitions in Sec. 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
Sec. 94.8.
(b) If you introduce an engine into U.S. commerce under this
section, you must meet the labeling requirements in Sec. 94.212, but
add the following statement instead of the compliance statement in
Sec. 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 Sec.
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
Sec. 94.1103(a)(1), unless it is exempt under a different provision.

0
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.

[[Page 37198]]

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

Sec. 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 Sec. 1033.5.
(a) Standards begin to apply each time a locomotive or locomotive
engine is originally manufactured or otherwise becomes new (defined in
Sec. 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 Sec.
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 Sec.
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 Sec. 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 Sec.
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.

Sec. 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 Sec. 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 Sec. 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 Sec. 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
non-standard gauge rails may ask us to exclude such locomotives from
this part by excluding them from the definition of ``locomotive''.

Sec. 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 Sec. 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 Sec. 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.

[[Page 37199]]

(j) Subpart J of this part contains definitions and other reference
information.

Sec. 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 Sec. 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

Sec. 1033.101 Exhaust emission standards.

See Sec. Sec. 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: Sec. 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 Sec. 1033.101.--Line-Haul Locomotive Emission Standards
----------------------------------------------------------------------------------------------------------------
Standards (g/bhp-hr)
Year of original manufacture Tier of standards ---------------------------------------------------
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.
\c\ Tier 3 line-haul locomotives must also meet Tier 2 switch standards.
\d\ Manufacturers may elect to meet a combined NOX+HC standard of 1.4 g/bhp-hr instead of the otherwise
applicable Tier 4 NOX and HC standards, as described in paragraph (j) of this section.
\e\ The PM standard for newly remanufactured Tier 2 line-haul locomotives is 0.20 g/bhp-hr until January 1,
2013, except as specified in Sec. 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: Sec. 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 Sec. 1033.101.--Switch Locomotive Emission Standards
----------------------------------------------------------------------------------------------------------------
Standards (g/bhp-hr)
Year of original manufacture Tier of standards ---------------------------------------------------
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
----------------------------------------------------------------------------------------------------------------
\a\ Switch locomotives subject to the Tier 1 through Tier 2 emission standards must also meet line-haul
standards of the same tier.
\b\ The PM standard for new Tier 2 switch locomotives is 0.24 g/bhp-hr until January 1, 2013, except as
specified in Sec. 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 Sec. 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

[[Page 37200]]

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) x (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, ELH\i\ equals the deteriorated switch duty-cycle 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 diesel-fueled locomotives to use the
applicable grades of diesel fuel as follows:
(i) Certify your Tier 4 and later diesel-fueled 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 diesel-fueled 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-
locomotive-specific 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

[[Page 37201]]

equivalent to such in-use data, such as data from research engines or
similar engine models that are already in production. Your
demonstration must also include any overhaul interval that you
recommend, any mechanical warranty that you offer for the engine or its
components, and any relevant customer design specifications. Your
demonstration may include any other relevant information.
(4) Remanufacturers of locomotive or locomotive engine
configurations that have been previously certified under paragraph
(g)(3) of this section to a useful life that is shorter than the value
specified in paragraph (g)(1) of this section may certify to that same
shorter useful life value without request.
(5) In unusual circumstances, you may ask us to allow you to
certify some locomotives in your engine family to a partial useful
life. This allowance is limited to cases in which some or all of the
locomotive(s power assemblies have been operated previously such that
the locomotive will need to be remanufactured prior to the end of the
otherwise applicable useful life. Unless we specify otherwise, define
the partial useful life based on the total MW-hrs since the last
remanufacture to be consistent with other locomotives in the family.
For example, this may apply for a previously uncertified locomotive
that becomes ``new'' when it is imported, but that was remanufactured
two years earlier (representing 25 percent of the normal useful life
period). If such a locomotive could be brought into compliance with the
applicable standards without being remanufactured, you may ask to
include it in your engine family for the remaining 75 percent of its
useful life period.
(h) Applicability for testing. The emission standards in this
subpart apply to all testing, including certification testing,
production-line testing, and in-use 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 Sec. 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.

Sec. 1033.102 Transition to the standards of this part.

(a) Except as specified in Sec. 1033.150(a), the Tier 0 and Tier 1
standards of Sec. 1033.101 apply for new locomotives beginning January
1, 2010, except as specified in Sec. 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 Sec. 1033.150(a), the Tier 2 standards
of Sec. 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 Sec. 1033.101 apply for the
model years specified in that section.

Sec. 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 Sec.
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 Sec. 1033.815. Except as specified in Sec.
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 Sec. 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.

Sec. 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

[[Page 37202]]

Sec. 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 Sec. 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.

Sec. 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 line-haul 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 Sec. 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 Sec. 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 Sec. 1033.140.

Sec. 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.

[[Page 37203]]

(2) It is free from defects in materials and workmanship that may
keep it from meeting these requirements.
(b) Warranty period. Except as specified in this paragraph, the
minimum warranty period is one-third of the useful life. Your emission-
related warranty must be valid for at least as long as the minimum
warranty periods listed in this paragraph (b) in MW-hrs of operation
and years, whichever comes first. You may offer an emission-related
warranty more generous than we require. The emission-related warranty
for the locomotive may not be shorter than any published warranty you
offer without charge for the locomotive. Similarly, the emission-
related warranty for any component may not be shorter than any
published warranty you offer without charge for that component. If you
provide an extended warranty to individual owners for any components
covered in paragraph (c) of this section for an additional charge, your
emission-related 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.

Sec. 1033.125 Maintenance instructions.

Give the owner of each new locomotive written instructions for
properly maintaining and using the locomotive, including the emission-
control 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 Sec. 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.

Sec. 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: ``Emission-related 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.

Sec. 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

[[Page 37204]]

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
Sec. 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 Sec. 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.

Sec. 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 Sec. 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

[[Page 37205]]

eight discrete operator demand setpoints, or notches, the nominal power
curve would be a series of eight power points versus notch, rather than
a continuous curve.
(c) The nominal power curve must be within the range of the actual
power curves of production locomotives considering normal production
variability. If after production begins it is determined that your
nominal power curve does not represent production locomotives, we may
require you to amend your application for certification under Sec.
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 x 4000).

Sec. 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) x [ (0.6000)x(Commodity Index) +
(0.4000)x(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) x (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 Sec. 1033.115(g) is deemed to
be covered by a certificate of conformity with respect to the
requirements of Sec. 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
Sec. 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

[[Page 37206]]

qualify as small manufacturers under Sec. 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 Sec. 1033.150.--In-Use Adjustments for Tier 4 Locomotives
------------------------------------------------------------------------
In-use adjustments (g/bhp-hr)
-----------------------------------
For model year For model year
Fraction of useful life already used 2017 and earlier 2017 and earlier
Tier 4 NOX Tier 4 PM
standards 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 Sec. 1033.150.--Optional In-Use Adjustments for Tier 4
Locomotives
------------------------------------------------------------------------
In-use adjustments (g/bhp-hr)
-----------------------------------
For model year For model year
Fraction of useful life already used 2017 and earlier 2017 and earlier
Tier 4 NOX Tier 4 PM
standards 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 Sec. Sec. 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 Sec. 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

[[Page 37207]]

have accumulated 50 hours or more of operation is the FEL plus 0.6 g/
bhp-hr.
(7) The in-use NOX add-ons specified in paragraph (f) of
this section do not apply for these locomotives.
(8) All other provisions of this part apply to such locomotives,
except as specified otherwise in this paragraph (g).
(h) Test procedures. You are generally required to use the test
procedures specified in subpart F of this part (including the
applicable test procedures in 40 CFR part 1065). As specified in this
paragraph (h), you may use a combination of the test procedures
specified in this part and the test procedures specified in 40 CFR part
92 prior to January 1, 2015. After this date, you must use only the
test procedures specified in this part.
(1) Prior to January 1, 2015, you may ask to use some or all of the
procedures specified in 40 CFR part 92 for locomotives certified under
this part 1033.
(2) If you ask to rely on a combination of procedures under this
paragraph (h), we will approve your request only if you show us that it
does not affect your ability to demonstrate compliance with the
applicable emission standards. Generally this requires that the
combined procedures would result in emission measurements at least as
high as those that would be measured using the procedures specified in
this part. Alternatively, you may demonstrate that the combined effects
of the different procedures is small relative to your compliance margin
(the degree to which your emissions are below the applicable
standards).
(i) Certification testing. Prior to model year 2014, you may use
the simplified steady-state engine test procedure specified in this
paragraph (i) for certification testing. The normal certification
procedures and engine testing procedures apply, except as specified in
this paragraph (i).
(1) Use good engineering judgment to operate the engine consistent
with its expected operation in the locomotive, to the extent practical.
You are not required to exactly replicate the transient behavior of the
engine.
(2) You may delay sampling during notch transition for up to 20
seconds after you begin the notch change.
(3) We may require you provide additional information in your
application for certification to support the expectation that
production locomotives will meet all applicable emission standards when
tested as locomotives.
(4) You may not use this simplified procedure for production-line
or in-use testing.
(j) Administrative requirements. For model years 2008 and 2009, you
may use a combination of the administrative procedures specified in
this part and the test procedures specified in 40 CFR part 92. For
example, this would allow you to use the certification procedures of 40
CFR part 92 to apply for certificates under this part 1033.
(k) Test fuels. Testing performed during calendar years 2008 and
2009 may be performed using test fuels that meet the specifications of
40 CFR 92.113. If you do, adjust PM emissions downward by 0.04 g/bhp-hr
to account for the difference in sulfur content of the fuel.
(1) Refurbished switch locomotives. In 2008 and 2009 remanufactured
Tier 0 switch locomotives that are deemed to be refurbished may be
certified as remanufactured switch locomotives under 40 CFR part 92.

Subpart C--Certifying Engine Families

Sec. 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 Sec. 1033.901 may apply for a certificate of
conformity for freshly manufactured locomotives. Anyone meeting the
definition of remanufacturer in Sec. 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 Sec. 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
Sec. 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 Sec. 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 Sec. 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 Sec. 1033.115 or one that
only covers the idle control requirements of Sec. 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.

Sec. 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 Sec. 1033.225.

[[Page 37208]]

(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 Sec. 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 Sec. 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 Sec. 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
Sec. 1033.210.
(10) The intended useful life period for the engine family, in
accordance with Sec. 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 Sec. 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 Sec. 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.

Sec. 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.

Sec. 1033.220 Amending maintenance instructions.

You may amend your emission-related maintenance instructions after
you submit your application for certification, as long as the amended
instructions remain consistent with the provisions of Sec. 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

[[Page 37209]]

maintenance, you may distribute the new maintenance instructions to
your customers 30 days after we receive your request, unless we
disapprove your request. This would generally include replacing one
maintenance step with another. We may approve a shorter time or waive
this requirement.
(b) If your requested change would not decrease the specified
maintenance, you may distribute the new maintenance instructions
anytime after you send your request. For example, this paragraph (b)
would cover adding instructions to increase the frequency of filter
changes for locomotives in 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. We may ask you to send us
copies of maintenance instructions revised under this paragraph (c).

Sec. 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 Sec.
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 Sec. 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 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 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.

Sec. 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.

[[Page 37210]]

(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 (air-to-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-to-air, 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 Sec. 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.

Sec. 1033.235 Emission testing required for certification.

This section describes the emission testing you must perform to
show compliance with the emission standards in Sec. 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
Sec. 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 Sec. 1033.225.
(2) The emission-data locomotive from the previous model year
remains the appropriate emission-data locomotive under paragraph (b) of
this section.

[[Page 37211]]

(3) The data show that the emission-data 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.

Sec. 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 Sec.
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 Sec. 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 Sec. 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 Sec. 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.

Sec. 1033.245 Deterioration factors.

Establish deterioration factors for each pollutant to determine, as
described in Sec. 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 Sec. 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
Sec. 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

[[Page 37212]]

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.

Sec. 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 Sec. 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 emission-related 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.

Sec. 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 Sec. 1033.920).

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

Sec. 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 Sec. Sec. 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 Sec. Sec. 1033.310, 1033.315, 1033.320, and 1033.330
will apply as specified in the notice.
(b) The requirements of Sec. 1033.335 apply only to
remanufacturers.
(c) As specified in Sec. 1033.1(d), we may apply the requirements
of this subpart to manufacturers/remanufacturers that do not certify
the

[[Page 37213]]

locomotives. However, unless we specify otherwise, the requirements of
this subpart apply to manufacturers/remanufacturers that hold the
certificates for the locomotives.

Sec. 1033.305 General requirements.

(a) Manufacturers (and remanufacturers, where applicable) are
required to test production line locomotives using the test procedures
specified in Sec. 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 Sec. 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 Sec. 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.

Sec. 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).

Sec. 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 Sec. 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

[[Page 37214]]

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 Sec. 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.

Sec. 1033.320 Calculation and reporting of test results.

(a) Calculate initial test results using the applicable test
procedure specified in Sec. 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 non-compliance
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 Sec. 1033.330(a), a
description of the remedy and test results for all retests as required
by Sec. 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)

Sec. 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.

[[Page 37215]]

(c) Send us the following information with regard to locomotive
production if we ask for it:
(1) Projected production for each configuration within each engine
family for which certification has been requested and/or approved.
(2) Number of locomotives, by configuration and assembly plant,
scheduled for production.
(d) Nothing in this section limits our authority to require you to
establish, maintain, keep or submit to us information not specified by
this section.
(e) Send all reports, submissions, notifications, and requests for
approval made under this subpart to the Designated Compliance Officer
using an approved format.
(f) You must keep a copy of all reports submitted under this
subpart.

Sec. 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
Sec. 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.

Sec. 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 Sec. 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)

Sec. 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 Sec.
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 Sec. 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 Sec. 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 Sec.
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.

[[Page 37216]]

(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 Sec. Sec. 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 Sec. 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 Sec.
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

Sec. 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 Sec. 1033.1(d).

Sec. 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 Sec. 1033.415. We will use these data, and any other data
available to us, to determine the compliance status of classes of
locomotives,

[[Page 37217]]

including for purposes of recall under 40 CFR part 1068, and whether
remedial action is appropriate.

Sec. 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.

Sec. 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: Sec. 1033.820 specifies that
railroads must make reasonable efforts to enable you to perform this
testing.)

Sec. 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 Sec. 1033.250.
(b) You may perform minimal set-to-spec 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 Sec. 1033.110 and the
MIL is illuminated, you may read the code and repair the malfunction
according to your emission-related maintenance instructions, but only
to the degree that an owner/operator would be required to repair the
malfunction under Sec. 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 Sec. 1033.425.

Sec. 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 Sec. 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

Sec. 1033.501 General provisions.

(a) Except as specified in this subpart, use the equipment and
procedures for

[[Page 37218]]

compression-ignition engines in 40 CFR part 1065 to determine whether
your locomotives meet the duty-cycle emission standards in Sec.
1033.101. Use the applicable duty cycles specified in this subpart.
Measure emissions of all the pollutants we regulate in Sec. 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 Sec. 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 Sec. 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 Sec. 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 Sec. Sec. 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 Sec. 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.

Sec. 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 Sec. Sec. 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 [deg]C (60 [deg]F) to 40.5 [deg]C (105 [deg]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 [deg]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.

Sec. 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

[[Page 37219]]

section does not apply for auxiliary engines that only provide hotel
power.
(a) Adjust the locomotive main engine's idle emission rate (g/hr)
as specified in Sec. 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 Sec. 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 EPA-certified.
(ii) Determine the APU engine's cycle-weighted power when operating
in the locomotive.
(iii) Multiply each of the APU's applicable brake-specific
standards/FELs by the APU engine's cycle-weighted 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.

Sec. 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 Sec. 1033.101 to determine applicability of smoke
testing and Sec. 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 Sec. 1065.530. Note that cycle validation criteria do
not apply to testing of complete locomotives.

Table 1 to Sec. 1033.515.--Locomotive Test Cycle
----------------------------------------------------------------------------------------------------------------
Time in mode Sample averaging period for
Test mode Notch setting (minutes) \1\ 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

[[Page 37220]]

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
----------------------------------------------------------------------------------------------------------------
\1\ The time in each notch and sample averaging period may be extended as needed to allow for collection of a
sufficiently large PM sample.
\2\ Omit if not so equipped.
3 See paragraph (b) of this section for alternate pre-test provisions.

(f) There are two approaches for sampling PM emissions during
discrete-mode 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 Sec. 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 Sec. 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 Sec. 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 Sec.
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 [deg]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.

Sec. 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 steady-state 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 warm-up 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 Sec. 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 Sec. 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,

[[Page 37221]]

then resume the specified mode sequence (without repeating the normal
idle mode).
(e) Start the test according to 40 CFR 1065.530.
(1) Each test phase begins when operator demand is set to the first
operator demand setting of each test phase of the ramped modal cycle.
Each test phase ends when the time in mode is reached for the last mode
in the test phase.
(2) For PM emissions (and other batch sampling), the sample period
over which emissions for the phase are averaged generally begins within
10 seconds after the operator demand is changed to start the test phase
and ends within 5 seconds of the sampling time for the test mode is
reached. (see Table 1 to this section). You may ask to delay the start
of the sample period to account for sample system residence times
longer than 10 seconds.
(3) Use good engineering judgment when transitioning between
phases.
(i) You should come as close as possible to simultaneously:
(A) Ending batch sampling of the previous phase.
(B) Starting batch sampling of the next phase.
(C) Changing the operator demand to the notch setting for the first
mode in the next phase.
(ii) Avoid the following:
(A) Overlapping batch sampling of the two phases.
(B) An unnecessarily long delay before starting the next phase.
(iii) For example, the following sequence would generally be
appropriate:
(A) End batch sampling for phase 2 after 240 seconds in notch 7.
(B) Switch the operator demand to notch 8 one second later.
(C) Begin batch sampling for phase 3 one second after switching to
notch 8.
(4) If applicable, begin the smoke test at the start of the first
test phase of the applicable ramped modal cycle. Continue collecting
smoke data until the completion of final test phase. Refer to Sec.
1033.101 to determine applicability of the smoke standards and Sec.
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 Sec. 1033.520.--Line-Haul Locomotive Ramped Modal Cycle
----------------------------------------------------------------------------------------------------------------
Weighting Time in mode
RMC test phase factor RMC 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.
----------------------------------------------------------------------------------------------------------------
\1\ See paragraph (d) of this section for alternate pre-test provisions.
\2\ Operate at normal idle for modes A and B if not equipped with multiple idle settings.
3 Operate at normal idle if not equipped with a dynamic brake.

Table 2 to Sec. 1033.520.--Switch Locomotive Ramped Modal Cycle
----------------------------------------------------------------------------------------------------------------
Weighting Time in mode
RMC test phase factor RMC 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.
----------------------------------------------------------------------------------------------------------------

[[Page 37222]]

Phase Transition
----------------------------------------------------------------------------------------------------------------
............... 6.............. 1080........... Notch 6.
............... 7.............. 144............ Notch 7.
Phase 3........................ 0.025.......... 8.............. 576............ Notch 8.
----------------------------------------------------------------------------------------------------------------
\1\ See paragraph (d) of this section for alternate pre-test provisions.
\2\ Operate at normal idle for modes A and B if not equipped with multiple idle settings.

(f) Calculate your cycle-weighted brake-specific emission rates as
follows:
(1) For each test phase j:
(i) Calculate emission rates (Eij) for each pollutant i
as the total mass emissions divided by the total time in the phase.
(ii) Calculate average power (Pj) as the total work
divided by the total time in the phase.
(2) For each pollutant, calculate your cycle-weighted brake-
specific emission rate using the following equation, where
wj is the weighting factor for phase j:
[GRAPHIC] [TIFF OMITTED] TR06MY08.010

Sec. 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
full-flow, 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.

Sec. 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 cycle-weighted average
emissions as specified in 40 CFR part 1065, subpart G.

[[Page 37223]]

Table 1 to Sec. 1033.530.--Standard Duty Cycle Weighting Factors for Calculating Emission Rates for
Locomotives With Multiple Idle Settings
----------------------------------------------------------------------------------------------------------------
Line-haul
Line-haul weighting Switch
Notch setting Test mode weighting factors (no weighting
factors dynamic factors
brake)
----------------------------------------------------------------------------------------------------------------
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 Sec. 1033.530.--Standard Duty Cycle Weighting Factors for Calculating Emission Rates for
Locomotives With a Single Idle Setting
----------------------------------------------------------------------------------------------------------------
Line-haul
Notch setting Test mode Line-haul (no dynamic Switch
brake)
----------------------------------------------------------------------------------------------------------------
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 Sec. 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 Sec.
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 cycle-weighted average emissions
as specified in 40 CFR part 1065, subpart G.

[[Page 37224]]

(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 line-haul cycle credits (positive or negative) using
the alternate cycle and the line-haul 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
energy-saving 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)

Sec. 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

[[Page 37225]]

expected to occur on average less than once per sample period.
(a) Developing adjustment factors. Develop an upward adjustment
factor and a downward adjustment factor for each pollutant based on
measured emission data and observed regeneration frequency. Adjustment
factors should generally apply to an entire engine family, but you may
develop separate adjustment factors for different configurations within
an engine family. If you use adjustment factors for certification, you
must identify the frequency factor, F, from paragraph (b) of this
section in your application for certification and use the adjustment
factors in all testing for that engine family. You may use carryover or
carry-across data to establish adjustment factors for an engine family,
as described in Sec. 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) x (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

Sec. 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 Sec. 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 Sec. 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

[[Page 37226]]

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.

Sec. 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 Sec. 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 Sec. 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 Sec. 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 Sec. 1033.901 may ask that their remanufactured
locomotives be excluded from the definition of ``new'' in Sec.
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.

Sec. 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
Sec. 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 Sec. 1033.135.

Sec. 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).

[[Page 37227]]

(v) You exercised prudent planning, were not able to avoid the
violation, and have taken all reasonable steps to minimize the extent
of the nonconformity.
(vi) We approve your request before you introduce the locomotives
into commerce.
(2) You must notify us as soon as you become aware of the extreme
or unusual circumstances.
(3)(i) Include locomotives for which we grant relief under this
section in the engine family for which they were originally intended to
be included.
(ii) Where the locomotives are to be included in an engine family
that was certified to an FEL above the applicable standard, you must
reserve credits to cover the locomotives covered by this allowance and
include the required information for these locomotives in the end-of-
year report required by subpart H of this part.
(c) In granting relief under this section, we may also set other
conditions as appropriate, such as requiring payment of fees to negate
an economic gain that such relief would otherwise provide.

Sec. 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 Sec. 1033.101 in-use.
(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 Sec. 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.

Sec. 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 emission-related 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

[[Page 37228]]

determine are necessary to ensure that the locomotives are assembled in
their certified configuration before being placed (back) into service.

Sec. 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 Sec. 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.''.

Sec. 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

[[Page 37229]]

this section, consistent with good engineering judgment.
(b) Approval. To obtain approval, submit your request to the
Designated Compliance Officer.
(1) Include all of the following in your request:
(i) A description of the component(s) for which you are requesting
approval.
(ii) A list of all engine/locomotive models and engine families for
which your component would be used. You may exclude models that are not
subject to our standards or will otherwise not be remanufactured under
a certificate of conformity.
(iii) A copy of the maintenance instructions for engines using your
component. You may reference the other certificate holder's maintenance
instructions in your instructions. For example, your instructions may
specify to follow the other certificate holder's instructions in
general, but list one or more exceptions to address the specific
maintenance needs of your component.
(iv) An engineering analysis (including test data in some cases)
demonstrating to us that your component will not cause emissions to
increase. The analysis must address both low-hour and end-of-useful
life emissions. The amount of information required for this analysis is
less than is required to obtain a certificate of conformity under
subpart C of this part and will vary depending on the type of component
being certified.
(v) The following statement signed by an authorized representative
of your company: We submit this request under 40 CFR 1033.645. All the
information in this report is true and accurate to the best of my
knowledge. I know of the penalties for violating the Clean Air Act and
the regulations. (Authorized Company Representative)
(2) If we determine that there is reasonable technical basis to
believe that your component is sufficiently equivalent that it will not
increase emissions, we will approve your request and you will be a
certificate holder for your components with respect to actual emissions
performance for all locomotives that use those components (in
accordance with this section).
(c) Liability. Being a certificate holder under this section means
that if in-use testing indicates that a certified locomotive using one
or more of your approved components does not comply with an applicable
emission standard, we will presume that you and other certificate
holders are liable for the noncompliance. However, we will not hold you
liable in cases where you convince us that your components did not
cause the noncompliance. Conversely, we will not hold other certificate
holders liable for noncompliance caused solely by your components. You
are also subject to the warranty and defect reporting requirements of
this part for your certified components. Other requirements of this
part apply as specified in Sec. 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 MW-
hrs. 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 Sec. 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.

Sec. 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

[[Page 37230]]

new rail facilities are created, we may approve requests submitted
after January 1, 2011.

Sec. 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 Sec. 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 [deg]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 [deg]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 [deg]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 [deg]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 [deg]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 [deg]C.

Subpart H--Averaging, Banking, and Trading for Certification

Sec. 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 Sec. 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 Sec. 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 Sec. 1033.135. This label must
include the notification specified in paragraph (i) of this section.

[[Page 37231]]

Sec. 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 megawatt-hrs, calculate credits for each engine
family from the following equation:

Emission credits = (Std-FEL) x (1.341) x (UL) x (Production) x
(Fp) x (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 sales-weighted 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 Sec. 1033.705.--Proration Factors for Line-Haul Locomotives
------------------------------------------------------------------------
Proration
Locomotive age (years) factor (Fp)
------------------------------------------------------------------------
1....................................................... 0.96
2....................................................... 0.92
3....................................................... 0.88
4....................................................... 0.84
5....................................................... 0.81
6....................................................... 0.77
7....................................................... 0.73
8....................................................... 0.69
9....................................................... 0.65
10...................................................... 0.61
11...................................................... 0.57
12...................................................... 0.54
13...................................................... 0.50
14...................................................... 0.47
15...................................................... 0.43
16...................................................... 0.40
17...................................................... 0.36
18...................................................... 0.33
19...................................................... 0.30
20...................................................... 0.27
------------------------------------------------------------------------

Table 2 to Sec. 1033.705.--Proration Factors for Switch Locomotives
------------------------------------------------------------------------
Proration
Locomotive age (years) factor (Fp)
------------------------------------------------------------------------
1....................................................... 0.98
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 Sec.
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).

[[Page 37232]]

(3) Locomotives not subject to the requirements of this part, such
as those excluded under Sec. 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.

Sec. 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 Sec.
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 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 Sec. 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.

Sec. 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 Sec. 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.

Sec. 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 Sec. 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 Sec. 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 Sec. 1033.745.

Sec. 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 Sec. 1033.730.

Sec. 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.

Sec. 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-of-year 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
Sec. 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.

[[Page 37233]]

(ii) A copy of any contracts related to the trade.
(iii) How you intend to use the emission credits, including the
number of emission credits you intend to apply to each engine family
(if known).
(e) If you transfer emission credits, you must send us a report
within 90 days after the first transfer to an owner/operator, as
follows:
(1) Include the following information:
(i) The corporate names of the owner/operator receiving the
credits.
(ii) A copy of any contracts related to the trade.
(iii) The serial numbers and engine families for the locomotive
that generated the transferred emission credits and the number of
emission credits from each family.
(2) The requirements of this paragraph (e) apply separately for
each owner/operator.
(3) We may require you to submit additional 90-day reports under
this paragraph (e).
(f) Send your reports electronically to the Designated Compliance
Officer using an approved information format. If you want to use a
different format, send us a written request with justification for a
waiver.
(g) Correct errors in your end-of-year report or final report as
follows:
(1) You may correct any errors in your end-of-year report when you
prepare the final report, as long as you send us the final report by
the time it is due.
(2) If you or we determine within 270 days after the end of the
model year that errors mistakenly decreased your balance of emission
credits, you may correct the errors and recalculate the balance of
emission credits. You may not make these corrections for errors that
are determined more than 270 days after the end of the model year. If
you report a negative balance of emission credits, we may disallow
corrections under this paragraph (g)(2).
(3) If you or we determine anytime that errors mistakenly increased
your balance of emission credits, you must correct the errors and
recalculate the balance of emission credits.
(h) We may modify these requirements for owners/operators required
to submit reports because of their involvement in credit transferring.

Sec. 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 Sec. 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.

Sec. 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 Sec. 1033.101, Tier
0 switch locomotives, Tier 3 and later switch locomotives, and Tier 4
and later line-haul 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 Sec. 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 Sec. 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.

Sec. 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.

[[Page 37234]]

(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 Sec. 1033.920).

Sec. 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 Sec.
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

Sec. 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 Sec. 1033.815 also applies to anyone performing
maintenance on a locomotive subject to the provisions of this part.

Sec. 1033.805 Remanufacturing requirements.

(a) See the definition of ``remanufacture'' in Sec. 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 Sec. 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 Sec. 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 Sec. 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 Sec. 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).

Sec. 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

[[Page 37235]]

requirement, test locomotives still within their useful lives as
follows:
(i) Test locomotives in your fleet that are nearest to the end of
their useful lives. You may identify such locomotives as a range of
values representing the fraction of the useful life already used up for
the locomotives.
(ii) For example, you may determine that 20 percent of your fleet
has been operated for at least 75 percent of their useful lives. In
such a case, select locomotives for testing that have been operated for
at least 75 percent of their useful lives.
(2) Option 2. If you hold a certificate for some of your
locomotives, you may ask us to allow you to select up to two
locomotives as specified in subpart E of this part, and count those
locomotives toward both your testing obligations of that subpart and
this section.
(3) Option 3. You may ask us to allow you to test locomotives that
use parts covered under Sec. 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).

Sec. 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 Sec. 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).

Sec. 1033.820 In-use locomotives.

(a) We may require you to supply in-use 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

[[Page 37236]]

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).

Sec. 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

Sec. 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. Exhaust-gas 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 Sec. 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 Sec. 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:

[[Page 37237]]

(1) For multiplicative deterioration factors, the ratio of
emissions at the end of useful life to emissions at the low-hour 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 Sec. 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 Sec. 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 Sec. 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 Sec. 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 fuel-injection components, and all
fuel-system 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 Sec. 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 throttle-notch position,
or the highest idle speed

[[Page 37238]]

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,
post-accident 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 Sec. 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 low-sulfur 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 Sec. 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

[[Page 37239]]

into U.S. commerce are considered to be noncomplying locomotives and
locomotive engines.)
Non-locomotive-specific engine means an engine that is sold for and
used in non-locomotive applications much more than for locomotive
applications.
Nonmethane hydrocarbon has the meaning given in 40 CFR 1065.1001.
This generally means the difference between the emitted mass of total
hydrocarbons and the emitted mass of methane.
Nonroad means relating to nonroad engines as defined in 40 CFR
1068.30.
Official emission result means the measured emission rate for an
emission-data 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 Sec. 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 Sec. 1033.640. Where
a locomotive is manufactured under Sec. 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 Sec. 1033.140.
Refurbish has the meaning given in Sec. 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 Sec. Sec. 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 emission-related 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 Sec.
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

[[Page 37240]]

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 Sec. 1033.101.
Tier 1 or Tier 1+ means relating to the Tier 1 emission standards,
as shown in Sec. 1033.101.
Tier 2 or Tier 2+ means relating to the Tier 2 emission standards,
as shown in Sec. 1033.101.
Tier 3 means relating to the Tier 3 emission standards, as shown in
Sec. 1033.101.
Tier 4 means relating to the Tier 4 emission standards, as shown in
Sec. 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 hydrogen-to-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 non-oxygenated hydrocarbons, alcohols and aldehydes,
or other organic compounds that are measured separately as contained in
a gas sample, expressed as exhaust hydrocarbon from petroleum-fueled
locomotives. The hydrogen-to-carbon 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 Sec. 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 Sec. 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.

Sec. 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.

Sec. 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.

Sec. 1033.920 How to request a hearing.

[[Page 37241]]

approve your request if we find that your request raises a substantial
factual issue.
(c) If we agree to hold a hearing, we will use the procedures
specified in 40 CFR part 1068, subpart G.

PART 1039--CONTROL OF EMISSIONS FROM NEW AND IN-USE NONROAD
COMPRESSION-IGNITION ENGINES

0
39. The authority citation for part 1039 continues to read as follows:

Authority: 42 U.S.C. 7401-7671q.

Subpart F--[Amended]

0
40. Section 1039.505 is amended by revising paragraphs (a)(1)
introductory text, (c), and (d) and adding paragraph (g) to read as
follows:

Sec. 1039.505 How do I test engines using steady-state duty cycles,
including ramped-modal 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 % [middot] Tmax mapped.
(2) For variable-speed engines without low-speed governors, you may
omit torque and power points from the duty-cycle 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 % [middot] fntest) <
fn < fnref + (2 % [middot] fntest).
(iv) Tref < T <= 5 % [middot] Tmax mapped.

Subpart G--[Amended]

0
41. Section 1039.645 is amended by revising paragraph (b)(1) to read as
follows:

Sec. 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 Sec. 1039.645.--Discrete-Mode Cycle for TRU Engines
----------------------------------------------------------------------------------------------------------------
Torque Weighting
Mode number Engine speed \1\ (percent) \2\ 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
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum torque at the given engine speed.

* * * * *

Appendices--[Amended]

0
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:

----------------------------------------------------------------------------------------------------------------
Torque Weighting
D2 mode number Engine speed (percent) \1\ factors
----------------------------------------------------------------------------------------------------------------
1.......................................... Engine governed.................... 100 0.05
2.......................................... Engine governed.................... 75 0.25
3.......................................... Engine governed.................... 50 0.30
4.......................................... Engine governed.................... 25 0.30
5.......................................... Engine governed.................... 10 0.10
----------------------------------------------------------------------------------------------------------------
\1\ The percent torque is relative to maximum test torque.

(2) The following duty cycle applies for ramped-modal testing:

[[Page 37242]]

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.
----------------------------------------------------------------------------------------------------------------
\1\ The percent torque is relative to maximum test torque.
\2\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
a linear progression from the torque setting of the current mode to the torque setting of the next mode.

(b) The following duty cycles apply for variable-speed engines
with maximum engine power below 19 kW:
(1) The following duty cycle applies for discrete-mode testing:

----------------------------------------------------------------------------------------------------------------
Torque Weighting
G2 mode number Engine speed \1\ (percent) \2\ 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
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum torque at the commanded test speed.

(2) The following duty cycle applies for ramped-modal testing:

----------------------------------------------------------------------------------------------------------------
Time in mode
RMC mode (seconds) Engine speed 1, 3 Torque (percent) 2, 3
----------------------------------------------------------------------------------------------------------------
1a Steady-state.................... 41 Warm idle.................. 0.
1b Transition...................... 20 Linear transition.......... Linear transition.
2a Steady-state.................... 135 Maximum test speed......... 100.
2b Transition...................... 20 Maximum test speed......... Linear transition.
3a Steady-state.................... 112 Maximum test speed......... 10.
3b Transition...................... 20 Maximum test speed......... Linear transition.
4a Steady-state.................... 337 Maximum test speed......... 75.
4b Transition...................... 20 Maximum test speed......... Linear transition.
5a Steady-state.................... 518 Maximum test speed......... 25.
5b Transition...................... 20 Maximum test speed......... Linear transition.
6a Steady-state.................... 494 Maximum test speed......... 50.
6b Transition...................... 20 Linear transition.......... Linear transition.
7 Steady-state..................... 43 Warm idle.................. 0.
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum torque at the commanded engine speed.
3 Advance from one mode to the next within a 20-second transition phase. During the transition phase, command a
linear progression from the torque setting of the current mode to the torque setting of the next mode, and
simultaneously command a similar linear progression for engine speed if there is a change in speed setting.

(c) The following duty cycles apply for variable-speed engines
with maximum engine power at or above 19 kW:
(1) The following duty cycle applies for discrete-mode testing:

----------------------------------------------------------------------------------------------------------------
Torque Weighting
C1 mode number Engine speed \1\ (percent) \2\ 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
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum torque at the commanded test speed.

[[Page 37243]]

(2) The following duty cycle applies for ramped-modal testing:

----------------------------------------------------------------------------------------------------------------
Time in mode
RMC mode (seconds) Engine speed 1, 3 Torque (percent) 2, 3
----------------------------------------------------------------------------------------------------------------
1a Steady-state.................... 126 Warm Idle.................. 0.
1b Transition...................... 20 Linear Transition.......... Linear Transition.
2a Steady-state.................... 159 Intermediate Speed......... 100.
2b Transition...................... 20 Intermediate Speed......... Linear Transition.
3a Steady-state.................... 160 Intermediate Speed......... 50.
3b Transition...................... 20 Intermediate Speed......... Linear Transition.
4a Steady-state.................... 162 Intermediate Speed......... 75.
4b Transition...................... 20 Linear Transition.......... Linear Transition.
5a Steady-state.................... 246 Maximum Test Speed......... 100.
5b Transition...................... 20 Maximum Test Speed......... Linear Transition.
6a Steady-state.................... 164 Maximum Test Speed......... 10.
6b Transition...................... 20 Maximum Test Speed......... Linear Transition.
7a Steady-state.................... 248 Maximum Test Speed......... 75.
7b Transition...................... 20 Maximum Test Speed......... Linear Transition.
8a Steady-state.................... 247 Maximum Test Speed......... 50.
8b Transition...................... 20 Linear Transition.......... Linear Transition.
9 Steady-state..................... 128 Warm Idle.................. 0.
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum torque at the commanded engine speed.
3 Advance from one mode to the next within a 20-second transition phase. During the transition phase, command a
linear progression from the torque setting of the current mode to the torque setting of the next mode, and
simultaneously command a similar linear progression for engine speed if there is a change in speed setting.

0
43. Appendix III and Appendix IV of part 1039 are removed and reserved.

0
44. A new part 1042 is added to subchapter U of chapter I to read as
follows:

PART 1042--CONTROL OF EMISSIONS FROM NEW AND IN-USE MARINE
COMPRESSION-IGNITION ENGINES AND VESSELS

Subpart A--Overview and Applicability
Sec.
1042.1 Applicability.
1042.2 Who is responsible for compliance?
1042.5 Exclusions.
1042.10 Organization of this part.
1042.15 Do any other regulation parts apply to me?
Subpart B--Emission Standards and Related Requirements
1042.101 Exhaust emission standards.
1042.107 Evaporative emission standards.
1042.110 Recording reductant use and other diagnostic functions.
1042.115 Other requirements.
1042.120 Emission-related warranty requirements.
1042.125 Maintenance instructions for Category 1 and Category 2
engines.
1042.130 Installation instructions for vessel manufacturers.
1042.135 Labeling.
1042.140 Maximum engine power, displacement, and power density.
1042.145 Interim provisions.
Subpart C--Certifying Engine Families
1042.201 General requirements for obtaining a certificate of
conformity.
1042.205 Application requirements.
1042.210 Preliminary approval.
1042.220 Amending maintenance instructions.
1042.225 Amending applications for certification.
1042.230 Engine families.
1042.235 Emission testing required for a certificate of conformity.
1042.240 Demonstrating compliance with exhaust emission standards.
1042.245 Deterioration factors.
1042.250 Recordkeeping and reporting.
1042.255 EPA decisions.
Subpart D--Testing Production-Line Engines
1042.301 General provisions.
1042.305 Preparing and testing production-line engines.
1042.310 Engine selection.
1042.315 Determining compliance.
1042.320 What happens if one of my production-line engines fails to
meet emission standards?
1042.325 What happens if an engine family fails the production-line
testing requirements?
1042.330 Selling engines from an engine family with a suspended
certificate of conformity.
1042.335 Reinstating suspended certificates.
1042.340 When may EPA revoke my certificate under this subpart and
how may I sell these engines again?
1042.345 Reporting.
1042.350 Recordkeeping.
Subpart E--In-Use Testing
1042.401 General Provisions.
Subpart F--Test Procedures
1042.501 How do I run a valid emission test?
1042.505 Testing engines using discrete-mode or ramped-modal duty
cycles.
1042.515 Test procedures related to not-to-exceed 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 heavy-duty 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.

[[Page 37244]]

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

Sec. 1042.1 Applicability.

Except as provided in Sec. 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 Sec. 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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[[Page 37245]]

(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 Sec. Sec. 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 Sec.
1042.901.

Sec. 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 Sec. 1042.901, especially for
issues related to certification (including production-line testing,
reporting, etc.).

Sec. 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
Sec. 1042.901.
(b) Hobby engines. Engines with per-cylinder displacement below 50
cubic centimeters are not subject to the provisions of this part 1042.

Sec. 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 Sec. 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.

Sec. 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 Sec. 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

Sec. 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 Sec.
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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[[Page 37246]]

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Table 2 to Sec. 1042.101.--Tier 3 Standards for Category 2 Engines Below 3700 kW a
----------------------------------------------------------------------------------------------------------------
NOX+HC (g/kW-
Displacement (L/cyl) Maximum engine power Model year PM (g/kW-hr) 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 Sec. 1042.1(c) and paragraph
(a)(7) of this section for the standards that apply for these engines.
b For 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 Sec. 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 per-cylinder 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 per-cylinder displacement at or
above 15.0 liters, the PM standard is 0.34 g/kW-hr for engines at or
above 2000 kW and

[[Page 37247]]

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 Sec. 1042.101.--Tier 4 Standards for Category 2 and Commercial Category 1 Engines Above 600 kW
----------------------------------------------------------------------------------------------------------------
PM (g/kW- NOX (g/kW- HC (g/kW-
Maximum engine power Displacement (L/cyl) Model year hr) hr) 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
----------------------------------------------------------------------------------------------------------------
a See 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 Sec. 1042.101.--Optional Tier 3 and Tier 4 Standards for Category 2 Engines at or Above 1400 kW
----------------------------------------------------------------------------------------------------------------
PM (g/kW- NOX (g/kW- HC (g/kW-
Tier Maximum engine power Model year hr) hr) 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-to-exceed 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 Sec. 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 x 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
Sec. 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 Sec. 1042.505(b)(1), except for variable-speed propulsion
marine engines used

[[Page 37248]]

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 Sec. 1042.505(b)(2), except for variable-speed 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 Sec. 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 Sec. 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 Sec. 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 duty-cycle emission standards in
this subpart apply to all testing performed according to the procedures
in Sec. 1042.505, including certification, production-line, and in-use
testing. The not-to-exceed standards apply for all testing

[[Page 37249]]

performed according to the procedures of subpart F of this part.

Sec. 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.

Sec. 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 Sec. Sec. 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.

Sec. 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 Sec. 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
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 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.

Sec. 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.

[[Page 37250]]

(2) It is free from defects in materials and workmanship that may
keep it from meeting these requirements.
(b) Warranty period. Your emission-related 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 emission-related 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.

Sec. 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 emission-data
engines as described in Sec. 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
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 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 Sec.
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 emission-related
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 emission-related maintenance, nor
that we approve as critical emission-related maintenance). Noncritical
emission-

[[Page 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 emission-related. 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 emission-data
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 Sec. 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.

Sec. 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: ``Emission-related 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 Sec. 1042.205(u).
(4) Describe any necessary steps for installing the diagnostic
system described in Sec. 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 Sec.
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.

Sec. 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 Sec. 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
Sec. 1042.101. See Sec. 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

[[Page 37252]]

(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 Sec. 1042.101(e)(2) or (3).
(9) Identify the emission control system. Use terms and
abbreviations consistent with SAE J1930 (incorporated by reference in
Sec. 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.

Sec. 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 Sec. 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 per-cylinder 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\ x ([pi]) x (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 Sec. 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.

Sec. 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. Post-manufacturer marinizers that are small-
volume 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

[[Page 37253]]

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 Sec. 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 Sec.
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
add-ons, if any, will apply for your engines.

Table 1 to Sec. 1042.145.--In-use Adjustments for the First Three
Model Years of the Tier 4 Standards
------------------------------------------------------------------------
In-use adjustments (g/kW-hr)
-----------------------------------
Fraction of useful life already used For Tier 4 NOX For Tier 4 PM
standards 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 Sec. 1042.145.--Optional In-use Adjustments for the First
Three Model Years of the Tier 4 Standards
------------------------------------------------------------------------
In-use adjustments (g/kW-hr)
-----------------------------------
For model year For model year
Fraction of useful life already used 2017 and earlier 2017 and earlier
Tier 4 NOX Tier 4 PM
standards 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

Sec. 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

[[Page 37254]]

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 Sec. 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
Sec. 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 Sec. 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 Sec. 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 Sec. 1042.901.

Sec. 1042.205 Application requirements.

This section specifies the information that must be in your
application, unless we ask you to include less information under Sec.
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 Sec. 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 vessel-based 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 Sec. Sec. 1042.120
and 1042.125). Describe your plan for meeting warranty obligations
under Sec. Sec. 1042.120.
(j) Include the emission-related installation instructions you will
provide if someone else installs your engines in a vessel (see Sec.
1042.130).
(k) Describe your emission control information label (see Sec.
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 Sec. 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

[[Page 37255]]

Sec. 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 Sec. 1042.505. Note that Sec. Sec. 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 Sec. 1042.101 for all normal operation and use
when tested as specified in Sec. 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 Sec.
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 Sec. 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 controllable-pitch 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 Sec. 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.

Sec. 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 Sec. 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.

Sec. 1042.220 Amending maintenance instructions.

You may amend your emission-related maintenance instructions after
you submit your application for certification, as long as the amended
instructions remain consistent with the provisions of Sec. 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

[[Page 37256]]

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.

Sec. 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 Sec. 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 Sec. 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.

Sec. 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:

[[Page 37257]]

(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-to-air, 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 post-manufacture 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.

Sec. 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 Sec. 1042.101(a). See
Sec. 1042.205(p) regarding emission testing related to the NTE
standards. See Sec. Sec. 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
Sec. 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 Sec. 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 emission-data 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.

[[Page 37258]]

Sec. 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 Sec. 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. Small-volume engine manufacturers
and post-manufacture 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.

Sec. 1042.245 Deterioration factors.

For Category 1 and Category 2 engines, establish deterioration
factors, as described in Sec. 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 in-use 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 Sec. 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.

[[Page 37259]]

(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.

Sec. 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 Sec. 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.

Sec. 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 Sec. 1042.920).

Subpart D--Testing Production-line Engines

Sec. 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 Sec. Sec. 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

[[Page 37260]]

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 Sec. 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.

Sec. 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 duty-cycle 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-
to-exceed standards.
(b) Modifying a test engine. Once an engine is selected for testing
(see Sec. 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 Sec. 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.

Sec. 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 production-line 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 Sec. 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.

Sec. 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 Sec. 1042.320 for the requirements that apply to individual
engines that fail a production-line test.

[[Page 37261]]

(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 Sec.
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 Sec. 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 Sec. 1042.225(f).

Sec. 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 Sec.
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 Sec. 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 Sec.
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.

Sec. 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 Sec. 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 Sec. 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 Sec.
1051.225(f). We will approve your request if it is clear that you used
good engineering judgment in establishing the original FEL.

Sec. 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 Sec. 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.

Sec. 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.

Sec. 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 Sec. 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.

Sec. 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

[[Page 37262]]

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 Sec. 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 Sec. 1042.915 for information on how we treat
information you consider confidential.

Sec. 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 production-line 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 Sec. 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 Sec. 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

Sec. 1042.401 General Provisions.

We may perform in-use testing of any engine subject to the
standards of this part.

Subpart F--Test Procedures

Sec. 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 Sec.
1042.101(a). Measure the emissions of all regulated pollutants as
specified in 40 CFR part 1065. Use the applicable duty cycles specified
in Sec. 1042.505.
(b) Section 1042.515 describes the supplemental test procedures for
evaluating whether engines meet the not-to-exceed emission standards in
Sec. 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 Sec. 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 Sec.
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 [deg]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 duty-cycle NOX emissions for
humidity as specified in 40 CFR part 1065.

[[Page 37263]]

Sec. 1042.505 Testing engines using discrete-mode 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 Sec. 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
ramped-modal 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 constant-speed 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
variable-speed 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
variable-speed 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.

Sec. 1042.515 Test procedures related to not-to-exceed standards.

(a) This section describes the procedures to determine whether your
engines meet the not-to-exceed emission standards in Sec. 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 [deg]C (or
between 13 [deg]C and 30 [deg]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 [deg]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

[[Page 37264]]

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 Sec. 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 in-use 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 [deg]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 [deg]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.

Sec. 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.

Sec. 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 Sec. 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.

[[Page 37265]]

(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.

UAF = EFA-EFL

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

Sec. 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 Sec. 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 Sec. 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 higher-sulfur 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 emission-related installation
instructions when installing a certified engine in a marine vessel.

Sec. 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 non-marine engine in
any of the ways

[[Page 37266]]

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.

Sec. 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 Sec. 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

[[Page 37267]]

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 land-based
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.

Sec. 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

[[Page 37268]]

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 Sec. 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.

Sec. 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 Sec. 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.

Sec. 1042.625 Special provisions for engines used in emergency
applications.

(a) Except as specified in paragraph (d) of this section, the
prohibitions in Sec. 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
Sec. 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 Sec. 1068.101(a)(1) do not apply to a new

[[Page 37269]]

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 Sec. 1042.135, but
add one of the following statements instead of the compliance statement
in Sec. 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.

Sec. 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 Sec. 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.

Sec. 1042.635 National security exemption.

The standards and requirements of this part and prohibitions in
Sec. 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.''.

Sec. 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 Sec. 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 Sec.
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 defect-reporting provisions.

Sec. 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

[[Page 37270]]

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 Sec. 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 Sec. 1042.135, but
add the following statement instead of the compliance statement in
Sec. 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.

Sec. 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

Sec. 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

[[Page 37271]]

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 Sec. 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.

Sec. 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) x (Volume) x (Power) x (LF) x (UL)
x (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 Sec.
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 Sec. 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.

Sec. 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 Sec. 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.

Sec. 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.

Sec. 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 Sec. 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 Sec. 1042.745.

Sec. 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.

Sec. 1042.730 ABT reports.

[[Page 37272]]

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
Sec. 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.

Sec. 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 Sec. 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.

Sec. 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 Sec. 1042.920).

Subpart I--Special Provisions for Remanufactured Marine Engines

Sec. 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
Sec. 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 Sec. 1042.815. The following provisions apply:

[[Page 37273]]

(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.

Sec. 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 Sec. 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 Sec. 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 Sec. 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.

Sec. 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 Sec. 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) x (PR) x (UL) x (LF)
x (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).

[[Page 37274]]

UL = useful life (hr).
LF = the load factor that would apply for your engine under Sec.
1042.705.

Sec. 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 Sec. 1042.825 for provisions for determining baseline
NOX and PM emissions. See Sec. 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 Sec. 1042.101(e).
(e) The duty-cycle emission standards in this subpart apply to all
testing performed according to the procedures in Sec. 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 Sec. 1042.836.

Sec. 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.

Sec. 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 Sec. 1042.101. See Sec. 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.

Sec. 1042.835 Certification of remanufactured engines.

(a) General requirements. See Sec. Sec. 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 Sec. 1042.836
for special certification provisions for remanufacturing systems
certified for locomotive engines under 40 CFR 1033.936.
(b) Applications. See Sec. 1042.840 for a description of what you
must include in your application.
(c) Engine families. See Sec. 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 Sec. 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.

[[Page 37275]]

(iii) Before we test one of your engines, we may set its adjustable
parameters to any point within the specified adjustable ranges (see
Sec. 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 Sec. 1042.225.
(ii) The emission-data engine from the previous model year remains
the appropriate emission-data engine.
(iii) The data show that the emission-data 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 Sec. 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 Sec. 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 Sec. 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.

Sec. 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 Sec. 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.

Sec. 1042.840 Application requirements for remanufactured engines.

[[Page 37276]]

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 Sec.
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 Sec. Sec. 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 Sec.
1042.130).
(k) Describe your emission control information label (see Sec.
1042.830).
(l) Identify the engine family's deterioration factors and describe
how you developed them (see Sec. 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 Sec. 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 Sec.
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 Sec. 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.

Sec. 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.

Sec. 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

[[Page 37277]]

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

Sec. 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. Exhaust-gas 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 Sec. 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 Sec. 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 Sec. 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,
internal-combustion engine that is not a spark-ignition engine. Note
that marine engines powered by natural gas with maximum engine power at
or above 250 kW are deemed to be compression-ignition engines in Sec.
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 low-hour 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 Sec. 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.

[[Page 37278]]

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 Sec. 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 Sec. 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 fuel-injection components, and all
fuel-system 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 Sec.
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 low-sulfur 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 Sec. 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

[[Page 37279]]

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 Sec. 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 motor-vehicle, 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 Sec. 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
----------------------------------------------------------------------------------------------------------------
Initial model
Per-cylinder displacement year of
Engine category and type Power (kW) (L/cyl) 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. [gteqt] 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

[[Page 37280]]

the following equation to determine if the fractional value of the
modification exceeds 50 percent:

Percent of value = [(Value after modification)-(Value before
modification)] x 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 Sec. 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
emission-data 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 Sec. 1042.140.
Ramped-modal means relating to the ramped-modal type of steady-
state test described in Sec. 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 Sec. 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 emission-related 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

[[Page 37281]]

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
Sec. 1042.101.
Tier 4 means relating to the Tier 4 emission standards, as shown in
Sec. 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 hydrogen-to-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 non-oxygenated hydrocarbons, alcohols and aldehydes,
or other organic compounds that are measured separately as contained in
a gas sample, expressed as exhaust hydrocarbon from petroleum-fueled
locomotives. The hydrogen-to-carbon 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 Sec. 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.

Sec. 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.

Sec. 1042.910 Reference materials.

[[Page 37282]]

(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 Sec. 1042.910.--SAE Materials
------------------------------------------------------------------------
Part 1042
Document No. and name reference
------------------------------------------------------------------------
SAE J1930, Electrical/Electronic Systems Diagnostic 1042.135
Terms, Definitions, Abbreviations, and Acronyms,
revised May 1998.......................................
------------------------------------------------------------------------

(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 Sec. 1042.910.--IMO Materials
------------------------------------------------------------------------
Part 1042
Document No. and name reference
------------------------------------------------------------------------
Resolutions of the 1997 MARPOL Conference: Resolution 2-- 1042.901
Technical Code on Control of Emission of Nitrogen
Oxides from Marine Diesel Engines, 1997................
------------------------------------------------------------------------

Sec. 1042.915 Confidential information.

Sec. 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.

Sec. 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 Sec. 1042.135 we require engine manufacturers to keep
certain records related to duplicate labels sent to vessel
manufacturers.
(2) In Sec. 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 Sec. Sec. 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 Sec. Sec. 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 Sec. 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:

[[Page 37283]]

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 x 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/kW-hr.
(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)
--------------------------------------------------------------------------------------------------------------------------------------------------------
NOX + THC
Engine size liters/cylinder Maximum engine power Category Model year g/kW-hr CO g/kW-hr PM g/kW-hr
--------------------------------------------------------------------------------------------------------------------------------------------------------
disp. < 0.9.............................. power [gteqt] 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 [gteqt] 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-to-exceed 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 Sec.
1042.505(b)(1):
(1) The following duty cycle applies for discrete-mode testing:

------------------------------------------------------------------------
Percent of
E3 mode No. Engine speed \1\ maximum test Weighting
power factors
------------------------------------------------------------------------
1................. Maximum test speed.. 100 0.2
2................. 91%................. 75 0.5
3................. 80%................. 50 0.15
4................. 63%................. 25 0.15
------------------------------------------------------------------------
\1\ Speed 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:

[[Page 37284]]

3 Advance from one mode to the next within a 20-second transition phase. During the transition phase, command a
linear progression from the torque setting of the current mode to the torque setting of the next mode, and
simultaneously command a similar linear progression for engine speed if there is a change in speed setting.

(b) The following duty cycles apply as specified in Sec.
1042.505(b)(2):
(1) The following duty cycle applies for discrete-mode testing:

------------------------------------------------------------------------
Percent of
E5 mode No. Engine speed \1\ maximum test Weighting
power 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
------------------------------------------------------------------------
\1\ Speed 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:

----------------------------------------------------------------------------------------------------------------
Time in mode
RMC 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.
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065. Percent speed is relative to maximum test speed.
\2\ The percent power is relative to the maximum test power.
3 Advance from one mode to the next within a 20-second transition phase. During the transition phase, command a
linear progression from the torque setting of the current mode to the torque setting of the next mode, and
simultaneously command a similar linear progression for engine speed if there is a change in speed setting.

(c) The following duty cycles apply as specified in Sec.
1042.505(b)(3):
(1) The following duty cycle applies for discrete-mode testing:

------------------------------------------------------------------------
Torque Weighting
E2 mode No. Engine speed \1\ (percent) \2\ 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
------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The 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:

----------------------------------------------------------------------------------------------------------------
Time in mode
RMC 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%.
----------------------------------------------------------------------------------------------------------------
\1\ The percent torque is relative to the maximum test torque as defined in 40 CFR part 1065.
\2\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
a linear progression from the torque setting of the current mode to the torque setting of the next mode.

[[Page 37285]]

Appendix III to Part 1042--Not-to-Exceed 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 Sec. 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 [middot] (percent speed)^2.5.
(ii) Percent power <= (percent speed/0.9)^3.5.
(iii) Percent power >= 3.0 [middot] (100%--percent speed).
(2) Subzone 2 is defined by the following boundaries:
(i) Percent power >= 0.7 [middot] (percent speed)^2.5.
(ii) Percent power <= (percent speed/0.9)^3.5.
(iii) Percent power < 3.0 [middot] (100% - percent speed).
(iv) Percent speed >= 70 percent.
BILLING CODE 1505-01-D
[GRAPHIC] [TIFF OMITTED] TR06MY08.013

(c) Figure 2 of this Appendix illustrates the default NTE zone
for recreational marine engines certified using the duty cycle
specified in Sec. 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 [middot] (percent speed)^2.5.
(ii) Percent power <= (percent speed/0.9)^3.5.
(iii) Percent power >= 3.0 [middot] (100%-percent speed).
(iv) Percent power <= 95 percent.
(2) Subzone 2 is defined by the following boundaries:
(i) Percent power >= 0.7 [middot] (percent speed)^2.5.
(ii) Percent power <= (percent speed/0.9)^3.5.
(iii) Percent power < 3.0 [middot] (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.

[[Page 37286]]

[GRAPHIC] [TIFF OMITTED] TR06MY08.014

(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 Sec. 1042.505(b)(1),
(2), or (3), as follows:
(1) Subzone 1 is defined by the following boundaries:
(i) Percent power >= 0.7 [middot] (percent speed)^2.5.
(ii) Percent power >= 3.0 [middot] (100%-percent speed).
(iii) Percent speed >= 78.9 percent.
(2) Subzone 2a is defined by the following boundaries:
(i) Percent power >= 0.7 [middot] (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 [middot] (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 [middot] (percent speed)^2.5.

[[Page 37287]]

[GRAPHIC] [TIFF OMITTED] TR06MY08.015

(e) Figure 4 of this Appendix illustrates the default NTE zone
for constant-speed engines certified using a duty cycle specified in
Sec. 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.
[GRAPHIC] [TIFF OMITTED] TR06MY08.016

[[Page 37288]]

(f) Figure 5 of this Appendix illustrates the default NTE zone
for variable-speed auxiliary marine engines certified using the duty
cycle specified in Sec. 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).
[GRAPHIC] [TIFF OMITTED] TR06MY08.017

PART 1065--ENGINE-TESTING PROCEDURES

0
45. The authority citation for part 1065 continues to read as follows:

Authority: 42 U.S.C. 7401-7671q.

Subpart A--[Amended]

0
46. Section 1065.1 is revised to read as follows:

Sec. 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 Sec. 1065.10.
(2) Model year 2010 and later heavy-duty 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 Sec. 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 Sec. 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 Sec. 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 off-highway 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 standard-setting part for snowmobiles and part 86 is
the standard-setting part for heavy-duty 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

[[Page 37289]]

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.
0
47. Section 1065.2 is revised to read as follows:

Sec. 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, production-line 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.

0
48. Section 1065.5 is revised to read as follows:

Sec. 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 standard-setting 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 Sec. 1065.5.--Description of Part 1065 Subparts
------------------------------------------------------------------------
Describes these specifications or
This subpart 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).
------------------------------------------------------------------------

0
49. Section 1065.10 is amended by revising paragraphs (c)(1), (c)(2),
(c)(6), and (c)(7) introductory text to read as follows:

Sec. 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

[[Page 37290]]

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:
* * * * *

0
50. Section 1065.12 is amended by revising paragraphs (a) and (d)(1) to
read as follows:

Sec. 1065.12 Approval of alternate procedures.

(a) To get approval for an alternate procedure under Sec.
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.
* * * * *

0
51. Section 1065.15 is amended by revising paragraphs (c)(1) and (e)
and adding paragraph (f) to read as follows:

Sec. 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 standard-
setting 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

[[Page 37291]]

[GRAPHIC] [TIFF OMITTED] TR06MY08.018

BILLING CODE 1505-01-C

[[Page 37292]]

(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 standard-setting 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 in-use 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 ``field-
grade'' equipment for testing in a laboratory-type environment. (Note:
Although ``field-grade'' equipment is generally more portable than
``lab-grade'' test equipment, portability is not relevant to whether
equipment is considered to be ``field-grade'' or ``lab-grade''.)

0
52. Section 1065.20 is amended by revising paragraphs (a)(2), (b)(2),
(f), and (g) to read as follows:

Sec. 1065.20 Units of measure and overview of calculations.

(a) * * *
(2) We designate brake-specific emissions in grams per kilowatt-
hour (g/(kW[middot]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[middot]hr. If we specify engine standards in grams per
horsepower[middot]hour (g/(hp[middot]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 Sec. 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 Sec.
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]

0
53. Section 1065.101 is amended by revising paragraph (a) and adding
paragraph (e) before the figures to read as follows:

Sec. 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
categories-dynamometers, 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.
* * * * *

0
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:

Sec. 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
Sec. 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 Sec. 1065.512. Refer to the

[[Page 37293]]

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
Sec. 1065.514 over each applicable duty cycle. Record feedback values
for engine speed and torque as specified in Sec. 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 Sec. 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.

0
55. Section 1065.120 is amended by revising paragraph (a) to read as
follows:

Sec. 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.
* * * * *

0
56. Section 1065.122 is amended by revising paragraphs (a) introductory
text, (a)(1), and (c) to read as follows:

Sec. 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 Sec. 1065.110.
* * * * *
(c) Lubricating oil. Use lubricating oils specified in Sec.
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.
* * * * *

0
57. Section 1065.125 is amended by revising paragraphs (c) and (d) and
adding paragraph (e) to read as follows:

Sec. 1065.125 Engine intake air.

* * * * *
(c) Unless stated otherwise in the standard-setting part, maintain
the temperature of intake air to (25 5) [deg]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 [deg]C at the
inlet to the charge-air cooler throughout testing.
(ii) At the engine conditions specified by the manufacturer, set
the coolant flow rate to achieve an air temperature within
5 [deg]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.

0
58. Section 1065.130 is revised to read as follows:

Sec. 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

[[Page 37294]]

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 Sec. 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 Sec. 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 Sec. 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 gap-insulated 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.

0
59. Section 1065.140 is revised to read as follows:

Sec. 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[deg]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 Sec. 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.

[[Page 37295]]

(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 Sec. 1065.1001 for
procedures related to HEPA-filtration 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; constant-volume 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 thin-walled 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 Sec.
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 Sec. 1065.645 and Sec. 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 Sec. 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 Sec. 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. Sec. 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 Sec.
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
Sec. 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.

[[Page 37296]]

(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 Sec. 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) [deg]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 [deg]C and pressure of 101.325 kPa.
(4) Control sample temperature to a (47 5) [deg]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.

0
60. Section 1065.145 is revised to read as follows:

Sec. 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 Sec.
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 raw-exhaust
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 multi-stack engines before
emission sampling as described in Sec. 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[deg] 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

[[Page 37297]]

judgment. If you routinely fail the contamination check in the 1065.520
pretest check, we recommend heating the probe section to approximately
190 [deg]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 Sec.
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[deg] 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, Viton^TM, or any other material
that you demonstrate has better properties for emission sampling. For
raw exhaust sampling, use a non-reactive 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 Sec.
1065.378 or a chiller that meets the specifications of Sec. 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) [deg]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
[deg]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) [deg]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 sample-conditioning 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
Sec. 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 osmotic-membrane 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 osmotic-membrane
dryer. You may use continuously recorded values of Tdew and
ptotal in the amount of water calculations specified in
Sec. 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 Sec. 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 loss-performance check specified in Sec. 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 Sec. 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 Sec. 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 Sec. 1065.645. If it is valid to assume that Tchiller is
equal to Tdew, you may use Tchiller in lieu of
Tdew according to Sec. 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:

[[Page 37298]]

(i) If you use a NOX sample pump upstream of either an
NO2-to-NO converter that meets Sec. 1065.378 or a chiller
that meets Sec. 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) [deg]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
large-diameter 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 [mu]m and no more
than 1% of PM at an aerodynamic diameter of 1 [mu]m 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 gaseous-phase hydrocarbons from the
diluted exhaust stream. You may use such components only if we approve
them under Sec. 1065.10.

0
61. Section 1065.170 is amended by revising the introductory text and
paragraphs (a) and (c)(1) to read as follows:

Sec. 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
batch-sampling 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 Sec. 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 Sec. 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 [mu]g, 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 [mu]g, 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 [mu]g, but not below
the minimum sample time specified in the standard-setting part.
(iii) Then, increase overall dilution ratio above the values
specified in Sec. 1065.140(e)(2) to target a filter loading of 400
[mu]g.
* * * * *
(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 [mu]g, 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 Sec. 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 [mu]m. 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 Sec. 1065.10.
(v) To minimize turbulent deposition and to deposit PM evenly on a
filter, use a 12.5[deg] (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 [mu]g, assuming a 38
mm diameter filter stain area. Measure face velocity as the volumetric
flow rate of the sample at the

[[Page 37299]]

pressure upstream of the filter and temperature of the filter face as
measured in Sec. 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 Sec. 1065.170 and made of any of the following materials:
Delrin^TM, 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 semi-volatile matter from one filter to
another.
* * * * *

0
62. Section 1065.190 is amended by revising paragraphs (c), (e), (f)
and (g) to read as follows:

Sec. 1065.190 PM-stabilization and weighing environments for
gravimetric analysis.

* * * * *
(c) Verify the cleanliness of the PM-stabilization environment
using reference filters, as described in Sec. 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 Sec.
1065.690.
(f) We recommend that you install a balance as follows:
(1) Install the balance on a vibration-isolation 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.

0
63. Section 1065.195 is amended by revising paragraphs (a) and (c)(4)
to read as follows:

Sec. 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]

0
64. Section 1065.201 is amended by revising paragraphs (a) and (b) and
adding paragraph (h) to read as follows:

Sec. 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, flow-related
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 Sec. 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.

[[Page 37300]]

0
65. Section 1065.210 is amended by revising paragraph (a) before the
figure to read as follows:

Sec. 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 Sec. 1065.205. Note that your overall
systems for measuring work inputs and outputs must meet the linearity
verifications in Sec. 1065.307. We recommend that you measure work
inputs and outputs where they cross the system boundary as shown in
Figure 1 of Sec. 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 work-conversion
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
([eta]<1), or assume an efficiency of 1 ([eta]=1), which would over-
estimate brake-specific emissions. For the example of using locomotive
tractive power with a generator efficiency of 1 ([eta]=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.
* * * * *

0
66. Section 1065.215 is amended by revising paragraph (e) to read as
follows:

Sec. 1065.215 Pressure transducers, temperature sensors, and dewpoint
sensors.

* * * * *
(e) Dewpoint. For PM-stabilization environments, we recommend
chilled-surface 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.

0
67. Section 1065.220 is amended by revising paragraph (d) to read as
follows:

Sec. 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.

0
68. Section 1065.265 is amended by revising paragraph (c) to read as
follows:

Sec. 1065.265 Nonmethane cutter.

* * * * *
(c) Configuration. Configure the nonmethane cutter with a bypass
line if it is needed for the verification described in Sec. 1065.365.
* * * * *

0
69. Section 1065.270 is amended by revising paragraphs (c) and (d)
introductory text to read as follows:

Sec. 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
Sec. 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:
* * * * *

0
70. Section 1065.280 is revised to read as follows:

Sec. 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
Sec. 1065.650.
(b) Component requirements. We recommend that you use a PMD or MPD
analyzer that meets the specifications in Table 1 of Sec. 1065.205.
Note that it must meet the linearity verification in Sec. 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.

0
71. Section 1065.290 is amended by revising paragraph (c)(1) to read as
follows:

Sec. 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]

0
72. Section 1065.303 is revised to read as follows:

Sec. 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 Sec. 1065.303.--Summary of Required Calibration and
Verifications
------------------------------------------------------------------------
Type of calibration or
verification Minimum frequency a
------------------------------------------------------------------------
Sec. 1065.305: Accuracy, Accuracy: Not required, but recommended
repeatability and noise. for initial installation.
Repeatability: Not required, but
recommended for initial installation.
Noise: Not required, but recommended for
initial installation.

[[Page 37301]]

Sec. 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.
Sec. 1065.308: Continuous Upon initial installation, after system
analyzer system response and reconfiguration, and after major
recording. maintenance.
Sec. 1065.309: Continuous Upon initial installation, after system
analyzer uniform response. reconfiguration, and after major
maintenance.
Sec. 1065.310: Torque...... Upon initial installation and after major
maintenance.
Sec. 1065.315: Pressure, Upon initial installation and after major
temperature, dewpoint. maintenance.
Sec. 1065.320: Fuel flow... Upon initial installation and after major
maintenance.
Sec. 1065.325: Intake flow. Upon initial installation and after major
maintenance.
Sec. 1065.330: Exhaust flow Upon initial installation and after major
maintenance.
Sec. 1065.340: Diluted Upon initial installation and after major
exhaust flow (CVS). maintenance.
Sec. 1065.341: CVS and Upon initial installation, within 35 days
batch sampler verification b. before testing, and after major
maintenance.
Sec. 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.
Sec. 1065.350: CO2 NDIR H2O Upon initial installation and after major
interference. maintenance.
Sec. 1065.355: CO NDIR CO2 Upon initial installation and after major
and H2O interference. maintenance.
Sec. 1065.360: FID Calibrate all FID analyzers: Upon initial
calibration THC FID installation and after major
optimization, and THC FID maintenance.
verification. 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.
Sec. 1065.362: Raw exhaust For all FID analyzers: Upon initial
FID O2 interference. installation, and after major
maintenance.
For THC FID analyzers: Upon initial
installation, after major maintenance,
and after FID optimization according to
Sec. 1065.360.
Sec. 1065.365: Nonmethane Upon initial installation, within 185
cutter penetration. days before testing, and after major
maintenance.
Sec. 1065.370: CLD CO2 and Upon initial installation and after major
H2O quench. maintenance.
Sec. 1065.372: NDUV HC and Upon initial installation and after major
H2O interference. maintenance.
Sec. 1065.376: Chiller NO2 Upon initial installation and after major
penetration. maintenance.
Sec. 1065.378: NO2-to-NO Upon initial installation, within 35 days
converter conversion. before testing, and after major
maintenance.
Sec. 1065.390: PM balance Independent verification: Upon initial
and weighing. 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.
Sec. 1065.395: Inertial PM Independent verification: Upon initial
balance and weighing. installation, within 370 days before
testing, and after major maintenance.
Other verifications: Upon initial
installation and after major
maintenance.
------------------------------------------------------------------------
a Perform calibrations and verifications more frequently, according to
measurement system manufacturer instructions and good engineering
judgment.
b The CVS verification described in Sec. 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.

0
73. Section 1065.305 is amended by revising paragraphs (d)(4), (d)(8),
and (d)(9)(iii) to read as follows:

Sec. 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 Sec. 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 (y1,
y2, yi,...y10), ten standard
deviations, ([sigma]1, [sigma]2,
[sigma]i,...[sigma]10), and ten errors
([egr]1, [egr]2,
[egr]i,...[egr]10).
(9) * * *
(iii) Noise. Noise is two times the root-mean-square of the ten
standard

[[Page 37302]]

deviations (that is, noise = 2[middot]rms[sigma]) when the reference
signal is a zero-quantity signal. Refer to the example of a root-mean-
square calculation in Sec. 1065.602. We recommend that instrument
noise be within the specifications in Table 1 of Sec. 1065.205.
* * * * *

0
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:

Sec. 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 re-calibrating, 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, yi, and reference values,
yrefi, to calculate least-squares 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 Sec. 1065.602. Using good engineering judgment, you may
weight the results of individual data pairs (i.e., (yrefi,
yi)), 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 flow-rate verification for diluted exhaust as described in
Sec. 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 Sec. 1065.307.--Measurement Systems That Require Linearity Verifications
--------------------------------------------------------------------------------------------------------------------------------------------------------
Linearity criteria
Minimum verification -------------------------------------------------------------------------------
Measurement system Quantity frequency [verbarlm]xmin(a1-1)+a0
[verbarlm] a1 SEE r \2\
--------------------------------------------------------------------------------------------------------------------------------------------------------
Engine speed................... fn............ Within 370 days before <=0.05 % fnmax......... 0.98-1.02 <=2 % [middot] fnmax... >=0.990
testing.
Engine torque.................. T............. Within 370 days before <=1 % [middot] Tmax.... 0.98-1.02 <=2 % [middot] Tmax.... >=0.990
testing.
Electrical work................ W............. Within 370 days before <=1 % [middot] Tmax.... 0.98-1.02 <=2 % [middot] Tmax.... >=0.990
testing.
Fuel flow rate................. m............. Within 370 days before <=1 % [middot] mmax.... 0.98-1.02 <=2 % [middot] mmax.... >=0.990
testing d.

[[Page 37303]]

Intake-air flow rate........... n............. Within 370 days before <=1 % [middot] nmax.... 0.98-1.02 <=2 % [middot] nmax.... >=0.990
testing.
Dilution air flow rate......... n............. Within 370 days before <=1 % [middot] nmax.... 0.98-1.02 <=2 % [middot] nmax.... >=0.990
testing.
Diluted exhaust flow rate...... n............. Within 370 days before <=1 % [middot] nmax.... 0.98-1.02 <=2 % [middot] nmax.... >=0.990
testing.
Raw exhaust flow rate.......... n............. Within 185 days before <=1 % [middot] nmax.... 0.98-1.02 <=2 % [middot] nmax.... >=0.990
testing.
Batch sampler flow rates....... n............. Within 370 days before <=1 % [middot] nmax.... 0.98-1.02 <=2 % [middot] nmax.... >=0.990
testing.
Gas dividers................... x/xspan....... Within 370 days before <=0.5 % [middot] xmax.. 0.98-1.02 <=2 % [middot] xmax.... >=0.990
testing.
Gas analyzers for laboratory x............. Within 35 days before <=0.5 % [middot] xmax.. 0.99-1.01 <=1 % [middot] xmax.... >=0.998
testing. testing.
Gas analyzers for field testing x............. Within 35 days before <=1 % [middot] xmax.... 0.99-1.01 <=1 % [middot] xmax.... >=0.998
testing.
PM balance..................... m............. Within 370 days before <=1 % [middot] mmax.... 0.99-1.01 <=1 % [middot] mmax.... >=0.998
testing.
Stand-alone pressures.......... p............. Within 370 days before <=1 % [middot] pmax.... 0.99-1.01 <=1 % [middot] pmax.... >=0.998
testing.
Analog-to-digital conversion of T............. Within 370 days before <=1 % [middot] Tmax.... 0.99-1.01 <=1 % [middot] Tmax.... >=0.998
stand-alone temperature testing.
signals.
--------------------------------------------------------------------------------------------------------------------------------------------------------

0
75. Section 1065.308 is revised to read as follows:

Sec. 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 Sec.
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 Sec. 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 fast-acting 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-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.
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

[[Page 37304]]

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.

0
76. Section 1065.309 is revised to read as follows:

Sec. 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 Sec. 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 Sec. 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 Sec. 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 fast-acting 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-CO-CO2-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 Sec. 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)
[deg]C, or a temperature greater than the dewpoint determined in Sec.
1065.145(d)(2). In all cases, maintain the humidified gas temperature
downstream of the vessel at least 5 [deg]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

[[Page 37305]]

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.

0
77. Section 1065.310 is amended by revising paragraph (d) to read as
follows:

Sec. 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.

0
78. Section 1065.315 is amended by revising paragraph (a)(2) to read as
follows:

Sec. 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.
* * * * *

0
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:

Sec. 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, Tdew. See
Sec. 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,[Delta]pCFV.
* * * * *
(9) Determine Cd and the lowest allowable pressure
ratio, r, according to Sec. 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
Sec. 1065.640.
* * * * *
(g) * * *
(6) * * *
(i) The mean flow rate of the reference flow meter,nref.
This may include several measurements of different quantities, such as
reference meter pressures and temperatures, for calculating
nref.
* * * * *
BILLING CODE 1505-01-D

[[Page 37306]]

[GRAPHIC] [TIFF OMITTED] TR06MY08.020

BILLING CODE 1505-01-C

[[Page 37307]]

0
80. Section 1065.341 is amended by revising paragraphs (d) introductory
text, (d)(7), and (g) introductory text to read as follows:

Sec. 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 Sec. 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 [mu]mol/
mol, record this value as xTHCinit and use it to correct for
HC contamination as described in Sec. 1065.660.
* * * * *
(g) You may repeat the propane check to verify a batch sampler,
such as a PM secondary dilution system.
* * * * *
0
81. A new Sec. 1065.342 is added to read as follows:

Sec. 1065.342 Sample dryer verification.

(a) Scope and frequency. If you use a sample dryer as allowed in
Sec. 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 Sec. 1065.145(d)(2) for dewpoint,
Tdew, and absolute pressure, ptotal, downstream
of the osmotic-membrane 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 [deg]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 Sec.
1065.145(d)(2) plus 2 [deg]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 Sec. 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.

0
82. Section 1065.345 is revised to read as follows:

Sec. 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 Sec. 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 in-line 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.

[[Page 37308]]

(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 pump-down 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.

0
83. Section 1065.350 is amended by revising paragraphs (c) and (d) to
read as follows:

Sec. 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 Sec. 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 Sec.
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 [deg]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.
* * * * *

0
84. Section 1065.355 is amended by revising paragraph (d) to read as
follows:

Sec. 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 Sec.
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 [deg]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.
* * * * *

0
85. Section 1065.360 is revised to read as follows:

Sec. 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 Sec. 1065.750. For a FID that measures
CH4, calibrate using CH4 calibration gases that
meet the specifications of Sec. 1065.750. We recommend FID analyzer
zero and span gases that contain approximately the flow-weighted mean
concentration of O2

[[Page 37309]]

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 [mu]mol/mol,
span the FID to respond with a value of 600 [mu]mol/mol. As another
example, if you use a CH4 span gas with a concentration of
200 [mu]mol/mol, span the FID to respond with a value of 200 [mu]mol/
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 Sec. 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 Sec. 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 Sec. 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 Sec. 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 [mu]mol/mol, span the FID to respond with
a value of 600 [mu]mol/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 Sec. 1065.660.

0
86. Section 1065.362 is amended by revising paragraph (d) to read as
follows:

Sec. 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 Sec. 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
Sec. 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.

[[Page 37310]]

(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 Sec. 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.
0
87. Section 1065.365 is revised to read as follows:

Sec. 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 Sec.
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 Sec. 1065.660
and Sec. 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 Sec. 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
Sec. 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 [mu]mol/mol, the correct FID
response to that span gas is 100 [mu]mol/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 Sec. 1065.660(b)(2)(i) or Sec. 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:

[[Page 37311]]

(1) Select CH4 and C2H6 analytical
gas mixtures that meet the specifications of Sec. 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
Sec. 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 [mu]mol/mol, the correct FID
response to that span gas is 300 [mu]mol/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
Sec. 1065.660(b)(2)(ii) or Sec. 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 Sec. 1065.660(b)(2)(ii) or Sec. 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 Sec. 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
Sec. 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 [mu]mol/mol, the
correct FID response to that span gas is 100 [mu]mol/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 Sec. 1065.660(b)(2)(iii)
or Sec. 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 Sec. 1065.660(b)(2)(iii) or Sec. 1065.665, as
applicable.

0
88. Section 1065.370 is amended by revising paragraphs (d), (e), and
(g)(1) to read as follows:

Sec. 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 Sec. 1065.248
at the appropriate time. Use a CO2 span gas that meets the
specifications of Sec. 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 Sec. 1065.248
at the appropriate time. Use a purified N2 gas that meets
the specifications of Sec. 1065.750.
(4) Connect a pressure-regulated NO span gas to the port of the gas
divider that meets the specifications in Sec. 1065.248. Use an NO span
gas that meets the specifications of Sec. 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 Sec. 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

[[Page 37312]]

operating mode. Record this concentration, xNO,CO2, and use
it in the quench verification calculations in Sec. 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 Sec. 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 Sec. 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 NO-only
operating mode.
(3) Measure an NO calibration span gas that meets the
specifications of Sec. 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 Sec. 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 Sec. 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 [deg]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 Sec.
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.
* * * * *

0
89. Section 1065.372 is amended by revising paragraphs (d)(7) and
(e)(1) to read as follows:

Sec. 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.
* * * * *

0
90. Section 1065.376 is revised to read as follows:

Sec. 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 [deg]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, the chiller always affects your brake-

[[Page 37313]]

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.
0
91. Section 1065.378 is amended by revising paragraphs (d) and (e)(1)
to read as follows:

Sec. 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:
[GRAPHIC] [TIFF OMITTED] TR06MY08.021

(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 brake-
specific NOX emission results by less than 0.5% of the
applicable NOX standard.
* * * * *

0
92. Section 1065.390 is revised to read as follows:

Sec. 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 Sec. 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 Sec. 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 [mu]g 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

[[Page 37314]]

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 PM-
stabilization environment has been within the specifications of Sec.
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
Sec. 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 Sec. 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
buoyancy-corrected 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 in-process
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]

0
93. Section 1065.405 is revised to read as follows:

Sec. 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.

0
94. Section 1065.410 is amended by revising paragraphs (c) and (d) to
read as follows:

Sec. 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

[[Page 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.
* * * * *

0
95. Section 1065.415 is amended by revising the introductory text and
removing paragraph (a)(3) to read as follows:

Sec. 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 standard-
setting part.
* * * * *

0
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:

Sec. 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-by-second 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 discrete-mode 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-by-second (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.
* * * * *

0
98. Section 1065.510 is revised to read as follows:

Sec. 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 standard-setting 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 Sec. 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 Sec. 1065.210.
This may involve configuring initial states of charge and rates and
times of auxiliary-work 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.

[[Page 37316]]

(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.,
discrete-mode 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 Sec. 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 Sec. 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 Sec.
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 standard-
setting 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

[[Page 37317]]

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 Sec. 1065.610.
(ii) Measured maximum test torque for constant-speed engines
according to Sec. 1065.610.
(iii) Measured ``A'', ``B'', and ``C'' speeds for variable-speed
engines according to Sec. 1065.610.
(iv) Measured intermediate speed for variable-speed engines
according to Sec. 1065.610.
(v) For variable-speed engines with a low-speed governor, measure
warm idle speed according to Sec. 1065.510(b) and use this speed for
cycle generation in Sec. 1065.512. For engines with no low-speed
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 low-
speed governor. For engines with no low-speed governor, the declared
warm idle speed is used for cycle generation in Sec. 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 Sec. 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 Curb-Idle 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.

0
99. Section 1065.512 is revised to read as follows:

Sec. 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 cycle-validation criteria in Sec.
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.

[[Page 37318]]

(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 Sec. 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 standard-setting 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 Sec. 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 ramped-
modal). 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 cycle-validation statistics and
total work.
(d) For constant-speed engines, operate the engine with the same
production governor you used to map the engine in Sec. 1065.510 or
simulate the in-use operation of a governor the same way you simulated
it to map the engine in Sec. 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, ramped-modal). 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 Sec. 1065.514.

0
100. Section 1065.514 is revised to read as follows:

Sec. 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 Sec. 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 Sec. 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 Sec. 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

[[Page 37319]]

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 cycle-validation 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 Sec. 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% [middot] Tmax
mapped) < T < Tref + (2% [middot] Tmax
mapped).
minimum................................. power and either torque or fn > fnref or T > Tref but not if fn >
speed. (fnref [middot] 102%) and T > Tref + (2%
[middot] Tmax, mapped).
maximum................................. power and either torque or fn < fnref or T < Tref but not if fn <
speed. (fnref [middot] 98%) and T < Tref-(2%
[middot] 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% [middot] Pmax
mapped) fnref or P > Pref but not if fn >
speed. (fnref [middot] 102%) and P > Pref + (2%
[middot] Pmax mapped).
maximum................................. power and either torque or fn < fnref or P < Pref but not if fn <
speed. (fnref [middot] 98%) and P < Pref-(2%
[middot] Pmax mapped).
----------------------------------------------------------------------------------------------------------------

(e) Statistical parameters. Use the remaining points to calculate
regression statistics described in Sec. 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 Sec. 1065.514
for the default criteria and refer to the standard-setting 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,
r\2\fn, feedback torque, r\2\T, and feedback
power r\2\P.
(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 ramped-modal 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
variable-speed 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[middot]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[middot]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 Sec. 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, <= 10% of warm idle.... <= 2.0% of maximum <= 2.0% of maximum
[verbarlm]a0[verbarlm]. mapped torque. mapped power.
Standard error of estimate, SEE...... <= 5.0% of maximum test <= 10% of maximum <= 10% of maximum
speed. mapped torque. mapped power.
Coefficient of determination, r \2\.. >= 0.970............... >= 0.850............... >= 0.910.
----------------------------------------------------------------------------------------------------------------

[[Page 37320]]

0
101. Section 1065.520 is revised to read as follows:

Sec. 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
Sec. 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) [deg]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 Sec. 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 inSec. 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 Sec.
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
duty-cycle 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 Sec. 1065.365(d), (e), and (f); and the
calculations in Sec. 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 Sec.
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 [mu]mol/mol, span the FID to respond with
a value of 600 [mu]mol/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 Sec. 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 [mu]mol/mol.
(8) If corrective action does not resolve the deficiency, you may
request to use the contaminated system as an alternate procedure under
Sec. 1065.10.

0
102. Section 1065.525 is revised to read as follows:

Sec. 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 warm-up before emission sampling
begins, restart the engine and continue warm-up.
(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 discrete-mode 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 Sec. 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.

[[Page 37321]]

(4) Advance to the mode at which the engine stalled and continue
with the duty cycle as specified in the standard-setting 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.

0
103. Section 1065.530 is revised to read as follows:

Sec. 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 Sec. 1065.520(f):
(i) For cold-start duty cycles, shut down the engine. Unless the
standard-setting 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 [deg]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
[deg]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 Sec. 1065.10(c)(1)). You
may start a cold-start duty cycle when the temperatures of an engine's
lubricant, coolant, and aftertreatment systems are all between (20 and
30) [deg]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 hot-stabilized 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 hot-stabilized 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
data-collection 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 Sec. 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 Sec. 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 [mu]mol/mol, span the FID to respond with a value of
600 [mu]mol/mol. Span FID analyzers consistent with the determination
of their respective response factors, RF, and penetration fractions,
PF, according to Sec. 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
re-zero, 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 ramped-modal 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.

[[Page 37322]]

(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
Sec. 1065.545. Void any samples that did not maintain proportional
sampling according to Sec. 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 Sec. 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 Sec. 1065.550.
(h) Unless the standard-setting part specifies otherwise, determine
whether or not the test meets the cycle-validation criteria in Sec.
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 re-map 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 Sec. 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 Sec. 1065.10(c).
(i) [Reserved]
(j) Measure and record ambient temperature, pressure, and humidity,
as appropriate.

0
104. Section 1065.545 is revised to read as follows:

Sec. 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 Sec. 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 pump-
inlet 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.

0
105. Section 1065.550 is revised to read as follows:

Sec. 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.

[[Page 37323]]

(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
brake-specific 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 Sec. 1065.672. Use the two sets of
brake-specific 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.

0
106. Section 1065.590 is revised to read as follows:

Sec. 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 PM-stabilization environments meet
the periodic verifications in Sec. 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 Sec. 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 Sec. 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 Sec. 1065.690. These buoyancy-corrected
values are subsequently subtracted from the post-test 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 tare-weighed 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 Sec. 1065.190.
(2) Use a static neutralizer as described in Sec. 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 Sec. 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.

0
107. Section 1065.595 is revised to read as follows:

Sec. 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 PM-stabilization environments meet
the ambient condition specifications in Sec. 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

[[Page 37324]]

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 Sec. 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
Sec. 1065.190. If you expect that a sample medium's (e.g., filter's)
total surface concentration of PM will be less than 400 [mu]g, assuming
a 38 mm diameter filter stain area, expose the filter to a PM-
stabilization environment meeting the specifications of Sec. 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 [mu]g on sample media (e.g., filters) is
an approximate net mass of 0.07 g/kW[middot]hr for a hot-start test
with compression-ignition 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 Sec. 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 buoyancy-corrected mass. The result
is the net PM mass, mPM. Use mPM in emission
calculations in Sec. 1065.650.

Subpart G--[Amended]

0
108. Section 1065.601 is amended by revising paragraph (c)(1) to read
as follows:

Sec. 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 Sec. 1065.670 for approved methods for humidity
corrections.
(ii) ISO 8178-1 Section 15.1, Particulate Correction Factor for
Humidity.
* * * * *
0
109. Section 1065.602 is amended by revising paragraphs (f)(3) before
the table and (l) introductory text to read as follows:

Sec. 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 Sec. 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 flow-weighted 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.
* * * * *

0
110. Section 1065.610 is revised to read as follows:

Sec. 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 constant-speed
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 Sec. 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 power-versus-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
(fnnormi\2\ + Pnormi\2\)

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 + Pnorm1\2\) = (1.002\2\
+ 0.978\2\) = 1.960
(fnnorm2\2\ + Pnorm2\2\) = (1.004\2\ +
0.977\2\) = 1.963
(fnnorm3\2\ + Pnorm3\2\) = (1.006\2\ +
0.974\2\) = 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 Sec. 1065.510.

[[Page 37325]]

(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 Sec. 1065.510.
(b) Maximum test torque, Ttest. For constant-speed
engines, determine the measured Ttest from the power-versus-
speed map, generated according to Sec. 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 power-versus-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
(fnnormi\2\ + Pnormi\2\)

Eq. 1065.610-2

Where:

Ttest = maximum test torque.

Example:
(fnnorm1 = 1.002, Pnorm1 = 0.978,
T1 = 722.62 N^[middot]m)
(fnnorm2 = 1.004, Pnorm2 = 0.977,
T2 = 720.44 N^[middot]m)
(fnnorm3 = 1.006, Pnorm3 = 0.974,
T3 = 716.80 N^[middot]m)
(fnnorm1\2\ + Pnorm1\2\) = (1.002\2\ +
0.978\2\) = 1.960
(fnnorm1\2\ + Pnorm1\2\) = (1.004\2\ +
0.977\2\) = 1.963
(fnnorm1\2\ + Pnorm1\2\) = (1.006\2\ +
0.974\2\) = 1.961
maximum = 1.963 at i = 2
Ttest = 720.44 N[middot]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 Sec. 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 [middot] (fntest -
fnidle) + fnidle

Eq. 1065.610-3

Example:

% speed = 85%
fntest = 2364 rev/min
fnidle = 650 rev/min
fnref = 85% [middot] (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 power-versus-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 [middot] (nhi - nlo) +
nlo

Eq. 1065.610-4

fnrefB = 0.50 [middot] (nhi - nnlo) +
nlo

Eq. 1065.610-5
fnrefC = 0.75 [middot] (nhi - nlo) +
nlo
Eq. 1065.610-6

Example:

nlo = 1005 rev/min
nhi = 2385 rev/min
fnrefA = 0.25 [middot] (2385-1005) + 1005
fnrefB = 0.50 [middot] (2385-1005) + 1005
fnrefC = 0.75 [middot] (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 variable-speed 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 Sec.
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 constant-speed 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
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. 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
Sec. 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

[[Page 37326]]

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 in-use 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.
0
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:

Sec. 1065.640 Flow meter calibration calculations.

* * * * *
(a) Reference meter conversions. The calibration equations in this
section use molar flow rate, nref, as a reference quantity.
If your reference meter outputs a flow rate in a different quantity,
such as standard volume rate, Vstdref, actual volume rate,
Vactref, or mass rate, mref, 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:
[GRAPHIC] [TIFF OMITTED] TR06MY08.022

Where:
Nref = reference molar flow rate.
Vstdref = reference volume flow rate, corrected to a
standard pressure and a standard temperature.
Vactref = reference volume flow rate at the actual
pressure and temperature of the flow rate.
Nref = 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:

Vstdref = 1000.00 ft³/min = 0.471948
m³/s
p = 29.9213 in Hg @ 32 [deg]F = 101325 Pa
T = 68.0 [deg]F = 293.15 K
R = 8.314472 J/(mol [middot] K)
[GRAPHIC] [TIFF OMITTED] TR06MY08.023

Nref = 19.169 mol/s

Example 2:

Mref = 17.2683 kg/min = 287.805 g/s
Mmix = 28.7805 g/mol
[GRAPHIC] [TIFF OMITTED] TR06MY08.024

nref = 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:
[GRAPHIC] [TIFF OMITTED] TR06MY08.025

(4) If the standard deviation of all the Cd values exceeds 0.3% of
the mean Cd,

[[Page 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.

0
112. Section 1065.642 is amended by revising paragraph (b) to read as
follows:

Sec. 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 Sec.
1065.640, calculate SSV molar flow rate, n during an emission test as
follows:
[GRAPHIC] [TIFF OMITTED] TR06MY08.026

Example:

At = 0.01824 m\2\
pin = 99132 Pa
Z = 1
Mmix = 28.7805 g/mol = 0.0287805 kg/mol
R = 8.314472 J/(mol[middot]K)
Tin = 298.15 K
Re = 7.232[middot]10\\
y = 1.399
[beta] = 0.8
[Delta]p = 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
[GRAPHIC] [TIFF OMITTED] TR06MY08.027

n= 58.173 mol/s

* * * * *

0
113. A new Sec. 1065.644 is added to read as follows:

Sec. 1065.644 Vacuum-decay leak rate.

This section describes how to calculate the leak rate of a vacuum-
decay leak verification, which is described in Sec. 1065.345(e). Use
Eq. 1065.644-1 to calculate the leak rate, nleak, and compare it to the
criterion specified in Sec. 1065.345(e).
[GRAPHIC] [TIFF OMITTED] TR06MY08.028

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 t\1\.
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[middot]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
[GRAPHIC] [TIFF OMITTED] TR06MY08.029

0
114. Section 1065.645 is revised to read as follows:

Sec. 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

[[Page 37328]]

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) [deg]C, or for humidity measurements made over super-cooled
water at ambient temperatures from (-50 to 0) [deg]C, use the following
equation:
[GRAPHIC] [TIFF OMITTED] TR06MY08.030

Where:

pH20 = vapor pressure of water at saturation temperature
condition, kPa.
Tsat = saturation temperature of water at measured
conditions, K.
Example:

Tsat = 9.5 [deg]C
Tdsat= 9.5 + 273.15 = 282.65 K
[GRAPHIC] [TIFF OMITTED] TR06MY08.112

-log10(pH20) = -0.073974
pH20 = 10^0.073974 = 1.18569 kPa

(2) For humidity measurements over ice at ambient temperatures from
(-100 to 0) [deg]C, use the following equation:
[GRAPHIC] [TIFF OMITTED] TR06MY08.031

Example:

Tice = -15.4 [deg]C
Tice = -15.4 + 273.15 = 257.75 K
[GRAPHIC] [TIFF OMITTED] TR06MY08.032

-log10(pH2O) =-0.79821
pH2O = 10^0.79821 = 0.15914 kPa

(b) Dewpoint. If you measure humidity as a dewpoint, determine the
amount of water in an ideal gas, xH2O, as follows:
[GRAPHIC] [TIFF OMITTED] TR06MY08.033

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 [deg]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:
[GRAPHIC] [TIFF OMITTED] TR06MY08.034

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 [deg]C
Using Eq. 1065.645-2,
pH2O = 2.3371 kPa
xH2O = (50.77% [middot]2.3371)/99.980
xH2O = 0.011868 mol/mol

0
115. Section 1065.650 is revised to read as follows:

Sec. 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

[[Page 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:

[GRAPHIC] [TIFF OMITTED] TR06MY08.035

Example:
mNOx = 64.975 g
W = 25.783 kW[middot]hr
eNOx = 64.975/25.783
eNOx = 2.520 g/(kW[middot]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:
[GRAPHIC] [TIFF OMITTED] TR06MY08.036

(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 Sec. 1065.655, plus information about your
engine's brake-specific 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:
[GRAPHIC] [TIFF OMITTED] TR06MY08.037

Example:

m = 805.5 ~g
W = 52.102 ~kW[middot]hr
eCO = 805.5/52.102
eCO = 2.520 g/(kW[middot]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 Sec. 1065.660(a).
(ii) Correct all concentrations measured on a ``dry'' basis to a
``wet'' basis, including dilution air background concentrations, as
described in Sec. 1065.659.
(iii) Calculate all THC and NMHC concentrations, including dilution
air background concentrations, as described in Sec. 1065.660.
(iv) For emission testing with an oxygenated fuel, calculate any HC
concentrations, including dilution air background concentrations, as
described in Sec. 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 intake-air humidity as
described in Sec. 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 Sec. 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 Sec. 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 steady-state 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:
[GRAPHIC] [TIFF OMITTED] TR06MY08.038

Where:

[GRAPHIC] [TIFF OMITTED] TR06MY08.039

Example:

MNMHC = 13.875389 g/mol
N = 1200
xNMHC1 = 84.5 [mu]mol/mol = 84.5 [middot] 10^-6
mol/mol
xNMHC2 = 86.0 [mu]mol/mol = 86.0 [middot] 10^-6
mol/mol
nexh1 = 2.876 mol/s
nexh2 = 2.224 mol/s
frecord = 1 Hz
Using Eq. 1065.650-5,
[Delta]t = 1/1 =1 s
mNMHC = 13.875389 [middot] (84.5 [middot] 10^-6
[middot] 2.876 + 86.0 [middot] 10^-6 [middot] 2.224 + ...
+ xNMHC1200 [middot] nexh) [middot] 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

[[Page 37330]]

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, MPM, 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:
[GRAPHIC] [TIFF OMITTED] TR06MY08.040

Example:

MNOx = 46.0055 g/mol
N = 9000
xNOx = 85.6 [mu]mol/mol = 85.6 [middot]
10^-6 mol/mol
ndexh1 = 25.534 mol/s
ndexh2 = 26.950 mol/s
frecord = 5 Hz
Using Eq. 1065.650-5,
[Delta]t = 1/5 = 0.2
mNOx = 46.0055 [middot] 85.6 [middot] 10^-6
[middot] (25.534 + 26.950 + ... + nexh9000) [middot] 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,
MPM, 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:
[GRAPHIC] [TIFF OMITTED] TR06MY08.041

and for PM or any other analysis of a batch sample that yields a mass
per mole of sample,
[GRAPHIC] [TIFF OMITTED] TR06MY08.042

Example:

MPM = 144.0 [mu]g/mol = 144.0 [middot] 10^-6 g/
mol
ndexh = 57.692 mol/s
[Delta]t = 1200 s
mPM = 144.0 [middot] 10^-6 [middot] 57.692
[middot] 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:
[GRAPHIC] [TIFF OMITTED] TR06MY08.043

Example:

mPMdil = 6.853 g
DR = 6:1
mPM = 6.853 [middot] (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 Sec. 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 Sec. 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 Sec.
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 Sec. 1065.210. Exclude any work during reference zero-load
idle periods (0% speed or idle speed with 0 N[middot]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 Sec. 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 Sec. 1065.110.
(4) Set all power values during any cranking or starting period to
zero. See Sec. 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[middot]m.
(7) Integrate the resulting values for power over the test
interval. Calculate total work as follows:
[GRAPHIC] [TIFF OMITTED] TR06MY08.044

[GRAPHIC] [TIFF OMITTED] TR06MY08.045

Example:

N = 9000
fn1 = 1800.2 rev/min
fn2 = 1805.8 rev/min
T1 = 177.23 N[middot]m
T2 = 175.00 N[middot]m
Crev = 2 [middot] [pi] rad/rev
Ct1 = 60 s/min
Cp = 1000 (N[middot]m[middot]rad/s)/kW
frecord = 5 Hz
Ct2 = 3600 s/hr
[GRAPHIC] [TIFF OMITTED] TR06MY08.046

P1 = 33.41 kW
P2 = 33.09 kW
Using Eq. 1065.650-5,
[Delta]t = \1/5\ = 0.2 s
[GRAPHIC] [TIFF OMITTED] TR06MY08.047

W = 16.875 kW[middot]hr

(8) You may use a trapezoidal integration method instead of the

[[Page 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 brake-specific 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, and the mean steady-state power, P as follows:
(1) To calculate m, multiply its mean concentration, x, by its
corresponding mean molar flow rate, n. 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. In
the case of PM emissions, where the mean PM concentration is already in
units of mass per mole of sample, MPM, simply multiply it by
the mean molar flow rate, n. The result is the mass rate of PM,
mPM. Calculate m using the following equation:
[GRAPHIC] [TIFF OMITTED] TR06MY08.048

(2) Calculate P using the following equation:
[GRAPHIC] [TIFF OMITTED] TR06MY08.049

(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

xCO = 12.00 mmol/mol = 0.01200 mol/mol

n = 1.530 mol/s

fn = 3584.5 rev/min = 375.37 rad/s

T = 121.50 N[middot]m

m = 28.0101[middot]0.01200[middot]1.530

m = 0.514 g/s = 1850.4 g/hr

P = 121.5[middot]375.37

P = 45607

W = 45.607 kW

eCO = 1850.4/45.61

eCO = 40.57 g/(kW[middot]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, or linearly proportional to total flow, n as follows:
[GRAPHIC] [TIFF OMITTED] TR06MY08.050

(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 Sec.
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 Sec. 1065.655. In the
chemical balance, you must use concentrations from the flow that
generated the signal proportional to molar flow rate, n, in paragraph
(e)(1) of this section. Calculate a value proportional to total work as
follows:
[GRAPHIC] [TIFF OMITTED] TR06MY08.051

Where:
[GRAPHIC] [TIFF OMITTED] TR06MY08.052

(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
n1 = 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,
[Delta]t = 0.2 s

[GRAPHIC] [TIFF OMITTED] TR06MY08.053

W = 5.09 ~(kW[middot]hr)

(g) Rounding. Round emission values only after all calculations are
complete and the result is in g/(kW[middot]hr) or units equivalent to
the units of the standard, such as g/(hp[middot]hr). See the definition
of ``Round'' in Sec. 1065.1001.

0
116. Section 1065.655 is revised to read as follows:

Sec. 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.

[[Page 37332]]

(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 Sec. 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 Sec. 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 Sec. 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, [alpha], and oxygen-to-carbon ratio, [beta]. For your
fuel, you may measure [alpha] and [beta] or you may use the default
values in Table 1 of Sec. 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 [mu]mol/
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 [mu]mol/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 Sec. 1065.145(d)(2).
xH2Oint = Amount of water in the intake air, based on a
humidity measurement of intake air.
[alpha] = Atomic hydrogen-to-carbon ratio in fuel.
[beta] = Atomic oxygen-to-carbon ratio in fuel.

(4) Use the following equations to iteratively solve for
xdil/exh, xH2Oexh, and xCcombdry:
[GRAPHIC] [TIFF OMITTED] TR06MY08.054

[GRAPHIC] [TIFF OMITTED] TR06MY08.055

[GRAPHIC] [TIFF OMITTED] TR06MY08.056

[GRAPHIC] [TIFF OMITTED] TR06MY08.057

[[Page 37333]]

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[GRAPHIC] [TIFF OMITTED] TR06MY08.059

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[GRAPHIC] [TIFF OMITTED] TR06MY08.069

[GRAPHIC] [TIFF OMITTED] TR06MY08.070

[[Page 37334]]

(5) The following example is a solution for xdil/exh,
xH2Oexh, and xCcombdry using the equations in
paragraph (c)(4) of this section:
[GRAPHIC] [TIFF OMITTED] TR06MY08.071

[GRAPHIC] [TIFF OMITTED] TR06MY08.072

[GRAPHIC] [TIFF OMITTED] TR06MY08.073

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[GRAPHIC] [TIFF OMITTED] TR06MY08.075

[GRAPHIC] [TIFF OMITTED] TR06MY08.076

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[GRAPHIC] [TIFF OMITTED] TR06MY08.078

[GRAPHIC] [TIFF OMITTED] TR06MY08.079

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[GRAPHIC] [TIFF OMITTED] TR06MY08.081

[GRAPHIC] [TIFF OMITTED] TR06MY08.082

[GRAPHIC] [TIFF OMITTED] TR06MY08.083

[GRAPHIC] [TIFF OMITTED] TR06MY08.084

[GRAPHIC] [TIFF OMITTED] TR06MY08.085

[GRAPHIC] [TIFF OMITTED] TR06MY08.086

[GRAPHIC] [TIFF OMITTED] TR06MY08.087

[alpha] = 1.8
[beta] = 0.05

[[Page 37335]]

Table 1 of Sec. 1065.655.--Default Values of Atomic Hydrogen-to-Carbon Ratio, [alpha], Atomic Oxygen-to-Carbon
Ratio, [beta], and Carbon Mass Fraction of Fuel, wC, for Various Fuels
----------------------------------------------------------------------------------------------------------------
Carbon mass
Fuel Atomic hydrogen and oxygen-to-carbon concentration,
ratios CH[alpha]O[beta] 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,
nexh, based on the measured intake air molar flow rate,
nint, or the measured fuel mass flow rate, nfuel,
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
nintor nfuel.
(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 nintor nfuel 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
nint, calculate nexh as follows:
[GRAPHIC] [TIFF OMITTED] TR06MY08.088

Where:

nexh = raw exhaust molar flow rate from which you
measured emissions.
nint = intake air molar flow rate including humidity in
intake air.

Example:

nint = 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
[GRAPHIC] [TIFF OMITTED] TR06MY08.089

nexh = 6.066 mol/s

(3) Fuel mass flow rate calculation. Based on mfuel,
calculate nexh as follows:
[GRAPHIC] [TIFF OMITTED] TR06MY08.090

Where:

nexh = raw exhaust molar flow rate from which you
measured emissions.
mfuel = fuel flow rate including humidity in intake air.

Example:

mfuel = 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
[GRAPHIC] [TIFF OMITTED] TR06MY08.091

nexh = 6.066 mol/s

0
117. Section 1065.659 is revised to read as follows:

Sec. 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

[[Page 37336]]

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 Sec. 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 Sec. 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 Sec. 1065.655.
(d) Perform a removed water correction to the concentration
measurement using the following equation:
[GRAPHIC] [TIFF OMITTED] TR06MY08.092

Example:

xCOmeas = 29.0 [mu]mol/mol
x H2OCOmeas = 8.601 mmol/mol = 0.008601 mol/mol
xH2Oexh = 34.04 mmol/mol = 0.03404 mol/mol
[GRAPHIC] [TIFF OMITTED] TR06MY08.093

xCO = 28.3 [mu]mol/mol

0
118. Section 1065.660 is revised to read as follows:

Sec. 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 Sec. 1065.520 as
follows:
[GRAPHIC] [TIFF OMITTED] TR06MY08.094

Example:

xTHCuncor = 150.3 [mu]mol/mol
xTHCinit = 1.1 [mu]mol/mol
xTHCcor = 150.3 - 1.1
xTHCcor = 149.2 [mu]mol/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 Sec. 1065.650(c)(1)(vi).
(2) For nonmethane cutters, calculate xNMHC using the
nonmethane cutter's penetration fractions (PF) of CH4 and
C2H6 from Sec. 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 Sec. 1065.365(d):
[GRAPHIC] [TIFF OMITTED] TR06MY08.095

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 Sec. 1065.360(d).
RFPFC2H6[NMC-FID] = nonmethane cutter combined ethane
response factor and penetration fraction, according to Sec.
1065.365(d).

Example:

xTHC[THC-FID]cor = 150.3 [mu]mol/mol
xTHC[NMC-FID] = 20.5 [mu]mol/mol
RFPFC2H6[NMC-FID] = 0.019
RFCH4[THC-FID] = 1.05
[GRAPHIC] [TIFF OMITTED] TR06MY08.096

xNMHC = 130.4 [mu]mol/mol

(ii) For penetration fractions determined using an NMC
configuration as outlined in Sec. 1065.365(e), use the following
equation:

[[Page 37337]]

[GRAPHIC] [TIFF OMITTED] TR06MY08.097

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 Sec. 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 Sec. 1065.365(e).

Example:

xTHC[THC-FID]cor = 150.3 [mu]mol/mol
PFCH4[NMC-FID] = 0.990
xTHC[NMC-FID] = 20.5 [mu]mol/mol
PFC2H6[NMC-FID] = 0.020
[GRAPHIC] [TIFF OMITTED] TR06MY08.098

xNMHC = 132.3 [mu]mol/mol

(iii) For penetration fractions determined using an NMC
configuration as outlined in Sec. 1065.365(f), use the following
equation:
[GRAPHIC] [TIFF OMITTED] TR06MY08.099

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 Sec. 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 Sec. 1065.365(f).
RFCH4[THC-FID] = response factor of THC FID to
CH4, according to Sec. 1065.360(d).

Example:

xTHC[THC-FID]cor = 150.3 [mu]mol/mol
PFCH4[NMC-FID] = 0.990
xTHC[NMC-FID] = 20.5 [mu]mol/mol
RFPFC2H6[NMC-FID] = 0.019
RFCH4[THC-FID] = 0.980
[GRAPHIC] [TIFF OMITTED] TR06MY08.100

xNMHC = 132.5 [mu]mol/mol

(3) For a gas chromatograph, calculate xNMHC using the
THC analyzer's response factor (RF) for CH4, from Sec.
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:
[GRAPHIC] [TIFF OMITTED] TR06MY08.101

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 [mu]mol/mol
RFCH4[THC-FID] = 0.970
xCH4 = 18.9 [mu]mol/mol
xNMHC = 145.6-0.970 [middot] 18.9
xNMHC = 127.3 [mu]mol/mol

0
119. Section 1065.665 is revised to read as follows:

Sec. 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:
[GRAPHIC] [TIFF OMITTED] TR06MY08.102

[GRAPHIC] [TIFF OMITTED] TR06MY08.103

[[Page 37338]]

[GRAPHIC] [TIFF OMITTED] TR06MY08.104

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, dry-to-wet corrected.
xTHC[THC-FID]cor = The C1-equivalent response
to NOTHC and all OHC in diluted exhaust, HC contamination and dry-
to-wet corrected, as measured by the THC-FID.
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 Sec. 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:
[GRAPHIC] [TIFF OMITTED] TR06MY08.105

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 [mu]mol/mol
xCH4 = 18.9 [mu]mol/mol
xC2H5OH = 100.8 [mu]mol/mol
xCH3OH = 1.1 [mu]mol/mol
xC2H4O = 19.1 [mu]mol/mol
xHCHO = 1.3 [mu]mol/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
[middot] RFC2H5OH[THC-FID] + xCH3OH [middot]
RFCH3OH[THC-FID] + xC2H4O [middot]
RFC2H4O[THC-FID] + xHCHO [middot]
RFHCHO[THC-FID] + xC2H5OH + xCH3OH +
xC2H4O + xHCHO-(RFCH4[THC-FID]
[middot] xCH4)
xNMHCE = 145.6-(100.8 [middot] 0.76 + 1.1 [middot] 0.74 +
19.1 [middot] 0.50 + 1.3 [middot] 0) + 100.8 + 1.1 + 19.1 + 1.3-(1.07
[middot] 18.9)
xNMHCE = 160.71 [mu]mol/mol

0
120. Section 1065.667 is amended by revising paragraph (b) to read as
follows:

Sec. 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 Sec. 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.
* * * * *

0
121. Section 1065.670 is amended by revising the introductory text to
read as follows:

Sec. 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 standard-setting part instead of the
NOX intake-air 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:
* * * * *

0
122. Section 1065.675 is revised to read as follows:

Sec. 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
Sec. 1065.342.
(d) Calculate water quench as follows:

[[Page 37339]]

[GRAPHIC] [TIFF OMITTED] TR06MY08.106

Where:

quench = amount of CLD quench.
xNOdry = measured concentration of NO upstream of a
bubbler, according to Sec. 1065.370.
xNOwet = measured concentration of NO downstream of a
bubbler, according to Sec. 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 Sec.
1065.370.
xNO,CO2 = measured concentration of NO when NO span gas
is blended with CO2 span gas, according to Sec.
1065.370.
xNO,N2 = measured concentration of NO when NO span gas is
blended with N2 span gas, according to Sec. 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 Sec.
1065.370.

Example:

xNOdry = 1800.0 [mu]mol/mol
xNOwet = 1760.5 [mu]mol/mol
xH2Oexp = 0.030 mol/mol
xH2Omeas = 0.017 mol/mol
xNO,CO2 = 1480.2 [mu]mol/mol
xNO,N2 = 1500.8 [mu]mol/mol
xCO2exp = 2.00%
xCO2meas = 3.00%
[GRAPHIC] [TIFF OMITTED] TR06MY08.107

quench = -0.00888-0.00915 = -1.80%

0
123. Section 1065.690 is amended by revising paragraph (e) to read as
follows:

Sec. 1065.690 Buoyancy correction for PM sample media.

* * * * *
(e) Correction calculation. Correct the PM sample media for
buoyancy using the following equations:
[GRAPHIC] [TIFF OMITTED] TR06MY08.108

Where:
mcor = PM mass corrected for buoyancy.
muncor = PM mass uncorrected for buoyancy.
[rho]air = density of air in balance environment.
[rho]weight = density of calibration weight used to span
balance.
[rho]media = density of PM sample media, such as a
filter.

[GRAPHIC] [TIFF OMITTED] TR06MY08.109

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 [deg]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 [middot] K)
Tamb = 20 [deg]C
[GRAPHIC] [TIFF OMITTED] TR06MY08.110

[rho]air = 1.18282 kg/m³
muncorr = 100.0000 mg
[rho]weight = 8000 kg/m³
[rho]media = 920 kg/m³
[GRAPHIC] [TIFF OMITTED] TR06MY08.111

mcor 100.1139 mg

0
124. Section 1065.695 is amended by revising paragraph (c)(7)(ix) to
read as follows:

Sec. 1065.695 Data requirements.

* * * * *
(c) * * *
(7) * * *
(ix) Warm-idle speed value.
* * * * *

Subpart H--[Amended]

0
125. Section 1065.701 is amended by revising paragraphs (b), (c), and
(e) to read as follows:

Sec. 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 standard-setting part for provisions
related to

[[Page 37340]]

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 Sec. 1065.701.--Examples of Service-Accumulation and Field-Testing Fuels
----------------------------------------------------------------------------------------------------------------
Fuel category Subcategory Reference procedure \1\
----------------------------------------------------------------------------------------------------------------
Light distillate and light ASTM D975-07b.
blends with residual.
Diesel................................ Middle distillate............. ASTM D6751-07b.
Biodiesel (B100).............. ASTM D6985-04a.
Intermediate and residual fuel........ All........................... See Sec. 1065.705.
Gasoline.............................. Motor vehicle gasoline........ ASTM D4814-07a.
Minor oxygenated gasoline ASTM D4814-07a.
blends.
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.
----------------------------------------------------------------------------------------------------------------
\1\ ASTM specifications are incorporated by reference in Sec. 1065.1010.

0
126. Section 1065.703 is amended by revising Table 1 to read as
follows:

Sec. 1065.703 Distillate diesel fuel.

* * * * *

Table 1 of Sec. 1065.703.--Test Fuel Specifications for Distillate Diesel Fuel
----------------------------------------------------------------------------------------------------------------
Ultra low Reference procedure
Item Units sulfur Low sulfur High sulfur \1\
----------------------------------------------------------------------------------------------------------------
Cetane Number.................... ................. 40-50 40-50 40-50 ASTM D613-05.
Distillation range............... [deg]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.......................... [deg] 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 g/kg............. 100 100 100 ASTM D5186-03.
be paraffins, naphthalenes, and
olefins).
Flashpoint, min.................. [deg]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.
----------------------------------------------------------------------------------------------------------------
\1\ ASTM procedures are incorporated by reference in Sec. 1065.1010. See Sec. 1065.701(d) for other allowed
procedures.

0
127. A new Sec. 1065.705 is added to read as follows:

Sec. 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:

[[Page 37341]]

Table 1 of Sec. 1065.705.--Service Accumulation and Test Fuel Specifications for Residual Fuel
--------------------------------------------------------------------------------------------------------------------------------------------------------
Category ISO-F-
Characteristic Unit ------------------------------------------------------------------------------------------ Test method
RMA 30 RMB 30 RMD 80 RME 180 RMF 180 RMG 380 RMH 380 RMK 380 RMH 700 RMK 700 reference \1\
--------------------------------------------------------------------------------------------------------------------------------------------------------
Density at 15 [deg]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
8217:20
05(E)
7.1).
--------------------------------------------------------------------------------------------------------------------------------------------------------
Kinematic viscosity at 50 cSt........... 30.0 80.0 180.0
[deg]C, max.
380.0
700.0 ISO
3104:19
94/Cor
1:1997.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Flash point, min............. [deg]C........ 60 60 60
60
60 ISO
2719
(see
also
ISO
8217:20
05(E)
7.2).
--------------------------------------------------------------------------------------------------------------------------------------------------------
Pour point (upper):
--------------------------------------------------------------------------------------------------------------------------------------------------------
Winter quality, max...... [deg]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
8217:20
05(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
8217:20
05(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
8217:20
05(E)
7.9).
--------------------------------------------------------------------------------------------------------------------------------------------------------
Used lubricating oil (ULO), .............. Fuel shall be free of ULO. We consider a fuel to be free of ULO if one or more of the IP 501 or IP
max. elements zinc, phosphorus, or calcium is at or below the specified limits. We consider a 470 (see ISO
fuel to contain ULO if all three elements exceed the specified limits. 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 Sec. 1065.1010. See Sec. 1065.701(d) for other allowed procedures.

0
128. Section 1065.710 is amended by revising Table 1 to read as
follows:

Sec. 1065.710 Gasoline.

* * * * *

Table 1 of Sec. 1065.710.--Test Fuel Specifications for Gasoline
----------------------------------------------------------------------------------------------------------------
Low-temperature Reference procedure
Item Units General testing testing \1\
----------------------------------------------------------------------------------------------------------------
Distillation Range:
Initial boiling point...... [deg]C.......... 24-35 \2\........ 24-36............
10% point.................. [deg]C.......... 49-57............ 37-48............ ASTM D86-07a.
50% point.................. [deg]C.......... 93-110........... 82-101...........
90% point.................. [deg]C.......... 149-163.......... 158-174..........
End point.................. [deg]C.......... Maximum, 213..... Maximum, 212.....
Hydrocarbon composition:
Olefins.................... m\3\/m\3\....... 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.

[[Page 37342]]

Volatility (Reid Vapor kPa............. 60.0-63.4 2, 3... 77.2-81.4........ ASTM D5191-07.
Pressure).
----------------------------------------------------------------------------------------------------------------
\1\ ASTM procedures are incorporated by reference in Sec. 1065.1010. See Sec. 1065.701(d) for other allowed
procedures.
\2\ For 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) [deg]C.
3 For testing unrelated to evaporative emissions, the specified range is (55.2 to 63.4) kPa.

0
129. Section 1065.715 is revised to read as follows:

Sec. 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 Sec. 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.
------------------------------------------------------------------------
\1\ All parameters are based on the reference procedures in ASTM D1945-
03 (incorporated by reference in Sec. 1065.1010). See Sec.
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
standard-setting 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.

0
130. Section 1065.720 is revised to read as follows:

Sec. 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 Sec. 1065.720.--Test Fuel Specifications for Liquefied
Petroleum Gas
------------------------------------------------------------------------
Reference
Item Value procedure \1\
------------------------------------------------------------------------
Propane, C3H8................... Minimum, 0.85 m\3\/ ASTM D2163-05.
m\3\.
Vapor pressure at 38 [deg]C..... Maximum, 1400 kPa. ASTM D1267-02 or
2598-02\2\.
Volatility residue (evaporated Maximum, -38 ASTM D1837-02a.
temperature, 35 [deg]C). [deg]C.
Butanes......................... Maximum, 0.05 m\3\/ ASTM D2163-05.
m\3\.
Butenes......................... Maximum, 0.02 m\3\/ ASTM D2163-05.
m\3\.
Pentenes and heavier............ Maximum, 0.005 ASTM D2163-05.
m\3\/m\3\.
Propene......................... Maximum, 0.1 m\3\/ ASTM D2163-05.
m\3\.
Residual matter (residue on Maximum, 0.05 ml ASTM D2158-05.
evap. of 100 ml oil stain pass\3\.
observ.).
Corrosion, copper strip......... Maximum, No. 1.... ASTM D1838-07.
Sulfur.......................... Maximum, 80 mg/kg. ASTM D2784-06.
Moisture content................ pass.............. ASTM D2713-91.
------------------------------------------------------------------------
\1\ ASTM procedures are incorporated by reference in Sec. 1065.1010.
See Sec. 1065.701(d) for other allowed procedures.
\2\ If these two test methods yield different results, use the results
from ASTM D1267-02.
\3\ The 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
standard-setting 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.

[[Page 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.

0
131. Section 1065.750 is amended by revising paragraph (a) to read as
follows:

Sec. 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 zero-gas 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 [mu]mol/mol, then you
would be allowed to use a zero gas with CO contamination less than or
equal to 2.000 [mu]mol/mol.
(ii) Contamination as specified in the following table:

Table 1 of Sec. 1065.750.--General Specifications for Purified Gases
----------------------------------------------------------------------------------------------------------------
Constituent Purified synthetic air \1\ Purified N2 \1\
----------------------------------------------------------------------------------------------------------------
THC (C1 equivalent).............. < 0.05 [mu]mol/mol.................... < 0.05 [mu]mol/mol.
CO............................... < 1 [mu]mol/mol....................... < 1 [mu]mol/mol.
CO2.............................. < 10 [mu]mol/mol...................... < 10 [mu]mol/mol.
O2............................... 0.205 to 0.215 mol/mol................ < 2 [mu]mol/mol.
NOX.............................. < 0.02 [mu]mol/mol.................... < 0.02 [mu]mol/mol.
----------------------------------------------------------------------------------------------------------------
\1\ We 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 [mu]mol/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 flame-ionization 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 [mu]mol/mol,
span a FID to respond with a value of 600 [mu]mol/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 flow-weighted 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 [mu]mol/mol, span a
FID to respond with a value of 200 [mu]mol/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 NIST-accepted 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 Sec. 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]

0
132. Section 1065.805 is amended by revising paragraphs (a), (b), and
(c) to read as follows:

Sec. 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 [deg]C in exhaust from
methanol-fueled engines.
* * * * *

0
133. Section 1065.845 is amended by revising the introductory text to
read as follows:

[[Page 37344]]

Sec. 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]

0
134. Section 1065.901 is amended by revising paragraphs (b)
introductory text and (b)(2) to read as follows:

Sec. 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.
* * * * *

0
135. Section 1065.905 is amended by revising paragraphs (c)(14) and (e)
introductory text to read as follows:

Sec. 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 Sec. 1065.901(b). Use the following
procedures and specifications when using PEMS for laboratory testing:
* * * * *

0
136. Section 1065.910 is revised to read as follows:

Sec. 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 four-ply silicone-fiberglass fabric
with a temperature rating of at least 315 [deg]C for flexible
connectors. You may use connectors with a spring-steel wire helix for
support and you may use Nomex^TM 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 manufacturer-
specified 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.

0
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:

Sec. 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

[[Page 37345]]

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 Sec. 1065.905(b), the specifications in the following
table apply instead of the specifications in Table 1 of Sec. 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 standard-setting 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 field-testing. 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.
* * * * *

0
138. Section 1065.920 is amended by revising paragraphs (a),
(b)(4)(iii), and (b)(7) introductory text to read as follows:

Sec. 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 Sec. 1065.307, to calibrate
and verify PEMS. Note that a PEMS does not have to meet the system-
response specifications of Sec. 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:
* * * * *
0
139. Section 1065.925 is amended by revising paragraph (h) to read as
follows:

Sec. 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 Sec. 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 [mu]mol/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.

0
140. Section 1065.935 is amended by revising paragraphs (e)(1) and
(g)(5) to read as follows:

Sec. 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 Sec. 1065.550. For NMHC, invalidate any test intervals if
the difference between the uncorrected and the corrected brake-specific
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 Sec. 1065.672 and use the drift
corrected results in emissions calculations.
* * * * *

[[Page 37346]]

Subpart K--[Amended]

0
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:

Sec. 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 Sec. 1065.201.
Regression statistics means any of the regression statistics
specified in Sec. 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 Sec. 1065.110.
* * * * *

0
142. Section 1065.1005 is amended by revising paragraphs (a) and (g) to
read as follows:

Sec. 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
[alpha].......... atomic hydrogen to mole per mole......... mol/mol............... 1
carbon ratio.
A................ area.................. square meter.......... m2.................... m2
A0............... intercept of least .....................
squares regression.
A1............... slope of least squares .....................
regression.
[beta]........... ratio of diameters.... meter per meter....... m/m................... 1
[beta]........... atomic oxygen to mole per mole......... mol/mol............... 1
carbon ratio.
C#............... number of carbon atoms .....................
in a molecule.
d................ Diameter.............. meter................. m..................... m
DR............... dilution ratio........ mole per mol.......... mol/mol............... 1
[egr]............ error between a .....................
quantity and its
reference.
e................ brake-specific basis.. gram per kilowatt hour g/(kW [middot] h)..... g [middot] 3.6 1
[middot] 10\6\
[middot] m 2
[middot] kg [middot]
s\2\
F................ F-test statistic...... .....................
f................ frequency............. hertz................. Hz.................... s 1
fn............... rotational frequency revolutions per minute rev/min............... 2 [middot] pi
(shaft). [middot] 60 1
[middot] s 1
[gamma].......... ratio of specific (joule per kilogram (J/(kg [middot] K))/(J/ 1
heats. kelvin) per (joule (kg [middot] K)).
per kilogram kelvin).
K................ correction factor..... ...................... ...................... 1
l................ length................ meter................. m..................... m
[mu]............. viscosity, dynamic.... pascal second......... Pa[middot]s........... m 1 [middot] kg
[middot] s 1
M................ molar mass\1\......... gram per mole......... g/mol................. 10 3 [middot] kg
[middot] mol 1
m................ mass.................. kilogram.............. kg.................... kg
m................ mass rate............. kilogram per second... kg/s.................. kg [middot] s 1
[nu]............. viscosity, kinematic.. meter squared per m\2\/s................ m\2\ [middot] s 1
second.
N................ total number in series .....................
n................ amount of substance... mole.................. mol................... mol
n................ amount of substance mole per second....... mol/s................. mol [middot] s 1
rate.
P................ power................. kilowatt.............. kW.................... 103 [middot] m\2\
[middot] kg [middot]
s 3
PF............... penetration fraction.. .....................
p................ pressure.............. pascal................ Pa.................... m 1 [middot] kg
[middot] s 2
[rho]............ mass density.......... kilogram per cubic kg/m3................. kg [middot] m 3
meter.
r................ ratio of pressures.... pascal per pascal..... Pa/Pa................. 1
R\2\............. coefficient of .....................
determination.
Ra............... average surface micrometer............ [mu]m................. m 6
roughness.
Re#.............. Reynolds number....... .....................
RF............... response factor....... .....................
RH%.............. relative humidity..... 0.01.................. %..................... 10 2
[sigma].......... non-biased standard .....................
deviation.
S................ Sutherland constant... kelvin................ K..................... K

[[Page 37347]]

SEE.............. standard estimate of .....................
error.
T................ absolute temperature.. kelvin................ K..................... K
T................ Celsius temperature... degree Celsius........ [deg]C................ K-273.15
T................ torque (moment of newton meter.......... N [middot] m.......... m\2\ [middot] kg
force). [middot] s 2
t................ time.................. second................ s..................... s
[Delta]t......... time interval, period, second................ s..................... s
1/frequency.
V................ volume................ cubic meter........... m3.................... m3
V................ volume rate........... cubic meter per second m3/s.................. m3 [middot] s 1
W................ work.................. kilowatt hour......... kW [middot] h......... 3.6 [middot] 10 6
[middot] m\2\
[middot] kg [middot]
s 2
wc............... carbon mass gram per gram......... g/g................... 1
concentration.
x................ amount of substance mole per mole......... mol/mol............... (\1\)
mole fraction\2\.
x................ flow-weighted mean mole per mole......... mol/mol............... 1
concentration.
y................ generic variable...... .....................
----------------------------------------------------------------------------------------------------------------
\1\ See 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 Teflon^TM)
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

0
143. Section 1065.1010 is revised to read as follows:

Sec. 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 Sec. 1065.1010.-ASTM Materials
------------------------------------------------------------------------
Part 1065
Document No. and name reference
------------------------------------------------------------------------
ASTM D86-07a, Standard Test Method for Distillation of 1065.703,
Petroleum Products at Atmospheric Pressure................ 1065.710
ASTM D93-07, Standard Test Methods for Flash Point by 1065.703
Pensky-Martens Closed Cup Tester..........................
ASTM D445-06, Standard Test Method for Kinematic Viscosity 1065.703
of Transparent and Opaque Liquids (and the Calculation of
Dynamic Viscosity)........................................
ASTM D613-05, Standard Test Method for Cetane Number of 1065.703
Diesel Fuel Oil...........................................
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 1065.720
Gage Vapor Pressure of Liquefied Petroleum (LP) Gases (LP-
Gas Method)...............................................
ASTM D1319-03, Standard Test Method for Hydrocarbon Types 1065.710
in Liquid Petroleum Products by Fluorescent Indicator
Adsorption................................................
ASTM D1655-07e01, Standard Specification for Aviation 1065.701
Turbine Fuels.............................................
ASTM D1837-02a (Reapproved 2007), Standard Test Method for 1065.720
Volatility of Liquefied Petroleum (LP) Gases..............
ASTM D1838-07, Standard Test Method for Copper Strip 1065.720
Corrosion by Liquefied Petroleum (LP) Gases...............
ASTM D1945-03, Standard Test Method for Analysis of Natural 1065.715
Gas by Gas Chromatography.................................
ASTM D2158-05, Standard Test Method for Residues in 1065.720
Liquefied Petroleum (LP) Gases............................

[[Page 37348]]

ASTM D2163-05, Standard Test Method for Analysis of 1065.720
Liquefied Petroleum (LP) Gases and Propene Concentrates by
Gas Chromatography........................................
ASTM D2598-02 (Reapproved 2007), Standard Practice for 1065.720
Calculation of Certain Physical Properties of Liquefied
Petroleum (LP) Gases from Compositional Analysis..........
ASTM D2622-07, Standard Test Method for Sulfur in Petroleum 1065.703,
Products by Wavelength Dispersive X-ray Fluorescence 1065.710
Spectrometry..............................................
ASTM D2713-91 (Reapproved 2001), Standard Test Method for 1065.720
Dryness of Propane (Valve Freeze Method)..................
ASTM D2784-06, Standard Test Method for Sulfur in Liquefied 1065.720
Petroleum Gases (Oxy-Hydrogen Burner or Lamp).............
ASTM D2880-03, Standard Specification for Gas Turbine Fuel 1065.701
Oils......................................................
ASTM D2986-95a (Reapproved 1999), Standard Practice for 1065.170
Evaluation of Air Assay Media by the Monodisperse DOP
(Dioctyl Phthalate) Smoke Test............................
ASTM D3231-07, Standard Test Method for Phosphorus in 1065.710
Gasoline..................................................
ASTM D3237-06e01, Standard Test Method for Lead in Gasoline 1065.710
By Atomic Absorption Spectroscopy.........................
ASTM D4052-96e01 (Reapproved 2002), Standard Test Method 1065.703
for Density and Relative Density of Liquids by Digital
Density Meter.............................................
ASTM D4814-07a, Standard Specification for Automotive Spark- 1065.701
Ignition Engine Fuel......................................
ASTM D5186-03, Standard Test Method for Determination of 1065.703
the Aromatic Content and Polynuclear Aromatic Content of
Diesel Fuels and Aviation Turbine Fuels By Supercritical
Fluid Chromatography......................................
ASTM D5191-07, Standard Test Method for Vapor Pressure of 1065.710
Petroleum Products (Mini Method)..........................
ASTM D5797-07, Standard Specification for Fuel Methanol 1065.701
(M70-M85) for Automotive Spark-Ignition Engines...........
ASTM D5798-07, Standard Specification for Fuel Ethanol 1065.701
(Ed75-Ed85) for Automotive Spark-Ignition Engines.........
ASTM D6615-06, Standard Specification for Jet B Wide-Cut 1065.701
Aviation Turbine Fuel.....................................
ASTM D6751-07b, Standard Specification for Biodiesel Fuel 1065.701
Blend Stock (B100) for Middle Distillate Fuels............
ASTM D6985-04a, Standard Specification for Middle 1065.701
Distillate Fuel Oil--Military Marine Applications.........
ASTM F1471-93 (Reapproved 2001), Standard Test Method for 1065.1001
Air Cleaning Performance of a High-Efficiency Particulate
Air Filter System.........................................
------------------------------------------------------------------------

(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 Sec. 1065.1010.--ISO Materials
------------------------------------------------------------------------
Part 1065
Document No. and name reference
------------------------------------------------------------------------
ISO 2719:2002, Determination of flash point--Pensky-Martens 1065.705
closed cup method.........................................
ISO 3016:1994, Petroleum products--Determination of pour 1065.705
point.....................................................
ISO 3104:1994/Cor 1:1997, Petroleum products--Transparent 1065.705
and opaque liquids--Determination of kinematic viscosity
and calculation of dynamic viscosity......................
ISO 3675:1998, Crude petroleum and liquid petroleum 1065.705
products--Laboratory determination of density--Hydrometer
method....................................................
ISO 3733:1999, Petroleum products and bituminous materials-- 1065.705
Determination of water--Distillation method...............
ISO 6245:2001, Petroleum products--Determination of ash.... 1065.705
ISO 8217:2005, Petroleum products--Fuels (class F)-- 1065.705
Specifications of marine fuels............................
ISO 8754:2003, Petroleum products--Determination of sulfur 1065.705
content--Energy-dispersive X-ray fluorescence spectrometry
ISO 10307-2:1993, Petroleum products--Total sediment in 1065.705
residual fuel oils--Part 2: Determination using standard
procedures for ageing.....................................
ISO 10370:1993/Cor 1:1996, Petroleum products-- 1065.705
Determination of carbon residue--Micro method.............
ISO 10478:1994, Petroleum products--Determination of 1065.705
aluminium and silicon in fuel oils--Inductively coupled
plasma emission and atomic absorption spectroscopy methods
ISO 12185:1996/Cor 1:2001, Crude petroleum and petroleum 1065.705
products--Determination of density--Oscillating U-tube
method....................................................
ISO 14596:2007, Petroleum products--Determination of sulfur 1065.705
content--Wavelength-dispersive X-ray fluorescence
spectrometry..............................................
ISO 14597:1997, Petroleum products--Determination of 1065.705
vanadium and nickel content--Wavelength-dispersive X-ray
fluorescence spectrometry.................................
ISO 14644-1:1999, Cleanrooms and associated controlled 1065.190
environments..............................................
------------------------------------------------------------------------

(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:

[[Page 37349]]

Table 3 of Sec. 1065.1010.--NIST Materials
------------------------------------------------------------------------
Document No. and name Part 1065 reference
------------------------------------------------------------------------
ISONIST Special Publication 811, 1995 1065.20, 1065.1001,
Edition, Guide for the Use of the 1065.1005
International System of Units (SI), Barry N.
Taylor, Physics Laboratory.
NIST Technical Note 1297, 1994 Edition, 1065.1001
Guidelines for Evaluating and Expressing the
Uncertainty of NIST Measurement Results,
Barry N. Taylor and Chris E. Kuyatt.
------------------------------------------------------------------------

(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 Sec. 1065.1010.--SAE Materials
------------------------------------------------------------------------
Part 1065
Document No. and name reference
------------------------------------------------------------------------
``Optimization of Flame Ionization Detector for 1065.360
Determination of Hydrocarbon in Diluted Automotive
Exhausts,'' Reschke Glen D., SAE 770141...................
``Relationships Between Instantaneous and Measured 1065.309
Emissions in Heavy Duty Applications,'' Ganesan B. and
Clark N. N., West Virginia University, SAE 2001-01-3536...
------------------------------------------------------------------------

(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 Sec. 1065.1010.--California Air Resources Board Materials
------------------------------------------------------------------------
Part 1065
Document No. and name reference
------------------------------------------------------------------------
``California Non-Methane Organic Gas Test Procedures,'' 1065.805
Amended July 30, 2002, Mobile Source Division, California
Air Resources Board.......................................
------------------------------------------------------------------------

(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 Sec. 1065.1010.--Institute of Petroleum Materials
------------------------------------------------------------------------
Part 1065
Document No. and name reference
------------------------------------------------------------------------
IP-470, Determination of aluminum, silicon, vanadium, 1065.705
nickel, iron, calcium, zinc, and sodium in residual fuels
by atomic absorption spectrometry.........................
IP-500, Determination of the phosphorus content of residual 1065.705
fuels by ultra-violet spectrometry........................
IP-501, Determination of aluminum, silicon, vanadium, 1065.705
nickel, iron, sodium, calcium, zinc and phosphorus in
residual fuel oil by ashing, fusion and inductively
coupled plasma emission spectrometry......................
------------------------------------------------------------------------

PART 1068--GENERAL COMPLIANCE PROVISIONS FOR NONROAD PROGRAMS

0
144. The authority citation for part 1068 continues to read as follows:

Authority: 42 U.S.C. 7401-7671q.

Subpart A--[Amended]

0
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:

Sec. 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) * * *

[[Page 37350]]

(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]