[Title 40 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 2010 Edition]
[From the U.S. Government Printing Office]
[[Page i]]
40
Part 1000 to End
Revised as of July 1, 2010
Protection of Environment
________________________
Containing a codification of documents of general
applicability and future effect
As of July 1, 2010
With Ancillaries
Published by
Office of the Federal Register
National Archives and Records
Administration
A Special Edition of the Federal Register
[[Page ii]]
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[[Page iii]]
Table of Contents
Page
Explanation................................................. v
Title 40:
Chapter I--Environmental Protection Agency
(Continued) 3
Chapter IV--Environmental Protection Agency and
Department of Justice 821
Chapter V--Council on Environmental Quality 829
Chapter VI--Chemical Safety and Hazard Investigation
Board 875
Chapter VII--Environmental Protection Agency and
Department of Defense; Uniform National Discharge
Standards for Vessels of the Armed Forces 911
Finding Aids:
Table of CFR Titles and Chapters........................ 923
Alphabetical List of Agencies Appearing in the CFR...... 943
List of CFR Sections Affected........................... 953
[[Page iv]]
----------------------------
Cite this Code: CFR
To cite the regulations in
this volume use title,
part and section number.
Thus, 40 CFR 1027.101
refers to title 40, part
1027, section 101.
----------------------------
[[Page v]]
EXPLANATION
The Code of Federal Regulations is a codification of the general and
permanent rules published in the Federal Register by the Executive
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into 50 titles which represent broad areas subject to Federal
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parts covering specific regulatory areas.
Each volume of the Code is revised at least once each calendar year
and issued on a quarterly basis approximately as follows:
Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1
The appropriate revision date is printed on the cover of each
volume.
LEGAL STATUS
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collection request.
[[Page vi]]
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[[Page vii]]
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July 1, 2010.
[[Page ix]]
THIS TITLE
Title 40--Protection of Environment is composed of thirty-two
volumes. The parts in these volumes are arranged in the following order:
parts 1-49, parts 50-51, part 52 (52.01-52.1018), part 52 (52.1019-end
of part 52), parts 53-59, part 60 (60.1-end of part 60, sections), part
60 (Appendices), parts 61-62, part 63 (63.1-63.599), part 63 (63.600-
63.1199), part 63 (63.1200-63.1439), part 63 (63.1440-63.6175), part 63
(63.6580-63.8830), part 63 (63.8980-end of part 63) parts 64-71, parts
72-80, parts 81-84, part 85-Sec. 86.599-99, part 86 (86.600-1-end of
part 86), parts 87-99, parts 100-135, parts 136-149, parts 150-189,
parts 190-259, parts 260-265, parts 266-299, parts 300-399, parts 400-
424, parts 425-699, parts 700-789, parts 790-999, and part 1000 to end.
The contents of these volumes represent all current regulations codified
under this title of the CFR as of July 1, 2010.
Chapter I--Environmental Protection Agency appears in all thirty-two
volumes. Regulations issued by the Council on Environmental Quality,
including an Index to Parts 1500 through 1508, appear in the volume
containing part 1000 to end. The OMB control numbers for title 40 appear
in Sec. 9.1 of this chapter.
For this volume, Michele Bugenhagen was Chief Editor. The Code of
Federal Regulations publication program is under the direction of
Michael L. White, assisted by Ann Worley.
[[Page 1]]
TITLE 40--PROTECTION OF ENVIRONMENT
(This book contains part 1000 to End)
--------------------------------------------------------------------
Part
chapter i--Environmental Protection Agency (Continued)...... 1027
chapter iv--Environmental Protection Agency and Department
of Justice................................................ 1400
chapter v--Council on Environmental Quality................. 1500
chapter vi--Chemical Safety and Hazard Investigation Board.. 1600
chapter vii--Environmental Protection Agency and Department
of Defense; Uniform National Discharge Standards for
Vessels of the Armed Forces............................... 1700
[[Page 3]]
CHAPTER I--ENVIRONMENTAL PROTECTION AGENCY (CONTINUED)
--------------------------------------------------------------------
Editorial Note: Nomenclature changes to chapter I appear at 65 FR
47324, 47325, Aug. 2, 2000, and 66 FR 34375, 34376, June 28, 2001.
SUBCHAPTER U--AIR POLLUTION CONTROLS
Part Page
1027 Fees for engine, vehicle, and equipment
compliance programs..................... 4
1033 Control of emissions from locomotives....... 11
1039 Control of emissions from new and in-use
nonroad compression-ignition engines.... 90
1042 Control of emissions from new and in-use
marine compression-ignition engines and
vessels................................. 167
1043 Control of NOX, SOX, and PM emissions from
engines and vessels subject to the
MARPOL protocol......................... 252
1045 Control of emissions from spark-ignition
propulsion marine engines and vessels... 262
1048 Control of emissions from new, large nonroad
spark-ignition engines.................. 327
1051 Control of emissions from recreational
engines and vehicles.................... 386
1054 Control of emissions from new, small nonroad
spark-ignition engines and equipment.... 451
1060 Control of evaporative emissions from new
and in-use nonroad and stationary
equipment............................... 520
1065 Engine-testing procedures................... 559
1068 General compliance provisions for engine
programs................................ 755
1074 Preemption of state standards and procedures
for waiver of federal preemption for
nonroad engines and nonroad vehicles.... 817
[[Page 4]]
SUBCHAPTER U_AIR POLLUTION CONTROLS
PART 1027_FEES FOR ENGINE, VEHICLE, AND EQUIPMENT COMPLIANCE
PROGRAMS--Table of Contents
Sec.
1027.101 To whom do these requirements apply?
1027.105 How much are the fees?
1027.110 What special provisions apply for certification related to
motor vehicles?
1027.115 What special provisions apply for certification related to
nonroad and stationary engines?
1027.120 Can I qualify for reduced fees?
1027.125 Can I get a refund?
1027.130 How do I make a fee payment?
1027.135 What provisions apply to a deficient filing?
1027.140 What reporting and recordkeeping requirements apply under this
part?
1027.150 What definitions apply to this part?
1027.155 What abbreviations apply to this subpart?
Authority: 42 U.S.C. 7401-7671q.
Source: 73 FR 59184, Oct. 8, 2008, unless otherwise noted.
Sec. 1027.101 To whom do these requirements apply?
(a) This part prescribes fees manufacturers must pay for activities
related to EPA's engine, vehicle, and equipment compliance program
(EVECP). This includes activities related to approving certificates of
conformity and performing tests and taking other steps to verify
compliance with emission standards. You must pay fees as described in
this part if you are a manufacturer of any of the following products:
(1) Motor vehicles and motor vehicle engines we regulate under 40
CFR part 86. This includes light-duty vehicles, light-duty trucks,
medium-duty passenger vehicles, highway motorcycles, and heavy-duty
highway engines and vehicles.
(2) The following nonroad engines and equipment:
(i) Locomotives and locomotive engines we regulate under 40 CFR part
92 or 1033.
(ii) Nonroad compression-ignition engines we regulate under 40 CFR
part 89 or 1039.
(iii) Marine compression-ignition engines we regulate under 40 CFR
part 94, 1042, or 1043.
(iv) Marine spark-ignition engines and vessels we regulate under 40
CFR part 91, 1045, or 1060. We refer to these as Marine SI engines.
(v) Nonroad spark-ignition engines above 19 kW we regulate under 40
CFR part 1048. We refer to these as Large SI engines.
(vi) Recreational vehicles we regulate under 40 CFR part 1051.
(vii) Nonroad spark-ignition engines and equipment at or below 19 kW
we regulate under 40 CFR part 90, 1054, or 1060. We refer to these as
Small SI engines.
(3) The following stationary internal combustion engines:
(i) Stationary compression-ignition engines we certify under 40 CFR
part 60, subpart IIII.
(ii) Stationary spark-ignition engines we certify under 40 CFR part
60, subpart JJJJ.
(4) Portable fuel containers we regulate under 40 CFR part 59,
subpart F.
(b) This part applies to applications for certification that we
receive on or after December 8, 2008. Earlier applications are subject
to the provisions of 40 CFR part 85, subpart Y, as that provision read
before December 8, 2008.
(c) Nothing in this part limits our authority to conduct testing or
to require you to conduct testing as provided in the Act, including our
authority to require you to conduct in-use testing under section 208 of
the Act (42 U.S.C. 7542).
(d) Paragraph (a) of this section identifies the parts of the CFR
that define emission standards and other requirements for particular
types of engines, vehicles, and fuel-system components. This part 1027
refers 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 recreational vehicles. For some nonroad engines, we
allow for certification related to evaporative emissions separate from
exhaust emissions. In this case, 40 CFR part 1060 is
[[Page 5]]
the standard-setting part for the equipment or fuel system components
you produce.
[73 FR 59184, Oct. 8, 2008, as amended at 75 FR 22981, Apr. 30, 2010]
Sec. 1027.105 How much are the fees?
(a) Fees are determined based on the date we receive a complete
application for certification. Each reference to a year in this subpart
refers to the calendar year, unless otherwise specified. Paragraph (b)
of this section specifies baseline fees, which applied for certificates
received in 2005. For engine and vehicles not yet subject to standards
in 2005, these values represent the fees that apply initially based on
available information to characterize what the fees would have been in
2005. See paragraph (c) of this section for provisions describing how we
calculate fees for future years.
(b) The following baseline fees for each application for
certification:
(1) Except as specified in paragraph (b)(2) of this section for
Independent Commercial Importers, the following fees apply for motor
vehicles and motor vehicle engines:
------------------------------------------------------------------------
Category Certificate type Fee
------------------------------------------------------------------------
(i) Light-duty vehicles and trucks Federal............. $33,883
(ii) Light-duty vehicles and California-only..... 16,944
trucks.
(iii) Medium-duty passenger Federal............. 33,883
vehicles.
(iv) Medium-duty passenger California-only..... 16,944
vehicles.
(v) Highway motorcycle............ All................. 2,414
(vi) Heavy-duty highway engine.... Federal............. 21,578
(vii) Heavy-duty highway engine... California-only..... 826
(viii) Complete heavy-duty highway Federal............. 33,883
vehicles.
(ix) Complete heavy-duty highway California-only..... 16,944
vehicles.
(x) Heavy-duty vehicle............ Evap................ 826
------------------------------------------------------------------------
(2) A fee of $8,387 applies for Independent Commercial Importers
with respect to the following motor vehicles:
(i) Light-duty vehicles and light-duty trucks.
(ii) Medium-duty passenger vehicles.
(iii) Complete heavy-duty highway vehicles.
(3) The following fees apply for nonroad and stationary engines,
vehicles, equipment, and components:
------------------------------------------------------------------------
Category Certificate type Fee
------------------------------------------------------------------------
(i) Locomotives and locomotive All................. $826
engines.
(ii) Marine compression-ignition All, including EIAPP 826
engines and stationary
compression-ignition engines with
per-cylinder displacement at or
above 10 liters.
(iii) Other nonroad compression- All................. 1,822
ignition engines and stationary
compression-ignition engines with
per-cylinder displacement below
10 liters.
(iv) Large SI engines............. All................. 826
(v) Stationary spark-ignition All................. 826
engines above 19 kW.
(vi) Marine SI engines and Small Exhaust only........ 826
SI engines.
(vii) Stationary spark-ignition Exhaust only........ 826
engines at or below 19 kW.
(viii) Recreational vehicles...... Exhaust (or combined 826
exhaust and evap).
(ix) Equipment and fuel-system Evap (where separate 241
components associated with certification is
nonroad and stationary spark- required).
ignition engines, including
portable fuel containers.
------------------------------------------------------------------------
(c) We will calculate adjusted fees for later years based on changes
in the Consumer Price Index and the number of certificates. We will
announce adjusted fees for a given year by January 31 of the preceding
year.
(1) We will adjust the values specified in paragraph (b) of this
section for later years as follows:
(i) Use the fee identified in Sec. 1027.105(b)(3) through 2014 for
certification related to evaporative emissions from nonroad and
stationary engines when a separate fee applies for certification to
evaporative emission standards. Use the following equation starting with
2015:
[[Page 6]]
[GRAPHIC] [TIFF OMITTED] TR24FE09.003
Where:
Certificate FeeCY = Fee per certificate for a given year.
Op = operating costs are all of EPA's nonlabor costs for each category's
compliance program, including any fixed costs associated with EPA's
testing laboratory, as described in paragraph (d)(1) of this section.
L = the labor costs, to be adjusted by the Consumer Price Index, as
described in paragraph (d)(1) of this section.
CPICY-2 = the Consumer Price Index for the month of November
two years before the applicable calendar year, as described in paragraph
(d)(2) of this section.
CPI2006 = 201.8. This is based on the October 2006 value of
the Consumer Price Index.
OH = 1.169. This is based on EPA overhead, which is applied to all
costs.
certMY-2 = the total number of certificates issued
for a fee category in the model year two years before the calendar year
for the applicable fees as described in paragraph (d)(3) of this
section.
certMY-3 = the total number of certificates issued
for a fee category in the model year three years before the calendar
year for the applicable fees as described in paragraph (d)(3) of this
section.
(ii) Use the following equation for all other certificates for 2006
and later:
[GRAPHIC] [TIFF OMITTED] TR24FE09.004
Where:
CPI2002 = 180.9. This is based on the December 2002 value of
the Consumer Price Index as described in paragraph (d)(2) of this
section.
(2) The fee for any year will remain at the previous year's amount
until the value calculated in paragraph (c)(1) of this section differs
by at least $50 from the amount specified for the previous year.
(d) Except as specified in Sec. 1027.110(a) for motor vehicles and
motor vehicle engines, we will use the following values to determine
adjusted fees using the equation in paragraph (c) of this section:
(1) The following values apply for operating costs and labor costs:
------------------------------------------------------------------------
Engine or Vehicle Category Op L
------------------------------------------------------------------------
(i) Light-duty, medium-duty passenger, $3,322,039 $2,548,110
and complete heavy-duty highway vehicle
certification..........................
(ii) Light-duty, medium-duty passenger, 2,858,223 2,184,331
and complete heavy-duty highway vehicle
in-use testing.........................
(iii) Independent Commercial Importers 344,824 264,980
identified in Sec. 1027.105(b)(2)....
(iv) Highway motorcycles................ 225,726 172,829
(v) Heavy-duty highway engines.......... 1,106,224 1,625,680
(vi) Nonroad compression-ignition 486,401 545,160
engines that are not locomotive or
marine engines, and stationary
compression-ignition engines with per-
cylinder displacement below 10 liters..
(vii) Evaporative certificates related 5,039 236,670
to nonroad and stationary engines......
(viii) All other........................ 177,425 548,081
------------------------------------------------------------------------
(2) The applicable Consumer Price Index is based on the values
published by the Bureau of Labor Statistics for all U.S. cities using
the ``U.S. city average'' area, ``all items,'' and ``not seasonally
adjusted'' numbers (see ftp://ftp.bls.gov/pub/special.requests/cpi/
cpiai.txt). For example, we calculated the 2006 fees using the Consumer
Price Index for November 2004, which is 191.0.
(3) Fee categories for counting the number of certificates issued
are based on the grouping shown in paragraph (d)(1) of this section.
[[Page 7]]
(e) The following example for calculating the 2006 complete federal
heavy duty highway vehicle fee illustrates the fee adjustment:
Op = $1,106,224
L = $1,625,680
CPI2002 = 180.9
CPI2004 = 191.0
cert 2004 = 131
cert2003 = 95
Fee06 = [$1,106,224 + $1,625,680 . (191.0/180.9)] .
1.169/[(131+95) . 0.5] = $29,200.88
Assessed Fee = $29,201
[73 FR 59184, Oct. 8, 2008, as amended at 74 FR 8423, Feb. 24, 2009; 75
FR 22981, Apr. 30, 2010]
Sec. 1027.110 What special provisions apply for certification related
to motor vehicles?
(a) We will adjust fees for 2006 and later years for light-duty,
medium-duty passenger, and complete heavy-duty highway vehicles as
follows:
(1) California-only certificates. Calculate adjusted fees for
California-only certificates by applying the light-duty, medium-duty
passenger, and complete heavy-duty highway vehicle certification Op and
L values to the equation in Sec. 1027.105(c). The total number of
certificates issued will be the total number of California-only and
federal light-duty, medium-duty passenger, and complete heavy-duty
highway vehicle certificates issued during the appropriate model years.
(2) Federal certificates. Calculate adjusted fees for federal
certificates with the following three steps:
(i) Apply the light-duty, medium-duty passenger, and complete heavy-
duty highway vehicle certification Op and L values to the equation in
Sec. 1027.105(c) to determine the certification portion of the light-
duty fee. The total number of certificates issued will be the total
number of California-only and federal light-duty, medium-duty passenger
and complete heavy-duty highway vehicle certificates issued during the
appropriate model years.
(ii) Apply the light-duty, medium-duty passenger, and complete
heavy-duty highway vehicle in-use testing Op and L values to the
equation in Sec. 1027.105(c) to determine the in-use testing portion of
the fee. The total number of certificates issued will be the total
number of federal light-duty, medium-duty passenger, and complete heavy-
duty highway vehicle certificates issued during the appropriate model
years.
(iii) Add the certification and in-use testing portions determined
in paragraphs (a)(2)(i) and (ii) of this section to determine the total
light-duty, medium-duty passenger, and complete heavy-duty highway
vehicle fee for each federal certificate.
(b) For light-duty vehicles, light-duty trucks, medium-duty
passenger vehicles, highway motorcycles, and complete heavy-duty highway
vehicles subject to exhaust emission standards, the number of
certificates issued as specified in Sec. 1027.105(d)(3) is based only
on engine families with respect to exhaust emissions. A separate fee
applies for each evaporative family for heavy-duty engines.
(c) If you manufacture a heavy-duty vehicle that another company has
certified as an incomplete vehicle such that you exceed the maximum fuel
tank size specified by the original manufacturer in the applicable
certificate of conformity, you must submit a new application for
certification and certification fee for the vehicle.
Sec. 1027.115 What special provisions apply for certification related
to nonroad and stationary engines?
(a) For spark-ignition engines above 19 kW that we regulate under 40
CFR part 1048 and for all compression-ignition engines, the applicable
fee is based only on engine families with respect to exhaust emissions.
(b) For manufacturers certifying recreational vehicles with respect
to both exhaust and evaporative emission standards, fees are determined
using one of the following approaches:
(1) If your engine family includes demonstration of compliance with
both exhaust and evaporative emission standards, the applicable fee is
based on certification related to the combined family. No separate fee
applies for certification with respect to evaporative emission
standards. These are all considered engine families complying with
exhaust emissions for determining the number of certificates for
calculating fees for later years.
[[Page 8]]
(2) If you have separate families for demonstrating compliance with
exhaust and evaporative emission standards, a separate fee from the
appropriate fee category applies for each unique family. Also, the
number of certificates issued as specified in Sec. 1027.105(d)(3) is
based on a separate count of emission families for exhaust and
evaporative emissions for each respective fee category.
(c) For manufacturers certifying other spark-ignition engines or
equipment with respect to exhaust and evaporative emission standards, a
separate fee from the appropriate fee category applies for each unique
family. A single engine or piece of equipment may involve separate
emission families and certification fees for exhaust and evaporative
emissions. Also, the number of certificates issued as specified in Sec.
1027.105(d)(3) is based on a separate count of emission families for
exhaust and evaporative emissions for each respective fee category.
(d) For any certification related to evaporative emissions from
engines, equipment, or components not covered by paragraph (a) through
(c) of this section, the fee applies for each certified product
independent of certification for exhaust emissions, as illustrated in
the following examples:
(1) A fuel tank certified to meet permeation and diurnal emission
standards would count as a single family for assessing the certification
fee and for calculating fee amounts for future years.
(2) If an equipment manufacturer applies for certification to
generate or use emission credits for fuel tanks and fuel lines, each
affected fuel-tank and fuel-line family would count as a single family
for assessing the certification fee and for calculating fee amounts for
future years. This fee applies whether or not the equipment manufacturer
is applying for certification to demonstrate compliance with another
emission standard, such as running losses.
(e) If you certify fuel system components under 40 CFR part 1060, a
single fee applies for each emission family even if those components are
used with different types of nonroad or stationary engines.
(f) If your application for certification relates to emission
standards that apply only in California, you must pay the same fee
identified for meeting EPA standards.
(g) For marine compression-ignition engines, if you apply for a
Federal certificate and an EIAPP certificate for the same engine family,
a single fee applies for the engine family (see 40 CFR parts 94, 1042,
and 1043).
(h) If you produce engines for multiple categories in a single
engine family, a single fee applies for the engine family. For example,
40 CFR 60.4210 allows you to produce stationary and nonroad compression-
ignition engines in a single engine family. If the certification fee for
the different types of engines is different, the fee that applies for
these engines is based on the emission standards to which you certify
the engine family. For example, if you certify marine diesel engines to
the standards that apply to land-based nonroad diesel engines under 40
CFR 94.912, the certification fee is based on the rate that applies for
land-based nonroad diesel engines.
[73 FR 59184, Oct. 8, 2008, as amended at 75 FR 22982, Apr. 30, 2010]
Sec. 1027.120 Can I qualify for reduced fees?
(a) Eligibility requirements. Both of the following conditions must
be met before you are eligible for a reduced fee:
(1) The certificate is to be used for sale of vehicles or engines
within the United States.
(2) The full fee for an application for certification for a model
year exceeds 1.0% of the aggregate projected retail sales price of all
vehicles or engines covered by the certificate.
(b) Initial reduced fee calculation. (1) If the conditions of
paragraph (a) of this section are met, the initial fee paid must be $750
or 1.0% of the aggregate projected retail sales price of all the
vehicles or engines to be covered by the certificate, whichever is
greater.
(2) For vehicles or engines that are converted to operate on an
alternative fuel using as the basis for the conversion a vehicle or
engine that is covered by an existing certificate of conformity, the
cost basis used in this section must be the aggregate projected
[[Page 9]]
retail value-added to the vehicle or engine by the conversion rather
than the full cost of the vehicle or engine. For this provision to
apply, the existing certificate must cover the same sales area and model
year as the requested certificate for the converted vehicle or engine.
(3) For remanufacturing systems, the cost basis used in this section
must be the aggregate projected retail cost of a complete remanufacture,
including the cost of the replacement components, software, and
assembly.
(4) For ICI certification applications, the cost basis of this
section must be the aggregate projected retail cost of the entire
vehicle(s) or engine(s), not just the value added by the conversion. If
the vehicles/engines covered by an ICI certificate are not being offered
for sale, the manufacturer shall use the fair retail market value of the
vehicles/engines as the retail sale price required in this section. For
an ICI application for certification, the retail sales price (or fair
retail market value) must be based on the applicable National Automobile
Dealer's Association (NADA) appraisal guide and/or other evidence of the
actual market value.
(5) The aggregate cost used in this section must be based on the
total projected sales of all vehicles and engines under a certificate,
including vehicles and engines modified under the modification and test
option in 40 CFR 85.1509 and 89.609. The projection of the number of
vehicles or engines to be covered by the certificate and their projected
retail selling price must be based on the latest information available
at the time of the fee payment.
(6) You may submit a reduced fee as described in this section if it
is accompanied by a calculation of the fee based on the number of
vehicles covered and the projected aggregate retail sales price as
specified on the fee filing form. Your reduced fee calculation shall be
deemed approved unless we determine that the criteria of this section
have not been met. We may make such a determination either before or
after issuing a certificate of conformity. If we determine that the
requirements of this section have not been met, we may deny future
reduced fee applications and require submission of the full fee payment
until you demonstrate to our satisfaction that your reduced fee
submissions are based on accurate data and that final fee payments are
made within 45 days of the end of the model year.
(7) If we deny your request for a reduced fee, you must send us the
appropriate fee within 30 days after we notify you.
(c) Revision of the number of vehicles or engines covered by the
certificate. (1) You must take both of the following steps if the number
of vehicles or engines to be produced or imported under the certificate
exceeds the number indicated on the certificate (including a certificate
under which modification and test vehicles are imported under 40 CFR
85.1509 and 89.609):
(i) Request that we revise the certificate with a number that
indicates the new projection of the vehicles or engines to be covered by
the certificate. We must issue the revised certificate before the
additional number of vehicles or engines may be sold or finally imported
into the United States.
(ii) Submit payment of 1.0% of the aggregate projected retail sales
price of all the additional vehicles or engines.
(2) You must receive a revised certificate before the sale or final
importation of any vehicles or engines, including modification and test
vehicles, that are not originally included in the certificate issued
under paragraph (b) of this section, or as indicated in a revised
certificate issued under paragraph (c)(1) of this section. Such vehicles
that are sold or imported before we issue a revised certificate are
deemed to be not covered by a certificate of conformity.
(d) Final reduced fee calculation and adjustment. (1) If the initial
fee payment is less than the final reduced fee, you must pay the
difference between the initial reduced fee and the final reduced fee
using the provisions of Sec. 1027.130. Calculate the final reduced fee
using the procedures of paragraph (c) of this section but using actual
production figures rather than projections and actual retail sales value
rather than projected retail sales value.
(2) You must pay the difference between the initial reduced fee and
the final reduced fee within 45 days of the
[[Page 10]]
end of the model year. The total fees paid for a certificate may not
exceed the applicable full fee specified in Sec. 1027.105. We may void
the applicable certificate if you fail to make a complete payment within
the specified period. We may also refuse to grant reduced fee requests
submitted under paragraph (b)(5) of this section.
(3) If the initial fee payment exceeds the final reduced fee, you
may request a refund using the procedures of Sec. 1027.125.
(e) Records retention. You are subject to the applicable
requirements to maintain records under this chapter. If you fail to
maintain required records or provide them to us, we may void the
certificate associated with such records. You must also record the basis
you used to calculate the projected sales and fair retail market value
and the actual sales and retail price for the vehicles and engines
covered by each certificate issued under this section. You must keep
this information for at least three years after we issue the certificate
and provide it to us within 30 days of our request.
Sec. 1027.125 Can I get a refund?
(a) We will refund the total fee imposed under this part if you ask
for a refund after failing to get a certificate for any reason.
(b) If your actual sales or the actual retail prices in a given year
are less than you projected for calculating a reduced fee under Sec.
1027.120, we will refund the appropriate portion of the fee. We will
also refund a portion of the initial payment if it exceeds the final fee
for the engines, vehicles, or equipment covered by the certificate
application.
(1) You are eligible for a partial refund related only to a
certificate used for the sale of engines, vehicles, or equipment under
that certificate in the United States.
(2) Include all the following in your request for a partial refund
of reduced fee payments:
(i) State that you sold engines, vehicles, or equipment under the
applicable certificate in the United States.
(ii) Identify the number of engines, vehicles, or equipment you
produced or imported under the certificate, and whether the engines,
vehicles, or equipment have been sold.
(iii) Identify the reduced fee that you paid under the applicable
certificate.
(iv) Identify the actual retail sales price for the engines,
vehicles, or equipment produced or imported under the certificate.
(v) Calculate the final value of the reduced fee using actual
production figures and retail prices.
(vi) Calculate the refund amount.
(c) We will approve your request to correct errors in the amount of
the fee.
(d) All refunds must be applied for within six months after the end
of the model year.
(e) Send refund and correction requests to the Fee Program
Specialist, U.S. Environmental Protection Agency, Vehicle Programs and
Compliance Division, 2000 Traverwood Dr., Ann Arbor, MI 48105, online at
www.Pay.gov, or as specified in guidance by the Administrator.
(f) You may request to have refund amounts applied to the amount due
on another application for certification.
Sec. 1027.130 How do I make a fee payment?
(a) Pay fees to the order of the Environmental Protection Agency in
U.S. dollars using any of the following methods: money order, bank
draft, certified check, corporate check, electronic funds transfer, any
method available for payment online at www.Pay.gov., or as specified in
EPA guidance.
(b) Send a completed fee filing form to the address designated on
the form for each fee payment or electronically at www.Pay.gov., or as
provided in EPA guidance. These forms are available on the Internet at
http://www.epa.gov/otaq/guidance.htm.
(c) You must pay the fee amount due before we will start to process
an application for certification.
(d) If we deny a reduced fee, you must pay the proper fee within 30
days after we notify you of our decision.
Sec. 1027.135 What provisions apply to a deficient filing?
(a) Any filing under this part is deficient if it is not accompanied
by a
[[Page 11]]
completed fee filing form and full payment of the appropriate fee.
(b) A deficient filing will be rejected unless the completed form
and full payment are submitted within a time limit we specify. We will
not process an application for certification if the associated filing is
deficient.
Sec. 1027.140 What reporting and recordkeeping requirements apply under this part?
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,
vehicles, and equipment regulated under this part:
(a) Filling out fee filing forms under Sec. 1027.130.
(b) Retaining fee records, including reduced fee documentation,
under Sec. 1027.120.
(c) Requesting refunds under Sec. 1027.125.
Sec. 1027.150 What definitions apply to this part?
The definitions in this section apply to this part. As used in this
part, all undefined terms have the meaning the Act or the standard-
setting part gives to them. The definitions follow:
Application for Certification means a manufacturer's submission of
an application for certification.
California-only certificate is a certificate of conformity issued by
EPA showing compliance with emission standards established by
California.
Federal certificate is a certificate of conformity issued by EPA
showing compliance with EPA emission standards specified in one of the
standard-setting parts specified in Sec. 1027.101(a).
Light-duty means relating to light-duty vehicles and light-duty
trucks.
Manufacturer has the meaning given in section 216(1) of the Act. In
general, this term includes any person who manufactures an engine,
vehicle, vessel, or piece of equipment for sale in the United States or
otherwise introduces a new engine, vehicle, vessel, or piece of
equipment into commerce in the United States. This includes importers
who import such products for resale, but not dealers.
Total number of certificates issued means the number of certificates
for which fees have been paid. This term is not intended to represent
multiple certificates that are issued within a single family or test
group.
Void has the meaning given in 40 CFR 1068.30.
We (us, our) means the Administrator of the Environmental Protection
Agency and any authorized representatives.
[73 FR 59184, Oct. 8, 2008, as amended at 75 FR 22982, Apr. 30, 2010]
Sec. 1027.155 What abbreviations apply to this subpart?
The following symbols, acronyms, and abbreviations apply to this
part:
CFR....................................... Code of Federal Regulations.
EPA....................................... U.S. Environmental
Protection Agency.
Evap...................................... Evaporative Emissions.
EVECP..................................... Engine, vehicle, and
equipment compliance
program.
ICI....................................... Independent Commercial
Importer.
U.S....................................... United States.
PART 1033_CONTROL OF EMISSIONS FROM LOCOMOTIVES--Table of Contents
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.
1033.30 Submission of information.
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.
[[Page 12]]
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.
1033.652 Special provisions for exported 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.
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.
1033.925 Reporting and recordkeeping requirements.
Authority: 42 U.S.C. 7401-7671q.
Source: 73 FR 37197, June 30, 2008, unless otherwise noted.
[[Page 13]]
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
[[Page 14]]
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.
(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 to measure exhaust emissions. 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
exhaust 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.
[73 FR 37197, June 30, 2008, as amended at 75 FR 22982, Apr. 30, 2010]
Sec. 1033.30 Submission of information.
(a) This part includes various requirements to record data or other
information. Refer to Sec. 1033.925 and 40 CFR 1068.25 regarding
recordkeeping
[[Page 15]]
requirements. Unless we specify otherwise, store these records in any
format and on any media and keep them readily available for one year
after you send an associated application for certification, or one year
after you generate the data if they do not support an application for
certification. You must promptly send us organized, written records in
English if we ask for them. We may review them at any time.
(b) The regulations in Sec. 1033.255 and 40 CFR 1068.101 describe
your obligation to report truthful and complete information and the
consequences of failing to meet this obligation. This includes
information not related to certification.
(c) Send all reports and requests for approval to the Designated
Compliance Officer (see Sec. 1033.901).
(d) Any written information we require you to send to or receive
from another company is deemed to be a required record under this
section. Such records are also deemed to be submissions to EPA. We may
require you to send us these records whether or not you are a
certificate holder.
[75 FR 22982, Apr. 30, 2010]
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
[[Page 16]]
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.
\c\ 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.
(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
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. FELs may not be higher than the following limits:
(1) FELs for Tier 0 and Tier 1 locomotives originally manufactured
before 2002 may have any value.
(2) FELs for Tier 1 locomotives originally manufactured 2002 through
2004 may not exceed 9.5 g/bhp-hr for NOX emissions or 0.60 g/
bhp-hr for PM emissions measured over the line-haul duty cycle. FELs for
these locomotives may not exceed 14.4 g/bhp-hr for NOX
emissions or 0.72 g/bhp-hr for PM emissions measured over the switch
duty cycle.
(3) FELs for Tier 2 and Tier 3 locomotives may not exceed the Tier 1
standards of this section.
(4) FELs for Tier 4 locomotives may not exceed the Tier 3 standards
of this section.
(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.
[[Page 17]]
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 Sec. 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.
[[Page 18]]
(3) Manufacturers/remanufacturers of locomotives with non-
locomotive-specific engines (as defined in Sec. 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
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
[[Page 19]]
standards for the remainder of their service lives.
[73 FR 37197, June 30, 2008, as amended at 73 FR 59188, Oct. 8, 2008; 75
FR 22982, Apr. 30, 2010]
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 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
[[Page 20]]
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.
[[Page 21]]
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 application
for certification 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.
(2) This does not apply to AECDs related to hotel mode that conform
to the specifications of this paragraph (f)(2). This provision is
intended for AECDs that have the primary function of operating the
engine at a different speed than would be done to generate the same
propulsive power when not operating in hotel mode. Identify and describe
these AECDs in your application for certification. We may allow the
AECDs to modify engine calibrations where we determine that such
modifications are environmentally beneficial or needed for proper engine
function. You must obtain preliminary approval under Sec. 1033.210
before incorporating such modifications. Otherwise, you must apply the
same injection timing and intake air cooling strategies in hotel mode
and non-hotel mode.
(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.
(3) You may ask to use alternate stop/start systems that will
achieve equivalent idle control.
(4) See Sec. 1033.201 for provisions that allow you to obtain a
separate certificate for idle controls.
(5) 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.
[73 FR 37197, June 30, 2008, as amended at 73 FR 59189, Oct. 8, 2008; 75
FR 22982, Apr. 30, 2010]
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.
(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
[[Page 22]]
operation (or miles for Tier 0 locomotives not equipped with MW-hr
meters) 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
regulated 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 need to cover components whose failure would
not increase a locomotive's emissions of any regulated pollutant. For
remanufactured locomotives, your emission-related warranty is required
to cover only those parts that you supply or those parts for which you
specify allowable part manufacturers. It does not need to 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.
[73 FR 37197, June 30, 2008, as amended at 73 FR 59189, Oct. 8, 2008; 75
FR 22983, Apr. 30, 2010]
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:
[[Page 23]]
(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 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 and Tier 1 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
[[Page 24]]
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.''
[[Page 25]]
(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.
[73 FR 37197, June 30, 2008, as amended at 73 FR 59189, Oct. 8, 2008]
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 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 30,000MW-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
[[Page 26]]
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 follows:
(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
[[Page 27]]
adjusted by the Association of American Railroads' monthly railroad fuel
price index (P), which is available at https://www.aar.org//media/AAR/
RailCostIndexes/Index--MonthlyFuelPrices.ashx. (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, 2009
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 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 2017 and
earlier Tier 4 earlier Tier 4
NOX standards PM standards
------------------------------------------------------------------------
0 < MW-hrs <= 50% of UL................. 0.7 0.01
50 < MW-hrs <= 75% of UL................ 1.0 0.01
[[Page 28]]
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 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
[[Page 29]]
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.
(l) 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.
(m) Assigned deterioration factors. The provisions of this paragraph
(m) apply for Tier 0 and Tier 1 locomotives to the standards of this
part during model years 2008 or 2009. Remanufacturers certifying such
locomotives to the standards of this part during these model years may
use an assigned deterioration factor of 0.03 g/bhp-hr for PM and an
assigned deterioration factor of zero for other pollutants. For purposes
of determining compliance other than for certification or production-
line testing, calculate the applicable in-use compliance limits for
these locomotives by adjusting the applicable PM standards/FELs upward
by 0.03 g/bhp-hr.
[73 FR 37197, June 30, 2008, as amended at 73 FR 59189, Oct. 8, 2008; 74
FR 8423, Feb. 24, 2009; 75 FR 22983, Apr. 30, 2010]
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
[[Page 30]]
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) [Reserved]
(c) You must update and correct your application to accurately
reflect your production, as described in Sec. 1033.225.
(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
[[Page 31]]
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)(i) 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.
(ii) Report measured CO2, N2O, and
CH4 as described in Sec. 1033.235. Small manufacturers/
remanufacturers may omit reporting N2O and CH4.
(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
[[Page 32]]
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.
[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008; 74
FR 56508, Oct. 30, 2008]
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. 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 or eliminating any of the specified
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).
[73 FR 37197, June 30, 2008, as amended at 75 FR 22983, Apr. 30, 2010]
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 that is included or should be included in
your application. For example, you must
[[Page 33]]
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 relevant
information to the Designated Compliance Officer.
(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 for showing that the amended family complies 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 after we request it, 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
[[Page 34]]
production volumes to calculate emission credits for the model year, as
described in subpart H of this part. In all other circumstances, you
must use the higher FEL for the entire family to calculate emission
credits 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
emission credits for the model year, as described in subpart H of this
part.
[73 FR 37197, June 30, 2008, as amended at 75 FR 22983, Apr. 30, 2010]
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.
(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.
[[Page 35]]
(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 becomes 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.
[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008]
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 emission-data
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 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 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. For example, this would apply where we determine
that an engine parameter is not an adjustable parameter (as defined in
Sec. 1033.901) but
[[Page 36]]
that it is subject to production variability.
(d) You may ask to use carryover 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.
(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.
(i) Measure CO2 with each test. Measure CH4
with each low-hour certification test using the procedures specified in
40 CFR part 1065 starting in the 2012 model year. Also measure
N2O with each low-hour certification test using the
procedures specified in 40 CFR part 1065 for any engine family that
depends on NOx aftertreatment to meet emission standards. Small
manufacturers/remanufacturers may omit measurement of N2O and
CH4. Use the same units and modal calculations as for your
other results to report a single weighted value for CO2,
N2O, and CH4. Round the final values as follows:
(1) Round CO2 to the nearest 1 g/bhp-hr.
(2) Round N2O to the nearest 0.001 g/bhp-hr.
(3) Round CH4 to the nearest 0.001g/bhp-hr.
[73 FR 37197, June 30, 2008, as amended at 74 FR 56508, Oct. 30, 2008;
75 FR 22984, Apr. 30, 2010]
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 official emission results and 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 an official
emission result or a deteriorated emission level for any pollutant that
is above an applicable emission standard. 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
[[Page 37]]
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.
[73 FR 37197, June 30, 2008, as amended at 75 FR 22984, Apr. 30, 2010]
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.
[[Page 38]]
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 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.
[[Page 39]]
(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. We will base our
decision on all available information. 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).
[73 FR 37197, June 30, 2008, as amended at 75 FR 22984, Apr. 30, 2010]
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
locomotives. However, unless we specify otherwise, the requirements of
this subpart apply to manufacturers/remanufacturers that hold the
certificates for the locomotives.
[[Page 40]]
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.
[[Page 41]]
(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 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
[[Page 42]]
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:
[[Page 43]]
(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.
(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. We may also ask you to send less information.
(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.
[73 FR 37197, June 30, 2008, as amended at 75 FR 22984, Apr. 30, 2010]
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
[[Page 44]]
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, the
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)
[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008]
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
[[Page 45]]
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.
(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
[[Page 46]]
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, including for purposes of recall under 40 CFR part
[[Page 47]]
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
[[Page 48]]
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 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. Measure N2O, and
CH4 as described in Sec. 1033.235. 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
[[Page 49]]
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 non-hotel setting. For hotel mode, the locomotive is
subject to the notch cap provisions of Sec. 1033.101 and the defeat
device prohibition of Sec. 1033.115.
[73 FR 37197, June 30, 2008, as amended at 74 FR 56508, Oct. 30, 2008;
75 FR 22984, Apr. 30, 2010]
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 Sec. 1068.101.
Manufacturers/remanufacturers may ask to perform testing at conditions
other than those
[[Page 50]]
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. (1) 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.
(2) It is presumed that combustion air will be drawn from the
ambient air. Thus, the ambient temperature limits of this paragraph (a)
apply for intake air upstream of the engine. If you do not draw
combustion air from the ambient air, use good engineering judgment to
ensure that any temperature difference (between the ambient air and
combustion air) does not cause the emission measurement to be
unrepresentative of in-use emissions.
(3) If we allow you to perform testing at ambient temperatures below
15.5 [deg]C, 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 it would be for equivalent operation at an ambient
temperature of 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.
[73 FR 37197, June 30, 2008, as amended at 75 FR 22984, Apr. 30, 2010]
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 separately from the rest of
the locomotive. This 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
[[Page 51]]
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.
[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008]
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
[[Page 52]]
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 within 5 seconds of the specified time in each test mode. If
the PM sample is not sufficiently large, take one of the following
actions consistent with good engineering judgment:
(i) Extend the sampling period up to a maximum of 15 minutes.
(ii) Group the modes in the same manner as the phases of the ramped
modal cycle and use three different dilution settings for the groups.
Use one setting for both idle modes, one for dynamic brake through notch
5, and one for notches 6 through 8. For each group, ensure that the mode
with the highest exhaust flow (typically normal idle, notch 5, and notch
8) meets the criteria for minimum dilution ratio in 40 CFR part 1065.
(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
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.
(d) Use one of the following approaches for sampling PM emissions
during discrete-mode steady-state testing:
(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 (c) 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
shorter 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 this section.
(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 (d)(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
[[Page 53]]
measure PM emissions as specified in paragraph (d)(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
(d)(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 this section 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.
(e) This paragraph (e) 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 the same as 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 this
section, 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 as specified in paragraphs (a) through (d) of this
section for testing complete locomotives.
[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008; 74
FR 8424, Feb. 24, 2009; 75 FR 22985, Apr. 30, 2010]
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
[[Page 54]]
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).
(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.
(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
(g) The following tables define applicable ramped modal cycles for
line-haul and switch locomotives:
Table 1 to Sec. 1033.520--Line-Haul Locomotive Ramped Modal Cycle
----------------------------------------------------------------------------------------------------------------
RMC test phase Weighting RMC Time in Notch setting
---------------------------------------------- factor mode mode --------------------------------
--------------------- (seconds)
Pre-test idle ------------- Lowest idle setting \1\
NA NA 600 to 900
----------------------------------------------------------------------------------------------------------------
Phase 1 ........... A 600 Low Idle.\2\
[[Page 55]]
(Idle test).................................. 0.380 B 600 Normal Idle.
----------------------------------------------------------------------------------------------------------------
Phase Transition
----------------------------------------------------------------------------------------------------------------
C 1000 Dynamic Brake.\3\
1 520 Notch 1.
Phase 2...................................... 0.389 2 520 Notch 2.
3 416 Notch 3.
4 352 Notch 4.
5 304 Notch 5.
----------------------------------------------------------------------------------------------------------------
Phase Transition
----------------------------------------------------------------------------------------------------------------
6 144 Notch 6.
Phase 3...................................... 0.231 7 111 Notch 7.
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
----------------------------------------------------------------------------------------------------------------
RMC test phase Weighting RMC Time in Notch setting
---------------------------------------------- factor mode mode --------------------------------
--------------------- (seconds)
Pre-test idle ------------- Lowest idle setting \1\
NA NA 600 to 900
----------------------------------------------------------------------------------------------------------------
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.
Phase 2...................................... 0.377 3 406 Notch 3.
4 252 Notch 4.
5 252 Notch 5.
----------------------------------------------------------------------------------------------------------------
Phase Transition
----------------------------------------------------------------------------------------------------------------
6 1080 Notch 6.
Phase 3...................................... 0.025 7 144 Notch 7.
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.
[73 FR 37197, June 30, 2008, as amended at 74 FR 8424, Feb. 24, 2009]
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:
[[Page 56]]
(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.
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 weighting
factors (no dynamic factors
brake)
----------------------------------------------------------------------------------------------------------------
Low Idle................................... A........................... 0.190 0.190 0.299
[[Page 57]]
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.
[[Page 58]]
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.
(e) Automated Start-Stop. For a 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 if the
fraction reduction in idling time that is estimated to result from the
shutdown feature is greater than 25 percent. This paragraph (e) does not
apply if the locomotive is (or will be) covered by a separate
certificate 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
[[Page 59]]
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 new
energy-saving locomotive design features. They do not apply for features
that only improve the engine's brake-specific fuel consumption. They
also do not apply for features that were commonly incorporated in
locomotives before 2008. See paragraph (h)(6) of this section for
provisions related to determining whether certain features are
considered to have been commonly incorporated in locomotives before
2008.
(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 locomotives' duty
cycle, you must comply with the requirements of paragraph (g) of this
section.
(3) Calculate the energy savings as follows:
(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 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)
(5) We may require you to collect and report data from locomotives
we allow you to certify under this paragraph (h) and to recalculate the
adjustment factor for future model years based on such data.
[[Page 60]]
(6) Features that are considered to have not been commonly
incorporated in locomotives before 2008 include but are not limited to
those identified in this paragraph (h)(6).
(i) Electronically controlled pneumatic (ECP) brakes, computerized
throttle management control, and advanced hybrid technology were not
commonly incorporated in locomotives before 2008. Manufacturers may
claim full credit for energy savings that result from applying these
features to freshly manufactured and/or remanufactured locomotives.
(ii) Distributed power systems that use radio controls to optimize
operation of locomotives in the middle and rear of a train were commonly
incorporated in some but not all locomotives in 2008. Manufacturers may
claim credit for incorporating these features into locomotives as
follows:
(A) Manufacturers may claim prorated credit for incorporating
distributed power systems in freshly manufactured locomotives. Multiply
the energy saving rate by 0.50 when calculating the adjustment factor:
AF = 1.000-(energy savings rate) x (0.50)
(B) Manufacturers may claim full credit for retrofitting distributed
power systems in remanufactured locomotives.
[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008; 75
FR 22985, Apr. 30, 2010]
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 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
[[Page 61]]
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 terms. When used in 40 CFR part 1068, apply meanings
for specific terms as follows:
(1) ``Manufacturer'' means manufacturer and/or remanufacturer.
(2) ``Date of manufacture'' means date of original manufacture for
freshly manufactured locomotives and the date on which a remanufacture
is completed for remanufactured engines.
(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 1068.261 (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
[[Page 62]]
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 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.
[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008; 75
FR 22986, Apr. 30, 2010]
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
[[Page 63]]
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.
[[Page 64]]
(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).
(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 Sec. 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 Sec. 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 years if they were 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, with the following
exceptions:
(1) Include the following instead of the locomotive test data
otherwise required by Sec. 1033.205:
(i) A description of the engines to be used, including the name of
the engine manufacturer and engine family identifier for the engines.
(ii) A brief engineering analysis describing how the engine's
emission controls will function when installed in the locomotive
throughout the locomotive's useful life.
[[Page 65]]
(iii) The emission data submitted under 40 CFR part 1039 (or part
89).
(2) You may separately submit some of the information required by
Sec. 1033.205, consistent with the provisions of Sec. 1033.1(d). For
example, this may be an appropriate way to submit detailed information
about proprietary engine software. Note that this allowance to
separately submit some of the information required by Sec. 1033.205 is
also available for applications not submitted under this section.
(c) Locomotives certified under this section are subject to all the
requirements of this part except as specified in paragraph (b) of 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.
[73 FR 37197, June 30, 2008, as amended at 75 FR 22986, Apr. 30, 2010]
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 1068.261 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
[[Page 66]]
paragraphs (a) and (b) of this section. We will make the exemption
conditional based on you complying with requirements that we determine
are necessary to ensure that the locomotives are assembled in their
certified configuration before being placed (back) into service.
[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008]
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.
1033.901 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, provided 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.
[[Page 67]]
(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.''.
[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008; 74
FR 8425, Feb. 24, 2009]
Editorial Note: At 73 FR 37197, June 30, 2008, Sec. 1033.640 was
added. This amendment included two paragraphs (c) in the original text.
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 that are
commonly replaced during remanufacturing. It does not apply for other
types of components that are replaced during a locomotive's useful life,
but not typically replaced during remanufacture. Certified components
may be used for remanufacturing or other maintenance.
(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 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
[[Page 68]]
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.
[[Page 69]]
(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.
[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008; 74
FR 8425, Feb. 24, 2009]
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 new rail facilities are created,
we may approve requests submitted after January 1, 2011.
Sec. 1033.652 Special provisions for exported locomotives.
(a) Uncertified locomotives. Locomotives covered by an export
exemption under 40 CFR 1068.230 may be introduced into U.S. commerce
prior to being exported, but may not be used in any revenue generating
service in the United States. Locomotives covered by this paragraph (a)
may not include any EPA emission control information label. Such
locomotives may include emission control information labels for the
country to which they are being exported.
(b) Locomotives covered by export-only certificates. Locomotives may
be certified for export under 40 CFR 1068.230. Such locomotives may be
introduced into U.S. commerce prior to being exported, but may not be
used in any revenue generating service in the United States.
(c) Locomotives included in a certified engine family. Except as
specified in paragraph (d) of this section, locomotives included in a
certified engine family may be exported without restriction. Note that
Sec. 1033.705 requires that exported locomotives be excluded from
emission credit calculations in certain circumstances.
[[Page 70]]
(d) Locomotives certified to FELs above the standards. The
provisions of this paragraph (d) apply for locomotive configurations
included in engine families certified to one or more FELs above any
otherwise applicable standard. Individual locomotives that will be
exported may be excluded from an engine family if they are unlabeled.
For locomotives that were labeled during production, you may remove the
emission control information labels prior to export. All unlabeled
locomotives that will be exported are subject to the provisions of
paragraph (a) of this section. Locomotives that are of a configuration
included in an engine family certified to one of more FELs above any
otherwise applicable standard that include an EPA emission control
information label when exported are considered to be part of the engine
family and must be included in credit calculations under Sec. 1033.705.
Note that this requirement does not apply for locomotives that do not
have an EPA emission control information label, even if they have other
labels (such as an export-only label).
[75 FR 22986, Apr. 30, 2010]
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:
[[Page 71]]
(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 72]]
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 the sum of 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
[[Page 73]]
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).
(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.
[73 FR 37197, June 30, 2008, as amended at 75 FR 22987, Apr. 30, 2010]
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 future model
years for averaging, trading, or
[[Page 74]]
transferring. You may use banked emission credits only as allowed by
Sec. 1033.740.
(b) You may designate any emission credits you plan to bank in the
reports you submit under Sec. 1033.730 as reserved credits. During the
model year and before the due date for the final report, you may
designate your reserved emission credits for averaging, trading, or
transferring.
(c) Reserved credits become actual emission credits when you submit
your final report. However, we may revoke these emission credits if we
are unable to verify them after reviewing your reports or auditing your
records.
[75 FR 22987, Apr. 30, 2010]
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. We may require you to
include similar calculations from your other engine families to
demonstrate that you will be able to avoid a negative credit balance for
the model year. If you project negative emission credits for a family,
state the source of positive emission credits you expect to use to
offset the negative emission credits.
[73 FR 37197, June 30, 2008, as amended at 75 FR 22987, Apr. 30, 2010]
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
[[Page 75]]
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 change the FEL after the
start of production, identify the date that you started using the new
FEL and/or give the engine identification number for the first engine
covered by the new FEL. In this case, identify each applicable FEL and
calculate the positive or negative emission credits as specified in
Sec. 1033.225.
(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 average
locomotive power weighted by U.S.-directed production volumes 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.
(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).
[[Page 76]]
(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.
[73 FR 37197, June 30, 2008, as amended at 75 FR 22987, Apr. 30, 2010]
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 at least eight
years after the due date for the end-of-year report. You may not use
emission credits for 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 records of the engine identification number for each
locomotive you produce that generates or uses emission credits under the
ABT program. If you change the FEL after the start of production,
identify the date you started using each FEL and the range of engine
identification numbers associated with each FEL. You must also be able
to identify the purchaser and destination for each engine you produce.
(e) We may require you to keep additional records or to send us
relevant information not required by this section in accordance with the
Clean Air Act.
[73 FR 37197, June 30, 2008, as amended at 75 FR 22987, Apr. 30, 2010]
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.
[[Page 77]]
(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.
(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.
[[Page 78]]
(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 this section
requires.
(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
[[Page 79]]
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 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).
[73 FR 37197, June 30, 2008, as amended at 73 FR 59191, Oct. 8, 2008]
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
[[Page 80]]
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
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.
[[Page 81]]
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.
Alcohol-fueled locomotive means a locomotive with an engine that is
designed to run using an alcohol fuel. For purposes of this definition,
alcohol fuels do not include fuels with a nominal alcohol content below
25 percent by volume.
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
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assembly capable of functionally describing its operation over its
working range.
Carryover means relating to certification based on emission data
generated from an earlier model year as described in Sec. 1033.235(d).
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:
(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
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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
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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 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
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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 certified (i.e., manufactured or 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 Sec. 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.
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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 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,
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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 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
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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
atomic hydrogen-to-carbon mass 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 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.
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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.
[73 FR 37197, June 30, 2008, as amended at 73 FR 59191, Oct. 8, 2008; 75
FR 22987, Apr. 30, 2010]
Sec. 1033.905 Symbols, acronyms, and abbreviations.
The following symbols, acronyms, and abbreviations apply to this
part:
ABT averaging, banking, and trading.
AECD auxiliary emission control device.
AESS automatic engine stop/start
AF adjustment factor (see Sec. 1033.530).
CFR Code of Federal Regulations.
CH4 methane.
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.
N2O nitrous oxide.
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. United States.
U.S.C. United States Code.
[73 FR 37197, June 30, 2008, as amended at 74 FR 56508, Oct. 30, 2008;
75 FR 22987, Apr. 30, 2010]
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.
(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. 1033.925 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. Failing to properly report
information and keep the records we specify violates 40 CFR
1068.101(a)(2), which may involve civil or criminal penalties. 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 1033:
(1) In Sec. 1033.150 we state the requirements for interim
provisions.
(2) In subpart C of this part we identify a wide range of
information required to certify engines.
[[Page 90]]
(3) In Sec. 1033.325 we specify certain records related to
production-line testing.
(4) 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.
(5) In Sec. Sec. 1033.725, 1033.730, and 1033.735 we specify
certain records related to averaging, banking, and trading.
(6) 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 the specific information and data
items to record when measuring emissions.
(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.
[75 FR 22987, Apr. 30, 2010]
PART 1039_CONTROL OF EMISSIONS FROM NEW AND IN-USE NONROAD COMPRESSION-
IGNITION ENGINES--Table of Contents
Subpart A_Overview and Applicability
Sec.
1039.1 Does this part apply for my engines?
1039.2 Who is responsible for compliance?
1039.5 Which engines are excluded from this part's requirements?
1039.10 How is this part organized?
1039.15 Do any other regulation parts apply to me?
1039.20 What requirements from this part apply to excluded stationary
engines?
1039.30 Submission of information.
Subpart B_Emission Standards and Related Requirements
1039.101 What exhaust emission standards must my engines meet after the
2014 model year?
1039.102 What exhaust emission standards and phase-in allowances apply
for my engines in model year 2014 and earlier?
1039.104 Are there interim provisions that apply only for a limited
time?
1039.105 What smoke standards must my engines meet?
1039.107 What evaporative emission standards and requirements apply?
1039.110 [Reserved]
1039.115 What other requirements apply?
1039.120 What emission-related warranty requirements apply to me?
1039.125 What maintenance instructions must I give to buyers?
1039.130 What installation instructions must I give to equipment
manufacturers?
1039.135 How must I label and identify the engines I produce?
1039.140 What is my engine's maximum engine power?
[[Page 91]]
Subpart C_Certifying Engine Families
1039.201 What are the general requirements for obtaining a certificate
of conformity?
1039.205 What must I include in my application?
1039.210 May I get preliminary approval before I complete my
application?
1039.220 How do I amend the maintenance instructions in my application?
1039.225 How do I amend my application for certification?
1039.230 How do I select engine families?
1039.235 What testing requirements apply for certification?
1039.240 How do I demonstrate that my engine family complies with
exhaust emission standards?
1039.245 How do I determine deterioration factors from exhaust
durability testing?
1039.250 What records must I keep and what reports must I send to EPA?
1039.255 What decisions may EPA make regarding my certificate of
conformity?
Subpart D [Reserved]
Subpart E_In-use Testing
1039.401 General provisions.
Subpart F_Test Procedures
1039.501 How do I run a valid emission test?
1039.505 How do I test engines using steady-state duty cycles, including
ramped-modal testing?
1039.510 Which duty cycles do I use for transient testing?
1039.515 What are the test procedures related to not-to-exceed
standards?
1039.520 What testing must I perform to establish deterioration factors?
1039.525 How do I adjust emission levels to account for infrequently
regenerating aftertreatment devices?
Subpart G_Special Compliance Provisions
1039.601 What compliance provisions apply to these engines?
1039.605 What provisions apply to engines certified under the motor-
vehicle program?
1039.610 What provisions apply to vehicles certified under the motor-
vehicle program?
1039.615 What special provisions apply to engines using noncommercial
fuels?
1039.620 What are the provisions for exempting engines used solely for
competition?
1039.625 What requirements apply under the program for equipment-
manufacturer flexibility?
1039.626 What special provisions apply to equipment imported under the
equipment-manufacturer flexibility program?
1039.627 What are the incentives for equipment manufacturers to use
cleaner engines?
1039.630 What are the economic hardship provisions for equipment
manufacturers?
1039.635 What are the hardship provisions for engine manufacturers?
1039.640 What special provisions apply to branded engines?
1039.645 What special provisions apply to engines used for
transportation refrigeration units?
1039.650 [Reserved]
1039.655 What special provisions apply to engines sold in Guam, American
Samoa, or the Commonwealth of the Northern Mariana Islands?
1039.660 What special provisions apply to Independent Commercial
Importers?
Subpart H_Averaging, Banking, and Trading for Certification
1039.701 General provisions.
1039.705 How do I generate and calculate emission credits?
1039.710 How do I average emission credits?
1039.715 How do I bank emission credits?
1039.720 How do I trade emission credits?
1039.725 What must I include in my application for certification?
1039.730 What ABT reports must I send to EPA?
1039.735 What records must I keep?
1039.740 What restrictions apply for using emission credits?
1039.745 What can happen if I do not comply with the provisions of this
subpart?
Subpart I_Definitions and Other Reference Information
1039.801 What definitions apply to this part?
1039.805 What symbols, acronyms, and abbreviations does this part use?
1039.815 What provisions apply to confidential information?
1039.820 How do I request a hearing?
1039.825 What reporting and recordkeeping requirements apply under this
part?
Appendix I to Part 1039 [Reserved]
Appendix II to Part 1039--Steady-state Duty Cycles
Appendix III to Part 1039 [Reserved]
Appendix IV to Part 1039 [Reserved]
Appendix V to Part 1039 [Reserved]
Appendix VI to Part 1039--Nonroad Compression-ignition Composite
Transient Cycle
Authority: 42 U.S.C. 7401-7671q.
Source: 69 FR 39213, June 29, 2004, unless otherwise noted.
[[Page 92]]
Subpart A_Overview and Applicability
Sec. 1039.1 Does this part apply for my engines?
(a) The regulations in this part 1039 apply for all new,
compression-ignition nonroad engines (defined in Sec. 1039.801), except
as provided in Sec. 1039.5.
(b) This part 1039 applies as follows:
(1) This part 1039 applies for all engines subject to the emission
standards specified in subpart B of this part starting with the model
years noted in the following table:
Table 1 of Sec. 1039.1--Part 1039 Applicability by Model Year
------------------------------------------------------------------------
Power category Model year
------------------------------------------------------------------------
kW < 19.................................................... \1\ 2008
19 <= kW < 56............................................. \2\ 2008
56 <= kW < 130............................................. 2012
130 <= kW <= 560........................................... 2011
kW 560......................................... 2011
------------------------------------------------------------------------
\1\ As described in Sec. 1039.102, some engines below 19 kW may not be
subject to the emission standards in this part until the 2010 model
year.
\2\ As described in Sec. 1039.102, some engines in the 19-56 kW power
category may not be subject to the emission standards in this part
until the 2012 model year.
(2) If you use the provisions of Sec. 1039.104(a) to certify an
engine to the emission standards of this part before the model years
shown in Table 1 of this section, all the requirements of this part
apply for those engines.
(3) See 40 CFR part 89 for requirements that apply to engines not
yet subject to the requirements of this part 1039.
(4) This part 1039 applies for other compression-ignition engines as
follows:
(i) The provisions of paragraph (c) of this section and Sec.
1039.801 apply for stationary engines beginning January 1, 2006.
(ii) The provisions of Sec. 1039.620 and Sec. 1039.801 apply for
engines used solely for competition beginning January 1, 2006.
(c) The definition of nonroad engine in 40 CFR 1068.30 excludes
certain engines used in stationary applications. These engines may be
required by subpart IIII of 40 CFR part 60 to comply with some of the
provisions of this part 1039; otherwise, these engines are only required
to comply with the requirements in Sec. 1039.20. In addition, the
prohibitions in 40 CFR 1068.101 restrict the use of stationary engines
for nonstationary purposes unless they are certified under this part
1039, or under the provisions of 40 CFR part 89 or 40 CFR part 94, to
the same standards that would apply to nonroad engines for the same
model year.
(d) In certain cases, the regulations in this part 1039 apply to
engines at or above 250 kW that would otherwise be covered by 40 CFR
part 1048. See 40 CFR 1048.620 for provisions related to this allowance.
[69 FR 39213, June 29, 2004, as amended at 70 FR 40462, July 13, 2005;
71 FR 39184, July 11, 2006]
Sec. 1039.2 Who is responsible for compliance?
The regulations in this part 1039 contain provisions that affect
both engine manufacturers and others. However, the requirements of this
part are generally addressed to the engine manufacturer. The term
``you'' generally means the engine manufacturer, as defined in Sec.
1039.801, especially for issues related to certification.
[75 FR 22988, Apr. 30, 2010]
Sec. 1039.5 Which engines are excluded from this part's requirements?
This part does not apply to the following nonroad engines:
(a) Locomotive engines. (1) The following locomotive engines are not
subject to the provisions of this part 1039:
(i) Engines in locomotives certified under 40 CFR part 1033.
(ii) Engines in locomotives that are exempt from the standards of 40
CFR part 92 or 1033 pursuant to the provisions of 40 CFR part 1033 or
1068 (except for the provisions of 40 CFR 1033.150(e)).
(2) The following locomotive engines are subject to the provisions
of this part 1039:
(i) Engines in locomotives exempt from 40 CFR part 1033 pursuant to
the provisions of 40 CFR 1033.150(e).
(ii) Locomotive engines excluded from the definition of locomotive
in 40 CFR 1033.901.
(b) Marine engines. (1) The following marine engines are not subject
to the provisions of this part 1039:
(i) Engines subject to the standards of 40 CFR part 94.
[[Page 93]]
(ii) Engines not subject to the standards of 40 CFR part 94 only
because they were produced before the standards of 40 CFR part 94
started to apply.
(iii) Engines that are exempt from the standards of 40 CFR part 94
pursuant to the provisions of 40 CFR part 94 (except for the provisions
of 40 CFR 94.907 or 94.912). For example, an engine that is exempt under
40 CFR 94.906 because it is a manufacturer-owned engine is not subject
to the provisions of this part 1039.
(iv) Engines with rated power below 37 kW.
(v) Engines on foreign vessels.
(2) Marine engines are subject to the provisions of this part 1039
if they are exempt from 40 CFR part 94 based on the engine-dressing
provisions of 40 CFR 94.907 or the common-family provisions of 40 CFR
94.912.
(c) Mining engines. Engines used in underground mining or in
underground mining equipment and regulated by the Mining Safety and
Health Administration in 30 CFR parts 7, 31, 32, 36, 56, 57, 70, and 75
are not subject to the provisions of this part 1039.
(d) Hobby engines. Engines installed in reduced-scale models of
vehicles that are not capable of transporting a person are not subject
to the provisions of this part 1039.
(e) Engines used in recreational vehicles. Engines certified to meet
the requirements of 40 CFR part 1051 or are otherwise subject to 40 CFR
part 1051 (for example, engines used in snowmobiles and all-terrain
vehicles) are not subject to the provisions of this part 1039.
[69 FR 39213, June 29, 2004, as amended at 70 FR 40462, July 13, 2005;
73 FR 59191, Oct. 8, 2008; 75 FR 22988, Apr. 30, 2010]
Sec. 1039.10 How is this part organized?
This part 1039 is divided into the following subparts:
(a) Subpart A of this part defines the applicability of part 1039
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. 1039.102 and Sec. 1039.104 discuss 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) [Reserved]
(e) Subpart E of this part describes general provisions for testing
in-use engines.
(f) Subpart F of this part describes how to test your engines
(including references to other parts of the Code of Federal
Regulations).
(g) Subpart G of this part and 40 CFR part 1068 describe
requirements, prohibitions, and other provisions that apply to engine
manufacturers, equipment 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 contains definitions and other reference
information.
[69 FR 39213, June 29, 2004, as amended at 70 FR 40462, July 13, 2005;
72 FR 53129, Sept. 18, 2007]
Sec. 1039.15 Do any other regulation parts apply to me?
(a) Part 1065 of this chapter describes procedures and equipment
specifications for testing engines to measure exhaust emissions. Subpart
F of this part 1039 describes how to apply the provisions of part 1065
of this chapter to determine whether engines meet the exhaust emission
standards in this part.
(b) 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
1039, or equipment containing these engines. Part 1068 of this chapter
describes general provisions, including these seven areas:
(1) Prohibited acts and penalties for engine manufacturers,
equipment 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.
[[Page 94]]
(7) Procedures for hearings.
(c) Other parts of this chapter apply if referenced in this part.
[69 FR 39213, June 29, 2004, as amended at 75 FR 22988, Apr. 30, 2010]
Sec. 1039.20 What requirements from this part apply to excluded
stationary engines?
The provisions of this section apply for engines built on or after
January 1, 2006.
(a) You must add a permanent label or tag to each new engine you
produce or import that is excluded under Sec. 1039.1(c) as a stationary
engine and is not required by 40 CFR part 60, subpart IIII, to meet the
requirements of this part 1039, or the requirements of parts 89 or 94,
that are equivalent to the requirements applicable to nonroad or marine
engines for the same model year. To meet labeling requirements, you must
do the following things:
(1) Attach the label or tag in one piece so no one can remove it
without destroying or defacing it.
(2) Secure it to a part of the engine needed for normal operation
and not normally requiring replacement.
(3) Make sure it is durable and readable for the engine's entire
life.
(4) Write it in English.
(5) Follow the requirements in Sec. 1039.135(g) regarding duplicate
labels if the engine label is obscured in the final installation.
(b) Engine labels or tags required under this section must have the
following information:
(1) Include the heading ``EMISSION CONTROL INFORMATION.''
(2) Include your full corporate name and trademark. You may instead
include the fill corporate name and trademark of another company you
choose to designate.
(3) State the engine displacement (in liters) and maximum engine
power (or in the case of fire pumps, NFPA nameplate engine power).
(4) State: ``THIS ENGINE IS EXEMPTED FROM THE REQUIREMENTS OF 40 CFR
PARTS 89 AND 1039 AS A ``STATIONARY ENGINE.'' INSTALLING OR USING THIS
ENGINE IN ANY OTHER APPLICATION MAY BE A VIOLATION OF FEDERAL LAW
SUBJECT TO CIVIL PENALTY.''
(c) Stationary engines required by 40 CFR part 60, subpart IIII, to
meet the requirements of this part 1039, or parts 89 or 94, must meet
the labeling requirements of 40 CFR 60.4210.
[69 FR 39213, June 29, 2004, as amended at 71 FR 39185, July 11, 2006]
Sec. 1039.30 Submission of information.
(a) This part includes various requirements to record data or other
information. Refer to Sec. 1039.825 and 40 CFR 1068.25 regarding
recordkeeping requirements. Unless we specify otherwise, store these
records in any format and on any media and keep them readily available
for one year after you send an associated application for certification,
or one year after you generate the data if they do not support an
application for certification. You must promptly send us organized,
written records in English if we ask for them. We may review them at any
time.
(b) The regulations in Sec. 1039.255 and 40 CFR 1068.101 describe
your obligation to report truthful and complete information and the
consequences of failing to meet this obligation. This includes
information not related to certification.
(c) Send all reports and requests for approval to the Designated
Compliance Officer (see Sec. 1039.801).
(d) Any written information we require you to send to or receive
from another company is deemed to be a required record under this
section. Such records are also deemed to be submissions to EPA. We may
require you to send us these records whether or not you are a
certificate holder.
[75 FR 22988, Apr. 30, 2010]
Subpart B_Emission Standards and Related Requirements
Sec. 1039.101 What exhaust emission standards must my engines meet
after the 2014 model year?
The exhaust emission standards of this section apply after the 2014
model year. Certain of these standards also apply for model year 2014
and earlier. This section presents the full set of emission standards
that apply after all the transition and phase-in provisions of Sec.
1039.102 and Sec. 1039.104 expire. See
[[Page 95]]
Sec. 1039.102 and 40 CFR 89.112 for exhaust emission standards that
apply to 2014 and earlier model years. Section 1039.105 specifies smoke
standards.
(a) Emission standards for transient testing. Transient exhaust
emissions from your engines may not exceed the applicable emission
standards in Table 1 of this section. Measure emissions using the
applicable transient test procedures described in subpart F of this
part. The following engines are not subject to the transient standards
in this paragraph (a):
(1) Engines above 560 kW.
(2) Constant-speed engines.
(b) Emission standards for steady-state testing. Steady-state
exhaust emissions from your engines may not exceed the applicable
emission standards in Table 1 of this section. Measure emissions using
the applicable steady-state test procedures described in subpart F of
this part.
Table 1 of Sec. 1039.101--Tier 4 Exhaust Emission Standards After the 2014 Model Year, g/kW-hr \1\
----------------------------------------------------------------------------------------------------------------
Maximum engine power Application PM NOX NMHC NOX+NMHC CO
----------------------------------------------------------------------------------------------------------------
kW < 19...................... All............ \2\ 0.40 ............ ........... 7.5 \3\ 6.6
19 <= kW < 56................ All............ 0.03 ............ ........... 4.7 \4\ 5.0
56 <= kW < 130............... All............ 0.02 0.40 0.19 ........... 5.0
130 <= kW <= 560............. All............ 0.02 0.40 0.19 ........... 3.5
Generator sets. 0.03 0.67 0.19 ........... 3.5
kW 560........... All except 0.04 3.5 0.19 ........... 3.5
generator sets.
----------------------------------------------------------------------------------------------------------------
\1\ Note that some of these standards also apply for 2014 and earlier model years. This table presents the full
set of emission standards that apply after all the transition and phase-in provisions of Sec. 1039.102
expire.
\2\ See paragraph (c) of this section for provisions related to an optional PM standard for certain engines
below 8 kW.
\3\ The CO standard is 8.0 g/kW-hr for engines below 8 kW.
\4\ The CO standard is 5.5 g/kW-hr for engines below 37 kW.
(c) Optional PM standard for engines below 8 kW. You may certify
hand-startable, air-cooled, direct injection engines below 8 kW to an
optional Tier 4 PM standard of 0.60 g/kW-hr. The term hand-startable
generally refers to engines that are started using a hand crank or pull
cord. This PM standard applies to both steady-state and transient
testing, as described in paragraphs (a) and (b) of this section. Engines
certified under this paragraph (c) may not be used to generate PM or
NOX+NMHC emission credits under the provisions of subpart H
of this part. These engines may use PM or NOX+NMHC emission
credits, subject to the FEL caps in paragraph (d)(1) of this section.
(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. This 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. The FELs determine the not-to-exceed standards for your engine
family, as specified in paragraph (e) of this section.
(1) Primary FEL caps. The FEL may not be higher than the limits in
Table 2 of this section, except as allowed by paragraph (d)(2) of this
section or by Sec. 1039.102:
Table 2 of Sec. 1039.101--Tier 4 FEL Caps After the 2014 Model Year, g/kW-hr
----------------------------------------------------------------------------------------------------------------
Maximum engine power Application PM NOX NOX+NMHC
----------------------------------------------------------------------------------------------------------------
kW < 19................................... All.......................... 0.80 ........... \1\ 9.5
19 <= kW < 56............................. All.......................... 0.05 ........... 7.5
56 <= kW < 130............................ All.......................... 0.04 0.80 ...........
130 <= kW <= 560.......................... All.......................... 0.04 0.80 ...........
kW 560........................ Generator sets............... 0.05 1.07 ...........
All except generator sets.... 0.07 6.2 ...........
----------------------------------------------------------------------------------------------------------------
\1\ For engines below 8 kW, the FEL cap is 10.5 g/kW-hr for NOX+NMHC emissions.
[[Page 96]]
(2) Alternate FEL caps. For a given power category, you may use the
alternate FEL caps shown in Table 3 of this section instead of the FEL
caps identified in paragraph (d)(1) of this section for up to 5 percent
of your U.S.-directed production volume in a given model year.
Table 3 of Sec. 1039.101--Alternate FEL Caps, g/kW-hr
------------------------------------------------------------------------
Starting
Maximum engine power model year PM FEL cap NOX FEL cap
\1\
------------------------------------------------------------------------
19 <= kW < 56.................... \2\ 2016 0.30 ...........
56 <= kW < 130................... 2016 \3\ 0.30 \3\ 3.8
130 <= kW <= 560................. 2015 0.20 3.8
kW 560............... 2019 0.10 \4\ 3.5
------------------------------------------------------------------------
\1\ See Sec. 1039.104(g) for alternate FEL caps that apply in earlier
model years.
\2\ For manufacturers certifying engines under Option 1 of
Table 3 of Sec. 1039.102, these alternate FEL caps apply starting
with the 2017 model year.
\3\ For engines below 75 kW, the FEL caps are 0.40 g/kW-hr for PM
emissions and 4.4 g/kW-hr for NOX emissions.
\4\ For engines above 560 kW, the provision for alternate NOX FEL caps
is limited to generator-set engines. For example, if you produce 1,000
generator-set engines above 560 kW in a given model year, up to 50 of
them may be certified to the alternate NOX FEL caps.
(e) Not-to-exceed standards. Exhaust emissions from your engines may
not exceed the applicable not-to-exceed (NTE) standards in this
paragraph (e).
(1) Measure emissions using the procedures described in subpart F of
this part.
(2) Except as noted in paragraph (e)(7) of this section, the NTE
standard, rounded to the same number of decimal places as the applicable
standard in Table 1 of this section, is determined from the following
equation:
NTE standard for each pollutant = (STD) x (M)
Where:
STD = The standard specified for that pollutant in Table 1 of this
section (or paragraph (c) of 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, as defined in paragraph
(e)(3) of this section.
(3) The NTE multiplier for each pollutant is 1.25, except in the
following cases:
------------------------------------------------------------------------
If . . . Or . . . Then . . .
------------------------------------------------------------------------
(i) The engine family is The engine family The multiplier for
certified to a NOX standard is certified to a NOX, NMHC, and
less than 2.50 g/kW-hr without NOX FEL less than NOX+NMHC is 1.50.
using ABT. 2.50 g/kW-hr or a
NOX+NMHC FEL less
than 2.70 g/kW-hr.
(ii) The engine family is The engine family The multiplier for
certified to a PM standard is certified to a PM is 1.50.
less than 0.07 g/kW-hr without PM FEL less than
using ABT. 0.07 g/kW-hr.
------------------------------------------------------------------------
(4) There are two sets of specifications of ambient operating
regions that will apply for all NTE testing of engines in an engine
family. You must choose one set for each engine family and must identify
your choice of ambient operating regions in each application for
certification for an engine family. You may choose separately for each
engine family. Choose one of the following ambient operating regions:
(i) All altitudes less than or equal to 5,500 feet above sea level
during all ambient temperature and humidity conditions.
(ii) All altitudes less than or equal to 5,500 feet above sea level,
for temperatures less than or equal to the temperature determined by the
following equation at the specified altitude:
T = -0.00254 x A + 100
Where:
T = ambient air temperature in degrees Fahrenheit.
A = altitude in feet above sea level (A is negative for altitudes below
sea level).
(5) Temperature and humidity ranges for which correction factors are
allowed are specified in 40 CFR 86.1370-2007(e).
[[Page 97]]
(i) If you choose the ambient operating region specified in
paragraph (e)(4)(i) of this section, the temperature and humidity ranges
for which correction factors are allowed are defined in 40 CFR 86.1370-
2007(e)(1).
(ii) If you choose the ambient operating region specified in
paragraph (e)(4)(ii) of this section, the temperature and humidity
ranges for which correction factors are allowed are defined in 40 CFR
86.1370-2007(e)(2).
(6) For engines equipped with exhaust-gas recirculation, the NTE
standards of this section do not apply during the cold operating
conditions specified in 40 CFR 86.1370-2007(f).
(7) For engines certified to a PM FEL less than or equal to 0.01 g/
kW-hr, the PM NTE standard is 0.02 g/kW-hr.
(f) 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, except for engines certified under Sec.
1039.615. For engines certified under Sec. 1039.615, the standards of
this section apply to emissions measured using the specified test fuel.
You must meet the numerical emission standards for NMHC in this section
based on the following types of hydrocarbon emissions for engines
powered by the following fuels:
(1) Alcohol-fueled engines: THCE emissions.
(2) Other engines: NMHC emissions.
(g) Useful life. Your engines must meet the exhaust emission
standards in paragraphs (a) through (e) of this section over their full
useful life.
(1) The useful life values are shown in the following table, except
as allowed by paragraph (g)(2) of this section:
Table 4 of Sec. 1039.101--Useful Life Values
----------------------------------------------------------------------------------------------------------------
And its maximum power And its rated speed is Then its useful life is
If your engine is certified as . . . is . . . . . . . . .
----------------------------------------------------------------------------------------------------------------
(i) Variable speed or constant speed. kW <19................. Any Speed.............. 3,000 hours or five
years, whichever comes
first.
(ii) Constant speed.................. 19 <= kW <37........... 3,000 rpm or higher.... 3,000 hours or five
years, whichever comes
first.
(iii) Constant speed................. 19 <= kW <37........... Less than 3,000 rpm.... 5,000 hours or seven
years, whichever comes
first.
(iv) Variable........................ 19 <= kW <37........... Any Speed.............. 5,000 hours or seven
years, whichever comes
first.
(v) Variable speed or constant speed. kW =37...... Any speed.............. 8,000 hours or ten
years, whichever comes
first.
----------------------------------------------------------------------------------------------------------------
(2) 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.
(h) Applicability for testing. The emission standards in this
subpart apply to all testing, including certification, selective
enforcement audits, and in-use testing. For selective enforcement
audits, we will require you to perform duty-cycle testing as specified
in Sec. Sec. 1039.505 and 1039.510. The NTE standards of this section
apply for those
[[Page 98]]
tests. We will not direct you to do additional testing under a selective
enforcement audit to show that your engines meet the NTE standards.
[69 FR 39213, June 29, 2004, as amended at 70 FR 40462, July 13, 2005]
Sec. 1039.102 What exhaust emission standards and phase-in allowances
apply for my engines in model year 2014 and earlier?
The exhaust emission standards of this section apply for 2014 and
earlier model years. See Sec. 1039.101 for exhaust emission standards
that apply to later model years. See 40 CFR 89.112 for exhaust emission
standards that apply to model years before the standards of this part
1039 take effect.
(a) Emission standards for transient testing. Transient exhaust
emissions from your engines may not exceed the applicable emission
standards in Tables 1 through 6 of this section. Measure emissions using
the applicable transient test procedures described in subpart F of this
part. See paragraph (c) of this section for a description of provisions
related to the phase-in and phase-out standards shown in Tables 4
through 6 of this section. The emission standards for transient testing
are limited for certain engines, as follows:
(1) The transient standards in this section do not apply for the
following engines:
(i) Engines below 37 kW for model years before 2013.
(ii) Engines certified under Option 1 of Table 3 of this
section. These are the small-volume manufacturer engines certified to
the Option 1 standards for model years 2008 through 2015 under
Sec. 1039.104(c), and other engines certified to the Option 1
standards for model years 2008 through 2012.
(iii) Engines certified to an alternate FEL during the first four
years of the Tier 4 standards for the applicable power category, as
allowed in Sec. 1039.104(g). However, you may certify these engines to
the transient standards in this section to avoid using temporary
compliance adjustment factors, as described in Sec. 1039.104(g)(2).
Note that in some cases this four-year period extends into the time
covered by the standards in Sec. 1039.101.
(iv) Constant-speed engines.
(v) Engines above 560 kW.
(2) The transient standards in this section for gaseous pollutants
do not apply to phase-out engines that you certify to the same numerical
standards (and FELs if the engines are certified using ABT) for gaseous
pollutants as you certified under the Tier 3 requirements of 40 CFR part
89. However, except as specified by paragraph (a)(1) of this section,
the transient PM emission standards apply to these engines.
(b) Emission standards for steady-state testing. Steady-state
exhaust emissions from your engines may not exceed the applicable
emission standards in Tables 1 through 7 of this section. Measure
emissions using the applicable steady-state test procedures described in
subpart F of this part. See paragraph (c) of this section for a
description of provisions related to the phase-in and phase-out
standards shown in Tables 4 through 6 of this section.
Table 1 of Sec. 1039.102--Tier 4 Exhaust Emission Standards (g/kW-hr): kW < 19
----------------------------------------------------------------------------------------------------------------
Maximum engine power Model years PM NOX + NMHC CO
----------------------------------------------------------------------------------------------------------------
kW < 8...................................................... 2008-2014 \1\ 0.40 7.5 8.0
8 <= kW < 19................................................ 2008-2014 0.40 7.5 6.6
----------------------------------------------------------------------------------------------------------------
\1\ For engines that qualify for the special provisions in Sec. 1039.101(c), you may delay certifying to the
standards in this part 1039 until 2010. In 2009 and earlier model years, these engines must instead meet the
applicable Tier 2 standards and other requirements from 40 CFR part 89. Starting in 2010, these engines must
meet a PM standard of 0.60 g/kW-hr, as described in Sec. 1039.101(c). Engines certified to the 0.60 g/kWhr
PM standard may not generate ABT credits.
Table 2 of Sec. 1039.102--Interim Tier 4 Exhaust Emission Standards (g/
kW-hr): 19 <= kW < 37
------------------------------------------------------------------------
Model years PM NOX + NMHC CO
------------------------------------------------------------------------
2008-2012........................ 0.30 7.5 5.5
2013-2014........................ 0.03 4.7 5.5
------------------------------------------------------------------------
[[Page 99]]
Table 3 of Sec. 1039.102--Interim Tier 4 Exhaust Emission Standards (g/kW-hr): 37 <= kW < 56
----------------------------------------------------------------------------------------------------------------
Option \1\ Model years PM NOX + NMHC CO
----------------------------------------------------------------------------------------------------------------
1.................................................. 2008-2012 0.30 4.7 5.0
2.................................................. 2012 0.03 4.7 5.0
All......................................................... 2013-2014 0.03 4.7 5.0
----------------------------------------------------------------------------------------------------------------
\1\You may certify engines to the Option 1 or Option 2 standards starting in the listed model
year. Under Option 1, all engines at or above 37 kW and below 56 kW produced before the 2013 model
year must meet the applicable Option 1 standards in this table. These engines are considered to be
``Option 1 engines.'' Under Option 2, all these engines produced before the 2012 model year
must meet the applicable standards under 40 CFR part 89. Engines certified to the Option 2 standards
in model year 2012 are considered to be ``Option 2 engines.''
Table 4 of Sec. 1039.102--Interim Tier 4 Exhaust Emission Standards (g/kW-hr): 56 <= kW < 75
----------------------------------------------------------------------------------------------------------------
Model years \1\ Phase-in option PM NOX NMHC NOX + NMHC CO
----------------------------------------------------------------------------------------------------------------
Phase-in........ 0.02 0.40 0.19 ........... 5.0
2012-2013.................... Phase-out....... 0.02 ........... ........... 4.7 5.0
2014......................... All engines..... 0.02 0.40 0.19 ........... 5.0
----------------------------------------------------------------------------------------------------------------
\1\ See paragraph (d)(2) of this section for provisions that allow for a different phase-in schedule than that
specified in paragraph (c)(1) of this section.
Table 5 of Sec. 1039.102--Interim Tier 4 Exhaust Emission Standards (g/kW-hr): 75 <= kW < 130
----------------------------------------------------------------------------------------------------------------
Model years \1\ Phase-in option PM NOX NMHC NOX + NMHC CO
----------------------------------------------------------------------------------------------------------------
Phase-in........ 0.02 0.40 0.19 ........... 5.0
2012-2013.................... Phase-out....... 0.02 ........... ........... 4.0 5.0
2014......................... All engines..... 0.02 0.40 0.19 ........... 5.0
----------------------------------------------------------------------------------------------------------------
\1\ See paragraph (d)(2) of this section for provisions that allow for a different phase-in schedule than that
specified in paragraph (c)(1) of this section.
Table 6 of Sec. 1039.102--Interim Tier 4 Exhaust Emission Standards (g/kW-hr): 130 <= kW < 560
----------------------------------------------------------------------------------------------------------------
Model years \1\ Phase-in option PM NOX NMHC NOX + NMHC CO
----------------------------------------------------------------------------------------------------------------
Phase-in........ 0.02 0.40 0.19 ........... 3.5
2011-2013.................... Phase-out....... 0.02 ........... ........... 4.0 3.5
2014......................... All engines..... 0.02 0.40 0.19 ........... 3.5
----------------------------------------------------------------------------------------------------------------
Table 7 of Sec. 1039.102--Interim Tier 4 Exhaust Emission Standards (g/kW-hr): kW 560
--------------------------------------------------------------------------------------------------------------------------------------------------------
Model years Maximum engine power Application PM NOX NMHC CO
--------------------------------------------------------------------------------------------------------------------------------------------------------
560 < kW <= 900............. All........................ 0.10 3.5 0.40 3.5
Generator sets............. 0.10 0.67 0.40 3.5
2011-2014................................ kW 900.......... All except generator sets.. 0.10 3.5 0.40 3.5
--------------------------------------------------------------------------------------------------------------------------------------------------------
(c) Phase-in requirements. The following phase-in provisions apply
for engines in 56-560 kW power categories meeting the interim Tier 4
standards in paragraphs (a) and (b) of this section:
(1) For each model year before 2014 noted in Tables 4 through 6 of
this section, you must certify engine families representing at least 50
percent of your U.S.-directed production volume for each power category
to the applicable phase-in standards, except as allowed by paragraph
(c)(3), (d)(2), or (e) of this section. Any engines not certified to the
phase-in standards must be certified to the corresponding phase-out
standards.
(2) Engines certified to the phase-out standards in Tables 4 through
6 of this
[[Page 100]]
section must comply with all other requirements that apply to Tier 4
engines, except as otherwise specified in this section.
(3) At the time of certification, show how you intend to meet the
phase-in requirements of this paragraph (c) based on projected U.S.-
directed production volumes. If your actual U.S.-directed production
volume fails to meet the phase-in requirements for a given model year,
you must make up the shortfall (in terms of number of engines) by the
end of the model year representing the final year of the phase-in
period. For example, if you plan in good faith to produce 50 percent of
a projected 10,000 engines in the 56-130 kW power category (i.e., 5,000
engines) in 2012 in compliance with the Tier 4 phase-in standards for
NOX and NMHC in Table 4 of this section, but produce 4,500
such engines of an actual 10,000 engines, you must produce 500 engines
in model year 2013 (i.e., the final year of the phase-in for this power
category) that meet the Tier 4 phase-in standards above and beyond the
production otherwise needed to meet the 50-percent phase-in requirement
for model year 2013. If any shortfall exceeds the applicable limit of
paragraph (c)(3)(i) or (ii) of this section, that number of phase-out
engines will be considered not covered by a certificate of conformity
and in violation of Sec. 1068.101(a)(1). The shortfall allowed by this
paragraph (c)(3) may not exceed a certain number of engines, as follows:
(i) For engine families certified according to the alternate phase-
in schedule described in paragraph (d)(2) of this section, for model
years prior to the final year of the phase-in, 5 percent of your actual
U.S.-directed production volume for that power category in that model
year.
(ii) For all other engine families, for model years prior to the
final year of the phase-in, 25 percent of your actual U.S.-directed
production volume for that power category in that model year.
(iii) No shortfall is allowed in the final year of the phase-in.
(4) Engines you introduce into commerce beyond the limits described
in paragraphs (c)(3) of this section will be considered not covered by a
certificate of conformity and in violation of Sec. 1068.101(a)(1).
(5) For the purposes of this part, the term ``phase-in'' means
relating to a standard that is identified in this section as a phase-in
standard and the term ``phase-out'' means relating to a standard that is
identified in this section as a phase-out standard. For example, a 200-
kW engine from the 2012 model year that is certified to the 4.0 g/kW-hr
NOX+NMHC standard in Table 6 of Sec. 1039.102 is a phase-out
engine.
(d) Banked credits and alternate phase-in for 56-130 kW engines. For
engines in the 56-130 kW power category, you may use only one of the
following additional provisions:
(1) For model years 2012 through 2014, you may use banked
NOX+NMHC credits from any Tier 2 engine at or above 37 kW
certified under 40 CFR part 89 to meet the NOX phase-in
standards or the NOX+NMHC phase-out standards under
paragraphs (b) and (c) of this section, subject to the additional ABT
provisions in Sec. 1039.740.
(2) Instead of meeting the phase-in requirements of paragraph (c)(1)
of this section, you may certify engine families representing at least
25 percent of your U.S.-directed production volume for each model year
from 2012 through 2014 to the applicable phase-in standards in Tables 4
and 5 of this section, except as allowed by paragraph (c)(3) or (e) of
this section. Any engines not certified to the phase-in standards must
be certified to the corresponding phase-out standards. Engines certified
under this paragraph (d)(2) may generate NOX emission credits
only for averaging within the same power category during the same model
year. For engines certified under this paragraph (d)(2), the 2014 model
year may not extend beyond December 30, 2014.
(e) Alternate NOX standards. For engines in 56-560 kW
power categories during the phase-in of Tier 4 standards, you may
certify engine families to the alternate NOX standards in
this paragraph (e) instead of the phase-in and phase-out NOX
and NOX+NMHC standards described in Tables 4 through 6 of
this section. Engines certified under this section must be certified to
an NMHC standard of 0.19 g/kW-hr. Do not include engine families
certified under
[[Page 101]]
this paragraph (e) in determining whether you comply with the percentage
phase-in requirements of paragraphs (c) and (d)(2) of this section.
Except for the provisions for alternate FEL caps in Sec. 1039.104(g),
the NOX standards and FEL caps under this paragraph (e) are
as follows:
(1) For engines in the 56-130 kW power category, apply the following
alternate NOX standards and FEL caps:
(i) If you use the provisions of paragraph (d)(1) of this section,
your alternate NOX standard for any engine family in the 56-
130 kW power category is 2.3 g/kW-hr for model years 2012 and 2013.
Engines certified to this standard may not exceed a NOX FEL
cap of 3.0 g/kW-hr.
(ii) If you use the provisions of paragraph (d)(2) of this section,
your alternate NOX standard for any engine family in the 56-
130 kW power category is 3.4 g/kW-hr for model years 2012 through 2014.
Engines below 75 kW certified to this standard may not exceed a
NOX FEL cap of 4.4 g/kW-hr; engines at or above 75 kW
certified to this standard may not exceed a NOX FEL cap of
3.8 g/kW-hr.
(iii) If you do not use the provisions of paragraph (d) of this
section, you may apply the alternate NOX standard and the
appropriate FEL cap from either paragraph (e)(1)(i) or (ii) of this
section.
(2) For engines in the 130-560 kW power category, the alternate
NOX standard is 2.0 g/kW-hr for model years 2011 through
2013. Engines certified to this standard may not exceed a NOX
FEL cap of 2.7 g/kW-hr.
(f) Split families. For generating or using credits for engines in
56-560 kW power categories during the phase-in of Tier 4 standards, you
may split an engine family into two subfamilies (for example, one that
uses credits and one that generates credits for the same pollutant).
(1) Identify any split engine families in your application for
certification. Your engines must comply with all the standards and
requirements applicable to Tier 4 engines, except as noted in this
paragraph (f). You may calculate emission credits relative to different
emission standards (i.e., phase-in and phase-out standards) for
different sets of engines within the engine family, but the engine
family must be certified to a single set of standards and FELs. To
calculate NOX+NMHC emission credits, add the NOX
FEL to the NMHC phase-in standard for comparison with the applicable
NOX+NMHC phase-out standard. Any engine family certified
under this paragraph (f) must meet the applicable phase-in standard for
NMHC. You may assign the number and configurations of engines within the
respective subfamilies any time before the due date for the final report
required in Sec. 1039.730. Apply the same label to each engine in the
family, including the NOX FEL to which it is certified.
(2) For example, a 10,000-unit engine family in the 75-130 kW power
category may be certified to meet the standards for PM, NMHC, and CO
that apply to phase-in engines, with a 0.8 g/kW-hr FEL for
NOX. When compared to the phase-out NOX+NMHC
standard, this engine family would generate positive NOX+NMHC
emission credits. When compared to the phase-in NOX standard,
this engine family would generate negative NOX emission
credits. You could create a subfamily with 2,500 engines (one-quarter of
the 10,000 engines) and identify them as phase-in engines. You would
count these 2,500, with their negative NOX credits, in
determining compliance with the 50-percent phase-in requirement in
paragraph (c)(1) of this section. You would calculate negative credits
relative to the 0.40 g/kW-hr NOX standard for these 2,500
engines. You would identify the other 7,500 engines in the family as
phase-out engines and calculate positive credits relative to the 4.0 g/
kW-hr NOX+NMHC standard.
(g) Other provisions. The provisions of Sec. 1039.101(d) through
(h) apply with respect to the standards of this section, with the
following exceptions and special provisions:
(1) NTE standards. Use the provisions of Sec. 1039.101(e)(3) to
calculate and apply the NTE standards, but base these calculated values
on the applicable standards in this section or the applicable FEL,
instead of the standards in Table 1 of Sec. 1039.101. All other
provisions of Sec. 1039.101(e) apply under this paragraph (g)(1). The
NTE standards do not apply
[[Page 102]]
for certain engines and certain pollutants, as follows:
(i) All engines below 37 kW for model years before 2013.
(ii) All engines certified under Option 1 of Table 3 of
this section. These are small-volume manufacturer engines certified to
the Option 1 standards for model years 2008 through 2015 under
Sec. 1039.104(c), and other engines certified to the Option 1
standards for model years 2008 through 2012.
(iii) All engines less than or equal to 560 kW that are certified to
an FEL under the alternate FEL program during the first four years of
the Tier 4 standards for the applicable power category, as described in
Sec. 1039.104(g). However, if you apply to meet transient emission
standards for these engines under Sec. 1039.102(a)(1)(iii), you must
also meet the NTE standards in this paragraph (g)(1).
(iv) Gaseous pollutants for phase-out engines that you certify to
the same numerical standards and FELs for gaseous pollutants to which
you certified under the Tier 3 requirements of 40 CFR part 89. However,
the NTE standards for PM apply to these engines.
(2) Interim FEL caps. As described in Sec. 1039.101(d), you may
participate in the ABT program in subpart H of this part by certifying
engines to FELs for PM, NOX, or NOX+NMHC instead
of the standards in Tables 1 through 7 of this section for the model
years shown. The FEL caps listed in the following table apply instead of
the FEL caps in Sec. 1039.101(d)(1), except as allowed by Sec.
1039.104(g):
Table 8 of Sec. 1039.102--Interim Tier 4 FEL Caps, g/kW-hr
----------------------------------------------------------------------------------------------------------------
Model years
Maximum engine power Phase-in option \1\ PM NOX NOX+NMHC
----------------------------------------------------------------------------------------------------------------
kW < 19........................... ..................... 2008-2014 0.80 ........... \2\ 9.5
19 <= kW < 37..................... ..................... 2008-2012 0.60 ........... 9.5
37 <= kW < 56..................... ..................... \3\ 2008-2012 0.40 ........... 7.5
56 <= kW < 130.................... phase-in............. 2012-2013 0.04 0.80 ...........
56 <= kW < 130.................... phase-out............ 2012-2013 0.04 ........... \4\ 6.6
130 <= kW <= 560.................. phase-in............. 2011-2013 0.04 0.80 ...........
130 <= kW <= 560.................. phase-out............ 2011-2013 0.04 ........... \5\ 6.4
kW 560................ ..................... 2011-2014 0.20 6.2 ...........
----------------------------------------------------------------------------------------------------------------
\1\ For model years before 2015 where this table does not specify FEL caps, apply the FEL caps shown in Sec.
1039.101.
\2\ For engines below 8 kW, the FEL cap is 10.5 g/kW-hr for NOX+NMHC emissions.
\3\ For manufacturers certifying engines to the standards of this part 1039 in 2012 under Option 2 of
Table 3 of Sec. 1039.102, the FEL caps for 37-56 kW engines in the 19-56 kW category of Table 2 of Sec.
1039.101 apply for model year 2012 and later; see 40 CFR part 89 for provisions that apply to earlier model
years.
\4\ For engines below 75 kW, the FEL cap is 7.5 g/kW-hr for NOX+NMHC emissions.
\5\ For engines below 225 kW, the FEL cap is 6.6 g/kW-hr for NOX+NMHC emissions.
(3) Crankcase emissions. The crankcase emission requirements of
Sec. 1039.115(a) do not apply to engines using charge-air compression
that are certified to an FEL under the alternate FEL program in Sec.
1039.104(g) during the first four years of the Tier 4 standards for the
applicable power category.
(4) Special provisions for 37-56 kW engines. For engines at or above
37 kW and below 56 kW from model years 2008 through 2012, you must add
information to the emission-related installation instructions to clarify
the equipment manufacturer's obligations under Sec. 1039.104(f).
[69 FR 39213, June 29, 2004, as amended at 72 FR 53130, Sept. 18, 2007;
73 FR 59191, Oct. 8, 2008]
Sec. 1039.104 Are there interim provisions that apply only for
a limited time?
The provisions in this section apply instead of other provisions in
this part. This section describes when these interim provisions apply.
(a) Incentives for early introduction. This paragraph (a) allows you
to reduce the number of engines subject to the applicable standards in
Sec. 1039.101 or Sec. 1039.102, when some of your engines are
certified to the specified levels earlier than otherwise required. The
engines that are certified early are considered offset-generating
engines. The provisions of this paragraph (a), which describe the
requirements applicable to offset-generating engines, apply beginning in
model year 2007. These offset
[[Page 103]]
generating engines may generate additional allowances for equipment
manufacturers under the incentive program described in Sec. 1039.627;
you may instead use these offsets under paragraph (a)(2) of this section
in some cases.
(1) For early-compliant engines to generate offsets for use either
under this paragraph (a) or under Sec. 1039.627, you must meet the
following general provisions:
(i) You may not generate offsets from engines below 19 kW.
(ii) You must begin actual production of engines covered by the
corresponding certificate by the following dates:
(A) For engines at or above 19 kW and below 37 kW: September 1,
2012.
(B) For engines at or above 37 kW and below 56 kW: September 1, 2012
if you choose Option 1 in Table 3 of Sec. 1039.102, or
September 1, 2011 if you do not choose Option 1 in Table 3 of
Sec. 1039.102.
(C) For engines in the 56-130 kW power category: September 1, 2011.
(D) For engines in the 130-560 kW power category: September 1, 2010.
(E) For engines above 560 kW: September 1, 2014.
(iii) Engines you produce after December 31 of the year shown in
paragraph (a)(1)(ii) of this section may not generate offsets.
(iv) You may not use ABT credits to certify offset-generating
engines.
(v) Offset-generating engines must be certified to the Tier 4
standards and requirements under this part 1039.
(2) If equipment manufacturers decline offsets for your offset-
generating engines under Sec. 1039.627, you may not generate ABT
credits with these engines, but you may reduce the number of engines
that are required to meet the standards in Sec. 1039.101 or 1039.102 as
follows:
----------------------------------------------------------------------------------------------------------------
You may reduce the
That are number of engines
With maximum certified to the in the same power
For every . . . engine power . . applicable category that are In later model years
. standards in . . required to meet by . . .
. the . . .
----------------------------------------------------------------------------------------------------------------
(i) 2 engines................. 19 <= kW < 37.... Table 2 of Sec. PM standard in 3 engines.
1039.102 \1\. Table 2 of Sec.
1039.102
applicable to
model year 2013
or 2014 engines
or the PM
standard in Table
1 of Sec.
1039.101.
(ii) 2 engines................ 56 <= kW <= 560.. Table 4, 5, or 6 Phase-out 3 engines.
of Sec. standards in
1039.102 for Tables 4 through
Phase-out 6 of Sec.
engines. 1039.102.
(iii) 2 engines............... kW = Table 1 of Sec. Standards in 3 engines. \2\
19. 1039.101. Tables 2 through
7 of Sec.
1039.102 or
standards in
Table 1 of Sec.
1039.101.
(iv) 1 engine................. kW = Table 1 of Sec. Standards in 2 engines. \2\
19. 1039.101 + 0.20 Tables 2 through
g/kW-hr NOX 7 of Sec.
standard. 1039.102 or
standards in
Table 1 of Sec.
1039.101.
----------------------------------------------------------------------------------------------------------------
\1\ The engine must be certified to the PM standard applicable to model year 2013 engines, and to the NOX+NMHC
and CO standards applicable to model year 2012 engines.
\2\ For engines above 560 kW, offsets from generator-set engines may be used only for generator-set engines.
Offsets from engines for other applications may be used only for other applications besides generator sets.
(3) Example: If you produce 100 engines in the 56-130 kW power
category in model year 2008 that are certified to the 56-130 kW
standards listed in Sec. 1039.101, and you produced 10,000 engines in
this power category in model year 2015, then only 9,850 of these model
year 2015 engines would need to comply with the standards listed in
Sec. 1039.101. The 100 offset-generating engines in model year 2008
could not use or generate ABT credits.
(4) Offset-using engines (that is, those not required to certify to
the standards of Sec. 1039.101 or Sec. 1039.102 under paragraph (a)(2)
of this section) are subject to the following provisions:
(i) If the offset is being used under paragraph (a)(2)(i) of this
section for an engine that would otherwise be certified to the model
year 2013 or 2014 standards in Table 2 of Sec. 1039.102 or the
standards in Table 1 of Sec. 1039.101, this engine must be certified to
the standards and requirements of this part 1039, except that the only
PM standard that applies is the steady-state PM standard that applies
for model year 2012. Such an engine may not generate ABT credits.
[[Page 104]]
(ii) If the offset is being used under paragraph (a)(2)(ii) of this
section for an engine that would otherwise be certified to the phase-out
standards in Tables 4 through 6 of Sec. 1039.102, this engine must be
certified to the standards and requirements of this part 1039, except
that the PM standard is the Tier 3 PM standard that applies for this
engine's maximum power. Such an engine will be treated as a phase-out
engine for purposes of determining compliance with percentage phase-in
requirements. Such an engine may not generate ABT credits.
(iii) All other offset-using engines must meet the standards and
other provisions that apply in model year 2011 for engines in the 19-130
kW power categories, in model year 2010 for engines in the 130-560 kW
power category, or in model year 2014 for engines above 560 kW. Show
that engines meet these emission standards by meeting all the
requirements of Sec. 1068.265. You must meet the labeling requirements
in Sec. 1039.135, but add the following statement instead of the
compliance statement in Sec. 1039.135(c)(12): ``THIS ENGINE MEETS U.S.
EPA EMISSION STANDARDS UNDER 40 CFR 1039.104(a).'' For power categories
with a percentage phase-in, these engines should be treated as phase-in
engines for purposes of determining compliance with phase-in
requirements.
(5) If an equipment manufacturer claims offsets from your engine for
use under Sec. 1039.627, the engine generating the offset must comply
with the requirements of paragraph (a)(1) of this section. You may not
generate offsets for use under paragraphs (a)(2) and (5) of this section
for these engines. You may generate ABT credits from these engines as
follows:
(i) To generate emission credits for NOX,
NOX+NMHC, and PM, the engine must be certified to FELs at or
below the standards in paragraph (a)(2) of this section.
(ii) Calculate credits according to Sec. 1039.705 but use as the
applicable standard the numerical value of the standard to which the
engine would have otherwise been subject if it had not been certified
under this paragraph (a).
(iii) For the production volume, use the number of engines certified
under this paragraph (a) for which you do not claim offsets under
paragraph (a)(2) of this section.
(6) You may include engines used to generate offsets under this
paragraph (a) and engines used to generate offsets under Sec. 1039.627
in the same engine family, subject to the provisions of Sec. 1039.230.
The engine must be certified to FELs, as specified in paragraph
(a)(5)(i) of this section. The FELs must be below the standard levels
specified in paragraph (a)(2) of this section and those specified in
Sec. 1039.627. In the reports required in Sec. 1039.730, include the
following information for each model year:
(i) The total number of engines that generate offsets under this
paragraph (a).
(ii) The number of engines used to generate offsets under paragraph
(a)(2) of this section.
(iii) The names of equipment manufacturers that intend to use your
offsets under Sec. 1039.627 and the number of offsets involved for each
equipment manufacturer.
(b) In-use compliance limits. For purposes of determining compliance
after title or custody has transferred to the ultimate purchaser,
calculate the applicable in-use compliance limits by adjusting the
applicable standards or FELs. This applies only for engines at or above
19 kW. The NOX adjustment applies only for engines with a
NOX FEL no higher than 2.1 g/kW-hr The PM adjustment applies
only for engines with a PM FEL no higher than the PM standard in Sec.
1039.101 for the appropriate power category. Add the following
adjustments to the otherwise applicable standards or FELs (steady-state,
transient, and NTE) for NOX and PM:
----------------------------------------------------------------------------------------------------------------
The PM
If your engine's maximum The NOX adjustment in g/kW- adjustment in
In model years . . . power is . . . hr is . . . g/kW-hr is . .
.
----------------------------------------------------------------------------------------------------------------
2013-2014............................ 19 <= kW < 56.............. not allowed................. 0.01
[[Page 105]]
2012-2016............................ 56 <= kW < 130............. 0.16 for operating hours <= 0.01
2000.
0.25 for operating hours
2001 to 3400.
0.34 for operating hours 3400.
2011-2015............................ 130 <= kW < 560............ 0.16 for operating hours <= 0.01
2000.
0.25 for operating hours
2001 to 3400.
0.34 for operating hours 3400.
2011-2016............................ kW 560......... 0.16 for operating hours <= 0.01
2000.
0.25 for operating hours
2001 to 3400.
0.34 for operating hours 3400.
----------------------------------------------------------------------------------------------------------------
(c) Provisions for small-volume manufacturers. Special provisions
apply if you are a small-volume engine manufacturer subject to the
requirements of this part. You must notify us in writing before January
1, 2008 if you intend to use these provisions.
(1) You may delay complying with certain otherwise applicable Tier 4
emission standards and requirements as described in the following table:
----------------------------------------------------------------------------------------------------------------
Until model Before that model year the
If your engine's maximum power is . . . You may delay meeting . . . year . . . engine must comply with . .
.
----------------------------------------------------------------------------------------------------------------
kW < 19.................................. The standards and 2011 The standards and
requirements of this part. requirements in 40 CFR
part 89.
19 <= kW < 37............................ The Tier 4 standards and 2016 The Tier 4 standards and
requirements of this part requirements that apply
that would otherwise be for model year 2008.
applicable in model year
2013.
37 <= kW < 56............................ See paragraph (c)(2) of this section for special provisions that
apply for engines in this power category.
56 <= kW < 130........................... The standards and 2015 The standards and
requirements of this part. requirements in 40 CFR
part 89.
----------------------------------------------------------------------------------------------------------------
(2) To use the provisions of this paragraph (c) for engines at or
above 37 kW and below 56 kW, choose one of the following:
(i) If you comply with the 0.30 g/kW-hr PM standard in Sec.
1039.102 in all model years from 2008 through 2012 without using PM
credits, you may continue meeting that standard through 2015.
(ii) If you do not choose to comply with paragraph (c)(2)(i) of this
section, you may continue to comply with the standards and requirements
in 40 CFR part 89 for model years through 2012, but you must begin
complying in 2013 with Tier 4 standards and requirements specified in
Table 3 of Sec. 1039.102 for model years 2013 and later.
(3) After the delays indicated in paragraph (c)(1) and (2) of this
section, you must comply with the same Tier 4 standards and requirements
as all other manufacturers.
(4) For engines not in the 19-56 kW power category, if you delay
compliance with any standards under this paragraph (c), you must do all
the following things for the model years when you are delaying
compliance with the otherwise applicable standards:
(i) Produce engines that meet all the emission standards and other
requirements under 40 CFR part 89 applicable for that model year, except
as noted in this paragraph (c).
(ii) Meet the labeling requirements in 40 CFR 89.110, but use the
following compliance statement instead of the compliance statement in 40
CFR 89.110(b)(10): ``THIS ENGINE COMPLIES WITH U.S. EPA REGULATIONS FOR
[CURRENT MODEL YEAR] NONROAD COMPRESSION-IGNITION ENGINES UNDER 40 CFR
1039.104(c).''.
(iii) Notify the equipment manufacturer that the engines you produce
under this section are excluded from the production volumes associated
with the equipment-manufacturer allowance program in Sec. 1039.625.
(5) For engines in the 19-56 kW power category, if you delay
compliance with any standards under this paragraph (c),
[[Page 106]]
you must do all the following things for the model years when you are
delaying compliance with the otherwise applicable standards:
(i) Produce engines in those model years that meet all the emission
standards and other requirements that applied for your model year 2008
engines in the same power category.
(ii) Meet the labeling requirements in Sec. 1039.135, but use the
following compliance statement instead of the compliance statement in
Sec. 1039.135: ``THIS ENGINE COMPLIES WITH U.S. EPA REGULATIONS FOR
[CURRENT MODEL YEAR] NONROAD COMPRESSION-IGNITION ENGINES UNDER 40 CFR
1039.104(c).''.
(iii) Notify the equipment manufacturer that the engines you produce
under this section are excluded from the production volumes associated
with the equipment-manufacturer allowance program in Sec. 1039.625.
(6) The provisions of this paragraph (c) may not be used to
circumvent the requirements of this part.
(d) 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--including schedules related to phase-in or phase-out
of engines. 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 (d)(4).
(e) Diesel test fuels and corresponding labeling requirements. For
diesel-fueled engines in 2011 and later model years, the diesel test
fuel is ultra low-sulfur diesel fuel specified in 40 CFR part 1065. For
diesel-fueled engines in 2010 and earlier model years, use test fuels
and meet labeling requirements as follows:
(1) Use the following test fuels in 2010 and earlier model years:
(i) Unless otherwise specified, the diesel test fuel is low-sulfur
diesel fuel specified in 40 CFR part 1065.
(ii) In model years 2007 through 2010, you may use ultra low-sulfur
diesel fuel as the test fuel for any engine family that employs sulfur-
sensitive technology if you can demonstrate that in-use engines in the
family will use diesel fuel with a sulfur concentration no greater than
15 ppm.
(iii) You may use ultra low-sulfur diesel fuel as the test fuel for
engine families in any power category below 56 kW, as long as none of
the engines in your engine family employ sulfur-sensitive technologies,
you ensure that ultimate purchasers of equipment using these engines are
informed that ultra low-sulfur diesel fuel is recommended, and you
recommend to equipment manufacturers that a label be applied at
[[Page 107]]
the fuel inlet recommending 15 ppm fuel.
(iv) For the engines described in Sec. 1039.101(c) that are
certified to the 0.60 g/kW-hr PM standard in Table 1 of Sec. 1039.102
in the 2010 model year, you may test with the ultra low-sulfur fuel
specified in 40 CFR part 1065.
(2) Meet the labeling requirements of this paragraph (e)(2) (or
other labeling requirements we approve) to identify the applicable test
fuels specified in paragraph (e)(1) of this section. Provide
instructions to equipment manufacturers to ensure that they are aware of
these labeling requirements.
(i) For engines certified under the provisions of paragraph
(e)(1)(i) of this section, include the following statement on the
emission control information label and the fuel-inlet label specified in
Sec. 1039.135: ``LOW SULFUR FUEL OR ULTRA LOW SULFUR FUEL ONLY''.
(ii) For engines certified under the provisions of paragraph
(e)(1)(ii) of this section, include the following statement on the
emission control information label and the fuel-inlet label specified in
Sec. 1039.135: ``ULTRA LOW SULFUR FUEL ONLY''.
(iii) For engines certified under the provisions of paragraph
(e)(1)(iii) of this section, include the following statement on the
emission control information label specified in Sec. 1039.135: ``ULTRA
LOW SULFUR FUEL RECOMMENDED''.
(3) For model years 2010 and earlier, we will use the test fuel that
you use under paragraph (e)(1) of this section, subject to the
conditions of paragraph (e)(1) of this section.
(f) Requirements for equipment manufacturers. If you produce
equipment with engines certified to Tier 3 standards under Option
2 of Table 3 of Sec. 1039.102 during model years from 2008
through 2011, then a minimum number of pieces of equipment you produce
using 2012 model year engines must have engines certified to the Option
2 standards, as follows:
(1) For equipment you produce with 2012 model year engines at or
above 37 kW and below 56 kW, determine the minimum number of these
engines that must be certified to the Option 2 standards in
Table 3 of Sec. 1039.102 as follows:
(i) If all the equipment you produce using 2008 through 2011 model
year engines use engines certified to Tier 3 standards under Option
2 of Table 3 of Sec. 1039.102, then all the 2012 model year
engines you install must be certified to the Option 2 standards
of Table 3 of Sec. 1039.102.
(ii) If you produce equipment using 2008 through 2011 model year
engines with some engines certified to Option 1 standards of
Table 3 of Sec. 1039.102 and some engines certified to Tier 3 standards
under Option 2 standards of Table 3 of Sec. 1039.102,
calculate the minimum number of 2012 model year engines you must install
that are certified to the Option 2 standards of Table 3 of
Sec. 1039.102 from the following equation:
Minimum number = [(T-O1-F)/(T-F)-0.05] x P
Where:
T = The total number of 2008-2010 model year engines at or above 37 kW
and below 56 kW that you use in equipment you produce.
O1 = The number of engines from the 2008-2010 model years
certified under Option 1 of Table 3 of Sec. 1039.102 that you
use in equipment you produce.
F = The number of 2008-2010 model year engines at or above 37 kW and
below 56 kW that you use in equipment you produce under the flexibility
provisions of Sec. 1039.625.
P = The total number of 2012 model year engines at or above 37 kW and
below 56 kW that you use in equipment you produce.
(2) As needed for the calculation required by this paragraph (f),
keep records of all equipment you produce using 2008-2012 model year
engines at or above 37 kW and below 56 kW. If you fail to keep these
records, you may not use any 2012 model year engines certified to Option
1 standards in your equipment.
(3) If you fail to comply with the provisions of this paragraph (f),
then using 2012 model year engines certified under Option 1 of
Table 3 of Sec. 1039.102 (or certified to less stringent standards) in
such equipment violates the prohibitions in Sec. 1068.101(a)(1).
(g) Alternate FEL caps. You may certify a limited number of engines
from your U.S.-directed production volume
[[Page 108]]
to the FEL caps in Table 1 of this section instead of the otherwise
applicable FEL caps in Sec. 1039.101(d)(1), Sec. 1039.102(e), or Sec.
1039.102(g)(2), subject to the following provisions:
(1) The provisions of this paragraph (g) apply during the model
years shown in Table 1 of this section. During this period, the number
of engines certified to the FEL caps in Table 1 of this section must not
exceed 20 percent in any single model year in each power category. The
sum of percentages over the four-year period must not exceed a total of
40 percent in each power category. If you certify an engine under an
alternate FEL cap in this paragraph (g) for any pollutant, count it
toward the allowed percentage of engines certified to the alternate FEL
caps.
(2) If your engine is not certified to transient emission standards
under the provisions of Sec. 1039.102(a)(1)(iii), you must adjust your
FEL upward by a temporary compliance adjustment factor (TCAF) before
calculating your negative emission credits under Sec. 1039.705, as
follows:
(i) The temporary compliance adjustment factor for NOX is
1.1.
(ii) The temporary compliance adjustment factor for PM is 1.5.
(iii) The adjusted FEL (FELadj) for calculating emission
credits is determined from the steady-state FEL (FELss) using
the following equation:
FELadj = (FELss) x (TCAF)
(iv) The unadjusted FEL (FELss) applies for all purposes
other than credit calculation.
(3) These alternate FEL caps may not be used for phase-in engines.
(4) Do not apply TCAFs to gaseous emissions for phase-out engines
that you certify to the same numerical standards (and FELs if the
engines are certified using ABT) for gaseous pollutants as you certified
under the Tier 3 requirements of 40 CFR part 89.
Table 1 of Sec. 1039.104--Alternate FEL Caps
----------------------------------------------------------------------------------------------------------------
Model years Model years
PM FEL cap, g/ for the NOX FEL cap, g/ for the
Maximum engine power kW-hr alternate PM kW-hr alternate NOX
FEL cap FEL cap
----------------------------------------------------------------------------------------------------------------
19 <= kW < 56................................... 0.30 \1\ 2012-2015 .............. ..............
56 <= kW < 130 \2\.............................. 0.30 2012-2015 3.8 \3\ 2012-2015
130 <= kW <= 560................................ 0.20 2011-2014 3.8 \4\ 2011-2014
kW 560 \5\.......................... 0.10 2015-2018 3.5 2015-2018
----------------------------------------------------------------------------------------------------------------
\1\ For manufacturers certifying engines under Option 1 of Table 3 of Sec. 1039.102, these alternate
FEL caps apply to all 19-56 kW engines for model years from 2013 through 2016 instead of in the years
indicated in this table. For manufacturers certifying engines under Option 2 of Table 3 of Sec.
1039.102, these alternate FEL caps do not apply to 19-37 kW engines except in model years 2013 to 2015.
\2\ For engines below 75 kW, the FEL caps are 0.40 g/kW-hr for PM emissions and 4.4 g/kW-hr for NOX emissions.
\3\ For manufacturers certifying engines in this power category using a percentage phase-in/phase-out approach
instead of the alternate NOX standards of Sec. 1039.102(e)(1), the alternate NOX FEL cap in the table
applies only in the 2014-2015 model years if certifying under Sec. 1039.102(d)(1), and only in the 2015
model year if certifying under (1039.102(d)(2).
\4\ For manufacturers certifying engines in this power category using the percentage phase-in/phase-out approach
instead of the alternate NOX standard of Sec. 1039.102(e)(2), the alternate NOX FEL cap in the table applies
only for the 2014 model year.
\5\ For engines above 560 kW, the provision for alternate NOX FEL caps is limited to generator-set engines. For
example, if you produce 1,000 generator-set engines above 560 kW in 2015, up to 200 of them may be certified
to the alternate NOX FEL caps.
(h) Delayed compliance with labeling requirements. Before the 2011
model year, you may omit the dates of manufacture from the emission
control information label as specified in Sec. 1039.135(c)(6) if you
keep those records and provide them to us upon request.
[69 FR 39213, June 29, 2004, as amended at 70 FR 40462, July 13, 2005;
72 FR 53130, Sept. 18, 2007; 75 FR 22988, Apr. 30, 2010]
Sec. 1039.105 What smoke standards must my engines meet?
(a) The smoke standards in this section apply to all engines subject
to emission standards under this part, except for the following engines:
(1) Single-cylinder engines.
(2) Constant-speed engines.
(3) Engines certified to a PM emission standard or FEL of 0.07 g/kW-
hr or lower.
(b) Measure smoke as specified in Sec. 1039.501(c). Smoke from your
engines
[[Page 109]]
may not exceed the following standards:
(1) 20 percent during the acceleration mode.
(2) 15 percent during the lugging mode.
(3) 50 percent during the peaks in either the acceleration or
lugging modes.
Sec. 1039.107 What evaporative emission standards and requirements apply?
There are no evaporative emission standards for diesel-fueled
engines, or engines using other nonvolatile or nonliquid fuels (for
example, natural gas). If your engine uses a volatile liquid fuel, such
as methanol, you must meet the evaporative emission requirements of 40
CFR part 1048 that apply to spark-ignition engines, as follows:
(a) Follow the steps in 40 CFR 1048.245 to show that you meet the
requirements of 40 CFR 1048.105.
(b) Do the following things in your application for certification:
(1) Describe how your engines control evaporative emissions.
(2) Present test data to show that equipment using your engines
meets the evaporative emission standards we specify in this section if
you do not use design-based certification under 40 CFR 1048.245. Show
these figures before and after applying deterioration factors, where
applicable.
Sec. 1039.110 [Reserved]
Sec. 1039.115 What other requirements apply?
Engines that are required to meet the emission standards of this
part must meet the following requirements, except as noted elsewhere in
this part:
(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.
(2) If you take advantage of this exception, you must do 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.
(3) 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)-(d) [Reserved]
(e) Adjustable parameters. Engines that have adjustable parameters
must meet all the requirements of this part for any adjustment in the
physically adjustable range. An operating parameter is not considered
adjustable if you permanently seal it or if it is not normally
accessible using ordinary tools. 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.
(f) 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.
(g) 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 test procedures described in subpart F of this part.
(2) You show your design is necessary to prevent engine (or
equipment) damage or accidents.
(3) The reduced effectiveness applies only to starting the engine.
[69 FR 39213, June 29, 2004, as amended at 72 FR 53130, Sept. 18, 2007]
[[Page 110]]
Sec. 1039.120 What emission-related warranty requirements apply to me?
(a) General requirements. You must warrant to the ultimate purchaser
and each subsequent purchaser that the new nonroad 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.
(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 minimum
warranty periods are shown in the following table:
----------------------------------------------------------------------------------------------------------------
And its maximum power And its rated speed is Then its warranty
If your engine is certified as . . . is . . . . . . period is . . .
----------------------------------------------------------------------------------------------------------------
Variable speed or constant speed..... kW < 19................ Any speed.............. 1,500 hours or two
years, whichever comes
first.
Constant speed....................... 19 <= kW < 37.......... 3,000 rpm or higher.... 1,500 hours or two
years, whichever comes
first.
Constant speed....................... 19 <= kW < 37.......... Less than 3,000 rpm.... 3,000 hours or five
years, whichever comes
first.
Variable speed....................... 19 <= kW < 37.......... Any speed.............. 3,000 hours or five
years, whichever comes
first.
Variable speed or constant speed..... kW = 37..... Any speed.............. 3,000 hours or five
years, whichever comes
first.
----------------------------------------------------------------------------------------------------------------
(c) Components covered. The emission-related warranty covers all
components whose failure would increase an engine's emissions of any
regulated pollutant, including 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 these components even if
another company produces the component. Your emission-related warranty
does not need to cover components whose failure would not increase an
engine's emissions of any regulated pollutant.
(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.
[69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005;
75 FR 22989, Apr. 30, 2010]
Sec. 1039.125 What maintenance instructions must I give to buyers?
Give the ultimate purchaser of each new nonroad engine written
instructions for properly maintaining and using the engine, including
the emission-control system. The maintenance instructions also apply to
service accumulation on your emission-data engines, as described in
Sec. 1039.245 and in 40 CFR part 1065.
(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
[[Page 111]]
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, if a lack of maintenance
increases emissions, it 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 your maintenance instructions.
(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, crankcase vent
filters, 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, EGR
systems (including related components, but excluding filters and
coolers), and other add-on components.
(3) For 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, crankcase vent
filters, 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 4,500 hours: Fuel injectors,
turbochargers, catalytic converters, electronic control units, EGR
systems (including related components, but excluding filters and
coolers), and other add-on components.
(4) For particulate traps, trap oxidizers, and components related to
either of these, scheduled maintenance may include cleaning or repair at
the intervals specified in paragraph (a)(2) or (3) of this section, as
applicable. Scheduled maintenance may include a shorter interval for
cleaning or repair and may also include adjustment or replacement, but
only if we approve it. We will approve your request if you provide the
maintenance free of charge and clearly state this in your maintenance
instructions, and you provide us additional information as needed to
convince us that the maintenance will occur.
(5) You may ask us to approve a maintenance interval shorter than
that specified in paragraphs (a)(2) and (3) of this section under Sec.
1039.210, including emission-related components that were not in
widespread use with nonroad compression-ignition engines before 2011. In
your request you must describe the proposed maintenance step, recommend
the maximum feasible interval for this maintenance, include your
rationale with supporting evidence to support the need for the
maintenance at the recommended interval, and demonstrate that the
maintenance will be done at the recommended interval on in-use engines.
In considering your request, we will evaluate the information you
provide and any other available information to establish alternate
specifications for maintenance intervals, if appropriate. We will
announce any decision we make under this paragraph (a)(5) in the Federal
Register. Anyone may request a hearing regarding such a decision (see
Sec. 1039.820).
(6) If your engine family has an alternate useful life under Sec.
1039.101(g) 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
[[Page 112]]
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.
We may disapprove your maintenance instructions if we determine that you
have specified special maintenance steps to address engine operation
that is not atypical, or that the maintenance is unlikely to occur in
use. If we determine that certain maintenance items do not qualify as
special maintenance under this paragraph (c), you may identify this as
recommended additional maintenance under paragraph (b) of this section.
(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-related maintenance generally includes maintenance on the
components we specify in 40 CFR part 1068, Appendix I, that is not
covered in paragraph (a) of this section. 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 the 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 the regulations require it or 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 nonroad engine in Sec. 1039.801.
[[Page 113]]
(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.
[69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005;
72 FR 53130, Sept. 18, 2007; 73 FR 59191, Oct. 8, 2008; 75 FR 22989,
Apr. 30, 2010]
Sec. 1039.130 What installation instructions must I give to equipment
manufacturers?
(a) If you sell an engine for someone else to install in a piece of
nonroad equipment, 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 piece of nonroad equipment 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. 1039.205(u).
(4) [Reserved]
(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 equipment manufacturers not to install
the engines in variable-speed applications.
(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 equipment,
as described in 40 CFR 1068.105.''.
(8) Describe equipment-labeling requirements consistent with Sec.
1039.135. State whether you are providing the label for the fuel inlet
or the equipment manufacturer must provide the label.
(c) You do not need installation instructions for engines you
install in your own equipment.
(d) Provide instructions in writing or in an equivalent format. For
example, you may post instructions on a publicly available website 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.
[69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005]
Sec. 1039.135 How must I label and identify the engines I produce?
(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. However, you may use two-piece labels for engines
below 19 kW if there is not enough space on the engine to apply a one-
piece label.
(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
[[Page 114]]
instead of yours if you comply with the provisions of Sec. 1039.640.
(3) Include EPA's standardized designation for the engine family
(and subfamily, where applicable).
(4) State the power category or subcategory from Sec. 1039.101 or
Sec. 1039.102 that determines the applicable emission standards for the
engine family. For engines at or above 37 kW and below 56 kW from model
years 2008 through 2012, and for engines less than 8 kW utilizing the
provision at Sec. 1039.101(c), you must state the applicable PM
standard for the engine family.
(5) State the engine's displacement (in liters); however, you may
omit this from the label if all the engines in the engine family have
the same per-cylinder displacement and total displacement.
(6) State the date of manufacture [DAY (optional), MONTH, and YEAR];
however, you may omit this from the label if you stamp, engrave, or
otherwise permanently identify it elsewhere on the engine, in which case
you must also describe in your application for certification where you
will identify the date on the engine.
(7) State the FELs to which the engines are certified if
certification depends on the ABT provisions of subpart H of this part.
(8) Identify the emission-control system. Use terms and
abbreviations as described in 40 CFR 1068.45. 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.
(9) For diesel-fueled engines, unless otherwise specified in Sec.
1039.104(e)(2), state: ``ULTRA LOW SULFUR FUEL ONLY'.
(10) Identify any additional requirements for fuel and lubricants
that do not involve fuel-sulfur levels. 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.
(11) State the useful life for your engine family if we approve a
shortened useful life under Sec. 1039.101(g)(2).
(12) State: ``THIS ENGINE COMPLIES WITH U.S. EPA REGULATIONS FOR
[MODEL YEAR] NONROAD DIESEL ENGINES.''.
(13) For engines above 560 kW, include the following things:
(i) For engines certified to the emission standards for generator-
set engines, add the phrase ``FOR GENERATOR SETS AND OTHER
APPLICATIONS''.
(ii) For all other engines, add the phrase ``NOT FOR USE IN A
GENERATOR SET''.
(14) If your engines are certified only for constant-speed
operation, state ``USE IN CONSTANT-SPEED APPLICATIONS ONLY''.
(d) 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 European standards). You may also add other
information to ensure that the engine will be properly maintained and
used.
(e) Except as specified in Sec. 1039.104(e)(2), create a separate
label with the statement: ``ULTRA LOW SULFUR FUEL ONLY''. Permanently
attach this label to the equipment near the fuel inlet or, if you do not
manufacture the equipment, take one of the following steps to ensure
that the equipment will be properly labeled:
(1) Provide the label to the equipment manufacturer and include the
appropriate information in the emission-related installation
instructions.
(2) Confirm that the equipment manufacturers install their own
complying labels.
(f) You may ask us to approve modified labeling requirements in this
part 1039 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.
(g) If you obscure the engine label while installing the engine in
the equipment such that the label cannot be read during normal
maintenance, you must place a duplicate label on the equipment. If
others install your engine in their equipment in a way that obscures the
engine label, we require them to add a duplicate label on the equipment
(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:
[[Page 115]]
(1) Written documentation of the request from the equipment
manufacturer.
(2) The number of duplicate labels you send for each engine family
and the date you sent them.
[69 FR 39213, June 29, 2004, as amended at 72 FR 53130, Sept. 18, 2007;
73 FR 59191, Oct 8, 2008; 75 FR 22989, Apr. 30, 2010]
Sec. 1039.140 What is my engine's maximum engine power?
(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) The nominal power curve must be within the range of the actual
power curves of production engines considering normal production
variability. If after production begins it is determined that your
nominal power curve does not represent production engines, we may
require you to amend your application for certification under Sec.
1039.225.
(d) Throughout this part, references to a specific power value or a
range of power values for an engine are based on maximum engine power.
For example, the group of engines with maximum engine power above 560 kW
may be referred to as engines above 560 kW.
Subpart C_Certifying Engine Families
Sec. 1039.201 What are the 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 certificate of conformity is valid
from the indicated effective date until December 31 of the model year
for which it is issued.
(b) The application must contain all the information required by
this part and must not include false or incomplete statements or
information (see Sec. 1039.255).
(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. 1039.250.
(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. 1039.255 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. 1039.235(c)).
(h) For engines that become new after being placed into service,
such as engines converted to nonroad use after being used in motor
vehicles, we may specify alternate certification provisions consistent
with the intent of this part. See the definition of ``new nonroad
engine'' in Sec. 1039.801.
[69 FR 39213, June 29, 2004, as amended at 75 FR 22990, Apr. 30, 2010]
Sec. 1039.205 What must I include in my application?
This section specifies the information that must be in your
application, unless we ask you to include less information under Sec.
1039.201(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. 1039.140.
(b) Explain how the emission-control system operates. Describe in
detail all
[[Page 116]]
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 equipment-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 equipment:
(i) Identify the engine and/or equipment 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
equipment 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) [Reserved]
(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 any special or alternate test procedures you used (see Sec.
1039.501).
(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 instructions you will give to the
ultimate purchaser of each new nonroad engine (see Sec. 1039.125).
(j) Include the emission-related installation instructions you will
provide if someone else installs your engines in
[[Page 117]]
a piece of nonroad equipment (see Sec. 1039.130).
(k) Describe your emission control information label (see Sec.
1039.135).
(l) Identify the emission standards or FELs to which you are
certifying engines in the engine family. Identify the ambient operating
regions that will apply for NTE testing under Sec. 1039.101(e)(4).
(m) Identify the engine family's deterioration factors and describe
how you developed them (see Sec. 1039.245). 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 hydrocarbons (such as NMHC or THCE, as
applicable), NOX, PM, and CO on an emission-data engine to
show your engines meet the applicable duty-cycle emission standards we
specify in Sec. 1039.101. Show emission figures before and after
applying adjustment factors for regeneration and deterioration factors
for each engine. Include emission results for each mode if you do
discrete-mode testing under Sec. 1039.505. Present emission data to
show that you meet any applicable smoke standards we specify in Sec.
1039.105. 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. Note that Sec. 1039.235 allows you
to submit an application in certain cases without new emission data.
(p) State that all the engines in the engine family comply with the
not-to-exceed emission standards we specify in subpart B of this part
for all normal operation and use when tested as specified in Sec.
1039.515. Describe any relevant testing, engineering analysis, or other
information in sufficient detail to support your statement.
(q) For engines above 560 kW, include information showing how your
emission controls will function during normal in-use transient
operation. For example, this might include the following:
(1) Emission data from transient testing of engines using
measurement systems designed for measuring in-use emissions.
(2) Comparison of the engine design for controlling transient
emissions with that from engines for which you have emission data over
the transient duty cycle for certification.
(3) Detailed descriptions of control algorithms and other design
parameters for controlling transient emissions.
(r) Report test results as follows:
(1) Report all test results involving measurement of pollutants for
which emission standards apply. Include test results from invalid tests
or from any other tests, whether or not they were conducted according to
the test procedures of subpart F of this part. 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.
(2) Report measured CO2, N2O, and
CH4 as described in Sec. 1039.235. Small-volume engine
manufacturers may omit reporting N2O and CH4.
(s) Describe all adjustable operating parameters (see Sec.
1039.115(e)), 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) 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.
(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
[[Page 118]]
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 equipment and placed in service.
If this cannot be done by simply adding a 20-centimeter extension to the
exhaust pipe, show how to sample exhaust emissions in a way that
prevents diluting the exhaust sample with ambient air.
(v) State whether your certification is intended to include engines
used in stationary applications. 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 for transportation refrigeration units that you
certify under the provisions of Sec. 1039.645.
(3) Hand-startable engines certified under the provisions of Sec.
1039.101(c).
(4) Engines above 560 KW that are not certified to emission
standards for generator-set 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. 1039.725 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.
[69 FR 39213, June 29, 2004, as amended at 71 FR 39185, July 11, 2006;
72 FR 53131, Sept. 18, 2007; 74 FR 56508, Oct. 30, 2009]
Sec. 1039.210 May I get preliminary approval before I complete
my application?
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, testing for service
accumulation, maintenance, and NTE deficiencies and carve-outs.
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.
[72 FR 53131, Sept. 18, 2007]
Sec. 1039.220 How do I amend the maintenance instructions in my
application?
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. 1039.125.
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. 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.
[[Page 119]]
(a) If you are decreasing or eliminating any specified 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
engines in severe-duty applications.
(c) You need not 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).
[75 FR 22990, Apr. 30, 2010]
Sec. 1039.225 How do I amend my application 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
that is included or should be 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. 1039.230.
(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, send the relevant
information to the Designated Compliance Officer.
(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
for showing that the amended family complies 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. 1039.820).
(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
[[Page 120]]
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 after we request it, 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 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 engine, as described in paragraph (b)(3) of this
section, use the appropriate FELs with corresponding production volumes
to calculate emission credits for the model year, as described in
subpart H of this part. In all other circumstances, you must use the
higher FEL for the entire engine family to calculate emission credits
under subpart H of this part.
(2) You may ask to lower the FEL for your engine 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 emission credits for the
model year, as described in subpart H of this part.
[69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005;
72 FR 53131, Sept. 18, 2007; 75 FR 22990, Apr. 30, 2010]
Sec. 1039.230 How do I select 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.
Your engine family is limited to a single model year.
(b) Group engines in the same engine family if they are the same in
all the following aspects:
(1) The combustion cycle and fuel.
(2) The cooling system (water-cooled vs. air-cooled).
(3) Method of air aspiration.
(4) Method of exhaust aftertreatment (for example, catalytic
converter or particulate trap).
(5) Combustion chamber design.
(6) Bore and stroke.
(7) Cylinder arrangement (such as in-line vs. vee configurations).
This applies for engines with aftertreatment devices only.
(8) Method of control for engine operation other than governing
(i.e., mechanical or electronic).
(9) Power category.
(10) Numerical level of the emission standards that apply to the
engine.
(c) You may subdivide a group of engines that is identical under
paragraph (b) of this section into different engine families if you show
the expected emission characteristics are different during the useful
life.
(d) In unusual circumstances, you may group engines that are not
identical with respect to the things listed in paragraph (b) of this
section in the same engine family if you show that their emission
characteristics during the useful life will be similar.
(e) If you combine engines from different power categories into a
single engine family under paragraph (d) of this section, you must
certify the engine family to the more stringent set of standards from
the two power categories in that model year.
[69 FR 39213, June 29, 2004, as amended at 72 FR 53131, Sept. 18, 2007;
75 FR 22990, Apr. 30, 2010]
Sec. 1039.235 What testing requirements apply for certification?
This section describes the emission testing you must perform to show
compliance with the emission standards in Sec. 1039.101(a) and (b) or
Sec. 1039.102(a) and (b). See Sec. 1039.205(p) regarding emission
testing related to the NTE standards. See Sec. 1039.240, Sec.
1039.245, and 40 CFR part
[[Page 121]]
1065, subpart E, regarding service accumulation before emission testing.
(a) Test your emission-data engines using the procedures and
equipment specified in subpart F of this part.
(b) Select an emission-data engine from each engine family for
testing. Select the engine configuration with the highest volume of fuel
injected per cylinder per combustion cycle at the point of maximum
torque--unless good engineering judgment indicates that a different
engine configuration is more likely to exceed (or have emissions nearer
to) an applicable emission standard or FEL. If two or more engines have
the same fueling rate at maximum torque, select the one with the highest
fueling rate at rated speed. 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.
(c) We may measure emissions from any of your emission-data 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 engine to a test facility
we designate. The 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 on one of your 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 physically adjustable ranges (see
Sec. 1039.115(e)).
(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. For example, this would apply for an engine
parameter that is subject to production variability because it is
adjustable during production, but is not considered an adjustable
parameter (as defined in Sec. 1039.801) because it is permanently
sealed.
(d) You may ask to use carryover 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.
(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.
(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.
(g) Measure CO2 and CH4 with each low-hour
certification test using the procedures specified in 40 CFR part 1065 in
the 2011 and 2012 model years, respectively. Also measure N2O
with each low-hour certification test using the procedures specified in
40 CFR part 1065 starting in the 2013 model year for any engine family
that depends on NOx aftertreatment to meet emission standards. Small-
volume engine manufacturers may omit measurement of N2O and
CH4. These measurements are not required for NTE testing. Use
the same units and modal calculations as for your other results to
report a single weighted value for each constituent. Round the final
values as follows:
(1) Round CO2 to the nearest 1 g/kW-hr.
[[Page 122]]
(2) Round N2O to the nearest 0.001 g/kW-hr.
(3) Round CH4 to the nearest 0.001g/kW-hr.
[69 FR 39213, June 29, 2004, as amended at 72 FR 53131, Sept. 18, 2007;
74 FR 56509, Oct. 30, 2009; 75 FR 22991, Apr. 30, 2010]
Sec. 1039.240 How do I demonstrate that my engine family complies with
exhaust emission standards?
(a) For purposes of certification, your engine family is considered
in compliance with the emission standards in Sec. 1039.101(a) and (b),
Sec. 1039.102(a) and (b), Sec. 1039.104, and Sec. 1039.105 if all
emission-data engines representing that family have test results showing
official emission results and deteriorated emission levels at or below
these standards. This also applies for all test points for emission-data
engines within the family used to establish deterioration factors. 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 an official
emission result or a deteriorated emission level for any pollutant that
is above an applicable emission standard. Similarly, your engine family
is deemed not to comply if any emission-data engine representing that
family has test results showing any emission level above the applicable
not-to-exceed emission standard for any pollutant. This also applies for
all test points for emission-data engines within the family used to
establish deterioration factors.
(c) To compare emission levels from the emission-data engine with
the applicable emission standards, apply deterioration factors to the
measured emission levels for each pollutant. Section 1039.245 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 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 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 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 smoke. Deterioration factors for smoke
are always additive, as described in paragraph (c)(1) of this section.
(4) 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
[[Page 123]]
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+NMHC standards, apply the deterioration factor to each
pollutant and then add the results before rounding.
(e) For engines subject to NMHC standards, you may base compliance
on total hydrocarbon (THC) emissions. Indicate in your application for
certification if you are using this option. If you do, measure THC
emissions and calculate NMHC emissions as 98 percent of THC emissions,
as shown in the following equation:
NMHC = (0.98) x (THC).
[69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005;
75 FR 22991, Apr. 30, 2010]
Sec. 1039.245 How do I determine deterioration factors from exhaust
durability testing?
This section describes how to determine deterioration factors,
either with an engineering analysis, with pre-existing test data, or
with new emission measurements. Apply these deterioration factors to
determine whether your engines will meet the duty-cycle emission
standards throughout the useful life as described in Sec. 1039.240.
(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+NMHC standard or FEL
greater than the Tier 3 NOX+NMHC standard described in 40 CFR
89.112 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.
(b) You may ask us to approve deterioration factors for an engine
family based on emission measurements from similar highway or nonroad
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 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, select
engines, subsystems, or components for testing. Determine deterioration
factors based on service accumulation and related testing to represent
the deterioration expected from in-use engines over the full useful
life. You must measure emissions from the emission-data engine at least
three times with evenly spaced intervals of service accumulation. 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 nonroad equipment 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.
1039.125 and 40 CFR part 1065, subpart E. Use good engineering judgment
for all aspects of the effort to establish deterioration factors under
this paragraph (c).
(d) Include the following information in your application for
certification:
(1) If you use 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
[[Page 124]]
and extent of service accumulation, including a rationale for selecting
the service-accumulation period and the method you use to accumulate
hours.
[69 FR 39213, June 29, 2004, as amended at 72 FR 53131, Sept. 18, 2007;
75 FR 22991, Apr. 30, 2010]
Sec. 1039.250 What records must I keep and what reports must I send to EPA?
(a) Within 45 days after the end of the model year, send the
Designated Compliance Officer a report describing the following
information about engines you produced during the model year:
(1) Report the total number of engines you produced in each engine
family by maximum engine power, total displacement, and the type of fuel
system.
(2) If you produced exempted engines under the provisions of Sec.
1039.625, report the number of exempted engines you produced for each
engine model and identify the buyer or shipping destination for each
exempted engine.
(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. 1039.205 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, 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 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.
[69 FR 39213, June 29, 2004, as amended at 75 FR 22991, Apr. 30, 2010]
Sec. 1039.255 What decisions may EPA make regarding my certificate
of conformity?
(a) If we determine your application is complete and shows that the
engine family meets all the requirements of this part and the 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. We will base our
decision on all available information. 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 despite our
presenting a
[[Page 125]]
warrant or court order (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 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
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. 1039.820).
[69 FR 39213, June 29, 2004, as amended at 72 FR 53132, Sept. 18, 2007;
75 FR 22991, Apr. 30, 2010]
Subpart D [Reserved]
Subpart E_In-Use Testing
Sec. 1039.401 General provisions.
We may perform in-use testing of any engine subject to the standards
of this part. However, we will limit recall testing to the first 75
percent of each engine's useful life as specified in Sec. 1039.101(g).
Subpart F_Test Procedures
Sec. 1039.501 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 engines meet the duty-
cycle emission standards in subpart B of this part. Measure the
emissions of all the exhaust constituents subject to emissions standards
as specified in 40 CFR part 1065. Measure CO2,
N2O, and CH4 as described in Sec. 1039.235. Use
the applicable duty cycles specified in Sec. Sec. 1039.505 and
1039.510.
(b) Section 1039.515 describes the supplemental procedures for
evaluating whether engines meet the not-to-exceed emission standards in
subpart B of this part.
(c) Measure smoke using the procedures in 40 CFR part 86, subpart I,
for evaluating whether engines meet the smoke standards in Sec.
1039.105, except that you may test two-cylinder engines with an exhaust
muffler like those installed on in-use engines.
(d) Use the fuels specified in Sec. 1039.104(e) and 40 CFR part
1065 to perform valid tests.
(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 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. 1039.135(c)(9)). For example,
do not test with ultra low-sulfur diesel fuel if you intend to label
your engines to allow use of diesel fuel with sulfur concentrations up
to 500 ppm.
(e) You may use special or alternate procedures to the extent we
allow them under 40 CFR 1065.10.
(f) 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.
[69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005;
72 FR 53132, Sept. 18, 2007; 74 FR 56509, Oct. 30, 2009]
Sec. 1039.505 How do I test engines using steady-state duty cycles,
including ramped-modal testing?
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
[[Page 126]]
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.
(b) Measure emissions by testing the engine on a dynamometer with
one of the following duty cycles to determine whether it meets the
steady-state emission standards in Sec. 1039.101(b):
(1) Use the 5-mode duty cycle or the corresponding ramped-modal
cycle described in Appendix II of this part for constant-speed engines.
Note that these cycles do not apply to all engines used in constant-
speed applications, as described in Sec. 1039.801.
(2) Use the 6-mode duty cycle or the corresponding ramped-modal
cycle described in Appendix III of this part for variable-speed engines
below 19 kW. You may instead use the 8-mode duty cycle or the
corresponding ramped-modal cycle described in Appendix IV of this part
if some engines from your engine family will be used in applications
that do not involve governing to maintain engine operation around rated
speed.
(3) Use the 8-mode duty cycle or the corresponding ramped-modal
cycle described in Appendix IV of this part for variable-speed engines
at or above 19 kW.
(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.
(f) For those cases where transient testing is not necessary,
perform the steady-state test according to this section after an
appropriate warm-up period, consistent with 40 CFR part 1065, subpart F.
(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).
[[Page 127]]
(iv) Tref < T <= 5 % [middot] Tmax mapped.
[69 FR 39213, June 29, 2004, as amended at 73 FR 37241, June 30, 2008]
Sec. 1039.510 Which duty cycles do I use for transient testing?
(a) Measure emissions by testing the engine on a dynamometer with
one of the following transient duty cycles to determine whether it meets
the transient emission standards in Sec. 1039.101(a):
(1) For variable-speed engines, use the transient duty cycle
described in Appendix VI of this part.
(2) [Reserved]
(b) The transient test sequence consists of an initial run through
the transient duty cycle from a cold start, 20 minutes with no engine
operation, then a final run through the same transient duty cycle. Start
sampling emissions immediately after you start the engine. Calculate the
official transient emission result from the following equation:
[GRAPHIC] [TIFF OMITTED] TR30AP10.002
(c) Calculate cycle statistics and compare with the established
criteria as specified in 40 CFR 1065.514 to confirm that the test is
valid.
[69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005;
75 FR 22991, Apr. 30, 2010]
Sec. 1039.515 What are the test procedures related to not-to-exceed
standards?
(a) General provisions. The provisions in 40 CFR 86.1370-2007 apply
for determining whether an engine meets the not-to-exceed emission
standards in Sec. 1039.101(e). Interpret references to vehicles and
vehicle operation to mean equipment and equipment operation.
(b) Special PM zone. For engines certified to a PM standard or FEL
above 0.07 g/kW-hr, a modified NTE control area applies for PM emissions
only. The speeds and loads to be excluded are determined based on speeds
B and C, determined according to the provisions of 40 CFR 86.1360-
2007(c). One of the following provisions applies:
(1) If the C speed is below 2400 rpm, exclude the speed and load
points to the right of or below the line formed by connecting the
following two points on a plot of speed-vs.-power:
(i) 30% of maximum power at the B speed; however, use the power
value corresponding to the engine operation at 30% of maximum torque at
the B speed if this is greater than 30% of maximum power at the B speed.
(ii) 70% of maximum power at 100% speed.
(2) If the C speed is at or above 2400 rpm, exclude the speed and
load points to the right of the line formed by connecting the two points
in paragraphs (b)(2)(i) and (ii) of this section (the 30% and 50%
torque/power points) and below the line formed by connecting the two
points in paragraphs (b)(2)(ii) and (iii) of this section (the 50% and
70% torque/power points). The 30%, 50%, and 70% torque/power points are
defined as follows:
(i) 30% of maximum power at the B speed; however, use the power
value corresponding to the engine operation at 30% of maximum torque at
the B speed if this is greater than 30% of maximum power at the B speed.
(ii) 50% of maximum power at 2400 rpm.
(iii) 70% of maximum power at 100% speed.
Sec. 1039.520 What testing must I perform to establish deterioration factors?
Sections 1039.240 and 1039.245 describe the method for testing that
must be performed to establish deterioration factors for an engine
family.
Sec. 1039.525 How do I adjust emission levels to account for infrequently
regenerating aftertreatment devices?
This section describes how to adjust emission results from engines
using
[[Page 128]]
aftertreatment technology with infrequent regeneration events. 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. 1039.235(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 hot-
start and cold-start test segments and 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.
(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 in terms of the fraction of
tests during which the regeneration occurs.
EFH = measured emissions from a test segment in which the
regeneration occurs.
EFL = measured emissions from a test segment in which the
regeneration does not occur.
(c) Applying adjustment factors. Apply adjustment factors based on
whether regeneration occurs during the test run. You must be able to
identify regeneration in a way that is readily apparent during all
testing.
(1) If regeneration does not occur during a test segment, add an
upward adjustment factor to the measured emission rate. Determine the
upward adjustment factor (UAF) using the following equation:
UAF = EFA - EFL
(2) If regeneration occurs or starts to occur during a test segment,
subtract a downward adjustment factor from the measured emission rate.
Determine the downward adjustment factor (DAF) using the following
equation:
DAF = EFH - EFA
(d) Sample calculation. If EFL is 0.10 g/kW-hr,
EFH is 0.50 g/kW-hr, and F is 0.1 (the regeneration occurs
once for each ten tests), then:
EFA = (0.1)(0.5 g/kW-hr) + (1.0 - 0.1)(0.1 g/kW-hr) = 0.14 g/
kW-hr.
UAF = 0.14 g/kW-hr - 0.10 g/kW-hr = 0.04 g/kW-hr.
DAF = 0.50 g/kW-hr - 0.14 g/kW-hr = 0.36 g/kW-hr.
[[Page 129]]
Subpart G_Special Compliance Provisions
Sec. 1039.601 What compliance provisions apply to these engines?
Engine and equipment manufacturers, as well as owners, operators,
and rebuilders of engines 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 Act.
Sec. 1039.605 What provisions apply to engines certified under the
motor-vehicle program?
(a) General provisions. If you are an engine manufacturer, this
section allows you to introduce new nonroad engines into commerce if
they are already certified to the requirements that apply to
compression-ignition engines under 40 CFR parts 85 and 86 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 for
each engine to also be a valid certificate of conformity under this part
1039 for its model year, without a separate application for
certification under the requirements of this part 1039. See Sec.
1039.610 for similar provisions that apply to engines certified to
chassis-based standards for motor vehicles.
(b) Equipment-manufacturer provisions. If you are not an engine
manufacturer, you may produce nonroad equipment using motor-vehicle
engines under this section as long as you meet all the requirements and
conditions specified in paragraph (d) of this section. You must also add
the fuel-inlet label we specify in Sec. 1039.135(e). If you modify the
motor-vehicle engine in any of the ways described in paragraph (d)(2) of
this section, we will consider you a manufacturer of a new nonroad
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. This applies to engine manufacturers, equipment manufacturers
who use these engines, and all other persons as if these engines were
used in a motor vehicle. The prohibited acts of 40 CFR 1068.101(a)(1)
apply to these new engines and equipment; however, we consider the
certificate issued under 40 CFR part 86 for each engine to also be a
valid certificate of conformity under this part 1039 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 86 or 40 CFR 1068.505.
(d) Specific requirements. If you are an engine manufacturer or
equipment manufacturer and meet all the following criteria and
requirements regarding your new nonroad engine, the engine is eligible
for an exemption under this section:
(1) Your engine must be covered by a valid certificate of conformity
issued under 40 CFR part 86.
(2) You must not make any changes to the certified engine that could
reasonably be expected to increase its exhaust emissions for any
pollutant, or its evaporative emissions if it is subject to evaporative-
emission standards. For example, if you make any of the following
changes to one of these engines, you do not qualify for this exemption:
(i) Change any fuel system parameters from the certified
configuration.
(ii) 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.
(iii) Modify or design the engine cooling system so that
temperatures or heat rejection rates are outside the original engine
manufacturer's specified ranges.
(3) You must show that fewer than 50 percent of the engine family's
total sales in the United States are used in nonroad applications. This
includes engines used in any application without regard to which company
manufactures the vehicle or equipment. Show this as follows:
[[Page 130]]
(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.
(4) You must ensure that the engine has the label we require under
40 CFR part 86.
(5) You must add a permanent supplemental label to the engine in a
position where it will remain clearly visible after installation in the
equipment. In the supplemental label, do the following:
(i) Include the heading: ``NONROAD ENGINE EMISSION CONTROL
INFORMATION''.
(ii) Include your full corporate name and trademark. You may instead
include the full corporate name and trademark of another company you
choose to designate.
(iii) State: ``THIS ENGINE WAS ADAPTED FOR NONROAD USE WITHOUT
AFFECTING ITS EMISSION CONTROLS. THE EMISSION-CONTROL SYSTEM DEPENDS ON
THE USE OF FUEL MEETING SPECIFICATIONS THAT APPLY FOR MOTOR-VEHICLE
APPLICATIONS. OPERATING THE ENGINE ON OTHER FUELS MAY BE A VIOLATION OF
FEDERAL LAW.''.
(iv) State the date you finished modifying the engine (month and
year), if applicable.
(6) The original and supplemental labels must be readily visible
after the engine is installed in the equipment or, if the equipment
obscures the engine's emission control information label, the equipment
manufacturer must attach duplicate labels, as described in 40 CFR
1068.105.
(7) You must make sure that nonroad equipment produced under this
section will have the fueling label we specify in Sec.
1039.135(c)(9)(i).
(8) 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 or equipment 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 or equipment] model
for nonroad application without making any changes that could increase
its certified emission levels, as described in 40 CFR 1039.605.''.
(e) 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 1039 and the
certificate issued under 40 CFR part 86 will not be deemed to also be a
certificate issued under this part 1039. Introducing these engines into
commerce without a valid exemption or certificate of conformity under
this part violates the prohibitions in 40 CFR 1068.101(a)(1).
(f) Data submission. We may require you to send us emission test
data on any applicable nonroad duty cycles.
(g) Participation in averaging, banking and trading. Engines adapted
for nonroad use under this section may not generate or use emission
credits under this part 1039. These engines may generate credits under
the ABT provisions in 40 CFR part 86. These engines must use emission
credits under 40 CFR part 86 if they are certified to an FEL that
exceeds an applicable standard under 40 CFR part 86.
[69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005;
72 FR 53132, Sept. 18, 2007; 75 FR 22992, Apr. 30, 2010]
Sec. 1039.610 What provisions apply to vehicles certified under the
motor-vehicle program?
(a) General provisions. If you are a motor-vehicle manufacturer,
this section allows you to introduce new nonroad engines or equipment
into commerce if the vehicle is already certified to the requirements
that apply under 40 CFR parts 85 and 86 for the appropriate model year.
If you comply with all of the provisions of this section, we consider
the certificate issued under 40 CFR part 86 for each motor vehicle to
also be a valid certificate of conformity for the engine under this part
1039 for its model year, without a separate application for
certification under the requirements of this part
[[Page 131]]
1039. See Sec. 1039.605 for similar provisions that apply to motor-
vehicle engines produced for nonroad equipment.
(b) Equipment-manufacturer provisions. If you are not a motor-
vehicle manufacturer, you may produce nonroad equipment from motor
vehicles under this section as long as you meet all the requirements and
conditions specified in paragraph (d) of this section. You must also add
the fuel-inlet label we specify in Sec. 1039.135(e). If you modify the
motor vehicle or its engine in any of the ways described in paragraph
(d)(2) of this section, we will consider you a manufacturer of a new
nonroad engine. Such modifications prevent you from using the provisions
of this section.
(c) Liability. Engines, vehicles, and equipment 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. This applies to
engine manufacturers, equipment manufacturers, and all other persons as
if the nonroad equipment were motor vehicles. The prohibited acts of 40
CFR 1068.101(a)(1) apply to these new pieces of equipment; however, we
consider the certificate issued under 40 CFR part 86 for each motor
vehicle to also be a valid certificate of conformity for the engine
under this part 1039 for its model year. If we make a determination that
these engines, vehicles, or equipment do not conform to the regulations
during their useful life, we may require you to recall them under 40 CFR
part 86 or 40 CFR 1068.505.
(d) Specific requirements. If you are a motor-vehicle manufacturer
and meet all the following criteria and requirements regarding your new
nonroad equipment and its engine, the engine is eligible for an
exemption under this section:
(1) Your equipment must be covered by a valid certificate of
conformity as a motor vehicle issued under 40 CFR part 86.
(2) You must not make any changes to the certified vehicle that we
could reasonably expect to increase its exhaust emissions for any
pollutant, or its evaporative emissions if it is subject to evaporative-
emission standards. For example, if you make any of the following
changes, you do not qualify for this exemption:
(i) Change any fuel system parameters from the certified
configuration.
(ii) Change, remove, or fail to properly install any other
component, element of design, or calibration specified in the vehicle
manufacturer's application for certification. This includes
aftertreatment devices and all related components.
(iii) Modify or design the engine cooling system so that
temperatures or heat rejection rates are outside the original vehicle
manufacturer's specified ranges.
(iv) Add more than 500 pounds to the curb weight of the originally
certified motor vehicle.
(3) You must show that fewer than 50 percent of the engine family's
total sales in the United States are used in nonroad applications. This
includes any type of vehicle, without regard to which company completes
the manufacturing of the nonroad equipment. Show this as follows:
(i) If you are the original manufacturer of the vehicle, base this
showing on your sales information.
(ii) In all other cases, you must get the original manufacturer of
the vehicle to confirm this based on their sales information.
(4) The equipment must have the vehicle emission control information
and fuel labels we require under 40 CFR 86.007-35.
(5) You must add a permanent supplemental label to the equipment in
a position where it will remain clearly visible. In the supplemental
label, do the following:
(i) Include the heading: ``NONROAD ENGINE EMISSION CONTROL
INFORMATION''.
(ii) Include your full corporate name and trademark. You may instead
include the full corporate name and trademark of another company you
choose to designate.
(iii) State: ``THIS VEHICLE WAS ADAPTED FOR NONROAD USE WITHOUT
AFFECTING ITS EMISSION CONTROLS. THE EMISSION-CONTROL SYSTEM DEPENDS ON
THE USE OF
[[Page 132]]
FUEL MEETING SPECIFICATIONS THAT APPLY FOR MOTOR-VEHICLE APPLICATIONS.
OPERATING THE ENGINE ON OTHER FUELS MAY BE A VIOLATION OF FEDERAL
LAW.''.
(iv) State the date you finished modifying the vehicle (month and
year), if applicable.
(6) The original and supplemental labels must be readily visible in
the fully assembled equipment.
(7) 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 equipment 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 produced each listed engine or equipment model for
nonroad application without making any changes that could increase its
certified emission levels, as described in 40 CFR 1039.610.''
(e) Failure to comply. If your engines, vehicles, or equipment do
not meet the criteria listed in paragraph (d) of this section, the
engines will be subject to the standards, requirements, and prohibitions
of this part 1039, and the certificate issued under 40 CFR part 86 will
not be deemed to also be a certificate issued under this part 1039.
Introducing these engines into commerce without a valid exemption or
certificate of conformity under this part violates the prohibitions in
40 CFR 1068.101(a)(1).
(f) Data submission. We may require you to send us emission test
data on any applicable nonroad duty cycles.
(g) Participation in averaging, banking and trading. Vehicles
adapted for nonroad use under this section may not generate or use
emission credits under this part 1039. These vehicles may generate
credits under the ABT provisions in 40 CFR part 86. These vehicles must
be included in the calculation of the applicable fleet average in 40 CFR
part 86.
[69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005;
72 FR 53132, Sept. 18, 2007; 75 FR 22992, Apr. 30, 2010]
Sec. 1039.615 What special provisions apply to engines using noncommercial
fuels?
In Sec. 1039.115(e), we generally require that engines meet
emission standards for any adjustment within the full range of any
adjustable parameters. For engines that use noncommercial fuels
significantly different than the specified test fuel of the same type,
you may ask to use the parameter-adjustment provisions of this section
instead of those in Sec. 1039.115(e). Engines certified under this
section must be in a separate engine family.
(a) If we approve your request, the following provisions apply:
(1) You must certify the engine using the test fuel specified in
Sec. 1039.501.
(2) You may produce the engine without limits or stops that keep the
engine adjusted within the certified range.
(3) You must specify in-use adjustments different than the
adjustable settings appropriate for the specified test fuel, consistent
with the provisions of paragraph (b)(1) of this section.
(b) To produce engines under this section, you must do the
following:
(1) Specify in-use adjustments needed so the engine's level of
emission control for each regulated pollutant is equivalent to that from
the certified configuration.
(2) Add the following information to the emission control
information label specified in Sec. 1039.135:
(i) Include instructions describing how to adjust the engine to
operate in a way that maintains the effectiveness of the emission-
control system.
(ii) State: ``THIS ENGINE IS CERTIFIED TO OPERATE IN APPLICATIONS
USING NONCOMMERCIAL FUEL. MALADJUSTMENT OF THE ENGINE IS A VIOLATION OF
FEDERAL LAW SUBJECT TO CIVIL PENALTY.''.
(3) Keep records to document the destinations and quantities of
engines produced under this section.
Sec. 1039.620 What are the provisions for exempting engines used solely
for competition?
The provisions of this section apply for new engines built on or
after January 1, 2006.
[[Page 133]]
(a) Equipment manufacturers may use uncertified engines if the
vehicles or equipment in which they are installed will be used solely
for competition.
(b) The definition of nonroad engine in 40 CFR 1068.30 excludes
engines used solely for competition. These engines are not required to
comply with this part 1039 or 40 CFR part 89, but 40 CFR 1068.101
prohibits the use of competition engines for noncompetition purposes.
(c) We consider a vehicle or piece of equipment to be one that will
be used solely for competition if it has features that are not easily
removed that would make its use other than in competition unsafe,
impractical, or highly unlikely.
(d) As an engine manufacturer, your engine is exempt without our
prior approval if you have a written request for an exempted engine from
the equipment manufacturer showing the basis for believing that the
equipment will be used solely for competition. You must permanently
label engines exempted under this section to clearly indicate that they
are to be used solely for competition. Failure to properly label an
engine will void the exemption.
(e) We may discontinue an exemption under this section if we find
that engines are not used solely for competition.
Sec. 1039.625 What requirements apply under the program for equipment-manufacturer
flexibility?
The provisions of this section allow equipment manufacturers to
produce equipment with engines that are subject to less stringent
emission standards after the Tier 4 emission standards begin to apply.
To be eligible to use these provisions, you must follow all the
instructions in this section. See 40 CFR 89.102(d) and (e) for
provisions that apply to equipment produced while Tier 1, Tier 2, or
Tier 3 standards apply. See Sec. 1039.626 for requirements that apply
specifically to companies that manufacture equipment outside the United
States and to companies that import such equipment without manufacturing
it. Engines and equipment you produce under this section are exempt from
the prohibitions in 40 CFR 1068.101(a)(1), subject to the provisions of
this section.
(a) General. If you are an equipment manufacturer, you may introduce
into commerce in the United States limited numbers of nonroad equipment
with engines exempted under this section. You may use the exemptions in
this section only if you have primary responsibility for designing and
manufacturing equipment and your manufacturing procedures include
installing some engines in this equipment. Consider all U.S.-directed
equipment sales in showing that you meet the requirements of this
section, including those from any parent or subsidiary companies and
those from any other companies you license to produce equipment for you.
If you produce a type of equipment that has more than one engine, count
each engine separately. These provisions are available over the
following periods:
(1) These provisions are available for the years shown in the
following table, except as provided in paragraph (a)(2) of this section:
Table 1 of Sec. 1039.625--General Availability of Allowances
------------------------------------------------------------------------
Power category Calendar years
------------------------------------------------------------------------
kW < 19............................................... 2008-2014
19 <= kW < 56......................................... 2008-2014
56 <= kW < 130........................................ 2012-2018
130 <= kW <= 560...................................... 2011-2017
kW 560.................................... 2011-2017
------------------------------------------------------------------------
(2) If you do not use any allowances in a power category before the
earliest dates shown in the following table, you may delay the start of
the seven-year period for using allowances under this section as
follows:
Table 2 of Sec. 1039.625--Availability of Delayed Allowances
------------------------------------------------------------------------
Power category Calendar years
------------------------------------------------------------------------
kW < 19............................................... ................
19 <= kW < 56......................................... 2012-2018
56 <= kW < 130........................................ 2014-2020
130 <= kW <= 560...................................... 2014-2020
kW 560.................................... 2015-2021
------------------------------------------------------------------------
(b) Allowances. You may choose one of the following options for each
power category to produce equipment with exempted engines under this
section, except as allowed under Sec. 1039.627:
[[Page 134]]
(1) Percent-of-production allowances. You may produce a certain
number of units with exempted engines calculated using a percentage of
your total sales within a power category relative to your total U.S.-
directed production volume. The sum of these percentages within a power
category during the seven-year period specified in paragraph (a) of this
section may not exceed 80 percent, except as allowed under paragraph
(b)(2) or (m) of this section.
(2) Small-volume allowances. You may determine an alternate
allowance for a specific number of exempted engines under this section
using one of the following approaches for your U.S.-directed production
volumes:
(i) You may produce up to 700 units with exempted engines within a
power category during the seven-year period specified in paragraph (a)
of this section, with no more than 200 units in any single year within a
power category, except as provided in paragraph (m) of this section.
Engines within a power category that are exempted under this section
must be from a single engine family within a given year.
(ii) For engines below 130 kW, you may produce up to 525 units with
exempted engines within a power category during the seven-year period
specified in paragraph (a) of this section, with no more than 150 units
in any single year within a power category, except as provided in
paragraph (m) of this section. For engines at or above 130 kW, you may
produce up to 350 units with exempted engines within a power category
during the seven-year period, with no more than 100 units in any single
year within a power category. Exemptions under this paragraph (b)(2)(ii)
may apply to engines from multiple engine families in a given year.
(c) Percentage calculation. Calculate for each calendar year the
percentage of equipment with exempted engines from your total U.S.-
directed production within a power category if you need to show that you
meet the percent-of-production allowances in paragraph (b)(1) of this
section.
(d) Inclusion of engines not subject to Tier 4 standards. The
following provisions apply to engines that are not subject to Tier 4
standards:
(1) If you use the provisions of 40 CFR 1068.105(a) to use up your
inventories of engines not certified to new emission standards, do not
include these units in your count of equipment with exempted engines
under paragraph (b) of this section. However, you may include these
units in your count of total equipment you produce for the given year
for the percentage calculation in paragraph (b)(1) of this section.
(2) If you install engines that are exempted from the Tier 4
standards for any reason, other than for equipment-manufacturer
allowances under this section, do not include these units in your count
of exempted engines under paragraph (b) of this section. However, you
may include these units in your count of total equipment you produce for
the given year for the percentage calculation in paragraph (b)(1) of
this section. For example, if we grant a hardship exemption for the
engine manufacturer, you may count these as compliant engines under this
section. This paragraph (d)(2) applies only if the engine has a
permanent label describing why it is exempted from the Tier 4 standards.
(3) Do not include equipment using model year 2008 or 2009 engines
certified under the provisions of Sec. 1039.101(c) in your count of
equipment using exempted engines. However, you may include these units
in your count of total equipment you produce for the given year for the
percentage calculation in paragraph (b)(1) of this section.
(4) You may start using the allowances under this section for
engines that are not yet subject to Tier 4 standards, as long as the
seven-year period for using allowances under the Tier 2 or Tier 3
program has expired (see 40 CFR 89.102(d)). Table 3 of this section
shows the years for which this applies. To use these early allowances,
you must use engines that meet the emission standards described in
paragraph (e) of this section. You must also count these units or
calculate these percentages as described in paragraph (c) of this
section and apply them toward the total number or percentage of
equipment with exempted engines we
[[Page 135]]
allow for the Tier 4 standards as described in paragraph (b) of this
section. The maximum number of cumulative early allowances under this
paragraph (d)(4) is 10 percent under the percent-of-production allowance
or 100 units under the small-volume allowance. For example, if you
produce 5 percent of your equipment with engines between 130 and 560 kW
that use allowances under this paragraph (d)(4) in 2009, you may use up
to an additional 5 percent of your allowances in 2010. If you use
allowances for 5 percent of your equipment in both 2009 and 2010, your
80 percent allowance for 2011-2017 in the 130-560 kW power category
decreases to 70 percent. Manufacturers using allowances under this
paragraph (d)(4) must comply with the notification and reporting
requirements specified in paragraph (g) of this section.
Table 3 of Sec. 1039.625--Years for Early Allowances
------------------------------------------------------------------------
Maximum engine power Calendar years
------------------------------------------------------------------------
kW < 19............................................... 2007
19 <= kW < 37......................................... 2006-2011
37 <= kW < 56......................................... 2011
56 <= kW < 75......................................... 2011
75 <= kW < 130........................................ 2010-2011
130 <= kW < 225....................................... 2010
225 <= kW < 450....................................... 2008-2010
450 <= kW <= 560...................................... 2009-2010
KW 560.................................... ................
------------------------------------------------------------------------
(e) Standards. If you produce equipment with exempted engines under
this section, the engines must meet emission standards specified in this
paragraph (e). Note that we consider engines to be meeting emission
standards even if they are certified with a family emission limit that
is higher than the emission standard that would otherwise apply.
(1) If you are using the provisions of paragraph (d)(4) of this
section, engines must meet the applicable Tier 1 or Tier 2 emission
standards described in Sec. 89.112.
(2) If you are using the provisions of paragraph (a)(2) of this
section, engines must be certified under this part 1039 as follows:
------------------------------------------------------------------------
Must meet all
standards and
requirements
Engines in the following power category . . . that applied in
the following
model year . . .
------------------------------------------------------------------------
(i) 19 <= kW < 56..................................... 2008
(ii) 56 <= kW < 130................................... 2012
(iii) 130 <= kW <= 560................................ 2011
(iv) kW 560............................... 2011
------------------------------------------------------------------------
(3) In all other cases, engines at or above 56 kW and at or below
560 kW must meet the appropriate Tier 3 standards described in 40 CFR
89.112. Engines below 56 kW and engines above 560 kW must meet the
appropriate Tier 2 standards described in 40 CFR 89.112.
(f) Equipment labeling. You must add a permanent label, written
legibly in English, to the engine or another readily visible part of
each piece of equipment you produce with exempted engines under this
section. This label, which supplements the engine manufacturer's
emission control information label, must include at least the following
items:
(1) The label heading ``EMISSION CONTROL INFORMATION''.
(2) Your corporate name and trademark.
(3) The calendar year in which the equipment is manufactured.
(4) An e-mail address and phone number to contact for further
information, or a Web site that includes this contact information.
(5) The following statement:
THIS EQUIPMENT [or identify the type of equipment] HAS AN ENGINE THAT
MEETS U.S. EPA EMISSION STANDARDS UNDER 40 CFR 1039.625.
(g) Notification and reporting. You must notify us of your intent to
use the provisions of this section and send us an annual report to
verify that you are not exceeding the allowances, as follows:
(1) Before you use the provisions of this section, send the
Designated Compliance Officer a written notice of your intent,
including:
(i) Your company's name and address, and your parent company's name
and address, if applicable.
(ii) The name, phone number and e-mail address of a person to
contact for more information.
[[Page 136]]
(iii) The calendar years in which you expect to use the exemption
provisions of this section.
(iv) The name and address of each company you expect to produce
engines for the equipment you manufacture under this section.
(v) Your best estimate of the number of units in each power category
you will produce under this section and whether you intend to comply
under paragraph (b)(1) or (b)(2) of this section.
(vi) The number of units in each power category you have sold in
previous calendar years under 40 CFR 89.102(d).
(2) For each year that you use the provisions of this section, send
the Designated Compliance Officer a written report by March 31 of the
following year. Identify the following things in your report:
(i) The total count of units you sold in the preceding year for each
power category, based on actual U.S.-directed production information.
(ii) The percentages of U.S.-directed production that correspond to
the number of units in each power category and the cumulative numbers
and percentages of units for all the units you have sold under this
section for each power category. You may omit the percentage figures if
you include in the report a statement that you will not be using the
percent-of-production allowances in paragraph (b)(1) of this section.
(iii) The manufacturer of the engine installed in the equipment you
produce under this section if this is different than you specified under
paragraph (g)(1)(iv) of this section.
(h) Recordkeeping. Keep the following records of all equipment with
exempted engines you produce under this section for at least five full
years after the final year in which allowances are available for each
power category:
(1) The model number, serial number, and the date of manufacture for
each engine and piece of equipment.
(2) The maximum power of each engine.
(3) The total number or percentage of equipment with exempted
engines, as described in paragraph (b) of this section and all
documentation supporting your calculation.
(4) The notifications and reports we require under paragraph (g) of
this section.
(i) Enforcement. Producing more exempted engines or equipment than
we allow under this section or installing engines that do not meet the
emission standards of paragraph (e) of this section violates the
prohibitions in 40 CFR 1068.101(a)(1). You must give us the records we
require under this section if we ask for them (see 40 CFR
1068.101(a)(2)).
(j) Provisions for engine manufacturers. As an engine manufacturer,
you may produce exempted engines as needed under this section. You do
not have to request this exemption for your engines, but you must have
written assurance from equipment manufacturers that they need a certain
number of exempted engines under this section. Send us an annual report
of the engines you produce under this section, as described in Sec.
1039.250(a). For engines produced under the provisions of paragraph
(a)(2) of this section, you must certify the engines under this part
1039. For all other exempt engines, the engines must meet the emission
standards in paragraph (e) of this section and you must meet all the
requirements of 40 CFR 1068.265. If you show under 40 CFR 1068.265(c)
that the engines are identical in all material respects to engines that
you have previously certified to one or more FELs above the standards
specified in paragraph (e) of this section, you must supply sufficient
credits for these engines. Calculate these credits under subpart H of
this part using the previously certified FELs and the alternate
standards. You must meet the labeling requirements in 40 CFR 89.110 or
Sec. 1039.135, as applicable, with the following exceptions:
(1) Add the following statement instead of the compliance statement
in 40 CFR 89.110(b)(10) or Sec. 1039.135(c)(12), as applicable:
THIS ENGINE MEETS U.S. EPA EMISSION STANDARDS UNDER 40 CFR 1039.625.
SELLING OR INSTALLING THIS ENGINE FOR ANY PURPOSE OTHER THAN FOR THE
EQUIPMENT FLEXIBILITY PROVISIONS OF
[[Page 137]]
40 CFR 1039.625 MAY BE A VIOLATION OF FEDERAL LAW SUBJECT TO CIVIL
PENALTY.
(2) You may omit the family emission limits if they are below the
emission standards.
(k) Other exemptions. See 40 CFR 1068.255 for exemptions based on
hardship for equipment manufacturers and secondary engine manufacturers.
(l) [Reserved]
(m) Additional exemptions for technical or engineering hardship. You
may request additional engine allowances under paragraph (b)(1) of this
section for 19-560 kW power categories or, if you are a small equipment
manufacturer, under paragraph (b)(2) of this section for engines at or
above 19 and below 37 kW. However, you may use these extra allowances
only for those equipment models for which you, or an affiliated company,
do not also produce the engine. After considering the circumstances, we
may permit you to introduce into commerce equipment with such engines
that do not comply with Tier 4 emission standards, as follows:
(1) We may approve additional exemptions if extreme and unusual
circumstances that are clearly outside your control and that could not
have been avoided with reasonable discretion have resulted in technical
or engineering problems that prevent you from meeting the requirements
of this part. You must show that you exercised prudent planning and have
taken all reasonable steps to minimize the scope of your request for
additional allowances.
(2) To apply for exemptions under this paragraph (m), send the
Designated Compliance Officer a written request as soon as possible
before you are in violation. In your request, include the following
information:
(i) Describe your process for designing equipment.
(ii) Describe how you normally work cooperatively or concurrently
with your engine supplier to design products.
(iii) Describe the engineering or technical problems causing you to
request the exemption and explain why you have not been able to solve
them. Describe the extreme and unusual circumstances that led to these
problems and explain how they were unavoidable.
(iv) Describe any information or products you received from your
engine supplier related to equipment design--such as written
specifications, performance data, or prototype engines--and when you
received it.
(v) Compare the design processes of the equipment model for which
you need additional exemptions and that for other models for which you
do not need additional exemptions. Explain the technical differences
that justify your request.
(vi) Describe your efforts to find and use other compliant engines,
or otherwise explain why none is available.
(vii) Describe the steps you have taken to minimize the scope of
your request.
(viii) Include other relevant information. You must give us other
relevant information if we ask for it.
(ix) Estimate the increased percent of production you need for each
equipment model covered by your request, as described in paragraph
(m)(3) of this section. Estimate the increased number of allowances you
need for each equipment model covered by your request, as described in
paragraph (m)(4) of this section.
(3) We may approve your request to increase the allowances under
paragraph (b)(1) of this section, subject to the following limitations:
(i) The additional allowances will not exceed 70 percent for each
power category.
(ii) You must use up the allowances under paragraph (b)(1) of this
section before using any additional allowance under this paragraph (m).
(iii) Any allowances we approve under this paragraph (m)(3) expire
24 months after the provisions of this section start for a given power
category, as described in paragraph (a) of this section. You may use
these allowances only for the specific equipment models covered by your
request.
(4) We may approve your request to increase the allowances for the
19-56 kW power category under paragraph (b)(2) of this section, subject
to the following limitations:
(i) You are eligible for additional allowances under this paragraph
(m)(4)
[[Page 138]]
only if you are a small equipment manufacturer and you do not use the
provisions of paragraph (m)(3) of this section to obtain additional
allowances for the 19-56 kW power category.
(ii) You must use up all the available allowances for the 19-56 kW
power category under paragraph (b)(2) of this section in a given year
before using any additional allowances under this paragraph (m)(4).
(iii) Base your request only on equipment you produce with engines
at or above 19 kW and below 37 kW. You may use any additional allowances
only for equipment you produce with engines at or above 19 kW and below
37 kW.
(iv) The total allowances under either paragraph (b)(2)(i) or (ii)
of this section for the 19-56 kW power category will not exceed 1,100
units.
(v) Any allowances we approve under this paragraph (m)(4) expire 36
months after the provisions of this section start for this power
category, as described in paragraph (a) of this section. These
additional allowances are not subject to the annual limits specified in
paragraph (b)(2) of this section. You may use these allowances only for
the specific equipment models covered by your request.
(5) For purposes of this paragraph (m), small equipment manufacturer
means a small-business equipment manufacturer that had annual U.S.-
directed production volume of equipment using nonroad diesel engines
between 19 and 56 kW of no more than 3,000 units in 2002 and all earlier
calendar years, and has 750 or fewer employees (500 or fewer employees
for nonroad equipment manufacturers that produce no construction
equipment or industrial trucks). For manufacturers owned by a parent
company, the production limit applies to the production of the parent
company and all its subsidiaries and the employee limit applies to the
total number of employees of the parent company and all its
subsidiaries.
[69 FR 39213, June 29, 2004, as amended at 70 FR 40464, July 13, 2005;
72 FR 53133, Sept. 18, 2007; 73 FR 59191, Oct. 8, 2008]
Sec. 1039.626 What special provisions apply to equipment imported under the equipment-manufacturer flexibility program?
This section describes requirements that apply to equipment
manufacturers using the provisions of Sec. 1039.625 for equipment
produced outside the United States. Note that Sec. 1039.625 limits
these provisions to equipment manufacturers that install some engines
and have primary responsibility for designing and manufacturing
equipment. Companies that import equipment into the United States
without meeting these criteria are not eligible for these allowances.
Such importers may import equipment with exempted engines only as
described in paragraph (b) of this section.
(a) As a foreign equipment manufacturer, you or someone else may
import equipment with exempted engines under this section if you comply
with the provisions in Sec. 1039.625 and commit to the following:
(1) Give any EPA inspector or auditor complete and immediate access
to inspect and audit, as follows:
(i) Inspections and audits may be announced or unannounced.
(ii) Inspections and audits may be by EPA employees or EPA
contractors.
(iii) You must provide access to any location where--
(A) Any nonroad engine, equipment, or vehicle is produced or stored.
(B) Documents related to manufacturer operations are kept.
(C) Equipment, engines, or vehicles are tested or stored for
testing.
(iv) You must provide any documents requested by an EPA inspector or
auditor that are related to matters covered by the inspections or audit.
(v) EPA inspections and audits may include review and copying of any
documents related to demonstrating compliance with the exemptions in
Sec. 1039.625.
(vi) EPA inspections and audits may include inspection and
evaluation of complete or incomplete equipment, engines, or vehicles,
and interviewing employees.
(vii) You must make any of your employees available for interview by
the EPA inspector or auditor, on request, within a reasonable time
period.
[[Page 139]]
(viii) You must provide English language translations of any
documents to an EPA inspector or auditor, on request, within 10 working
days.
(ix) You must provide English-language interpreters to accompany EPA
inspectors and auditors, on request.
(2) 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.
(3) The forum for any civil or criminal enforcement action related
to the provisions of this section for violations of the Clean Air Act or
regulations promulgated thereunder shall be governed by the Clean Air
Act.
(4) The substantive and procedural laws of the United States shall
apply to any civil or criminal enforcement action against you or any of
your officers or employees related to the provisions of this section.
(5) Provide the notification required by Sec. 1039.625(g). Include
in the notice of intent in Sec. 1039.625(g)(1) a commitment to comply
with the requirements and obligations of Sec. 1039.625 and this
section. This commitment must be signed by the owner or president.
(6) You, your agents, officers, and employees must not seek to
detain or to impose civil or criminal remedies against EPA inspectors or
auditors, whether EPA employees or EPA contractors, for actions
performed within the scope of EPA employment related to the provisions
of this section.
(7) By submitting notification of your intent to use the provisions
of Sec. 1039.625, producing and exporting for resale to the United
States nonroad equipment under this section, or taking other actions to
comply with the requirements of this part, you, your agents, officers,
and employees, without exception, become subject to the full operation
of the administrative and judicial enforcement powers and provisions of
the United States as described in 28 U.S.C. 1605(a)(2), without
limitation based on sovereign immunity, for conduct that violates the
requirements applicable to you under this part 1039--including such
conduct that violates 18 U.S.C. 1001, 42 U.S.C. 7413(c)(2), or other
applicable provisions of the Clean Air Act'with respect to actions
instituted against you and your agents, officers, and employees in any
court or other tribunal in the United States.
(8) Any report or other document you submit to us must be in the
English language, or include a complete translation in English.
(9) You must post a bond to cover any potential enforcement actions
under the Clean Air Act before you or anyone else imports your equipment
under this section, as follows:
(i) The value of the bond is based on the per-engine bond values
shown in Table 1 of this section and on the highest number of engines in
each power category you produce in any single calendar year under the
provisions of Sec. 1039.625. For example, if you have projected U.S.-
directed production volumes of 100 exempt engines in the 19-56 kW power
category and 300 exempt engines in the 56-130 kW power category in 2013,
the appropriate bond amount is $180,000. If your estimated or actual
engine imports increase beyond the level appropriate for your current
bond payment, you must post additional bond to reflect the increased
sales within 90 days after you change your estimate or determine the
actual sales. You may not decrease your bond.
(ii) You may meet the bond requirements of this section with any of
the following methods:
(A) Get a bond from a third-party surety that is cited in the U.S.
Department of Treasury Circular 570, ``Companies Holding Certificates of
Authority as Acceptable Sureties on Federal Bonds and as Acceptable
Reinsuring Companies.'' Maintain this bond for five years after the
applicable allowance period expires, or five years after you use up all
the available allowances under Sec. 1039.625, whichever comes first.
(B) Get us to approve a waiver from the bonding requirement if you
can show that you meet the asset thresholds described in 40 CFR
1054.690.
(iii) If you forfeit some or all of your bond in an enforcement
action, you must post any appropriate bond for continuing importation
within 90 days after you forfeit the bond amount.
[[Page 140]]
Table 1 of Sec. 1039.626--Per-Engine Bond Values
------------------------------------------------------------------------
The per-engine
For engines with maximum engine power falling in the bond value is
following ranges . . . . . .
------------------------------------------------------------------------
kW < 19................................................. $150
19 <= kW < 56........................................... 300
56 <= kW < 130.......................................... 500
130 <= kW < 225......................................... 1,000
225 <= kW < 450......................................... 3,000
kW = 450..................................... 8,000
------------------------------------------------------------------------
(iv) You will forfeit the proceeds of the bond posted under this
section if you need to satisfy any U.S. administrative settlement
agreement, administrative final order or judicial judgment against you
arising from your violation of this chapter, or violation of 18 U.S.C.
1001, 42 U.S.C. 7413(c)(2), or other applicable provisions of the Clean
Air Act.
(b) The provisions of this paragraph (b) apply to importers that do
not install engines into equipment and do not have primary
responsibility for designing and manufacturing equipment. Such importers
may import equipment with engines exempted under Sec. 1039.625 only if
each engine is exempted under an allowance provided to an equipment
manufacturer meeting the requirements of Sec. 1039.625 and this
section. You must notify us of your intent to use the provisions of this
section and send us an annual report, as follows:
(1) Before you use the provisions of this section, send the
Designated Compliance Officer a written notice of your intent,
including:
(i) Your company's name and address, and your parent company's name
and address, if applicable.
(ii) The name and address of the companies that produce the
equipment and engines you will be importing under this section.
(iii) Your best estimate of the number of units in each power
category you will import under this section in the upcoming calendar
year, broken down by equipment manufacturer and power category.
(iv) The number of units in each power category you have imported in
previous calendar years under 40 CFR 89.102(d).
(2) For each year that you use the provisions of this section, send
the Designated Compliance Officer a written report by March 31 of the
following year. Include in your report the total number of engines you
imported under this section in the preceding calendar year, broken down
by engine manufacturer and by equipment manufacturer.
[69 FR 39213, June 29, 2004, as amended at 73 FR 59192, Oct. 8, 2008]
Sec. 1039.627 What are the incentives for equipment manufacturers to
use cleaner engines?
This section allows equipment manufacturers to generate additional
allowances under the provisions of Sec. 1039.625 by producing equipment
using engines at or above 19 kW certified to specified levels earlier
than otherwise required.
(a) For early-compliant engines to generate offsets for use under
this section, the following general provisions apply:
(1) The engine manufacturer must comply with the provisions of Sec.
1039.104(a)(1) for the offset-generating engines.
(2) Engines you install in your equipment after December 31 of the
years specified in Sec. 1039.104(a)(1) do not generate allowances under
this section, even if the engine manufacturer generated offsets for that
engine under Sec. 1039.104(a).
(3) Offset-generating engines must be certified to the following
standards under this part 1039:
----------------------------------------------------------------------------------------------------------------
You may reduce the
number of engines in
If the engine's maximum And you install . . Certified early to the same power In later model years
power is . . . . the . . . category that are by . . .
required to meet the
. . .
----------------------------------------------------------------------------------------------------------------
(i) kW = 19. One engine.......... Emissions standards Standards in Tables One engine.
in Sec. 1039.101. 2 through 7 of Sec.
1039.102 or in
Sec. 1039.101.
(ii) 56 <= kW < 130.... Two engines......... NOX standards in Standards in Tables One engine.
Sec. 2 through 7 of Sec.
1039.102(e)(1), and 1039.102 or in
NMHC standard of Sec. 1039.101.
0.19 g/kW-hr, a PM
standard of 0.02 g/
kW-hr, and a CO
standard of 5.0 g/
kW-hr.
[[Page 141]]
(iii) 130 <= kW < 560.. Two engines......... NOX standards in Standards in Tables One engine.
Sec. 2 through 7 of Sec.
1039.102(e)(2), an 1039.102 or in
NMHC standard of Sec. 1039.101.
0.19 g/kW-hr, a PM
standard of 0.02 g/
kW-hr, and a CO
standard of 3.5 g/
kW-hr.
----------------------------------------------------------------------------------------------------------------
(b) Using engine offsets. (1) You may use engine offsets generated
under paragraph (a) of this section to generate additional allowances
under Sec. 1039.625, as follows:
(i) For each engine offset, you may increase the number of available
allowances under Sec. 1039.625(b) for that power category by one engine
for the years indicated.
(ii) For engines in 56-560 kW power categories, you may transfer
engine offsets across power categories within this power range.
Calculate the number of additional allowances by scaling the number of
generated engine offsets according to the ratio of engine power for
offset and allowance engines. Make this calculation for all your offset
engines for which you will transfer offsets under this paragraph
(b)(1)(ii), then round the result to determine the total number of
available power-weighted allowances. For example, if you generate engine
offsets for 75 500-kW engines, you may generate up to 37,500 kW-engines
of power-weighted allowances. You may apply this to 375 100-kW engines
or any other combination that totals 37,500 kW-engines.
(2) You may decline to use the offsets. If you decline, the engine
manufacturer may use the provisions of Sec. 1039.104(a)(1).
(c) Limitation on offsets for engines above 560 kW. For engines
above 560 kW, you must track how many engines you install in generator
sets and how many you install in other applications under the provisions
of this section. Offsets from generator-set engines may be used only for
generator-set engines. Offsets from engines for other applications may
be used only for other applications besides generator sets.
(d) Reporting. When you submit your first annual report under Sec.
1039.625(g), include the following additional information related to the
engines you use to generate offsets under this section:
(1) The name of each engine family involved.
(2) The number of engines from each power category.
(3) The maximum engine power of each engine.
(4) For engines above 560 kW, whether you use engines certified to
the standards for generator-set engines.
(e) In-use fuel. If the engine manufacturer certifies using ultra
low-sulfur diesel fuel, you must take steps to ensure that the in-use
engines in the family will use diesel fuel with a sulfur concentration
no greater than 15 ppm. For example, selling equipment only into
applications where the operator commits to a central-fueling facility
with ultra low-sulfur diesel fuel throughout its lifetime would meet
this requirement.
[69 FR 39213, June 29, 2004, as amended at 75 FR 22992, Apr. 30, 2010]
Sec. 1039.630 What are the economic hardship provisions for equipment
manufacturers?
If you qualify for the economic hardship provisions specified in 40
CFR 1068.255, we may approve your hardship application subject to the
following additional conditions:
(a) You must show that you have used up the allowances to produce
equipment with exempted engines under Sec. 1039.625.
(b) You may produce equipment under this section for up to 12 months
total (or 24 months total for small-volume manufacturers).
Sec. 1039.635 What are the hardship provisions for engine manufacturers?
If you qualify for the hardship provisions specified in 40 CFR
1068.245, we
[[Page 142]]
may approve a period of delayed compliance for up to one model year
total (or two model years total for small-volume manufacturers). If you
qualify for the hardship provisions specified in 40 CFR 1068.250 for
small-volume manufacturers, we may approve a period of delayed
compliance for up to two model years total.
Sec. 1039.640 What special provisions apply to 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. 1039.135(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.
1039.120. 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 and describe the arrangements you have made
to meet your requirements under this section.
(c) You remain responsible for meeting all the requirements of this
chapter, including warranty and defect-reporting provisions.
Sec. 1039.645 What special provisions apply to engines used for
transportation refrigeration units?
Manufacturers may choose to use the provisions of this section for
engines used in transportation refrigeration units (TRUs). The operating
restrictions and characteristics in paragraph (f) of this section define
engines that are not used in TRUs. All provisions of this part apply for
TRU engines, except as specified in this section.
(a) You may certify engines under this section with the following
special provisions:
(1) The engines are not subject to the transient emission standards
of subpart B of this part.
(2) The steady-state emission standards in subpart B of this part
apply for emissions measured over the steady-state test cycle described
in paragraph (b) of this section instead of the otherwise applicable
duty cycle described in Sec. 1039.505.
(b) Measure steady-state emissions using the procedures specified in
Sec. 1039.505, except for the duty cycles, as follows:
(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.
(2) The following duty cycle applies for ramped-modal testing:
Table 2 of Sec. 1039.645--Ramped-Modal Cycle for TRU Engines
----------------------------------------------------------------------------------------------------------------
Time in mode
RMC mode (seconds) Engine speed \1\ Torque (percent) \2,3\
----------------------------------------------------------------------------------------------------------------
1a Steady-state..................... 290 Intermediate Speed..... 75.
1b Transition....................... 20 Intermediate Speed..... Linear Transition.
2a Steady-state..................... 280 Intermediate Speed..... 50.
2b Transition....................... 20 Linear Transition...... Linear Transition.
3a Steady-state..................... 280 Maximum Test Speed..... 75.
3b Transition....................... 20 Maximum Test Speed..... Linear Transition.
[[Page 143]]
4 Steady-state...................... 290 Maximum Test Speed..... 50
----------------------------------------------------------------------------------------------------------------
\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) Engines certified under this section must be certified in a
separate engine family that contains only TRU engines.
(d) You must do the following for each engine certified under this
section:
(1) State on the emission control information label: ``THIS ENGINE
IS CERTIFIED TO OPERATE ONLY IN TRANSPORTATION REFRIGERATION UNITS.
INSTALLING OR USING THIS ENGINE IN ANY OTHER APPLICATION MAY BE A
VIOLATION OF FEDERAL LAW SUBJECT TO CIVIL PENALTY.''.
(2) State in the emission-related installation instructions all
steps necessary to ensure that the engine will operate only in the modes
covered by the test cycle described in this section.
(3) Keep records to document the destinations and quantities of
engines produced under this section.
(e) All engines certified under this section must comply with NTE
standards, as described in Sec. 1039.101 or Sec. 1039.102 for the
applicable model year, except that the NTE standards are not limited
with respect to operating speeds and loads. In your application for
certification, certify that all the engines in the engine family comply
with the not-to-exceed emission standards for all normal operation and
use. The deficiency provisions of Sec. 1039.104(d) do not apply to
these engines. This paragraph (e) applies whether or not the engine
would otherwise be subject to NTE standards.
(f) An engine is not considered to be used in a TRU if any of the
following is true:
(1) The engine is installed in any equipment other than
refrigeration units for railcars, truck trailers, or other freight
vehicles.
(2) The engine operates in any mode not covered by the test cycle
described in this section, except as follows:
(i) The engine may operate briefly at idle. Note, however, that TRU
engines must meet NTE emission standards under any type of operation,
including idle, as described in paragraph (e) of this section.
(ii) The engine may have a minimal amount of transitional operation
between two allowable modes. As an example, a thirty-second transition
period would clearly not be considered minimal.
(iii) The engine as installed may experience up to a 2-percent
decrease in load at a given setpoint over any 10-minute period, and up
to a 15-percent decrease in load at a given setpoint over any 60-minute
period.
(3) The engine is sold in a configuration that allows the engine to
operate in any mode not covered by the test cycle described in this
section. For example, this section does not apply to an engine sold
without a governor limiting operation only to those modes covered by the
test cycle described in this section.
(4) The engine is subject to Tier 3 or earlier standards, or phase-
out Tier 4 standards.
[69 FR 39213, June 29, 2004, as amended at 73 FR 37241, June 30, 2008]
Sec. 1039.650 [Reserved]
Sec. 1039.655 What special provisions apply to engines sold in Guam,
American Samoa, or the Commonwealth of the Northern Mariana Islands?
(a) The prohibitions in Sec. 1068.101(a)(1) do not apply to an
engine if the following conditions are met:
(1) The engine is intended for use and will be used in Guam,
American
[[Page 144]]
Samoa, or the Commonwealth of the Northern Mariana Islands.
(2) The engine meets the latest applicable emission standards in 40
CFR 89.112.
(3) You meet all the requirements of 40 CFR 1068.265.
(b) If you introduce an engine into commerce in the United States
under this section, you must meet the labeling requirements in 40 CFR
89.110, but add the following statement instead of the compliance
statement in 40 CFR 89.110(b)(10):
THIS ENGINE DOES NOT COMPLY WITH U.S. EPA TIER 4 EMISSION REQUIREMENTS.
IMPORTING THIS ENGINE INTO THE UNITED STATES OR ANY TERRITORY OF THE
UNITED STATES EXCEPT GUAM, AMERICAN SAMOA, OR THE COMMONWEALTH OF THE
NORTHERN MARIANA ISLANDS MAY BE A VIOLATION OF FEDERAL LAW SUBJECT TO
CIVIL PENALTY.
(c) Introducing into commerce an engine exempted under this section
in any state or territory of the United States other than Guam, American
Samoa, or the Commonwealth of the Northern Mariana Islands, throughout
its lifetime, violates the prohibitions in 40 CFR 1068.101(a)(1), unless
it is exempt under a different provision.
[69 FR 39213, June 29, 2004, as amended at 70 FR 40464, July 13, 2005]