--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                Estimated PM2.5      Estimated NOX reductions   Total costs a millions
                                                                              reductions 2006-2040            2006-2040                 2006-2040
              Alternatives                            Standards            -----------------------------------------------------------------------------
                                                                               NPV 3%       NPV 7%       NPV 3%       NPV 7%       NPV 3%       NPV 7%
--------------------------------------------------------------------------------------------------------------------------------------------------------
Final Rule..............................   Locomotive                   308,000      134,000    8,760,000    3,710,000       $9,410       $4,310
                                           Remanufacturing.
                                           Marine Remanufacturing,
                                           Tier 3 Near-term
                                           program,.
                                           Tier 4 Long-term
                                           standards.
Alternative 1: Proposed Case (NPRM).....   Proposed Locomotive          286,000      121,000    8,140,000    3,320,000        8,760        3,900
                                           Remanufacturing program,.
                                           Proposed Tier 3 Near-
                                           term program,.
                                           Proposed Tier 4 Long-
                                           term standards.
Alternative 2: Exclusion of                Tier 3 Near-term             240,000       96,000    7,640,000    3,030,000        8,080        3,430
 Remanufacturing Standards.                program,.
                                           Tier 4 Long-term
                                           standards.
Alternative 3: Elimination of Tier 3....   Locomotive                   237,000       10,000    8,360,000    3,530,000        9,240        4,160
                                           Remanufacturing,.
                                           Marine Remanufacturing,
                                           Tier 4 Long-term
                                           standards.
Alternative 4: Tier 4 Exclusively in       Tier 4 Long-term             249,000      101,000    8,320,000    3,420,000      9,070+C       3950+C
 2013.                                     standards only in 2013.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Note: a 'C' represents the additional costs necessary to accelerate the introduction of Tier 4 technologies that we are unable to estimate at this time.

                                              Table VII-2.--Inventory, Cost, and Benefits for 2020 and 2030
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                        PM2.5 emissions      NOX emissions      Total costs\a\       Benefits\b,c\       Benefits\b,c\
                                                       reductions (tons)   reductions (tons)      (millions)       (billions) PM2.5    (billions) PM2.5
                                                     ------------------------------------------------------------  only  3% discount   only 7% discount
                                                                                rate                rate
                                                        2020      2030      2020      2030      2020      2030   ---------------------------------------
                                                                                2020      2030      2020      2030
--------------------------------------------------------------------------------------------------------------------------------------------------------
Final Rule..........................................    14,000    27,000   370,000   790,000      $350      $760      $3.9      $9.2      $3.6      $8.4
Alternative 1: Proposed Case (NPRM).................    13,000    26,000   310,000   780,000       300       750       3.3       8.8       3.0       8.0
Alternative 2: Exclusion of Remanufacturing              8,800    24,000   280,000   760,000       290       720       2.5       8.2       2.3       7.5
 Standards..........................................
Alternative 3: Elimination of Tier 3................     8,800    21,000   350,000   760,000       350       760       2.8       7.8       2.6       7.1
Alternative 4: Tier 4 Exclusively in 2013...........    10,000    24,000   350,000   790,000       360       780       3.0       8.4       2.8       7.6
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
\a\ `C' represents the additional costs necessary to accelerate the introduction of Tier 4 technologies that we are unable to estimate at this time.
\b\ Note that the range of PM-related benefits reflects the use of an empirically-derived estimate of PM mortality benefits, based on the ACS cohort
  study (Pope et al., 2002).
\c\ Annual benefits analysis results reflect the use of a 3 percent and 7 percent discount rate in the valuation of premature mortality and nonfatal
  myocardial infarctions, consistent with EPA and OMB guidelines for preparing economic analyses (US EPA, 2000 and OMB, 2003). U.S. Environmental
  Protection Agency, 2000. Guidelines for Preparing Economic Analyses. http://yosemite.epa.gov/ee/epa/eed.nsf/webpages/Guidelines.html.

VIII. Public Participation

    Many interested parties participated in the rulemaking process that
culminates with this final rule. This process provided opportunity for
submitting written public comments following the proposal that we
published on April 3, 2007 (72 FR 15938). We considered these comments
in developing the final rule. In addition, we held public hearings on
the proposed rulemaking on May 8 and 10, 2007, and we have considered
comments presented at the hearings.
    Throughout the rulemaking process, EPA met with stakeholders
including representatives from industry, government, environmental
organizations, and others. The program we are finalizing today was
developed as a collaborative effort with these stakeholders.
    We have prepared a detailed Summary and Analysis of Comments
document, which describes comments we received on the proposal and our
response to each of these comments. The Summary and Analysis of
Comments is available in the docket for this rule at the Internet
address listed under ADDRESSES, as well as on the Office of
Transportation and Air Quality Web site (www.epa.gov/otaq/locomotv.htm
and www.epa.gov/otaq/marine.htm). In addition, comments and responses
for key issues are included throughout this preamble.

IX. Statutory and Executive Order Reviews

A. Executive Order 12866: Regulatory Planning and Review

    Under section 3(f)(1) of Executive Order (EO) 12866 (58 FR 51735,
October 4, 1993), this action is an ``economically significant
regulatory action'' because it is likely to have an annual effect on
the economy of $100 million or more. Accordingly, EPA submitted this
action to the Office of Management and Budget (OMB) for review under EO
12866, and any changes made by EPA after submission to OMB have been
documented in the docket for this action.
    In addition, EPA prepared an analysis of the potential costs and
benefits associated with this action. This analysis is contained in the
final Regulatory Impact Analysis that was prepared for this rulemaking,
and is available in the docket at the docket internet address listed
under ADDRESSES above.

B. Paperwork Reduction Act

    The information collection requirements in this final rule have
been submitted for approval to the Office of Management and Budget
(OMB) under the Paperwork Reduction Act, 44 U.S.C. 3501 et seq. EPA may
not conduct the information collection requirements in this rule and
may not penalize anyone for failing to comply with the information
collection requirements in the rule unless they are currently approved
by OMB.
    EPA plans to collect information to ensure that locomotives and
marine diesel engines conform to the regulations throughout their
useful lives. Section 208(a) of the Clean Air Act requires that
manufacturers provide information the Administrator may reasonably
require to determine compliance with the regulations; submission of the
information is therefore mandatory. We will consider confidential all
information meeting the requirements of Section 208(c) of the Clean Air
Act.
    The annual public reporting and recordkeeping burden for this
collection of information is estimated to be 287 hours per respondent
for locomotives, and 149 hours per respondent for marine. The projected
number of respondents and annual reporting, recordkeeping, and cost
burdens to respondents are as follows:
     Estimated total number of potential respondents: for
locomotives--7; for marine--13.
     Estimated total annual burden hours: for locomotives--
14,040 (2,010 per respondent); for marine--25,167 (1,940 per
respondent).
     Estimated total annual costs: for locomotives--$1.65
million ($315,000 per respondent); for marine--$1.45 million ($112,000
per respondent).
    Burden means the total time, effort, or financial resources
expended by persons to generate, maintain, retain, or disclose or
provide information to or for a Federal agency. This includes the time
needed to review instructions; develop, acquire, install, and utilize
technology and systems for the purposes of collecting, validating, and
verifying information, processing and maintaining information, and
disclosing and providing information; adjust the existing ways to
comply with any previously applicable instructions and requirements;
train personnel to be able to respond to a collection of information;
search data sources; complete and review the collection of information;
and transmit or otherwise disclose the information.
    An agency may not conduct or sponsor, and a person is not required
to respond to a collection of information unless it displays a
currently valid OMB

control number. The OMB control numbers for EPA's regulations in 40 CFR
are listed in 40 CFR part 9. When this ICR is approved by OMB, EPA will
publish a technical amendment to 40 CFR part 9 in the Federal Register
to display the OMB control number for the approved information
collection requirements contained in this final rule.

C. Regulatory Flexibility Act

(1) Overview
    The Regulatory Flexibility Act (RFA) generally requires an agency
to prepare a regulatory flexibility analysis of any rule subject to
notice and comment rulemaking requirements under the Administrative
Procedure Act or any other statute unless the agency certifies that the
rule will not have a significant economic impact on a substantial
number of small entities. Small entities include small businesses,
small organizations, and small governmental jurisdictions.
    For purposes of assessing the impacts of today's rule on small
entities, small entity is defined as: (1) A small business as defined
by the Small Business Administration's (SBA) regulations at 13 CFR
121.201 (see Table IX-1, below); (2) a small governmental jurisdiction
that is a government of a city, county, town, school district or
special district with a population of less than 50,000; and (3) a small
organization that is any not-for-profit enterprise which is
independently owned and operated and is not dominant in its field.

           Table IX-1.--Primary SBA Small Business Categories Potentially Affected by This Regulation
----------------------------------------------------------------------------------------------------------------
                                                                         Defined by SBA as a small business if
              Industry                        NAICS \a\ Codes                  less than or equal to:\b\
----------------------------------------------------------------------------------------------------------------
Locomotive:
Manufacturers, remanufacturers and    333618, 336510.................  1,000 employees.
 importers of locomotives and
 locomotive engines.
Railroad owners and operators.......  482110, 482111.................  1,500 employees.
                                      482112.........................  500 employees.
Engine repair and maintenance.......  488210.........................  $6.5 million annual sales.
Marine:
Manufacturers of freshly              333618.........................  1,000 employees.
 manufactured marine diesel engines.
Ship and boat building; ship          336611, 346611.................  1,000 employees.
 building and repairing.
Engine repair and maintenance.......  811310.........................  $6.5 million annual sales.
Water transportation, freight and     483............................  500 employees.
 passenger.
Water transportation, freight and     483............................  $25.5 million annual sales.
 passenger--Offshore Marine Services.
Scenic and Sightseeing                487210.........................  $6.5 million annual sales.
 Transportation, Water.
Navigational Services to Shipping...  488330.........................  $6.5 million annual sales.
Commercial Fishing..................  114............................  $4.0 million annual sales.
Boat building (watercraft not built   336612.........................  500 employees.
 in shipyards and typically of the
 type suitable or intended for
 personal use).
----------------------------------------------------------------------------------------------------------------
Notes:
\a\ North American Industry Classification System
\b\ According to SBA's regulations (13 CFR 121), businesses with no more than the listed number of employees or
  dollars in annual receipts are considered ``small entities'' for RFA purposes.

    After considering the economic impacts of today's final rule on
small entities, I certify that this action will not have a significant
economic impact on a substantial number of small entities. The small
entities directly regulated by this final rule are shown in Table IX-1
(and are not small governmental jurisdictions or small non-profit
organizations). We have determined that about five small entities
representing less than one percent of the total number of companies
affected will have an estimated impact exceeding three percent of their
annual sales revenues. The vast majority of small entities (about
several thousand small companies) will have an estimated impact of less
than one percent on their annual sales revenues. (An analysis of the
impacts of the rule on small entities was performed for the rule, and
can be found in the docket for this rulemaking.203 204)
---------------------------------------------------------------------------

    \203\ U.S. EPA, Assessment and Standards Division, Locomotive
and Marine Diesel RFA/SBREFA Screening Analysis, Memorandum from
Chester J. France to Alexander Cristofaro of U.S. EPA's Office of
Policy, Economics, and Innovation, September 25, 2006.
    \204\ U.S. EPA, Assessment and Standards Division, Supplement to
Locomotive and Marine Diesel RFA/SBREFA Screening Analysis--Marine
Existing Fleet Program Impact Analysis, Memorandum from Lucie
Audette and Bryan Manning to Docket EPA-HQ-OAR-2003-0190, December
12, 2007.
---------------------------------------------------------------------------

    Although this final rule will not have a significant economic
impact on a substantial number of small entities, EPA nonetheless has
tried to reduce the impact of this rule on small entities, as described
below.
(2) Outreach Efforts and Special Compliance Provisions for Small
Entities
    In addition to the inputs we sought prior to issuing the proposed
rule, we also received additional comments following its publication.
First we summarize the pre-proposal outreach, followed by additional
comments we received after the proposal was published.
    Early on, we sought the input of a number of small entities
affected by the rule on potential regulatory flexibility provisions and
the needs of these small businesses. For marine diesel engine
manufacturers, we had separate meetings with the four small companies
in this sector, which are post-manufacture marinizers (companies that
purchase a complete or semi-complete engine from an engine manufacturer
and modify it for use in the marine environment by changing the engine
in ways that may affect emissions). We also met individually with one
small commercial vessel builder and a few vessel trade associations
whose members include small vessel builders. For locomotive
manufacturers and remanufacturers, we met separately with the three
small businesses in these sectors, which are all remanufacturers. In
addition, we met with a railroad trade association whose members
include small railroads. For nearly all meetings, EPA provided each
small business with an outreach packet that included

background information on this proposed rulemaking; and a document
outlining some flexibility provisions for small businesses that we have
implemented in past rulemakings. (This outreach packet and a complete
summary of our discussions with small entities can be found in the
docket for this rulemaking.) \205\
---------------------------------------------------------------------------

    \205\ U.S. EPA, Summary of Small Business Outreach for
Locomotive and Marine Diesel NPRM, Memorandum to Docket EPA-HQ-OAR-
2003-0190 from Bryan Manning, January 18, 2007.
---------------------------------------------------------------------------

    The primary feedback we received from these small entities pre-
proposal was to continue the flexibility provisions that we have
provided to small entities in earlier locomotive and marine diesel
rulemakings. A number of these provisions are listed below. Therefore,
we will largely continue the existing flexibility provisions finalized
in the 1998 Locomotive and Locomotive Engines Rule (April 16, 1998; 63
FR 18977); our 1999 Commercial Marine Diesel Engines Rule (December 29,
1999; 64 FR 73299) and our 2002 Recreational Diesel Marine program
(November 8, 2002; 67 FR 68304).
    In the proposed rule, we requested comment on an alternative
program option--a marine existing fleet or remanufacture program
(Alternative 5: Existing Engines)--and as described earlier in this
preamble, we are finalizing a portion of this alternative. Based on
oral testimony at the hearings and written comments (from trade
associations, small entities, etc.), we are providing flexibilities to
vessel operators and/or marine remanufacturers as described below. For
a complete description of the flexibilities in this final rule, please
refer to the Certification and Compliance Program, section IV.A.(13)--
Small Business Provisions.
(a) Transition Flexibilities
(i) Locomotive Sector
    Small locomotive remanufacturers are granted a waiver from
production-line and in-use testing for up to five calendar years after
this program becomes effective.
    Class III railroads qualifying as small businesses are exempt from
new Tier 0, 1, and 2 remanufacturing requirements for locomotives in
their existing fleets. The Certification and Compliance Program section
IV.A.(13) provides a discussion on the revisions being made in this
program.
    Railroads qualifying as small businesses continue being exempt from
the in-use testing program.
(ii) Marine Sector
    Post-manufacture marinizers and small-volume manufacturers (annual
worldwide production of fewer than 1,000 engines) are allowed to group
all engines into one engine family, based on the worst-case emitter.
    Small-volume manufacturers producing engines less than or equal to
600 kW (800 hp) are exempted from production-line and deterioration
testing (assigned deterioration factors) for Tier 3 standards.
    Post-manufacture marinizers qualifying as small businesses and
producing engines less than or equal to 600 kW (800 hp) may delay
compliance with the Tier 3 standards by one model year.
    Post-manufacture marinizers qualifying as small businesses and
producing engines less than or equal to 600 kW (800 hp) may delay
compliance with the Not-to-Exceed requirements for Tier 3 standards by
up to three model years.
    Marine engine dressers (modify base engine without affecting the
emission characteristics of the engine) are exempted from certification
and compliance requirements.
    Post-manufacture marinizers, small-volume manufacturers, and small-
volume boat builders (less than 500 employees and annual worldwide
production of fewer than 100 boats) have hardship relief provisions--
i.e., apply for additional time.
    For the marine existing fleet or remanufacture program, vessel
operators and marine remanufacturers qualifying as small businesses
also have hardship relief provisions allowing them if necessary to
apply for additional time to comply with program requirements.
    Vessel operators who earn less than $5 million in gross annual
sales revenue are exempted from the marine existing fleet or
remanufacture program. If at some future date annual gross revenues
exceed $5 million, they become subject to the existing fleet program at
that point.
(b) Small Entity Compliance Information
    In addition to the above flexibilities, EPA is also preparing
documentation to help small entities comply with this rule. This
documentation will be available on the Office of Transportation and Air
Quality Web site. Small entities may also contact our office to obtain
copies of this documentation.

D. Unfunded Mandates Reform Act

    Title II of the Unfunded Mandates Reform Act of 1995 (UMRA), P.L.
104-4, establishes requirements for Federal agencies to assess the
effects of their regulatory actions on State, local, and tribal
governments and the private sector. Under section 202 of the UMRA, EPA
generally must prepare a written statement, including a cost-benefit
analysis, for proposed and final rules with ``Federal mandates'' that
may result in expenditures to State, local, and tribal governments, in
the aggregate, or to the private sector, of $100 million or more in any
one year. Before promulgating an EPA rule for which a written statement
is needed, section 205 of the UMRA generally requires EPA to identify
and consider a reasonable number of regulatory alternatives and adopt
the least costly, most cost-effective or least burdensome alternative
that achieves the objectives of the rule. The provisions of section 205
do not apply when they are inconsistent with applicable law. Moreover,
section 205 allows EPA to adopt an alternative other than the least
costly, most cost-effective or least burdensome alternative if the
Administrator publishes with the final rule an explanation why that
alternative was not adopted. Before EPA establishes any regulatory
requirements that may significantly or uniquely affect small
governments, including tribal governments, it must have developed under
section 203 of the UMRA a small government agency plan. The plan must
provide for notifying potentially affected small governments, enabling
officials of affected small governments to have meaningful and timely
input in the development of EPA regulatory proposals with significant
Federal intergovernmental mandates, and informing, educating, and
advising small governments on compliance with the regulatory
requirements.
    This rule contains no federal mandates for state, local, or tribal
governments as defined by the provisions of Title II of the UMRA. The
rule imposes no enforceable duties on any of these governmental
entities. Nothing in the rule would significantly or uniquely affect
small governments. EPA has determined that this rule contains federal
mandates that may result in expenditures of more than $100 million to
the private sector in any single year. Accordingly, EPA has evaluated
under section 202 of the UMRA the potential impacts to the private
sector. EPA believes that this rule represents the least costly, most
cost-effective approach to achieve the statutory requirements of the
rule. The costs and benefits associated with this rule are included in
the final Regulatory Impact Analysis (RIA), as required by

the UMRA. This analysis can be found in chapter 6 of the final RIA. A
complete discussion of why the approach being finalized in this action
was chosen is located in chapter 8 of the final RIA. EPA has determined
that this rule contains no regulatory requirements that might
significantly or uniquely affect small governments.
    Thus, this rule is not subject to the requirements of sections 202
and 205 of the UMRA.

E. Executive Order 13132 (Federalism)

    Executive Order 13132, entitled ``Federalism'' (64 FR 43255, August
10, 1999), requires EPA to develop an accountable process to ensure
``meaningful and timely input by State and local officials in the
development of regulatory policies that have federalism implications.''
``Policies that have federalism implications'' is defined in the
Executive Order to include regulations that have ``substantial direct
effects on the States, on the relationship between the national
government and the States, or on the distribution of power and
responsibilities among the various levels of government.''
    This final rule does not have federalism implications. It will not
have substantial direct effects on the States, on the relationship
between the national government and the States, or on the distribution
of power and responsibilities among the various levels of government,
as specified in Executive Order 13132. Although section 6 of Executive
Order 13132 does not apply to this rule, EPA did consult with
representatives of various State and local governments in developing
this rule. EPA consulted with representatives from the National
Association of Clean Air Agencies (NACAA, formerly STAPPA/ALAPCO), the
Northeast States for Coordinated Air Use Management (NESCAUM), and the
California Air Resources Board (CARB). These organizations and other
state organizations submitted comments on the proposed rule. Their
comments are available in the rulemaking docket, and are summarized and
addressed in the Summary and Analysis of Comments document (which is
also available in the rulemaking docket).
    In the spirit of Executive Order 13132, and consistent with EPA
policy to promote communications between EPA and State and local
governments, EPA specifically solicited comment on the proposed rule
from State and local officials.

F. Executive Order 13175 (Consultation and Coordination with Indian
Tribal Governments)

    Executive Order 13175, entitled ``Consultation and Coordination
with Indian Tribal Governments'' (65 FR 67249, November 9, 2000),
requires EPA to develop an accountable process to ensure ``meaningful
and timely input by tribal officials in the development of regulatory
policies that have tribal implications.'' This final rule does not have
tribal implications, as specified in Executive Order 13175. The rule
will be implemented at the Federal level and impose compliance costs
only on locomotive manufacturers, locomotive engine manufacturers,
locomotive operators, locomotive remanufacturers, marine engine
manufacturers, and marine vessel manufacturers. Tribal governments will
be affected only to the extent they purchase and use the regulated
engines and vehicles. Thus, Executive Order 13175 does not apply to
this rule.
    Although Executive Order 13175 does not apply to this rule, EPA did
solicit additional comment on this rule from tribal officials. A
comment was received from one tribal government; that comment is
available in the rulemaking docket, and is summarized and addressed in
the Summary and Analysis of Comments document (which is also available
in the rulemaking docket).

G. Executive Order 13045: Protection of Children From Environmental
Health and Safety Risks

    Executive Order 13045: ``Protection of Children from Environmental
Health Risks and Safety Risks'' (62 FR 19885, April 23, 1997) applies
to any rule that: (1) Is determined to be ``economically significant''
as defined under Executive Order 12866, and (2) concerns an
environmental health or safety risk that EPA has reason to believe may
have a disproportionate effect on children. If the regulatory action
meets both criteria, the Agency must evaluate the environmental health
or safety effects of the planned rule on children, and explain why the
planned regulation is preferable to other potentially effective and
reasonably feasible alternatives considered by the Agency.
    This final rule is subject to the Executive Order because it is an
economically significant regulatory action as defined by Executive
Order 12866, and we believe that the environmental health or safety
risk addressed by this action may have a disproportionate effect on
children. Accordingly, we have evaluated the environmental health or
safety effects of these risks on children. The results of this
evaluation are discussed above in section II of this preamble, and in
chapter 2 of the Regulatory Impact Analysis (RIA).
    EPA recently conducted an initial screening-level analysis of
selected marine port areas and rail yards206 207 to begin to
understand the populations, including children, that are exposed to DPM
emissions from these facilities. This screening-level analysis \208\
indicates that at the 47 marine ports and 37 rail yards studied, at
least 13 million people, including 3.5 million children live in
neighborhoods that are exposed to higher levels of DPM from these
facilities than people living further away and will benefit from the
controls being finalized in this action.
---------------------------------------------------------------------------

    \206\ ICF International. September 28, 2007. Estimation of
diesel particulate matter concentration isopleths for marine harbor
areas and rail yards. Memorandum to EPA under Work Assignment Number
0-3, Contract Number EP-C-06-094. This memo is available in Docket
EPA-HQ-OAR-2003-0190.
    \207\ ICF International. September 28, 2007. Estimation of
diesel particulate matter population exposure near selected harbor
areas and rail yards. Memorandum to EPA under Work Assignment Number
0-3, Contract Number EP-C-06-094. This memo is available in Docket
EPA-HQ-OAR-2003-0190.
    \208\ This type of screening-level analysis is an inexact tool
and not appropriate for regulatory decision-making; it is useful in
beginning to understand potential impacts and for illustrative
purposes. Additionally, the emissions inventories used as inputs
into our analysis are not official estimates and they likely
underestimate overall emissions because they are not inclusive of
all emissions sources at the individual ports in our sample.
---------------------------------------------------------------------------

    With regard to children, the screening-level analysis shows that
the age composition of the total affected population near both the
marine ports and rail yards matches closely the age composition of the
overall U.S. population. However, for some individual facilities the
young appear to be over-represented in the affected population compared
to the overall U.S. population. See section VI of this preamble and
chapters 2 and 6 of the RIA for a discussion on the air quality and
monetized health benefits of this rule, including the benefits to
children's health.
    This rulemaking will achieve significant reductions of various
emissions from locomotive and marine diesel engines, including
NOX, PM, and air toxics. These pollutants raise concerns
regarding environmental health or safety risks that EPA has reason to
believe may have a disproportionate effect on children, such as impacts
from ozone, PM, and certain toxic air pollutants.

    EPA has evaluated several regulatory strategies for reductions in
emissions from locomotive and marine diesel engines, and we believe
that we have selected the most stringent and effective control
reasonably feasible at this time (in light of the technology and cost
requirements of the Clean Air Act), which will benefit the health of
children.

H. Executive Order 13211: Actions That Significantly Affect Energy
Supply, Distribution, or Use

    Executive Order 13211, ``Actions Concerning Regulations That
Significantly Affect Energy Supply, Distribution, or Use'' (66 FR 28355
(May 22, 2001)), requires EPA to prepare and submit a Statement of
Energy Effects to the Administrator of the Office of Information and
Regulatory Affairs, Office of Management and Budget, for certain
actions identified as ``significant energy actions.'' Section 4(b) of
Executive Order 13211 defines ``significant energy actions'' as ``any
action by an agency (normally published in the Federal Register) that
promulgates or is expected to lead to the promulgation of a final rule
or regulation, including notices of inquiry, advance notices of
proposed rulemaking, and notices of proposed rulemaking: (1)(i) that is
a significant regulatory action under Executive Order 12866 or any
successor order, and (ii) is likely to have a significant adverse
effect on the supply, distribution, or use of energy; or (2) that is
designated by the Administrator of the Office of Information and
Regulatory Affairs as a significant energy action.'' We have prepared a
Statement of Energy Effects for this action as follows.
    This rule's potential effects on energy supply, distribution, or
use have been analyzed and are discussed in detail in section 5.8 of
the RIA. In summary, while we project that this rule would result in an
energy effect that exceeds the 4,000 barrel per day threshold noted in
E.O. 13211 in or around the year 2022 and thereafter, the program
consists of performance-based standards with averaging, banking, and
trading provisions that make it likely that our estimated impact is
overstated. Further, the fuel consumption estimates upon which we are
basing this energy effect analysis, which are discussed in full in
sections 5.4 and 5.5 of the RIA, do not reflect the potential fuel
savings associated with automatic engine stop/start (AESS) systems or
other idle reduction technologies. Such technologies can provide
significant fuel savings which could offset our projected estimates of
increased fuel consumption. Nonetheless, our projections show that this
rule could result in energy usage exceeding the 4,000 barrel per day
threshold noted in E.O. 13211.

I. National Technology Transfer Advancement Act

    As noted in the proposed rule, Section 12(d) of the National
Technology Transfer and Advancement Act of 1995 (``NTTAA''), Public Law
No. 104-113, 12(d) (15 U.S.C. 272 note) directs EPA to use voluntary
consensus standards in its regulatory activities unless to do so would
be inconsistent with applicable law or otherwise impractical. Voluntary
consensus standards are technical standards (e.g., materials
specifications, test methods, sampling procedures, and business
practices) that are developed or adopted by voluntary consensus
standards bodies. The NTTAA directs EPA to provide Congress, through
OMB, explanations when the Agency decides not to use available and
applicable voluntary consensus standards.
    This rule references technical standards adopted by EPA through
previous rulemakings. No new technical standards are established in
this rule. The standards referenced in today's rule involve test
procedures for measuring engine emissions. These measurement standards
include those that were developed by EPA as well as the International
Organization for Standardization (ISO) engine testing voluntary
consensus standards, adopted in previous rulemakings. These standards
have served EPA's emissions control goals well since their
implementation and have been well accepted by industry. Therefore, EPA
will continue to use the ISO and existing EPA-developed standards
referenced in 40 CFR Parts 94 and 1065.

J. Executive Order 12898: Federal Actions to Address Environmental
Justice in Minority Populations and Low-Income Populations

    Executive Order (EO) 12898 (59 FR 7629 (Feb. 16, 1994)) establishes
federal executive policy on environmental justice. Its main provision
directs federal agencies, to the greatest extent practicable and
permitted by law, to make environmental justice part of their mission
by identifying and addressing, as appropriate, disproportionately high
and adverse human health or environmental effects of their programs,
policies, and activities on minority populations and low-income
populations in the United States.
    EPA has determined that this final rule will not have
disproportionately high and adverse human health or environmental
effects on minority or low-income populations because it increases the
level of environmental protection for all affected populations without
having any disproportionately high and adverse human health or
environmental effects on any population, including any minority or low-
income population.
    This rulemaking will achieve significant reductions of various
emissions from locomotive and marine diesel engines, including
NOX, PM, and air toxics. Exposure to these pollutants raises
concerns regarding environmental health for the U.S. population in
general including the minority populations and low-income populations
that are the focus of the environmental justice executive order.
    EPA has evaluated several regulatory strategies for reductions in
emissions from locomotive and marine diesel engines, and we believe
that we have selected the most stringent and effective control
reasonably feasible at this time (in light of the technology and cost
requirements of the Clean Air Act).
    The emission reductions from the stringent new standards finalized
in the locomotive and marine diesel rule will have large beneficial
effects on communities in proximity to port, harbor, waterway, railway,
and rail yard locations, including low-income and minority communities.
In addition to stringent exhaust emission standards for freshly
manufactured and remanufactured engines, the final rule includes
provisions targeted to further reduce emissions from regulated engines
that directly impact low-income and minority communities. The idle
reduction provision is one example: ``Even in very efficient railroad
operations, locomotive engines spend a substantial amount of time
idling, during which they emit harmful pollutants, consume fuel, create
noise, and increase maintenance costs. A significant portion of this
idling occurs in rail yards, as railcars and locomotives are
transferred to build up trains. Many of these rail yards are in urban
neighborhoods, close to where people live, work, and go to school''
(from section III.C(1)(c) of this preamble). The final rule includes a
mandatory locomotive idle reduction requirement that will begin to take
effect as early as 2008. Another example is the emission standards for
freshly manufactured switch locomotives. Switch locomotives are major
polluters in urban rail yards. These standards are earlier and more
stringent than the line-haul locomotive standards, and include
incentives for introducing cleaner switchers using Tier

4 nonroad engines. Further examples can be found in averaging, banking,
and trading program provisions aimed at ensuring that emissions are not
shifted from line-haul locomotives operating in rural areas to rail
yards in urban communities.
    EPA recently conducted an initial screening-level analysis of
selected marine port areas and rail yards 209 210 to better
understand the populations, including minority and low-income, that are
exposed to DPM emissions from these facilities. This screening-level
analysis \211\ indicates that at the 47 marine ports and 37 rail yards
studied at least 13 million people, including a high percentage of low-
income households, African-Americans, and Hispanics, live in the
vicinity of these facilities and are exposed to higher levels of DPM
than urban background levels. Thus, these residents will benefit from
the controls being finalized in this action. See section II.A and II.B
of this preamble and chapter 2 of the RIA for a discussion on the
benefits of this rule, including the benefits to minority and low-
income communities. Because those living in the vicinity of marine
ports and rail yards are more likely to be low-income and minority
residents, these populations will receive a significant benefit from
this rule.
---------------------------------------------------------------------------

    \209\ ICF International. September 28, 2007. Estimation of
diesel particulate matter concentration isopleths for marine harbor
areas and rail yards. Memorandum to EPA under Work Assignment Number
0-3, Contract Number EP-C-06-094. This memo is available in Docket
EPA-HQ-OAR-2003-0190.
    \210\ ICF International. September 28, 2007. Estimation of
diesel particulate matter population exposure near selected harbor
areas and rail yards. Memorandum to EPA under Work Assignment Number
0-3, Contract Number EP-C-06-094. This memo is available in Docket
EPA-HQ-OAR-2003-0190.
    \211\ This type of screening analysis is an inexact tool and not
appropriate for regulatory decision-making; it is useful in
beginning to understand potential impacts and for illustrative
purposes. Additionally, the emissions inventories used as inputs
into our analysis are not official estimates and they likely
underestimate overall emissions because they are not inclusive of
all emission sources at the individual ports in our sample.
---------------------------------------------------------------------------

K. Congressional Review Act

    The Congressional Review Act, 5 U.S.C. 801 et seq., as added by the
Small Business Regulatory Enforcement Fairness Act of 1996, generally
provides that before a rule may take effect, the agency promulgating
the rule must submit a rule report, which includes a copy of the rule,
to each House of the Congress and to the Comptroller General of the
United States. EPA will submit a report containing this rule and other
required information to the U.S. Senate, the U.S. House of
Representatives, and the Comptroller General of the United States prior
to publication of the rule in the Federal Register. A Major rule cannot
take effect until 60 days after it is published in the Federal
Register. This action is a ``major rule'' as defined by 5 U.S.C.
804(2). This rule will be effective July 7, 2008.

X. Statutory Provisions and Legal Authority

    Statutory authority for the controls in this final rule can be
found in sections 213 (which specifically authorizes controls on
emissions from nonroad engines and vehicles), 203-209, 216, and 301 of
the Clean Air Act (CAA), 42 U.S.C. 7547, 7522, 7523, 7424, 7525, 7541,
7542, 7543, 7550, and 7601.

List of Subjects

40 CFR Part 9

    Reporting and recordkeeping requirements.

40 CFR Part 85

    Confidential business information, Imports, Labeling, Motor vehicle
pollution, Reporting and recordkeeping requirements, Research,
Warranties.

40 CFR Part 86

    Administrative practice and procedure, Confidential business
information, Labeling, Motor vehicle pollution, Reporting and
recordkeeping requirements.

40 CFR Part 89

    Environmental protection, Administrative practice and procedure,
Confidential business information, Imports, Labeling, Motor vehicle
pollution, Reporting and recordkeeping requirements, Research, Vessels,
Warranties.

40 CFR Part 92

    Environmental protection, Administrative practice and procedure,
Air pollution control, Confidential business information, Imports,
Incorporation by reference, Labeling, Penalties, Railroads, Reporting
and recordkeeping requirements, Warranties.

40 CFR Part 94

    Environmental protection, Administrative practice and procedure,
Air pollution control, Confidential business information, Imports,
Incorporation by reference, Labeling, Penalties, Vessels, Reporting and
recordkeeping requirements, Warranties.

40 CFR Part 1033

    Environmental protection, Administrative practice and procedure,
Confidential business information, Incorporation by reference,
Labeling, Penalties, Railroads, Reporting and recordkeeping
requirements.

40 CFR Part 1039

    Environmental protection, Administrative practice and procedure,
Air pollution control, Confidential business information, Imports,
Incorporation by reference, Labeling, Penalties, Reporting and
recordkeeping requirements, Warranties.

40 CFR Part 1042

    Environmental protection, Administrative practice and procedure,
Air pollution control, Confidential business information, Imports,
Incorporation by reference, Labeling, Penalties, Vessels, Reporting and
recordkeeping requirements, Warranties.

40 CFR Part 1065

    Environmental protection, Administrative practice and procedure,
Incorporation by reference, Reporting and recordkeeping requirements,
Research.

40 CFR Part 1068

    Environmental protection, Administrative practice and procedure,
Confidential business information, Imports, Motor vehicle pollution,
Penalties, Reporting and recordkeeping requirements, Warranties.

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

0
For the reasons set forth in the preamble, chapter I of title 40 of the
Code of Federal Regulations is amended as follows:

PART 9--OMB APPROVALS UNDER THE PAPERWORK REDUCTION ACT

0
1. The authority citation for part 9 continues to read as follows:

    Authority: 7 U.S.C. 135 et seq., 136-136y; 15 U.S.C. 2001, 2003,
2005, 2006, 2601-2671; 21 U.S.C. 331j, 346a, 348; 31 U.S.C. 9701; 33
U.S.C. 1251 et seq., 1311, 1313d, 1314, 1318 1321, 1326, 1330, 1342
1344, 1345(d) and (e), 1361; E.O. 11735, 38 FR 21243, 3 CFR, 1971-
1975 Comp. p. 973; 42 U.S.C. 241, 242b, 243, 246, 300f, 300g, 300g-
1, 300g-2, 300g-3, 300g-4, 300g-5, 300g-6, 300j-1, 300j-2, 300j-3,
300j-4, 300j-9, 1857 et seq., 6901-6992k, 7401-7671q, 7542, 9601-
9657, 11023, 11048.

0
2. Section 9.1 is amended in the table by adding the center headings
and the

entries under those center headings in numerical order to read as
follows:

Sec.  9.1  OMB approvals under the Paperwork Reduction Act.

* * * * *

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

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

                               * * * * *
  Control of Emissions From New and In-use Marine Compression-ignition
                           Engines and Vessels
------------------------------------------------------------------------
042.825.................................................       2060-0827

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

* * * * *

PART 85--CONTROL OF AIR POLLUTION FROM MOBILE SOURCES

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

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

Subpart Y--[Amended]

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

Sec.  85.2401  To whom do these requirements apply?

    (a) * * *
    (7) Locomotives (See 40 CFR parts 92 and 1033);
    (8) Marine engines (See 40 CFR parts 91, 94, and 1042 and MARPOL
Annex VI, as applicable);
* * * * *

PART 86--CONTROL OF EMISSIONS FROM NEW AND IN-USE HIGHWAY VEHICLES
AND ENGINES

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

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

Subpart A--[Amended]

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

Sec.  86.007-11  Emission standards and supplemental requirements for
2007 and later model year diesel heavy-duty engines and vehicles.

* * * * *
    (a) * * *
    (2) The standards set forth in paragraph (a)(1) of this section
refer to the exhaust emitted over the duty cycle specified in
paragraphs (a)(2)(i) through (iii) of this section, where exhaust
emissions are measured and calculated as specified in paragraphs
(a)(2)(iv) and (v) of this section in accordance with the procedures
set forth in subpart N of this part, except as noted in Sec.  86.007-
23(c)(2):
* * * * *

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

Sec.  86.117-96  Evaporative emission enclosure calibrations.

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

* * * * *

Subpart N--[Amended]

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

Sec.  86.1305-2010  Introduction; structure of subpart.

* * * * *
    (b) Use the applicable equipment and procedures for spark-ignition
or compression-ignition engines in 40 CFR part 1065 to determine
whether engines meet the duty-cycle emission standards in subpart A of
this part. Measure the emissions of all regulated pollutants as
specified in 40 CFR part 1065. Use the duty cycles and procedures
specified in Sec. Sec.  86.1333-2010, 86.1360-2007, and 86.1362-2007.
Adjust emission results from engines using aftertreatment technology
with infrequent regeneration events as described in Sec.  86.004-28.
* * * * *
0
9. Section 86.1333-2010 is amended by adding paragraph (d) to read as
follows:

Sec.  86.1333-2010  Transient test cycle generation.

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

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

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

* * * * *
    (b) * * *
    (3) For engines certified using the ramped-modal cycle specified in
(86.1362, perform the three discrete test points described in paragraph
(b)(2) of this section as follows:
    (i) Allow the engine to idle as needed to complete equipment checks
following the supplemental emission test described in this section,
then operate the engine over the three additional discrete test points.
    (ii) Validate the additional discrete test points as a composite
test separate from the supplemental emission test, but in the same
manner.
    (iii) Use the emission data collected during the time interval from
35 to 5 seconds before the end of each mode (excluding transitions) to
perform the MAEL calculations in paragraph (f) of this section.
* * * * *

Sec.  86.1362-2007  [Amended]

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

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

Sec.  86.1362-2010  Steady-state testing with a ramped-modal cycle.

    This section describes how to test engines under steady-state
conditions. For model years through 2009, manufacturers may use the
mode order described in this section or in Sec.  1362-2007. Starting in
model year 2010 manufacturers must use the mode order described in this
section with the following exception: for model year 2010,
manufacturers may continue to use the cycle specified in Sec.  1362-
2007 as long as it does not adversely affect the ability to demonstrate
compliance with the standards.
    (a) Start sampling at the beginning of the first mode and continue
sampling until the end of the last mode. Calculate emissions as
described in 40 CFR 1065.650 and cycle statistics as described in 40
CFR 1065.514.
    (b) Measure emissions by testing the engine on a dynamometer with
the following ramped-modal duty cycle to

determine whether it meets the applicable steady-state emission
standards:

----------------------------------------------------------------------------------------------------------------
                                           Time in mode
                RMC mode                     (seconds)       Engine  speed \1\ \2\      Torque  (percent) \2\ 3
----------------------------------------------------------------------------------------------------------------
1a Steady-state.........................             170  Warm Idle.................  0
1b Transition...........................              20  Linear Transition.........  Linear Transition.
2a Steady-state.........................             173  A.........................  100
2b Transition...........................              20  Linear Transition.........  Linear Transition.
3a Steady-state.........................             219  B.........................  50
3b Transition...........................              20  B.........................  Linear Transition.
4a Steady-state.........................             217  B.........................  75
4b Transition...........................              20  Linear Transition.........  Linear Transition.
5a Steady-state.........................             103  A.........................  50
5b Transition...........................              20  A.........................  Linear Transition.
6a Steady-state.........................             100  A.........................  75
6b Transition...........................              20  A.........................  Linear Transition.
7a Steady-state.........................             103  A.........................  25
7b Transition...........................              20  Linear Transition.........  Linear Transition.
8a Steady-state.........................             194  B.........................  100
8b Transition...........................              20  B.........................  Linear Transition.
9a Steady-state.........................             218  B.........................  25
9b Transition...........................              20  Linear Transition.........  Linear Transition.
10a Steady-state........................             171  C.........................  100
10b Transition..........................              20  C.........................  Linear Transition.
11a Steady-state........................             102  C.........................  25
11b Transition..........................              20  C.........................  Linear Transition.
12a Steady-state........................             100  C.........................  75
12b Transition..........................              20  C.........................  Linear Transition.
13a Steady-state........................             102  C.........................  50
13b Transition..........................              20  Linear Transition.........  Linear Transition.
14 Steady-state.........................             168  Warm Idle.................  0
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
  a linear progression from the speed or torque setting of the current mode to the speed or torque setting of
  the next mode.
3 The percent torque is relative to maximum torque at the commanded engine speed.

    (c) During idle mode, operate the engine at its warm idle as
described in 40 CFR part 1065.
    (d) See 40 CFR part 1065 for detailed specifications of tolerances
and calculations.
    (e) Perform the ramped-modal test with a warmed-up engine. If the
ramped-modal test follows directly after testing over the Federal Test
Procedure, consider the engine warm. Otherwise, operate the engine to
warm it up as described in 40 CFR part 1065, subpart F.

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

Sec.  86.1363-2007  Steady-state testing with a discrete-mode cycle.

* * * * *
    (a) Use the following 13-mode cycle in dynamometer operation on the
test engine:

----------------------------------------------------------------------------------------------------------------
                                                                   Percent load      Weighting      Mode length
               Mode No.                     Engine speed \1\            \2\           factors       (minutes) 3
----------------------------------------------------------------------------------------------------------------
1....................................  Warm Idle................  ..............            0.15               4
2....................................  A........................             100            0.08               2
3....................................  B........................              50            0.10               2
4....................................  B........................              75            0.10               2
5....................................  A........................              50            0.05               2
6....................................  A........................              75            0.05               2
7....................................  A........................              25            0.05               2
8....................................  B........................             100            0.09               2
9....................................  B........................              25            0.10               2
10...................................  C........................             100            0.08               2
11...................................  C........................              25            0.05               2
12...................................  C........................              75            0.05               2
13...................................  C........................              50            0.05               2
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum torque at the commanded test speed.
3 Upon Administrator approval, the manufacturer may use other mode lengths.

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

* * * * *

Subpart P--[Amended]

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

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

0
15. Redesignate Sec. Sec.  86.1501-94 through 86.1544-84 as follows:

------------------------------------------------------------------------
            Old section                          New section
------------------------------------------------------------------------
             86.1501-94                              86.1501
             86.1502-84                              86.1502
             86.1503-84                              86.1503
             86.1505-94                              86.1505
             86.1506-94                              86.1506
             86.1509-84                              86.1509
             86.1511-84                              86.1511
             86.1513-94                              86.1513
             86.1514-84                              86.1514
             86.1516-84                              86.1516
             86.1519-84                              86.1519
             86.1522-84                              86.1522
             86.1524-84                              86.1524
             86.1526-84                              86.1526
             86.1527-84                              86.1527
             86.1530-84                              86.1530
             86.1537-84                              86.1537
             86.1540-84                              86.1540
             86.1542-84                              86.1542
             86.1544-84                              86.1544
------------------------------------------------------------------------

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

Sec.  86.1506  Equipment required and specifications; overview.

* * * * *
    (b) Through the 2009 model year, manufacturers may elect to use the
appropriate test procedures in this part 86 instead of the procedures
referenced in 40 CFR part 1065 without getting advance approval by the
Administrator.

PART 89--CONTROL OF EMISSIONS FROM NEW AND IN-USE NONROAD
COMPRESSION-IGNITION ENGINES

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

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

Subpart J--[Amended]

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

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

    The prohibitions in Sec.  89.1003(a)(1) do not apply to new marine
engines used in lifeboats and rescue boats as described in 40 CFR
94.914.

PART 92--CONTROL OF AIR POLLUTION FROM LOCOMOTIVES AND LOCOMOTIVE
ENGINES

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

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

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

Sec.  92.1  Applicability.

    (a) Except as noted in paragraphs (b), (d) and (e) of this section,
the provisions of this part apply to manufacturers, remanufacturers,
owners and operators of:
* * * * *
    (e) The provisions of this part do not apply for locomotives that
are subject to the emissions standards of 40 CFR part 1033.

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

Sec.  92.2  Definitions.

* * * * *
    Freshly manufactured locomotive means a locomotive which is powered
by a freshly manufactured engine, and which contains fewer than 25
percent previously used parts (weighted by the dollar value of the
parts). See 40 CFR 1033.640 for information about how to calculate
this.
* * * * *

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

Sec.  92.12   Interim provisions.

* * * * *
    (b) Production line and in-use testing. (1) The requirements of
Subpart F of this part (i.e., production line testing) do not apply
prior to January 1, 2002.
    (2) The testing requirements of subpart F of this part (i.e.,
production line testing) do not apply to small manufacturers/
remanufacturers prior to January 1, 2013. Note that the production line
audit requirements apply as specified.
    (3) The requirements of Subpart G of this part (i.e., in-use
testing) only apply for locomotives and locomotive engines that become
new on or after January 1, 2002.
    (4) For locomotives and locomotive engines that are covered by a
small business certificate of conformity, the requirements of Subpart G
of this part (i.e., in-use testing) only apply for locomotives and
locomotive engines that become new on or after January 1, 2007. We will
also not require small remanufacturers to perform any in-use testing
prior to January 1, 2013.
* * * * *
    (i) Diesel test fuels. Manufacturers and remanufacturers may use
LSD or ULSD test fuel to certify to the standards of this part, instead
of the otherwise specified test fuel, provided PM emissions are
corrected as described in this paragraph (i). Measure your PM emissions
and determine your cycle-weighted emission rates as specified in
subpart B of this part. If you test using LSD, add 0.04 g/bhp-hr to
these weighted emission rates to determine your official emission
result. If you test using ULSD, add 0.05 g/bhp-hr to these weighted
emission rates to determine your official emission result.
    (j) Subchapter U provisions. For model years 2008 through 2012,
certain locomotives will be subject to the requirements of this part 92
while others will be subject to the requirements of 40 CFR subchapter
U. This paragraph (j) describes allowances for manufacturers or
remanufacturers to ask for flexibility in transitioning to the new
regulations.
    (1) You may ask to use a combination of the test procedures of this
part and those of 40 CFR part 1033. We will approve your request if you
show us that it does not affect your ability to show compliance with
the applicable emission standards. Generally this requires that the
combined procedures would result in emission measurements at least as
high as those that would be measured using the procedures specified in
this part. Alternatively, you may demonstrate that the combined effects
of the procedures is small relative to your compliance margin (the
degree to which your locomotives are below the applicable standards).
    (2) You may ask to comply with the administrative requirements of
40 CFR part 1033 and 1068 instead of the equivalent requirements of
this part.
0
23. Section 92.204 is amended by adding paragraph (f) to read as
follows:

Sec.  92.204   Designation of engine families.

* * * * *
    (f) Remanufactured Tier 2 locomotives may be included in the same
engine family as freshly manufactured Tier 2 locomotives, provided such
engines are used for locomotive models included in the engine family.

[[Continued on page 25197]]

]

[[pp. 25197-25246]] Control of Emissions of Air Pollution From Locomotive Engines and
Marine Compression-Ignition Engines Less Than 30 Liters per Cylinder

[[Continued from page 25196]]

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

Sec.  92.206   Required information.

* * * * *
    (c) Emission data, including exhaust methane data in the case of
locomotives or locomotive engines subject to a non-methane hydrocarbon
standard, on such locomotives or locomotive engines tested in
accordance with applicable test procedures of subpart B of this part.
These data shall include zero hour data, if generated. In lieu of
providing the emission data required by paragraph (a) of this section,
the Administrator may, upon request of the manufacturer or
remanufacturer, allow the manufacturer or remanufacturer to demonstrate
(on the basis of previous emission tests, development tests, or other
testing information) that the engine or locomotive will conform with
the applicable emission standards of Sec.  92.8. The requirement to
measure smoke emissions is waived for certification and production line
testing of Tier 2 locomotives, except where there is reason to believe
the locomotives do not meet the applicable smoke standards.
* * * * *

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

Sec.  92.208  Certification.

    (a) This paragraph (a) applies to manufacturers of new locomotives
and new locomotive engines. If, after a review of the application for
certification, test reports and data acquired from a freshly
manufactured locomotive or locomotive engine or from a development data
engine, and any other information required or obtained by EPA, the
Administrator determines that the application is complete and that the
engine family meets the requirements of the Act and this part, he/she
will issue a certificate of conformity with respect to such engine
family except as provided by paragraph (c)(3) of this section. The
certificate of conformity is valid for each engine family starting with
the indicated effective date, but it is not valid for any production
after December 31 of the model year for which it is issued (except as
specified in (92.12). The certificate of conformity is valid upon such
terms and conditions as the Administrator deems necessary or
appropriate to ensure that the production engines covered by the
certificate will meet the requirements of the Act and of this part.
* * * * *

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

Sec.  92.212   Labeling.

* * * * *
    (b) * * *
    (2) * * *
    (iv) The label may be made up of more than one piece permanently
attached to the same locomotive part, except for Tier 0 locomotives,
where you may attach it to separate parts.
* * * * *

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

Sec.  92.501   Applicability.

* * * * *
    (c) Manufacturers may comply with the provisions of subpart D of 40
CFR part 1033 instead of the provisions of this subpart F.

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

Sec.  92.1007   Remanufacturing requirements.

    (a) See the definition of ``remanufacture'' in Sec.  92.2 to
determine if you are remanufacturing your locomotive or engine. (Note:
Replacing power assemblies one at a time may qualify as
remanufacturing, depending on the interval between replacement.)
    (b) See the definition of ``new'' in Sec.  92.2 to determine if
remanufacturing your locomotive makes it subject to the requirements of
this part. If the locomotive is considered to be new, it is subject to
the certification requirements of this part, unless it is exempt under
subpart J of this part. The standards to which your locomotive is
subject will depend on factors such as the following:
    (1) Its date of original manufacture.
    (2) The FEL to which it was previously certified, which is listed
on the ``Locomotive Emission Control Information'' label.
    (3) Its power rating (whether it is above or below 2300 hp).
    (4) The calendar year in which it is being remanufactured.
    (c) You may comply with the certification requirements of this part
for your remanufactured locomotive by either obtaining your own
certificate of conformity as specified in subpart C of this part or by
having a certifying remanufacturer include your locomotive under its
certificate of conformity. In either case, your remanufactured
locomotive must be covered by a certificate before it is reintroduced
into service.
    (d) If you do not obtain your own certificate of conformity from
EPA, contact a certifying remanufacturer to have your locomotive
included under its certificate of conformity. Confirm with the
certificate holder that your locomotive's model, date of original
manufacture, previous FEL, and power rating allow it to be covered by
the certificate. You must do all of the following:
    (1) Comply with the certificate holder's emission-related
installation instructions.
    (2) Provide to the certificate holder the information it identifies
as necessary to comply with the requirements of this part.
    (e) For parts unrelated to emissions and emission-related parts not
addressed by the certificate holder in the emission-related
installation instructions, you may use parts from any source. For
emission-related parts listed by the certificate holder in the
emission-related installation instructions, you must either use the
specified parts or parts certified under 40 CFR 1033.645 for
remanufacturing. If you believe that the certificate holder has
included as emission-related parts, parts that are actually unrelated
to emissions, you may ask us to exclude such parts from the emission-
related installation instructions. (Note: This paragraph (e) does not
apply with respect to parts for maintenance other than remanufacturing;
see Sec.  92.1004 for provisions related to general maintenance.)
    (f) Failure to comply with this section is a violation of Sec.
92.1102(a)(1).

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

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

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

Subpart A-- [Amended]

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

Sec.  94.1  Applicability.

* * * * *
    (b) Notwithstanding the provisions of paragraph (c) of this
section, the requirements and prohibitions of this part do not apply
with respect to the engines identified in paragraphs (a)(1) and (2) of
this section for any of the following engines:
    (1) Marine engines with rated power below 37 kW.
    (2) Marine engines on foreign vessels.
    (3) Marine engines subject to the standards of 40 CFR part 1042.
* * * * *

0
31. Section 94.2 is amended by revising paragraph (1)(ii) of the
definition for ``New vessel'' and adding definitions for ``Nonroad''
and ``Nonroad engine'' in alphabetical order to read as follows:

Sec.  94.2  Definitions.

* * * * *
    New vessel means:
    (1)(i) * * *
    (ii) For vessels with no Category 3 engines, a vessel that has been
modified such that the value of the modifications exceeds 50 percent of
the value of the modified vessel. The value of the modification is the
difference in the assessed value of the vessel before the modification
and the assessed value of the vessel after the modification. Use the
following equation to determine if the fractional value of the
modification exceeds 50 percent:
Percent of value = [(Value after modification) - (Value before
modification)] x ( 100% / (Value after modification)
* * * * *
    Nonroad means relating to nonroad engines, or vessels or equipment
that include nonroad engines.
    Nonroad engine has the meaning given in 40 CFR 1068.30. In general,
this means all internal-combustion engines except motor vehicle
engines, stationary engines, engines used solely for competition, or
engines used in aircraft.
* * * * *

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

Sec.  94.12   Interim provisions.

* * * * *
    (i) Early use of future provisions. For model years 2009 through
2013, certain marine engines will be subject to the requirements of
this part 94 while others will be subject to the requirements of 40 CFR
part 1042. Manufacturers may ask for flexibility in making the
transition to the new regulations as follows:
    (1) You may ask to use a combination of the test procedures of this
part and those of 40 CFR part 1042. This might include the early use of
the duty cycles and NTE specifications that apply for Tier 3 or Tier 4
engines. We will approve your request only if you show us that it does
not affect your ability to demonstrate compliance with the applicable
emission standards. This generally requires that the combined
procedures would result in emission measurements at least as high as
those that would be measured using the procedures specified in this
part. Alternatively, you may demonstrate that the combined effects of
the procedures is small relative to your compliance margin (the degree
to which your engines are below the applicable standards).
    (2) You may ask to comply with the administrative requirements of
40 CFR parts 1042 and 1068 instead of the equivalent requirements of
this part.

Subpart B--[Amended]

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

Sec.  94.108  Test fuels.

    (a) * * *
    (4) Manufacturers may perform testing using the low-sulfur diesel
test fuel or the ultra low-sulfur diesel test fuel specified in 40 CFR
part 1065.
* * * * *
    (d) Correction for sulfur--(1) High sulfur fuel. (i) Particulate
emission measurements from Category 1 or Category 2 engines without
exhaust aftertreatment obtained using a diesel fuel containing more
than 0.40 weight percent sulfur may be adjusted to a sulfur content of
0.40 weight percent.
    (ii) Adjustments to the particulate measurement for using high
sulfur fuel shall be made using the following equation:
PMadj=PM-[BSFC x 0.0917 x (FSF-0.0040)]

Where:
PMadj=adjusted measured PM level [g/kW-hr]
PM=measured weighted PM level [g/kW-hr]
BSFC=measured brake specific fuel consumption [g/kW-hr]
FSF=fuel sulfur weight fraction

    (2) Low sulfur fuel. (i) Particulate emission measurements from
Category 1 or Category 2 engines without exhaust aftertreatment
obtained using diesel fuel containing less than 0.03 weight percent
sulfur shall be adjusted to a sulfur content of 0.20 weight percent.
    (ii) Adjustments to the particulate measurement for using ultra
low-sulfur fuel shall be made using the following equation:
PM\adj\=PM+[BSFC x 0.0917 x (0.0020-FSF)]

Where:
PM\adj\=adjusted measured PM level [g/kW-hr]
PM=measured weighted PM level [g/kW-hr]
BSFC=measured brake specific fuel consumption [g/kW-hr]
FSF=fuel sulfur weight fraction

* * * * *

Subpart C--[Amended]

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

Sec.  94.208  Certification.

    (a) If, after a review of the application for certification, test
reports and data acquired from an engine or from a development data
engine, and any other information required or obtained by EPA, the
Administrator determines that the application is complete and that the
engine family meets the requirements of the Act and this part, he/she
will issue a certificate of conformity with respect to such engine
family, except as provided by paragraph (c)(3) of this section. The
certificate of conformity is valid for each engine family starting with
the indicated effective date, but it is not valid for any production
after December 31 of the model year for which it is issued. The
certificate of conformity is valid upon such terms and conditions as
the Administrator deems necessary or appropriate to ensure that the
production engines covered by the certificate will meet the
requirements of the Act and of this part.
* * * * *

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

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

* * * * *
    (a) Broader engine families. Instead of the requirements of Sec.
94.204, an engine family may consist of any or all of a manufacturer's
engines within a given category. This does not change any of the
requirements of this part for showing that an engine family meets
emission standards. To be eligible to use the provisions of this
paragraph (a), the manufacturer must demonstrate one of the following:
* * * * *

Subpart F--[Amended]

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

Sec.  94.501  Applicability.

* * * * *
    (c) Manufacturers may comply with the provisions of 40 CFR part
1042, subpart D, instead of the provisions of this subpart F.

Subpart J--[Amended]

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

Sec.  94.914  Emergency vessel exemption.

    (a) Except as specified in paragraph (c) of this section, the
prohibitions in Sec.  94.1103(a)(1) do not apply to a new engine that
is subject to Tier 2 standards according to the following provisions:

    (1) The engine must be intended for installation in a lifeboat or a
rescue boat as specified in 40 CFR 1042.625(a)(1)(i) or (ii).
    (2) This exemption is available from the initial effective date for
the Tier 2 standards until the engine model (or an engine of comparable
size, weight, and performance) has been certified as complying with the
Tier 2 standards and Coast Guard requirements. For example, this
exemption would apply for new engine models that have not yet been
certified to the Tier 2 standards.
    (3) The engine must meet the Tier 1 emission standards specified in
Sec.  94.8.
    (b) If you introduce an engine into U.S. commerce under this
section, you must meet the labeling requirements in Sec.  94.212, but
add the following statement instead of the compliance statement in
Sec.  94.212(b)(6):

THIS ENGINE DOES NOT COMPLY WITH CURRENT U.S. EPA EMISSION STANDARDS
UNDER 40 CFR 94.914 AND IS FOR USE SOLELY IN LIFEBOATS OR RESCUE
BOATS (COAST GUARD APPROVAL SERIES 160.135 OR 160.156). INSTALLATION
OR USE OF THIS ENGINE IN ANY OTHER APPLICATION MAY BE A VIOLATION OF
FEDERAL LAW SUBJECT TO CIVIL PENALTY.

    (c) Introducing into commerce a vessel containing an engine
exempted under this section violates the prohibitions in Sec.
94.1103(a)(1) where the vessel is not a lifeboat or rescue boat, unless
it is exempt under a different provision. Similarly, using such an
engine or vessel as something other than a lifeboat or rescue boat as
specified in paragraph (a) of this section violates the prohibitions in
Sec.  94.1103(a)(1), unless it is exempt under a different provision.

0
38. A new part 1033 is added to subchapter U of chapter I to read as
follows:

PART 1033--CONTROL OF EMISSIONS FROM LOCOMOTIVES

Subpart A--Overview and Applicability
Sec.
1033.1 Applicability.
1033.5 Exemptions and exclusions.
1033.10 Organization of this part.
1033.15 Other regulation parts that apply for locomotives.
Subpart B--Emission Standards and Related Requirements
1033.101 Exhaust emission standards.
1033.102 Transition to the standards of this part.
1033.110 Emission diagnostics--general requirements.
1033.112 Emission diagnostics for SCR systems.
1033.115 Other requirements.
1033.120 Emission-related warranty requirements.
1033.125 Maintenance instructions.
1033.130 Instructions for engine remanufacturing or engine
installation.
1033.135 Labeling.
1033.140 Rated power.
1033.150 Interim provisions.
Subpart C--Certifying Engine Families
1033.201 General requirements for obtaining a certificate of
conformity.
1033.205 Applying for a certificate of conformity.
1033.210 Preliminary approval.
1033.220 Amending maintenance instructions.
1033.225 Amending applications for certification.
1033.230 Grouping locomotives into engine families.
1033.235 Emission testing required for certification.
1033.240 Demonstrating compliance with exhaust emission standards.
1033.245 Deterioration factors.
1033.250 Reporting and recordkeeping.
1033.255 EPA decisions.
Subpart D--Manufacturer and Remanufacturer Production Line Testing and
Audit Programs
1033.301 Applicability.
1033.305 General requirements.
1033.310 Sample selection for testing.
1033.315 Test procedures.
1033.320 Calculation and reporting of test results.
1033.325 Maintenance of records; submittal of information.
1033.330 Compliance criteria for production line testing.
1033.335 Remanufactured locomotives: installation audit
requirements.
1033.340 Suspension and revocation of certificates of conformity.
Subpart E--In-use Testing
1033.401 Applicability.
1033.405 General provisions.
1033.410 In-use test procedure.
1033.415 General testing requirements.
1033.420 Maintenance, procurement and testing of in-use locomotives.
1033.425 In-use test program reporting requirements.
Subpart F--Test Procedures
1033.501 General provisions.
1033.505 Ambient conditions.
1033.510 Auxiliary power units.
1033.515 Discrete-mode steady-state emission tests of locomotives
and locomotive engines.
1033.520 Alternative ramped modal cycles.
1033.525 Smoke testing.
1033.530 Duty cycles and calculations.
1033.535 Adjusting emission levels to account for infrequently
regenerating aftertreatment devices.
Subpart G--Special Compliance Provisions
1033.601 General compliance provisions.
1033.610 Small railroad provisions.
1033.615 Voluntarily subjecting locomotives to the standards of this
part.
1033.620 Hardship provisions for manufacturers and remanufacturers.
1033.625 Special certification provisions for non-locomotive-
specific engines.
1033.630 Staged-assembly and delegated assembly exemptions.
1033.640 Provisions for repowered and refurbished locomotives.
1033.645 Non-OEM component certification program.
1033.650 Incidental use exemption for Canadian and Mexican
locomotives.
1033.655 Special provisions for certain Tier 0/Tier 1 locomotives.
Subpart H--Averaging, Banking, and Trading for Certification
1033.701 General provisions.
1033.705 Calculating emission credits.
1033.710 Averaging emission credits.
1033.715 Banking emission credits.
1033.720 Trading emission credits.
1033.722 Transferring emission credits.
1033.725 Requirements for your application for certification.
1033.730 ABT reports.
1033.735 Required records.
1033.740 Credit restrictions.
1033.745 Compliance with the provisions of this subpart.
1033.750 Changing a locomotive's FEL at remanufacture.
Subpart I--Requirements for Owners and Operators
1033.801 Applicability.
1033.805 Remanufacturing requirements.
1033.810 In-use testing program.
1033.815 Maintenance, operation, and repair.
1033.820 In-use locomotives.
1033.825 Refueling requirements.
Subpart J--Definitions and Other Reference Information
1033.901 Definitions.
1033.905 Symbols, acronyms, and abbreviations.
1033.915 Confidential information.
1033.920 How to request a hearing.

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

Subpart A--Overview and Applicability

Sec.  1033.1  Applicability.

    The regulations in this part 1033 apply for all new locomotives and
all locomotives containing a new locomotive engine, except as provided
in Sec.  1033.5.
    (a) Standards begin to apply each time a locomotive or locomotive
engine is originally manufactured or otherwise becomes new (defined in
Sec.  1033.901). The requirements of this part continue to apply as
specified after locomotives cease to be new.
    (b) Standards apply to the locomotive. However, in certain cases,
the manufacturer/remanufacturer is allowed to test a locomotive engine
instead of a complete locomotive, such as for certification. Also, you
are not required to complete assembly of a locomotive to

obtain a certificate of conformity for it, provided you meet the
definition of ``manufacturer'' or ``remanufacturer'' (as applicable) in
Sec.  1033.901. For example, an engine manufacturer may obtain a
certificate for locomotives which it does not manufacture, if the
locomotives use its engines.
    (c) Standards apply based on the year in which the locomotive was
originally manufactured. The date of original manufacture is generally
the date on which assembly is completed for the first time. For
example, all locomotives originally manufactured in calendar years
2002, 2003, and 2004 are subject to the Tier 1 emission standards for
their entire service lives.
    (d) The following provisions apply when there are multiple persons
meeting the definition of manufacturer or remanufacturer in Sec.
1033.901:
    (1) Each person meeting the definition of manufacturer must comply
with the requirements of this part that apply to manufacturers; and
each person meeting the definition of remanufacturer must comply with
the requirements of this part that apply to remanufacturers. However,
if one person complies with a specific requirement for a given
locomotive, then all manufacturers/remanufacturers are deemed to have
complied with that specific requirement.
    (2) We will apply the requirements of subparts C, D, and E of this
part to the manufacturer/remanufacturer that obtains the certificate of
conformity for the locomotive. Other manufacturers and remanufacturers
are required to comply with the requirements of subparts C, D, and E of
this part only when notified by us. In our notification, we will
specify a reasonable time period in which you need to comply with the
requirements identified in the notice. See Sec.  1033.601 for the
applicability of 40 CFR part 1068 to these other manufacturers and
remanufacturers.
    (3) For example, we may require a railroad that installs certified
kits but does not hold the certificate to perform production line
auditing of the locomotives that it remanufactures. However, if we did,
we would allow the railroad a reasonable amount of time to develop the
ability to perform such auditing.
    (e) The provisions of this part apply as specified for locomotives
manufactured or remanufactured on or after July 7, 2008. See Sec.
1033.102 to determine whether the standards of this part or the
standards of 40 CFR part 92 apply for model years 2008 through 2012.
For example, for a locomotive that was originally manufactured in 2007
and remanufactured on April 10, 2014, the provisions of this part begin
to apply on April 10, 2014.

Sec.  1033.5  Exemptions and exclusions.

    (a) Subpart G of this part exempts certain locomotives from the
standards of this part.
    (b) The definition of ``locomotive'' in Sec.  1033.901 excludes
certain vehicles. In general, the engines used in such excluded
equipment are subject to standards under other regulatory parts. For
example, see 40 CFR part 1039 for requirements that apply to diesel
engines used in equipment excluded from the definition of
``locomotive'' in Sec.  1033.901. The following locomotives are also
excluded from the provisions of this part 1033:
    (1) Historic locomotives powered by steam engines. For a locomotive
that was originally manufactured after January 1, 1973 to be excluded
under this paragraph (b)(1), it may not use any internal combustion
engines and must be used only for historical purposes such as at a
museum or similar public attraction.
    (2) Locomotives powered only by an external source of electricity.
    (c) The requirements and prohibitions of this part apply only for
locomotives that have become ``new'' (as defined in Sec.  1033.901) on
or after July 7, 2008.
    (d) The provisions of this part do not apply for any auxiliary
engine that only provides hotel power. In general, these engines are
subject to the provisions of 40 CFR part 1039. However, depending on
the engine cycle, model year and power rating, the engines may be
subject to other regulatory parts instead.
    (e) Manufacturers and owners of locomotives that operate only on
non-standard gauge rails may ask us to exclude such locomotives from
this part by excluding them from the definition of ``locomotive''.

Sec.  1033.10  Organization of this part.

    The regulations in this part 1033 contain provisions that affect
locomotive manufacturers, remanufacturers, and others. However, the
requirements of this part are generally addressed to the locomotive
manufacturer/remanufacturer. The term ``you'' generally means the
manufacturer/remanufacturer, as defined in Sec.  1033.901. This part
1033 is divided into the following subparts:
    (a) Subpart A of this part defines the applicability of part 1033
and gives an overview of regulatory requirements.
    (b) Subpart B of this part describes the emission standards and
other requirements that must be met to certify locomotives under this
part. Note that Sec.  1033.150 discusses certain interim requirements
and compliance provisions that apply only for a limited time.
    (c) Subpart C of this part describes how to apply for a certificate
of conformity.
    (d) Subpart D of this part describes general provisions for testing
and auditing production locomotives.
    (e) Subpart E of this part describes general provisions for testing
in-use locomotives.
    (f) Subpart F of this part and 40 CFR part 1065 describe how to
test locomotives and engines.
    (g) Subpart G of this part and 40 CFR part 1068 describe
requirements, prohibitions, exemptions, and other provisions that apply
to locomotive manufacturer/remanufacturers, owners, operators, and all
others.
    (h) Subpart H of this part describes how you may generate and use
emission credits to certify your locomotives.
    (i) Subpart I of this part describes provisions for locomotive
owners and operators.
    (j) Subpart J of this part contains definitions and other reference
information.

Sec.  1033.15  Other regulation parts that apply for locomotives.

    (a) Part 1065 of this chapter describes procedures and equipment
specifications for testing engines. Subpart F of this part 1033
describes how to apply the provisions of part 1065 of this chapter to
test locomotives to determine whether they meet the emission standards
in this part.
    (b) The requirements and prohibitions of part 1068 of this chapter
apply to everyone, including anyone who manufactures, remanufactures,
imports, maintains, owns, or operates any of the locomotives subject to
this part 1033. See Sec.  1033.601 to determine how to apply the part
1068 regulations for locomotives. Part 1068 of this chapter describes
general provisions, including the following areas:
    (1) Prohibited acts and penalties for locomotive manufacturer/
remanufacturers and others.
    (2) Exclusions and exemptions for certain locomotives.
    (3) Importing locomotives.
    (4) Selective enforcement audits of your production.
    (5) Defect reporting and recall.
    (6) Procedures for hearings.
    (c) Other parts of this chapter apply if referenced in this part.

Subpart B--Emission Standards and Related Requirements

Sec.  1033.101  Exhaust emission standards.

    See Sec. Sec.  1033.102 and 1033.150 to determine how the emission
standards of this section apply before 2023.
    (a) Emission standards for line-haul locomotives. Exhaust emissions
from your new locomotives may not exceed the applicable emission
standards in Table 1 to this section during the useful life of the
locomotive. (Note: Sec.  1033.901 defines locomotives to be ``new''
when originally manufactured and when remanufactured.) Measure
emissions using the applicable test procedures described in subpart F
of this part.

                      Table 1 to Sec.   1033.101.--Line-Haul Locomotive Emission Standards
----------------------------------------------------------------------------------------------------------------
                                                                             Standards (g/bhp-hr)
    Year of original manufacture         Tier of standards   ---------------------------------------------------
                                                                  NOX           PM           HC           CO
----------------------------------------------------------------------------------------------------------------
1973-1992 \a\.......................  Tier 0 \b\............          8.0         0.22         1.00          5.0
1993 \a\-2004.......................  Tier 1 \b\............          7.4         0.22         0.55          2.2
2005-2011...........................  Tier 2 \b\............          5.5     \e\ 0.10         0.30          1.5
2012-2014...........................  Tier 3 \c\............          5.5         0.10         0.30          1.5
2015 or later.......................  Tier 4 \d\............          1.3         0.03         0.14          1.5
----------------------------------------------------------------------------------------------------------------
\a\ Locomotive models that were originally manufactured in model years 1993 through 2001, but that were not
  originally equipped with a separate coolant system for intake air are subject to the Tier 0 rather than the
  Tier 1 standards.
\b\ Line-haul locomotives subject to the Tier 0 through Tier 2 emission standards must also meet switch
  standards of the same tier.
\c\ Tier 3 line-haul locomotives must also meet Tier 2 switch standards.
\d\ Manufacturers may elect to meet a combined NOX+HC standard of 1.4 g/bhp-hr instead of the otherwise
  applicable Tier 4 NOX and HC standards, as described in paragraph (j) of this section.
\e\ The PM standard for newly remanufactured Tier 2 line-haul locomotives is 0.20 g/bhp-hr until January 1,
  2013, except as specified in Sec.   1033.150(a).

    (b) Emission standards for switch locomotives. Exhaust emissions
from your new locomotives may not exceed the applicable emission
standards in Table 2 to this section during the useful life of the
locomotive. (Note: Sec.  1033.901 defines locomotives to be ``new''
when originally manufactured and when remanufactured.) Measure
emissions using the applicable test procedures described in subpart F
of this part.

                        Table 2 to Sec.   1033.101.--Switch Locomotive Emission Standards
----------------------------------------------------------------------------------------------------------------
                                                                             Standards (g/bhp-hr)
    Year of original manufacture         Tier of standards   ---------------------------------------------------
                                                                  NOX           PM           HC           CO
----------------------------------------------------------------------------------------------------------------
1973-2001...........................  Tier 0................         11.8         0.26         2.10          8.0
2002-2004...........................  Tier \a\ 1............         11.0         0.26         1.20          2.5
2005-2010...........................  Tier \a\ 2............          8.1     \b\ 0.13         0.60          2.4
2011-2014...........................  Tier 3................          5.0         0.10         0.60          2.4
2015 or later.......................  Tier 4................      \c\ 1.3         0.03     \c\ 0.14         2.4
----------------------------------------------------------------------------------------------------------------
\a\ Switch locomotives subject to the Tier 1 through Tier 2 emission standards must also meet line-haul
  standards of the same tier.
\b\ The PM standard for new Tier 2 switch locomotives is 0.24 g/bhp-hr until January 1, 2013, except as
  specified in Sec.   1033.150(a).
\c\ Manufacturers may elect to meet a combined NOX+HC standard of 1.3 g/bhp-hr instead of the otherwise
  applicable Tier 4 NOX and HC standards, as described in paragraph (j) of this section.

    (c) Smoke standards. The smoke opacity standards specified in Table
3 to this section apply only for locomotives certified to one or more
PM standards or FELs greater than 0.05 g/bhp-hr. Smoke emissions, when
measured in accordance with the provisions of Subpart F of this part,
shall not exceed these standards.

                 Table 3 to Sec.   1033.101.--Smoke Standards for Locomotives (Percent Opacity)
----------------------------------------------------------------------------------------------------------------
                                                                   Steady-state     30-sec peak     3-sec peak
----------------------------------------------------------------------------------------------------------------
Tier 0..........................................................              30              40              50
Tier 1..........................................................              25              40              50
Tier 2 and later................................................              20              40              50
----------------------------------------------------------------------------------------------------------------

    (d) Averaging, banking, and trading. You may generate or use
emission credits under the averaging, banking, and trading (ABT)
program as described in subpart H of this part to comply with the
NOX and/or PM standards of this part. You may also use ABT
to comply with the Tier 4 HC standards of this part as described in
paragraph (j) of this section. Generating or using emission credits
requires that you specify a family emission limit (FEL) for each
pollutant you include in the ABT program for each engine family. These
FELs serve as the emission standards for the engine family with respect
to all required testing instead of the standards specified in
paragraphs (a) and (b) of this section. No FEL may be higher than the
previously applicable Tier of standards. For example, no FEL for a Tier
1 locomotive may be higher than the Tier 0 standard.
    (e) Notch standards. (1) Exhaust emissions from locomotives may not
exceed the notch standards specified in paragraph (e)(2) of this
section, except

as allowed in paragraph (e)(3) of this section, when measured using any
test procedures under any test conditions.
    (2) Except as specified in paragraph (e)(5) of this section,
calculate the applicable notch standards for each pollutant for each
notch from the certified notch emission rate as follows:

Notch standard = (E\i\) x (1.1 + (1--ELH\i\/std))

Where:

E\i\ = 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.
     ELH\i\ = The deteriorated line-haul duty-cycle weighted brake-
specific emission rate for pollutant i, as reported in the
application for certification, except as specified in paragraph
(e)(6) of this section.
std = The applicable line-haul duty-cycle standard/FEL, except as
specified in paragraph (e)(6) of this section.

    (3) Exhaust emissions that exceed the notch standards specified in
paragraph (e)(2) of this section are allowed only if one of the
following is true:
    (i) The same emission controls are applied during the test
conditions causing the noncompliance as were applied during
certification test conditions (and to the same degree).
    (ii) The exceedance result from a design feature that was described
(including its effect on emissions) in the approved application for
certification, and is:
    (A) Necessary for safety;
    (B) Addresses infrequent regeneration of an aftertreatment device;
or
    (C) Otherwise allowed by this part.
    (4) Since you are only required to test your locomotive at the
highest emitting dynamic brake point, the notch caps that you calculate
for the dynamic brake point that you test also apply for other dynamic
brake points.
    (5) No PM notch caps apply for locomotives certified to a PM
standard or FEL of 0.05 g/bhp-hr or lower.
    (6) For switch locomotives that are not subject to line-haul
standards, ELH\i\ equals the deteriorated switch duty-cycle weighted
brake-specific emission rate for pollutant i and std is the applicable
switch cycle standard/FEL.
    (f) Fuels. The exhaust emission standards in this section apply for
locomotives using the fuel type on which the locomotives in the engine
family are designed to operate.
    (1) You must meet the numerical emission standards for HC in this
section based on the following types of hydrocarbon emissions for
locomotives powered by the following fuels:
    (i) Alcohol-fueled locomotives: THCE emissions for Tier 3 and
earlier locomotives and NMHCE for Tier 4.
    (ii) Gaseous-fueled locomotives: NMHC emissions.
    (iii) Diesel-fueled and other locomotives: THC emissions for Tier 3
and earlier locomotives and NMHC for Tier 4. Note that manufacturers/
remanufacturers may choose to not measure NMHC and assume that NMHC is
equal to THC multiplied by 0.98 for diesel-fueled locomotives.
    (2) You must certify your diesel-fueled locomotives to use the
applicable grades of diesel fuel as follows:
    (i) Certify your Tier 4 and later diesel-fueled locomotives for
operation with only Ultra Low Sulfur Diesel (ULSD) fuel. Use ULSD as
the test fuel for these locomotives.
    (ii) Certify your Tier 3 and earlier diesel-fueled locomotives for
operation with only ULSD fuel if they include sulfur-sensitive
technology and you demonstrate compliance using a ULSD test fuel.
    (iii) Certify your Tier 3 and earlier diesel-fueled locomotives for
operation with either ULSD fuel or Low Sulfur Diesel (LSD) fuel if they
do not include sulfur-sensitive technology or if you demonstrate
compliance using an LSD test fuel (including commercial LSD fuel).
    (iv) For Tier 1 and earlier diesel-fueled locomotives, if you
demonstrate compliance using a ULSD test fuel, you must adjust the
measured PM emissions upward by 0.01 g/bhp-hr to make them equivalent
to tests with LSD. We will not apply this adjustment for our testing.
    (g) Useful life. The emission standards and requirements in this
subpart apply to the emissions from new locomotives for their useful
life. The useful life is generally specified as MW-hrs and years, and
ends when either of the values (MW-hrs or years) is exceeded or the
locomotive is remanufactured.
    (1) The minimum useful life in terms of MW-hrs is equal to the
product of the rated horsepower multiplied by 7.50. The minimum useful
life in terms of years is ten years. For locomotives originally
manufactured before January 1, 2000 and not equipped with MW-hr meters,
the minimum useful life is equal to 750,000 miles or ten years,
whichever is reached first. See (1033.140 for provisions related to
rated power.
    (2) You must specify a longer useful life if the locomotive or
locomotive engine is designed to last longer than the applicable
minimum useful life. Recommending a time to remanufacture that is
longer than the minimum useful life is one indicator of a longer design
life.
    (3) Manufacturers/remanufacturers of locomotives with non-
locomotive-specific engines (as defined in (1033.901) may ask us
(before certification) to allow a shorter useful life for an engine
family containing only non-locomotive-specific engines. We may approve
a shorter useful life, in MW-hrs of locomotive operation but not in
years, if we determine that these locomotives will rarely operate
longer than the shorter useful life. If engines identical to those in
the engine family have already been produced and are in use, your
demonstration must include documentation from such in-use engines. In
other cases, your demonstration must include an engineering analysis of
information equivalent to such in-use data, such as data from research
engines or similar engine models that are already in production. Your
demonstration must also include any overhaul interval that you
recommend, any mechanical warranty that you offer for the engine or its
components, and any relevant customer design specifications. Your
demonstration may include any other relevant information.
    (4) Remanufacturers of locomotive or locomotive engine
configurations that have been previously certified under paragraph
(g)(3) of this section to a useful life that is shorter than the value
specified in paragraph (g)(1) of this section may certify to that same
shorter useful life value without request.
    (5) In unusual circumstances, you may ask us to allow you to
certify some locomotives in your engine family to a partial useful
life. This allowance is limited to cases in which some or all of the
locomotive(s power assemblies have been operated previously such that
the locomotive will need to be remanufactured prior to the end of the
otherwise applicable useful life. Unless we specify otherwise, define
the partial useful life based on the total MW-hrs since the last
remanufacture to be consistent with other locomotives in the family.
For example, this may apply for a previously uncertified locomotive
that becomes ``new'' when it is imported, but that was remanufactured
two years earlier (representing 25 percent of the normal useful life
period). If such a locomotive could be brought into compliance with the
applicable standards without being remanufactured, you may ask to
include it in your engine family for the remaining 75 percent of its
useful life period.
    (h) Applicability for testing. The emission standards in this
subpart apply

to all testing, including certification testing, production-line
testing, and in-use testing.
    (i) Alternate CO standards. Manufacturers/remanufacturers may
certify Tier 0, Tier 1, or Tier 2 locomotives to an alternate CO
emission standard of 10.0 g/bhp-hr instead of the otherwise applicable
CO standard if they also certify those locomotives to alternate PM
standards less than or equal to one-half of the otherwise applicable PM
standard. For example, a manufacturer certifying Tier 1 locomotives to
a 0.11 g/bhp-hr PM standard may certify those locomotives to the
alternate CO standard of 10.0 g/bhp-hr.
    (j) Alternate NOX+HC standards for Tier 4.
Manufacturers/remanufacturers may use credits accumulated through the
ABT program to certify Tier 4 locomotives to an alternate
NOX+HC emission standard of 1.4 g/bhp-hr (instead of the
otherwise applicable NOX and NMHC standards). You may use
NOX credits to show compliance with this standard by
certifying your family to a NOX+HC FEL. Calculate the
NOX credits needed as specified in subpart H of this part
using the NOX+HC emission standard and FEL in the
calculation instead of the otherwise applicable NOX standard
and FEL. You may not generate credits relative to the alternate
standard or certify to the standard without using credits.
    (k) Upgrading. Upgraded locomotives that were originally
manufactured prior to January 1, 1973 are subject to the Tier 0
standards. (See the definition of upgrade in Sec.  1033.901.)
    (l) Other optional standard provisions. Locomotives may be
certified to a higher tier of standards than would otherwise be
required. Tier 0 switch locomotives may be certified to both the line-
haul and switch cycle standards. In both cases, once the locomotives
become subject to the additional standards, they remain subject to
those standards for the remainder of their service lives.

Sec.  1033.102  Transition to the standards of this part.

    (a) Except as specified in Sec.  1033.150(a), the Tier 0 and Tier 1
standards of Sec.  1033.101 apply for new locomotives beginning January
1, 2010, except as specified in Sec.  1033.150(a). The Tier 0 and Tier
1 standards of 40 CFR part 92 apply for earlier model years.
    (b) Except as specified in Sec.  1033.150(a), the Tier 2 standards
of Sec.  1033.101 apply for new locomotives beginning January 1, 2013.
The Tier 2 standards of 40 CFR part 92 apply for earlier model years.
    (c) The Tier 3 and Tier 4 standards of Sec.  1033.101 apply for the
model years specified in that section.

Sec.  1033.110  Emission diagnostics--general requirements.

    The provisions of this section apply if you equip your locomotives
with a diagnostic system that will detect significant malfunctions in
their emission-control systems and you choose to base your emission-
related maintenance instructions on such diagnostics. See Sec.
1033.420 for information about how to select and maintain diagnostic-
equipped locomotives for in-use testing. Notify the owner/operator that
the presence of this diagnostic system affects their maintenance
obligations under Sec.  1033.815. Except as specified in Sec.
1033.112, this section does not apply for diagnostics that you do not
include in your emission-related maintenance instructions. The
provisions of this section address diagnostic systems based on
malfunction-indicator lights (MILs). You may ask to use other
indicators instead of MILs.
    (a) The MIL must be readily visible to the operator. When the MIL
goes on, it must display ``Check Emission Controls'' or a similar
message that we approve. You may use sound in addition to the light
signal.
    (b) To ensure that owner/operators consider MIL illumination
seriously, you may not illuminate it for malfunctions that would not
otherwise require maintenance. This section does not limit your ability
to display other indicator lights or messages, as long as they are
clearly distinguishable from MILs affecting the owner/operator's
maintenance obligations under Sec.  1033.815.
    (c) Control when the MIL can go out. If the MIL goes on to show a
malfunction, it must remain on during all later engine operation until
servicing corrects the malfunction. If the engine is not serviced, but
the malfunction does not recur during the next 24 hours, the MIL may
stay off during later engine operation.
    (d) Record and store in computer memory any diagnostic trouble
codes showing a malfunction that should illuminate the MIL. The stored
codes must identify the malfunctioning system or component as uniquely
as possible. Make these codes available through the data link connector
as described in paragraph (e) of this section. You may store codes for
conditions that do not turn on the MIL. The system must store a
separate code to show when the diagnostic system is disabled (from
malfunction or tampering). Provide instructions to the owner/operator
regarding how to interpret malfunction codes.
    (e) Make data, access codes, and devices accessible. Make all
required data accessible to us without any access codes or devices that
only you can supply. Ensure that anyone servicing your locomotive can
read and understand the diagnostic trouble codes stored in the onboard
computer with generic tools and information.
    (f) Follow standard references for formats, codes, and connections.

Sec.  1033.112  Emission diagnostics for SCR systems.

    Engines equipped with SCR systems using separate reductant tanks
must also meet the requirements of this section in addition to the
requirements of Sec.  1033.110. This section does not apply for SCR
systems using the engine's fuel as the reductant.
    (a) The diagnostic system must monitor reductant quality and tank
levels and alert operators to the need to refill the reductant tank
before it is empty, or to replace the reductant if it does not meet
your concentration specifications. Unless we approve other alerts, use
a malfunction-indicator light (MIL) as specified in Sec.  1033.110 and
an audible alarm. You do not need to separately monitor reductant
quality if you include an exhaust NOX sensor (or other
sensor) that allows you to determine inadequate reductant quality.
However, tank level must be monitored in all cases.
    (b) Your onboard computer must record in nonvolatile computer
memory all incidents of engine operation with inadequate reductant
injection or reductant quality. It must record the total amount of
operation without adequate reductant. It may total the operation by
hours, work, or excess NOX emissions.

Sec.  1033.115  Other requirements.

    Locomotives that are required to meet the emission standards of
this part must meet the requirements of this section. These
requirements apply when the locomotive is new (for freshly manufactured
or remanufactured locomotives) and continue to apply throughout the
useful life.
    (a) Crankcase emissions. Crankcase emissions may not be discharged
directly into the ambient atmosphere from any locomotive, except as
follows:
    (1) Locomotives may discharge crankcase emissions to the ambient
atmosphere if the emissions are added to the exhaust emissions (either
physically or mathematically) during all emission testing. If you take
advantage

of this exception, you must do both of the following things:
    (i) Manufacture the locomotives so that all crankcase emissions can
be routed into the applicable sampling systems specified in 40 CFR part
1065, consistent with good engineering judgment.
    (ii) Account for deterioration in crankcase emissions when
determining exhaust deterioration factors.
    (2) For purposes of this paragraph (a), crankcase emissions that
are routed to the exhaust upstream of exhaust aftertreatment during all
operation are not considered to be discharged directly into the ambient
atmosphere.
    (b) Adjustable parameters. Locomotives that have adjustable
parameters must meet all the requirements of this part for any
adjustment in the approved adjustable range. You must specify in your
application for certification the adjustable range of each adjustable
parameter on a new locomotive or new locomotive engine to:
    (1) Ensure that safe locomotive operating characteristics are
available within that range, as required by section 202(a)(4) of the
Clean Air Act (42 U.S.C. 7521(a)(4)), taking into consideration the
production tolerances.
    (2) Limit the physical range of adjustability to the maximum extent
practicable to the range that is necessary for proper operation of the
locomotive or locomotive engine.
    (c) Prohibited controls. You may not design or produce your
locomotives with emission control devices, systems, or elements of
design that cause or contribute to an unreasonable risk to public
health, welfare, or safety while operating. For example, this would
apply if the locomotive emits a noxious or toxic substance it would
otherwise not emit that contributes to such an unreasonable risk.
    (d) Evaporative and refueling controls. For locomotives fueled with
a volatile fuel you must design and produce them to minimize
evaporative emissions during normal operation, including periods when
the engine is shut down. You must also design and produce them to
minimize the escape of fuel vapors during refueling. Hoses used to
refuel gaseous-fueled locomotives may not be designed to be bled or
vented to the atmosphere under normal operating conditions. No valves
or pressure relief vents may be used on gaseous-fueled locomotives
except as emergency safety devices that do not operate at normal system
operating flows and pressures.
    (e) Altitude requirements. All locomotives must be designed to
include features that compensate for changes in altitude so that the
locomotives will comply with the applicable emission standards when
operated at any altitude less than:
    (1) 7000 feet above sea level for line-haul locomotives.
    (2) 5500 feet above sea level for switch locomotives.
    (f) Defeat devices. You may not equip your locomotives with a
defeat device. A defeat device is an auxiliary emission control device
(AECD) that reduces the effectiveness of emission controls under
conditions that the locomotive may reasonably be expected to encounter
during normal operation and use.
    (1) This does not apply to AECDs you identify in your certification
application if any of the following is true:
    (i) The conditions of concern were substantially included in the
applicable duty cycle test procedures described in subpart F of this
part.
    (ii) You show your design is necessary to prevent locomotive damage
or accidents.
    (iii) The reduced effectiveness applies only to starting the
locomotive.
    (iv) The locomotive emissions when the AECD is functioning are at
or below the notch caps of (1033.101.
    (g) Idle controls. All new locomotives must be equipped with
automatic engine stop/start as described in this paragraph (g). All new
locomotives must be designed to allow the engine(s) to be restarted at
least six times per day without causing engine damage that would affect
the expected interval between remanufacturing. Note that it is a
violation of 40 CFR 1068.101(b)(1) to circumvent the provisions of this
paragraph (g).
    (1) Except as allowed by paragraph (g)(2) of this section, the
stop/start systems must shut off the main locomotive engine(s) after 30
minutes of idling (or less).
    (2) Stop/start systems may restart or continue idling for the
following reasons:
    (i) To prevent engine damage such as to prevent the engine coolant
from freezing.
    (ii) To maintain air pressure for brakes or starter system, or to
recharge the locomotive battery.
    (iii) To perform necessary maintenance.
    (iv) To otherwise comply with federal regulations.
    (4) You may ask to use alternate stop/start systems that will
achieve equivalent idle control.
    (5) See Sec.  1033.201 for provisions that allow you to obtain a
separate certificate for idle controls.
    (6) It is not considered circumvention to allow a locomotive to
idle to heat or cool the cab, provided such heating or cooling is
necessary.
    (h) Power meters. Tier 1 and later locomotives must be equipped
with MW-hr meters (or the equivalent) consistent with the
specifications of Sec.  1033.140.

Sec.  1033.120  Emission-related warranty requirements.

    (a) General requirements. Manufacturers/remanufacturers must
warrant to the ultimate purchaser and each subsequent purchaser that
the new locomotive, including all parts of its emission control system,
meets two conditions:
    (1) It is designed, built, and equipped so it conforms at the time
of sale to the ultimate purchaser with the requirements of this part.
    (2) It is free from defects in materials and workmanship that may
keep it from meeting these requirements.
    (b) Warranty period. Except as specified in this paragraph, the
minimum warranty period is one-third of the useful life. Your emission-
related warranty must be valid for at least as long as the minimum
warranty periods listed in this paragraph (b) in MW-hrs of operation
and years, whichever comes first. You may offer an emission-related
warranty more generous than we require. The emission-related warranty
for the locomotive may not be shorter than any published warranty you
offer without charge for the locomotive. Similarly, the emission-
related warranty for any component may not be shorter than any
published warranty you offer without charge for that component. If you
provide an extended warranty to individual owners for any components
covered in paragraph (c) of this section for an additional charge, your
emission-related warranty must cover those components for those owners
to the same degree. If the locomotive does not record MW-hrs, we base
the warranty periods in this paragraph (b) only on years. The warranty
period begins when the locomotive is placed into service, or back into
service after remanufacture.
    (c) Components covered. The emission-related warranty covers all
components whose failure would increase a locomotive's emissions of any
pollutant. This includes components listed in 40 CFR part 1068,
Appendix I, and components from any other system you develop to control
emissions. The emission-related warranty covers the components you sell
even if another company produces the component. Your emission-related
warranty does not cover components whose failure would not increase a
locomotive's emissions of any pollutant. For

remanufactured locomotives, your emission-related warranty does not
cover used parts that are not replaced during the remanufacture.
    (d) Limited applicability. You may deny warranty claims under this
section if the operator caused the problem through improper maintenance
or use, as described in 40 CFR 1068.115.
    (e) Owners manual. Describe in the owners manual the emission-
related warranty provisions from this section that apply to the
locomotive.

Sec.  1033.125   Maintenance instructions.

    Give the owner of each new locomotive written instructions for
properly maintaining and using the locomotive, including the emission-
control system. Include in the instructions a notification that owners
and operators must comply with the requirements of subpart I of this
part 1033. The emission-related maintenance instructions also apply to
any service accumulation on your emission-data locomotives, as
described in Sec.  1033.245 and in 40 CFR part 1065. If you equip your
locomotives with a diagnostic system that will detect significant
malfunctions in their emission-control systems, specify the extent to
which your emission-related maintenance instructions include such
diagnostics.

Sec.  1033.130   Instructions for engine remanufacturing or engine
installation.

    (a) If you do not complete assembly of the new locomotive (such as
selling a kit that allows someone else to remanufacture a locomotive
under your certificate), give the assembler instructions for completing
assembly consistent with the requirements of this part. Include all
information necessary to ensure that the locomotive will be assembled
in its certified configuration.
    (b) Make sure these instructions have the following information:
    (1) Include the heading: ``Emission-related assembly
instructions''.
    (2) Describe any instructions necessary to make sure the assembled
locomotive will operate according to design specifications in your
application for certification.
    (3) Describe how to properly label the locomotive. This will
generally include instructions to remove and destroy the previous
Engine Emission Control Information label.
    (4) State one of the following as applicable:
    (i) ``Failing to follow these instructions when remanufacturing a
locomotive or locomotive engine violates federal law (40 CFR
1068.105(b)), and may subject you to fines or other penalties as
described in the Clean Air Act.''.
    (ii) ``Failing to follow these instructions when installing this
locomotive engine violates federal law (40 CFR 1068.105(b)), and may
subject you to fines or other penalties as described in the Clean Air
Act.''.
    (c) You do not need installation instructions for locomotives you
assemble.
    (d) Provide instructions in writing or in an equivalent format. For
example, you may post instructions on a publicly available Web site for
downloading or printing. If you do not provide the instructions in
writing, explain in your application for certification how you will
ensure that each assembler is informed of the assembly requirements.
    (e) Your emission-related assembly instructions may not include
specifications for parts unrelated to emissions. For the basic
mechanical parts listed in this paragraph (e), you may not specify a
part manufacturer unless we determine that such a specification is
necessary. You may include design specifications for such parts
addressing the dimensions and material constraints as necessary. You
may also specify a part number, as long you make it clear that
alternate part suppliers may be used. This paragraph (e) covers the
following parts or other parts we determine qualify as basic mechanical
parts:
    (1) Intake and exhaust valves.
    (2) Intake and exhaust valve retainers.
    (3) Intake and exhaust valve springs.
    (4) Intake and exhaust valve rotators.
    (5) Oil coolers.

Sec.  1033.135   Labeling.

    As described in this section, each locomotive must have a label on
the locomotive and a separate label on the engine. The label on the
locomotive stays on the locomotive throughout its service life. It
generally identifies the original certification of the locomotive,
which is when it was originally manufactured for Tier 1 and later
locomotives. The label on the engine is replaced each time the
locomotive is remanufactured and identifies the most recent
certification.
    (a) Serial numbers. At the point of original manufacture, assign
each locomotive and each locomotive engine a serial number or other