Supporting
Statement
for
Information
Collection
Request
Information
Requirements
for
Locomotives
and
Locomotive
Engines
42
USC
7521
§
206
42
USC
7521
§
213(
d)
40
CFR
Part
92
September
2001
Certification
and
Compliance
Division
Office
of
Transportation
and
Air
Quality
Office
of
Air
and
Radiation
U.
S.
Environmental
Protection
Agency
­
2­
1.
Identification
of
the
Information
Collection
1
(
a)
Title
and
Number
of
the
Information
Collection
Information
Requirements
for
Locomotive
and
Locomotive
Engines,
EPA
ICR
Number
1800.02,
OMB
Number
2060­
0392.

1(
b)
Short
Characterization
Under
Title
II
of
the
Clean
Air
Act
(
42
U.
S.
C.
7521
et
seq.;
CAA),
EPA
is
charged
with
issuing
certificates
of
conformity
for
those
locomotives
and
locomotive
engines
that
comply
with
applicable
emission
standards.
Such
a
certificate
must
be
issued
before
locomotives
and
locomotive
engines
may
be
legally
introduced
into
commerce.
To
apply
for
a
certificate
of
conformity,
manufacturers
and
remanufacturers
of
locomotives
and
locomotive
engines
are
required
to
submit
descriptions
of
their
planned
production,
including
detailed
descriptions
of
emission
control
systems
and
test
data.
This
information
is
organized
by
"
engine
family"
groups
expected
to
have
similar
emission
characteristics
and
is
submitted
every
year,
at
the
beginning
of
the
model
year.
There
are
also
recordkeeping
requirements.

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

The
Act
also
mandates
EPA
verify
that
manufacturers
have
successfully
translated
their
certified
prototype
engines
into
mass
produced
engines,
and
that
these
engines
comply
with
emission
standards
throughout
their
useful
lives.
Under
the
Productionline
Testing
(
PLT)
Program,
manufacturers
are
required
to
test
a
sample
of
engines
as
they
leave
the
assembly
line.
The
Installation
Audit
Program
requires
remanufacturers
to
audit
the
installation
of
a
sample
of
remanufactured
engines.
These
selfaudit
programs
(
collectively
referred
to
as
the
"
PLT
Program")
allow
manufacturers
and
remanufacturers
to
monitor
compliance
with
statistical
certainty
and
minimize
the
cost
of
correcting
errors
through
early
detection.
Under
the
In­
use
Testing
Program
(
Inuse
manufacturers
and
remanufacturers
are
required
to
test
­
3­
locomotives
after
a
number
of
years
of
use
to
verify
that
they
comply
with
emission
standards
throughout
their
useful
lives.

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

It
has
been
estimated
that
a
total
of
7
locomotive
and
locomotive
engine
manufacturers
and
remanufacturers
will
respond
to
this
collection
with
an
approximate
cost
of
$
903,995.

2.
Need
for
and
Use
of
the
Collection
2(
a)
Need/
Authority
for
the
Collection
Locomotive
and
locomotive
engine
manufacturers
may
not
legally
introduce
their
products
into
US
commerce
unless
EPA
has
certified
that
their
production
complies
with
applicable
emission
standards.
To
ensure
compliance
with
these
statutes,
EPA
reviews
product
information
and
manufacturers'
test
results.
EPA
may
also
tests
some
locomotives
and
locomotive
engines
to
confirm
manufacturers'
results.

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

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

This
provision
is
extended
to
nonroad
engines
and
vehicles
pursuant
to
§
213(
d)
of
the
CAA.
­
4­
EPA
also
conducts,
under
40
CFR
92
Subpart
D,
an
Averaging,
Banking,
and
Trading
(
AB&
T)
Program.
This
program
is
one
of
many
regulatory
features
designed
to
enhance
the
compliance
flexibility
for
and
reduce
the
burden
on
the
affected
engine
manufacturers,
without
compromising
the
expected
emissions
benefit
derived
from
these
emissions
standards.

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

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

2(
b)
Practical
Utility/
Users
of
the
Data
EPA
uses
the
information
requested
under
this
collection
to
verify
and
support
a
three
stage
compliance
assurance
system
envisioned
in
the
CAA.
The
certification
information
is
needed
to
verify
that
the
proper
prototype
engines
have
been
selected
to
represent
each
locomotive
family
(
group
of
locomotives
expected
to
have
similar
emission
characteristics),
and
that
the
necessary
testing
has
been
performed
to
assure
that
each
locomotive
family
complies
with
emission
standards.
Based
on
this
information,
EPA
issues
a
certificate
of
conformity.
However,
prototypes
are
often
hand­
built
and
not
typical
of
assembly
line
engines.

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

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

The
AB&
T
program
allows
manufacturers
to
generate
emission
credits.
Under
averaging,
a
manufacturer
could
certify
one
or
more
engine
families
within
its
product
line
at
levels
above
the
emission
standard,
provided
the
increased
emissions
are
offset
by
­
5­
emission
reductions
from
one
or
more
families
certified
below
the
standard.
The
average
emissions
(
weighted
by
horsepower
and
production)
from
all
the
manufacturer's
engine
families
involved
in
the
program
in
a
given
model
year
must
be
at
or
below
the
emission
standard.
The
banking
program
allows
manufacturers
to
bank
credits
generated
in
one
model
year
for
use
in
averaging
or
trading
in
subsequent
model
years.
The
trading
program
allows
credit
transactions
between
manufacturers.

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

3.
Nonduplication,
Consultations
and
Other
Collection
Criteria
3(
a)
Nonduplication
The
information
requested
under
this
ICR
is
required
by
statute.
Because
of
its
specialized
(
and
sometimes
confidential)
nature,
and
the
fact
that
most
of
it
must
be
submitted
to
EPA
before
locomotives
and
locomotive
engines
can
be
sold,
the
information
collected
is
not
available
from
any
other
source.
Furthermore,
some
of
the
information
requested
under
the
AB&
T
program
Bsuch
as
actual
sales
volumes­
is
claimed
as
confidential
business
information
(
CBI)
by
manufacturers;
therefore
EPA
can
only
obtain
it
if
manufacturers
submit
it.
Participation
in
the
AB&
T
program
is
voluntary.

3(
b)
Public
Notice
Required
Prior
to
ICR
Submission
to
OMB
An
announcement
of
the
public
comment
period
for
this
ICR
renewal
was
published
in
the
Federal
Register
on
May
8,
2001
(
66
Federal
Register
89).
No
comments
were
received.
A
copy
of
the
FR
notice
is
attached.

3(
c)
Consultations
EPA
consulted
less
than
ten
past
respondents
regarding
this
information
collection
burden.

Contact:
Steve
Fritz
Company:
Southwest
Research
Institute
(
testing
laboratory)
Phone:
210­
522­
3645
Contact:
Vish
Talekar
­
6­
Company:
General
Electric
(
locomotive
manufacturer)
Phone:
814­
875­
6924
3(
d)
Effects
of
Less
Frequent
Collection
The
CAA
states
that
emission
certification
must
be
done
on
a
yearly
basis
(
CAA
206(
a)(
1)),
coinciding
with
the
industry's
`
model
year'.
Major
product
changes
typically
occur
at
the
start
of
a
model
year.
For
these
reasons,
a
collection
frequency
of
less
than
a
model
year
is
not
possible.
However,
when
an
engine
design
is
"
carried
over"
to
a
subsequent
model
year,
the
amount
of
new
information
required
is
substantially
reduced.
This
applies
to
both
manufacturers
and
remanufacturers.

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

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

In­
use
testing
reports
must
be
submitted
once
per
year,
within
three
months
of
the
completion
of
the
required
testing.
Manufacturers
and
remanufacturers
are
only
required
to
test
one
engine
or
locomotive
family
per
year.
Providing
this
information
to
EPA
at
a
less
frequent
interval
would
compromise
the
Agency's
ability
to
expeditiously
evaluate
the
emissions
results
and
determine,
in
a
timely
manner,
whether
in­
use
locomotives
conform
to
emission
standards.
Any
delay
in
making
such
a
determination
reduces
the
universe
of
locomotives
which
will
be
reached
by
the
recall
because
both
engine
scrappage
and
owners'
unwillingness
to
participate
in
recalls
increase
with
the
age
of
the
locomotive.
­
7­
3(
e)
General
Guidelines
According
to
40
CFR
92.215(
a)(
3),
92.308(
d)
and
92.509(
b),
certification,
AB&
T
and
PLT
related
records
must
be
maintained
for
eight
years.
However,
"
records
may
be
retained
as
hard
copy
or
reduced
to
computer
disks,
etc.,
depending
on
the
record
retention
procedures
of
the
manufacturer
or
remanufacturer",
provided
that
in
every
case
all
the
information
contained
in
the
hard
copy
is
retained.
These
recordkeeping
requirements
stem
mainly
from
the
statutory
requirement
to
warrant
some
items
for
long
periods
of
time
and
because
locomotive
have
extremely
long
useful
lives.
In
addition,
the
manufacturers
must
comply
with
requirements
to
recall
vehicles
and
engines
failing
to
meet
emission
standards
during
their
useful
lives.

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

No
other
general
guideline
is
exceeded
by
this
information
collection.

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

3(
g)
Sensitive
Questions
No
sensitive
questions
are
asked
in
this
information
collection.

4.
Respondents
and
Information
Requested
4(
a)
Respondents/
NAICS
Codes
Respondents
are
manufacturers
of
nonroad
equipment
and
­
8­
engines
within
the
following
North
American
Industry
Classification
System
codes:

333618
Other
Engine
Equipment
Manufacturing
336510
Railroad
Rolling
Stock
manufacturing
482111
Line­
haul
Railroads
4(
b)
Information
Requested
To
obtain
a
certificate
of
conformity,
all
manufacturers
and
remanufacturers
must
describe
their
products
and
supply
test
data
to
verify
compliance.
This
information
is
organized
by
"
engine
family"
groups
expected
to
have
similar
emission
characteristics.
The
burden
associated
with
certifying
a
given
engine
family
is
reduced
after
the
first
production
year
(
model
year),
because
data
and
information
from
previous
years
can
be
"
carried
over"
when
no
significant
changes
have
occurred.
For
instance,
an
engine
family
certified
in
model
year
2001
can
be
certified
in
the
2002
model
year
by
"
carry
over"
of
data
and
paperwork
from
the
2001
model
year
if
no
significant
changes
have
occurred
to
the
engine
family
between
model
years.
Allowing
manufacturers
and
remanufacturers
to
"
carry
over"
data
and
paperwork
saves
them
the
burden
of
duplication
of
data
and
paperwork
which
would
occur
in
the
absence
of
such
provisions.
Manufacturers
and
remanufacturers
must
also
retain
records.

To
participate
in
the
AB&
T
programs,
manufacturers
and
remanufacturers
submit
calculations
of
the
amount
of
credits
they
generate
or
need
to
certify
each
locomotive
family,
based
on
each
family's
emission
limit
and
sales
volume.
Participation
in
the
program
is
voluntary.

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

(
i)
Data
Items
The
data
items
in
the
Tables
A
to
J
are
requested
under
these
information
collections.
Although
most
of
them
must
be
included
in
the
certification
application,
some
of
them
are
only
required
to
be
kept
in
records
and
submitted
upon
request,
as
provided
by
­
9­
92.203(
g)(
1)
and
92.215.

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

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

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

A.
Certification:

Table
A
Information
Items
Requested
Under
The
Certification
Program
For
each
engine
family
that
complies
with
EPA
emission
standards
and
requirements,
the
manufacturer
or
remanufacturer
must
submit
the
following
information
items
as
part
of
an
application
for
certification.

Information
Item
Reference
in
Regulations
Statement
of
compliance
92.203(
d)(
13)

Identification
and
description
of
the
basic
engine
design
including,
but
not
limited
to,
the
engine
family
specifications
92.203(
d)(
1)
(
i)
­
10­
A
description
of
the
locomotive
design,
or
of
the
basic
locomotive
design
on
which
the
engine
or
remanufactured
system
will
be
used,
as
applicable
92.203(
d)(
1)
(
ii)

A
list
of
distinguishable
configurations
(
models)
to
be
included
in
the
family
92.203(
d)(
1)
(
iii)

An
explanation
of
how
the
emission
control
system
operates,
including,
among
others,
a
detailed
description
of:
92.203(
d)(
2)

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

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

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

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

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

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

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

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

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

Intended
useful
life
92.203(
d)(
11)

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

At
the
Administrator's
request,
the
manufacturer
or
remanufacturer
must
supply
such
additional
information
as
may
be
required
to
evaluate
the
application
92.203(
e)
­
11­
If,
after
a
review,
EPA
determines
additional
testing
is
required,
the
manufacturer
or
remanufacturer
must
provide
required
test
data
within
30
days
or
cease
production
of
the
affected
locomotives
or
engines.
92.210(
e)(
2)

Table
B
Recordkeeping
requirements
­
Certification
Program
Manufacturers
and
remanufacturers
must
keep
certificationrelated
records
for
eight
years
(
92.215(
a)(
3)
except
routine
emission
records.
Routine
emission
records
must
be
kept
for
only
one
year.
Per
92.215(
a)(
6),
EPA
can
void
any
certificate
ab
initio
for
a
locomotive
or
engine
family
for
which
the
manufacturer
or
remanufacturer
does
not
keep
adequate
records
or
fails
to
provide
them
upon
request
by
the
Agency.
Per
92.215(
a)(
4),
EPA
can
require
manufacturers
and
remanufacturers
to
submit
or
retain
additional
information
not
specifically
listed
here.
Manufacturers
and
remanufacturers
must
also
provide
access
to
duly
identified
EPA
officials
to
any
records
or
facilities
where
the
information
was
gathered
(
i.
e.,
testing
facilities;
92.215(
d)).

General
records:

Identification
and
description
of
all
locomotives
or
locomotive
engines
for
which
testing
is
required
92.215(
a)(
1)(
i)

Description
of
emission
control
systems
92.215(
a)(
1)(
ii)

Description
of
test
procedures
92.215(
a)(
1)(
iii)

Description
of
all
certification
applications
filed
92.215(
a)(
1)(
iv)

Individual
Records:

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

A
descriptions
of
any
modifications
made
to
the
test
engine
92.215(
a)(
2)(
i)(
A)
­
12­
A
complete
record
of
all
emission
tests
performed
92.215(
a)(
2)(
i)(
B)

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

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

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

Copies
of
all
instructions
or
explanations
regarding
the
use,
repair,
adjustment,
maintenance,
or
testing
of
such
locomotive
or
engine,
relevant
to
the
control
of
crankcase,
or
exhaust
emissions
issued
by
the
manufacturer
or
remanufacturer,
for
use
by
other
manufacturers
or
remanufacturers,
assembly
plants,
distributors,
dealers,
owners
and
operators.
Any
material
not
translated
into
the
English
language
need
not
be
submitted
unless
specifically
requested
by
the
Administrator.
92.215(
b)

Table
C
For
Running
Changes
When
a
manufacturer
or
remanufacturer
needs
to
make
changes
to
a
certified
engine,
or
to
add
an
engine
model
to
an
already
certified
engine
family,
the
following
information
must
be
submitted.
Running
changes
are
submitted
using
the
same
electronic
format
used
to
apply
for
a
certificate
of
conformity.

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

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

Engineering
evaluations
or
data
showing
that
engines
as
modified
or
added
will
comply
with
all
applicable
emission
standards
92.210(
b)(
2)
­
13­
A
determination
wether
the
original
test
fleet
selection
is
still
appropriate,
and
proposed
new
test
fleet
selections,
if
applicable
92.210(
b)(
3)

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

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

Manufacturers
or
remanufacturers
requesting
a
hearing
on
EPA's
denial
or
revocation
of
a
certificate
of
conformity
must
filed
their
request
within
30
days
of
EPA's
decision.
The
request
must
be
in
writing,
and
must
set
forth
their
objections
to
EPA's
decision
and
data
to
support
the
objections.
92.208(
c)
(
7)

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

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

B.
Average,
Banking
and
Trading:

Table
D
Information
Items
Required
Under
the
Average,
Banking
and
Trading
Program
Since
all
new
locomotives
and
locomotive
engines
are
required
to
meet
both
the
line­
haul
and
switch
duty­
cycle
standards,
manufacturers
and
remanufacturers
can
participate
in
separate
line­
haul
and
switch
AB&
T
programs.
They
cannot,
however,
use
credits
generated
under
one
program
to
satisfy
the
requirements
of
­
14­
the
other.
Credits
can
only
be
generated
for
NOx
and
PM.
Only
manufacturers
and
remanufacturers
of
new
locomotives
and
new
locomotive
engines
manufactured
or
remanufactured
in
the
1999
model
year
or
later
can
participate.
Failure
to
submit
and
keep
accurate
information
can
result
in
EPA
voiding
the
certificate
of
the
affected
family
ab
initio,
among
other
penalties.
The
following
information
must
be
submitted
for
each
engine
family
participating
in
AB&
T.

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

Family
emission
limits
92.306(
a)(
2)

Detailed
calculations
of
projected
emission
credits
based
on
quarterly
production
projections
for
each
participating
family
and
for
each
pollutant,
using
the
applicable
equation
and
the
applicable
values
92.306(
a)(
3)

If
negative
credits
are
generated,
the
specific
source
(
manufacturer/
engine
family,
remanufacturer/
engine
family,
or
transfer)
of
the
credits
necessary
to
offset
the
credit
deficit
according
to
quarterly
projected
production.
92.306(
a)(
3)(
i)

If
negative
credits
are
generated,
state
specifically
where
the
quarterly
projected
credits
will
be
applied
92.306(
a)(
3)
(
ii)

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

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

That
at
the
end
of
model
year
production,
each
engine
family
has
a
net
emissions
balance
equal
to
or
greater
than
zero
for
any
pollutant
and
program
92.306(
b)(
1)
­
15­
That
the
manufacturer
or
remanufacturer
will
obtain
sufficient
credits
to
offset
negative
credits.
In
cases
where
credits
are
being
obtained,
the
identity
of
the
specific
source
(
manufacturer/
engine
family,
or
remanufacturer/
engine
family,
or
transfer)
92.306(
b)(
2)

In
cases
where
credits
are
being
generated/
supplied,
their
designated
use
92.306(
b)(
3)

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

Quarterly
reports
(
applicable
to
those
holding
or
receiving
transfers
only
and
to
be
submitted
within
90
days
of
the
end
of
the
calendar
quarter)
including:
92.309(
b)

Source/
recipients
of
credits,
copies
of
trading
contracts,
details
of
pollutants,
etc.
92.309(
b)(
2)

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

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

Table
E
Recordkeeping
Requirements
Average,
Banking
and
Trading
Program
Records
are
to
be
kept
for
eight
years
(
92.309(
d)).

Manufacturers
and
remanufacturers
of
locomotive
and
locomotive
engine
families:

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

Engine
identification
number
92.308(
a)(
2)

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

Power
rating
92.308(
a)(
4)
­
16­
Purchaser
and
destination
92.308(
a)(
5)

Assembly
plant
92.308(
a)(
6)

Manufacturers
and
remanufacturers
of
engine
families:

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

Family
emission
Limit
92.308(
b)(
2)

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

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

Useful
life
92.308(
b)(
6)

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

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

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

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

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

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

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

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

Table
F
­
17­
Information
Items
Required
Under
the
Production­
Line
Testing
Program
Each
calendar
quarter,
manufacturers
must
conduct
testing
on
a
sample
of
locomotives
or
locomotive
engines
taken
directly
from
the
assembly
line.
Per
92.508(
e),
within
30
days
of
the
end
of
each
quarter,
manufacturers
must
report
the
following
information:

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

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

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

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

For
each
test
conducted:

A
description
of
the
test
locomotive
or
locomotive
engine,
including
engine
family
and
configuration,
year,
make,
built
date,
engine
ID
number,
etc.
92.508(
e)(
5)
(
i)

Location(
s)
where
service
accumulation
was
conducted
and
description
of
accumulation
procedure
and
schedule,
if
applicable
92.508(
e)(
5)
(
ii)

Test
number,
date,
test
procedure
used,
initial
test
results
before
and
after
rounding,
final
test
results,
etc.
92.508(
e)(
5)
(
iii)

A
complete
description
of
any
adjustment,
modification,
repair,
preparation,
maintenance,
and
testing
which
was
performed
on
the
test
locomotive
or
locomotive
engine
92.508(
e)(
5)
(
iv)

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

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

The
date
of
the
end
of
the
locomotive
or
locomotive
engine
manufacturer's
model
year
production
for
each
engine
family
tested
92.508(
e)(
7)
­
18­
A
statement
found
at
92.508(
e)(
8)
signed
and
endorsement
by
an
authorized
representative
of
the
manufacturer
or
remanufacturer
92.508(
e)(
8)

Upon
request,
manufacturers
must
also
submit:

Projected
production
for
each
configuration
within
each
engine
family
for
which
certification
has
been
requested
and/
or
approved
92.509(
c)(
1)

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

Table
G
Recordkeeping
Requirements
Under
the
Production­
Line
Testing
Program
Records
must
be
kept
for
eight
years
after
completion
of
all
testing
(
92.309(
b)).

A
description
of
all
testing
equipment
used
and
each
test
cell
that
can
be
used
to
perform
PLT,
in
accordance
with
92.503
92.309(
a)(
1)
92.309(
a)(
3)

For
each
PLT
conducted:

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

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

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

A
record
and
description
of
any
adjustment,
repair,
preparation
or
modification
performed
on
test
locomotives
or
locomotive
engines,
giving
the
date,
associated
time,
justification,
name(
s)
of
the
authorizing
personnel,
and
names
of
all
supervisory
personnel
responsible
for
the
conduct
of
the
action
92.309(
a)(
2)
(
iv)
­
19­
If
applicable,
the
date
the
locomotive
or
locomotive
engine
was
shipped
from
the
assembly
plant,
associated
storage
facility
or
port
facility,
and
the
date
the
locomotive
or
locomotive
engine
was
received
at
the
testing
facility
92.309(
a)(
2)
(
v)

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

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

Table
H
Information
Items
Required
Under
the
Remanufacturer
Installation
Audit
Program
Each
calendar
quarter,
remanufacturers
must
audit
the
installation
of
locomotives
covered
by
its
certificate(
s)
of
conformity
for
proper
components,
component
settings
and
component
installations
on
randomly
chosen
locomotives
in
an
engine
family.
Within
30
days
of
the
end
of
each
quarter,
remanufacturers
must
report
the
following
information:

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

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

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

For
each
audit
conducted:

A
description
of
the
audit
locomotive
or
locomotive
engine,
including
engine
family
and
configuration,
year,
make,
built
date,
engine
ID
number,
etc.
92.511(
g)(
4)
(
i)
­
20­
Any
other
information
the
Administrator
may
request
92.511(
g)(
4)
(
ii)

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

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

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

A
description
of
the
remedy
and
new
test
or
audits
results
92.512(
g)(
3)

The
reason
for
the
failure,
the
remedies
and
the
date
when
the
remedies
will
be
implemented
92.512(
h)(
1)

A
demonstration
that
the
failed
engine
family
does
in
fact
conform
92.512(
h)(
2)

Manufacturers
and
remanufacturers
may
request
a
hearing
92.512(
j)

Within
30
days,
the
interested
party
must
file
two
copies
of
their
written
request,
which
must
include:
92.513(
b)

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

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

A
statement
specifying
reasons
why
the
manufacturer
or
remanufacturer
believes
it
will
prevail
on
the
merits
of
each
of
the
issues
raised
92.513(
c)(
3)
­
21­
A
summary
of
the
evidence
which
supports
the
manufacturer's
or
remanufacturer's
position
on
each
of
the
issues
raised
92.513(
c)(
4)

D.
In­
use
Testing
Program
Table
J
Information
Items
Requested
Under
the
Locomotive
In­
use
Testing
Program
Manufacturers
and
remanufacturers
must
test,
each
year,
a
sample
of
used
locomotives
from
one
of
their
certified
locomotive
engine
families
previously
chosen
by
EPA.
If
one
manufacturer
holds
certificates
for
both
freshly
manufactured
engine
families
and
remanufactured
engine
families,
EPA
can
request
the
manufacturer
to
test
one
engine
family
of
each
category
(
92.603(
a)(
1)).
EPA
may
request
a
manufacturer
to
test
more
than
one
engine
family
if
it
has
reason
to
believe
that
engines
in
an
engine
family
do
not
comply
with
in­
use
standards
(
92.603(
a)(
2)).
Engine
families
of
less
than
10
locomotives
per
year
do
not
need
to
participate
in
in­
use
testing
(
92.603(
2)).
For
each
locomotive
tested,
the
manufacturer
or
remanufacturer
must
submit
the
following
information
within
30
days
of
completion
of
the
testing:

All
results
generated
92.607(
a)

For
each
individual
locomotive
tested:

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

Locomotive
and
engine
models
92.607(
a)(
2)

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

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

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

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

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

Results
of
all
emission
testing
92.607(
a)(
8)
­
22­
Summary
of
all
maintenance
and/
or
adjustments
performed
92.607(
a)(
9)

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

Determinations
of
noncompliance
92.607(
a)
(
11)

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

For
each
engine
family
tested:

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

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

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

(
ii)
Respondent
Activities
The
activities
a
manufacturer
or
remanufacturer
need
to
perform
to
comply
with
the
requirements
of
the
certification
program
are
as
follows:

$
Review
the
regulations
and
the
guidance
document
$
Develop
locomotive
and
locomotive
engine
family
groups
$
Test
locomotives
and
locomotive
engines
for
compliance
with
emission
standards
$
Develop
deterioration
factors
$
Data
entry
and
analysis
$
Submit
the
application
for
certification
$
Prepare
and
submit
carry
over
applications
$
Prepare
and
submit
running
changes
$
Retain
and
maintain
records,
and
submit
them
upon
request
Manufacturers
and
remanufacturers
electing
to
participate
in
the
AB&
T
programs
will
carry
out
the
following
­
23­
activities:

$
Review
the
regulations
and
the
guidance
document
$
Pre­
certification
activities:

$
Determine
which
engine
families
will
participate
in
ABT
$
Project
applicable
production
volumes
for
the
model
year
for
all
participating
families
$
Submit
AB&
T
information
with
the
certification
application
$
Gather
information
about
credit
sources/
recipients
$
Monitor
production
volumes
and
engine
sales
(
customary
business
practice)

$
Develop
and
submit
quarterly
reports
$
Develop
and
submit
end­
of­
year
reports
$
Store,
file,
and
maintain
information
as
required
Activities
manufacturers
and
remanufacturers
need
to
carry
out
to
comply
with
PLT
and
audits
requirements
are:

$
Gather/
maintain
production
data
(
customary
business
practice)

$
Read
instructions
and
regulations
$
Train
personnel
$
Project
testing
needs
and
plan
schedules
$
Select
engines
to
be
tested
$
Inspect
engines
to
be
tested
$
Test
engines
$
Enter
data
and
analyze
it
$
Prepare
and
submit
reports
$
Keep
records
Activities
associated
with
in­
use
testing
are:

$
Read
instructions
and
regulations
$
Train
personnel
$
Procure
locomotives
$
Test
locomotives
$
Enter
data
and
analyze
it
$
Prepare
and
submit
reports
$
Keep
records
5.
The
Information
Collected­­
Agency
Activities,
Collection
Methodology,
and
Information
Management
5(
a)
Agency
Activities
­
24­
As
part
of
the
implementation
of
the
certification
programs,
EPA
officials
carry
out
the
following
activities:

$
Review
and
interpret
regulations,
provide
guidance
$
Gather
applications
from
the
industry,
enter
data
into
the
database
$
Review
the
applications
for
completeness
and
accuracy
$
Verify
that
the
correct
engines
have
been
selected
and
tested
$
Answer
questions
from
manufacturers
and
the
public
$
Issue
appropriate
certificates
of
conformity
$
Periodically
perform
maintenance
or
enhance
the
database
$
Make
data
available
to
the
public,
including
making
it
available
through
the
Internet
$
Analyze
and
manage
requests
for
confidentiality
$
Determining
if
"
carry
over"
of
data
from
a
previous
model
year
is
appropriate
or
if
new
testing
will
be
required
$
Store,
file
and
maintain
data
Activities
related
to
AB&
T
involve:

$
Reviewing
requirements
and
providing
guidance
$
Entering
the
data
into
the
database
$
Receiving
quarterly
and
final
reports,
reviewing
calculations,
making
sure
that
the
information
submitted
by
manufacturers
and
remanufacturers
is
accurate
and
complete
$
Audit
manufacturers
and
remanufacturers
reports
and
files
to
make
sure
all
participants
have
zero
or
positive
credit
balances
at
the
end
of
the
year
$
Keep
records
To
ensure
through
the
PLT
Program
that
mass­
produced
locomotives
and
locomotive
engines
do
comply
with
emission
standards,
EPA
must:

$
Answer
questions
from
manufacturers,
remanufacturers
and
the
public
$
Review
submissions
for
format
and
completeness
$
Input
data
into
the
database
$
Analyze
and
compare
results
to
standards
and
FELs
$
Request
and
review
additional
information
as
needed
$
Take
any
appropriate
enforcement
actions
$
Keep
records
of
the
information
submitted
and
EPA's
actions
and
determinations
$
Periodically
perform
maintenance
or
make
enhancements
to
the
database
$
Make
data
from
completed
test
programs
available
to
the
public,
including
posting
it
on
the
Internet
$
Analyze
and
manage
requests
for
confidentiality
­
25­
The
EPA
activities
associated
with
the
implementation
of
the
In­
use
Testing
Program
are
similar:

$
Evaluate
testing
requirements
$
Review
information
and
identify
engines
for
testing
(
if
additional
testing
is
needed)

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

$
Answer
manufacturers
questions
$
Review
submissions
for
format
and
completeness
$
Enter
results
into
the
database
$
Analyze,
compare
and
file
information
submitted
$
Periodically
request
and
review
additional
information
$
Periodically
perform
maintenance
or
make
enhancements
to
the
database
$
Make
data
from
completed
test
programs
available
to
the
public,
including
posting
it
on
the
Internet
$
Analyze
and
manage
requests
for
confidentiality
5(
b)
Collection
Methodology
and
Management
EPA
currently
makes
extensive
use
of
electronic
media
in
gathering
and
evaluating
information
from
locomotive
and
locomotive
engine
manufacturers
and
remanufacturers.
EPG
is
in
the
process
of
developing
application
templates
for
locomotive
programs.
Manufacturers
and
remanufacturers
have
already
started
submitting
information
in
electronic
formats
and
are
expected
to
use
the
electronic
template
provided
by
EPA
to
submit
their
applications.

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

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

Currently,
manufacturers
must
submit
signed
statements
of
compliance
in
hard
copy.
EPA
is
working
to
enable
e­
signature,
so
that
we
can
receive
the
complete
application
by
electronic
­
26­
transmission
directly
from
the
manufacturer,
further
reducing
costs
and
burden
for
both
the
industry
and
the
agency.

5(
c)
Small
Entity
Flexibility
EPA
has
exempted
remanufactured
locomotive
and
locomotive
engines
owned
by
small
railroads
(
as
defined
by
the
Small
Business
Administration)
from
the
definition
of
`
new
locomotive'
and
`
new
locomotive
engine';
thus
exempting
these
remanufactured
locomotives
and
locomotive
engines
from
compliance
with
certain
emission
standards
and
regulations.
This
is
due
to
the
fact
that
the
number
of
locomotives
owned
and
operated
by
small
railroads
is
very
low
and
that
the
contribution
of
these
engines
to
the
sector's
emission
inventory
is
considered
to
be
trivial.

Small
locomotive
and
locomotive
engine
manufacturers
and
remanufacturers
and
aftermarket
part
manufacturers
can
also
benefit
by
delaying
compliance
with
Tier
0
requirements.
They
can
delay
compliance
of
all
pre­
1990
locomotives
until
January
1,
2002.
EPA
chose
1990
as
a
cut
point
for
the
phase­
in
of
the
Tier
0
standards
because,
among
other
reasons,
pre­
1990
locomotives
represent
the
vast
majority
of
locomotives
for
which
these
small
business
entities
supply
parts
and
remanufacturing
services.
(
Please
refer
to
the
preamble
of
this
regulation
published
in
the
Federal
Register
on
April
16,
1998,
(
63
Federal
Register
73)
for
details.)

Furthermore,
EPA
has
made
available
to
small
manufacturers
and
remanufacturers
a
streamlined
certification
program
for
small
businesses,
applicable
through
the
2006
model
year
design
to
reduce
the
financial
burden
of
compliance.
Under
these
provisions,
certification
testing
requirements
will
be
phased­
in,
beginning
in
2002.
Remanufacturers
have
the
option
of
testing
locomotives
(
or
locomotive
engines)
using
a
modified
version
of
the
FTP,
or
testing
using
a
less
rigorous
alternate
procedure,
subject
to
sales
restrictions
set
by
EPA.

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

Under
the
other
programs
included
in
this
ICR
(
AB&
T
and
PLT),
the
information
being
requested
is
considered
to
be
the
minimum
needed
to
effectively
conduct
and
maintain
their
integrity.
Further
measures
to
simplify
reporting
for
small
businesses
do
not
appear
prudent
or
necessary.
­
27­
5(
d)
Collection
Schedule
Collection
frequency
in
the
certification
program
is
largely
determined
by
the
manufacturer's
marketing
and
product
plans.
Information
must
be
submitted
for
each
`
model
year'
that
a
manufacturer
intends
to
build
(
or
import)
an
engine
model.
A
certificate
of
conformity
must
be
obtained
before
the
start
of
production
(
or
importation).
Taking
these
two
considerations
into
account,
manufacturers
normally
submit
information
on
an
annual
basis
and
submit
their
certification
applications
at
their
earliest
convenience.
In­
use
testing
reports
are
also
submitted
once
a
year.

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

6.
Estimating
the
Burden
and
Cost
of
the
Collection
Refer
to
Tables
1
to
4
for
details.

6(
a)
Estimating
Respondent
Burden
Burden
estimates
were
taken
from
previous
ICRs
and
adjusted
to
reflect
comments
from
fewer
than
10
respondents
consulted
by
EPA.
Since
the
programs
described
in
this
ICR
are
relatively
new
and
are
similar
in
many
respects
to
EPA's
other
nonroad
programs,
EPA
took
into
account
burden
estimates
developed
for
those
programs.
Nonroad
burden
estimates
were
developed
with
input
from
manufacturers
from
different
industries.

6(
b)
Estimating
Respondent
Costs
(
i)
Estimating
Burden
Hours
The
estimated
cost
for
labor
is
estimated
at
$
46.25
per
hour
for
engineers/
technicians,
$
82.50
per
hour
for
managers
and
$
36.67
per
hour
for
clerical
support.
In
deriving
these
costs,
EPA
used
cost
estimates
provided
in
consultations
with
the
industry.
The
labor
cost
rate
provided
by
the
Bureau
of
Labor
Statistics
($
35.75/
hour
and
$
17.15/
hour,
respectively)
was
not
used.
This
is
an
average
for
all
manufacturing
industries
that
do
not
reflect
the
actual
cost
for
the
locomotive
and
engine
manufacturing
industry,
which
is
much
higher.

In
estimating
respondent
burden,
a
considerable
amount
of
time
was
allocated
for
regulation
review
and
presented
as
a
­
28­
separated
item
in
the
burden
tables.
The
locomotive
and
locomotive
engine
industry
became
regulated
for
the
first
time
recently
and
EPA
estimates
that
locomotive
and
locomotive
engine
manufacturers
and
remanufacturers
still
spend
much
time
reviewing
regulations.

(
ii)
Estimating
Capital
and
Operations
and
Maintenance
Costs
Operation
and
Maintenance
costs
associated
with
all
programs
covered
by
this
information
collection
include
diskettes,
photocopying,
postage
expenses,
calls,
maintenance
of
emission
laboratories,
and
testing
costs.
Diskettes
are
used
by
manufacturers
to
submit
their
electronic
applications
and
to
keep
records.

There
are
only
two
locomotive
and
locomotive
engine
manufacturers
in
the
US
market.
Both
of
them
have
in­
house
testing
facilities
for
certification
testing
and
research.
The
cost
of
maintaining
these
laboratories
have
been
estimated
at
$
60,000
per
year.
This
estimate
include
the
cost
of
test
fuels,
calibration
gases
and
equipment.

Remanufacturers
and
spare­
part
manufacturers
who
meet
the
definition
of
`
manufacturer'
found
at
40
CFR
92.2
are
usually
smaller
companies
and
prefer
to
hire
a
contractor
to
conduct
the
necessary
certification
emission
testing
in
the
contractor's
facilities.
EPA
has
estimated
that
testing
at
a
private
facility
costs,
on
average,
$
40,000.
This
figure
includes
the
cost
of
gathering
both
the
line­
haul
and
switch
data
required.
This
is
a
one­
time
expense
per
engine
family
since
manufacturers
and
remanufacturers
can
carry
over
emissions
data
from
one
model
year
to
the
next.
This
cost
has
been
annualized
over
the
approval
period
requested
for
this
ICR
(
3
years):
$
40,000/
3
years
=
$
13,333
per
year.

The
cost
of
maintaining
a
laboratory
was
included
only
in
Table
1,
Certification,
and
omitted
in
Tables
3,
PLT,
and
Table
4,
In­
use
Testing.
Only
manufacturers
are
required
to
conduct
a
PLT
program;
therefore,
no
other
test
costs
are
included
in
Table
3.

In
determining
the
cost
of
the
In­
use
Testing
Program,
EPA
assumed
that
all
engine
families
have
more
than
10
locomotives.
Engine
families
with
less
than
10
locomotives
are
not
required
to
be
tested
in­
use.
Although
manufacturers
and
remanufacturers
are
required
to
test
at
least
two
locomotive
in
each
new
engine
families,
they
are
only
required
to
test
one
locomotive
per
"
carry
over"
family.
This
provision
further
reduces
the
financial
burden
imposed
by
the
In­
use
Program
upon
manufacturers
and
remanufacturers.
Section
6(
d)
outlines
EPA's
estimates
of
new
engine
families
vs.
carry
over
families.
­
29­
In
assessing
the
In­
use
Testing
Program's
financial
burden,
EPA
also
factored
in
the
loss
of
revenue
resulting
from
stopping
a
locomotive
for
testing.
That
cost
was
calculated
to
be
around
$
2,000
per
day
for
two
days
of
testing.
This
amounts
to
$
4,000
per
test
or
locomotive
or
$
666
over
the
life
of
this
ICR.

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

(
iii)
Capital/
Start
Up
Costs
There
are
no
capital
or
start
up
costs
associated
with
the
renewal
of
this
ICR.
(
See
6(
b)(
ii)
for
details.)

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

6(
c)
Estimating
Agency
Burden
Government
cost
is
based
on
GS­
13
salary
for
professional
engineers
($
30.29/
hr)
and
on
the
salary
of
a
senior
for
clerical
support
($
16.83).
The
hourly
rates
were
obtained
from
the
Office
of
Personal
Management.
(
Refer
to
Tables
5
through
8.)
Burden
associated
with
one­
time
tasks
such
as
setting
up
a
database
have
been
annualized.

6(
d)
Estimating
the
Respondent
Universe
and
Total
Burden
and
Costs
EPA
expects
to
receive
about
20
certification
applications
from
2
manufacturers
and
5
remanufacturers
each
year.
About
14
of
those
applications
are
"
carry
overs"
.
The
remaining
6
applications
represent
new
engine
families
for
which
new
emissions
data
was
collected.

Three
manufacturers
or
remanufacturers
are
also
expected
to
participate
in
the
AB&
T
program
with
seven
engine
families.
All
manufacturers
and
remanufacturers
must
participate
in
the
PLT
and
In­
use
Testing
Programs.

Locomotive
and
locomotive
engine
manufacturers
and
­
30­
remanufacturers
are
also
expected
to
submit
about
15
running
changes,
in
aggregate.

6(
e)
Bottom
Line
Burden
Hours
and
Cost
Tables
(
i)
Respondent
Tally
Table
7
Total
Estimated
Respondent
Burden
And
Cost
Summary
Program
Number
of
Respon
Number
of
Activities
Total
Hours
Per
Year
Total
Labor
Cost
Per
Year
Total
Annual
Capital
Costs
Total
Annual
O&
M
Costs
Total
Costs
Certification
7
9
1,797
$
81,929
0
$
213,452
$
295,381
AB&
T
3
7
964
$
47,402
0
$
21
$
47,423
PLT
7
10
6,115
$
277,747
0
$
698
$
278,445
In­
use
Testing
7
7
2,245
$
108,759
0
$
173,987
$
282,746
Total
7
33
11,121
$
515,837
0
$
388,158
$
903,995
(
ii)
The
Agency
Tally
Table
8
Total
Estimated
Agency
Burden
And
Cost
Summary
Program
Number
of
Respon
Number
of
Activities
Total
Hours
Per
Year
Total
Labor
Cost
Per
Year
Total
Annual
Capital
Costs
Total
Annual
O&
M
Costs
Certification
7
11
1,766
$
51,426
0
$
832
AB&
T
3
4
57
$
1,646
0
$
15
PLT
7
4
532
$
14,984
0
$
119
In­
use
7
4
343
$
9,918
0
$
119
Total
7
23
2,698
$
77,974
0
$
1,085
­
31­
6(
f)
Reasons
for
change
in
burden
The
total
burden
associated
with
locomotive
emission
regulations
and
requirements
has
decreased
significantly
from
the
previous
ICR.
This
is
mainly
due
to
a
sharp
reduction
in
the
estimated
number
of
respondents.
The
previous
ICR
reflected
EPA
estimates
at
the
time
locomotive
regulations
were
being
developed.
EPA
estimated
then
that
7
manufacturers
and
30
remanufacturers
were
going
to
apply
for
certificates
of
conformity
and
participate
in
other
locomotive
emission
compliance
programs.
However,
EPA
has
received
so
far
applications
from
only
2
manufacturers
and
only
1
remanufacturer
has
expressed
interest
in
applying.
In
a
review
of
the
industry,
EPA
found
out
that
there
are
only
two
manufacturers
of
locomotives
and
locomotive
engines
in
the
US
market,
so
we
do
not
expect
anymore
manufacturers
to
apply
in
the
next
three
years.
Although
so
far
only
one
remanufacturer
has
contacted
us
in
relation
with
obtaining
a
certificate
of
conformity,
EPA
believes
that
up
to
4
additional
remanufacturers
might
apply
in
the
next
three
years,
for
a
total
of
5
remanufacturers.

6(
g)
Burden
Statement
Locomotive
and
locomotive
engine
manufacturers
spend,
on
average,
203
hours
per
certification
application
annually.
Remanufacturers
spend
159
hours.
The
average
burden
associated
with
participation
in
the
Average,
Banking
and
Trading
Program
is
278
hours
annually
per
respondent.
The
burden
associated
with
participating
in
the
Production
Line
Testing
Program
is
183
hours
for
manufacturers
and
155
for
remanufacturers.
In­
use
testing
burden
is
155
hours
for
manufacturers
and
60
hours
for
remanufacturers.

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

Burden
means
the
total
time,
effort,
or
financial
resources
expended
by
persons
to
generate,
maintain,
retain,
or
disclose
or
provide
information
to
or
for
a
Federal
agency.
This
includes
the
time
needed
to
review
instructions;
develop,
acquire,
install,
and
utilize
technology
and
systems
for
the
purposes
of
collecting,
validating,
and
verifying
information,
processing
and
maintaining
information,
and
disclosing
and
providing
information;
adjust
the
existing
ways
to
comply
with
any
previously
applicable
instructions
and
requirements;
train
personnel
to
be
able
to
respond
to
a
collection
of
information;
search
data
sources;
complete
and
review
the
collection
of
information;
and
transmit
or
otherwise
disclose
the
information.
An
agency
may
not
conduct
or
sponsor,
and
a
­
32­
person
is
not
required
to
respond
to,
a
collection
of
information
unless
it
displays
a
currently
valid
OMB
control
number.
The
OMB
control
numbers
for
EPA's
regulations
are
listed
in
40
CFR
Part
9
and
48
CFR
Chapter
15.

Send
comments
on
the
Agency's
need
for
this
information,
the
accuracy
of
the
provided
burden
estimates,
and
any
suggested
methods
for
minimizing
respondent
burden,
including
through
the
use
of
automated
collection
techniques
to
the
Director,
OPPE
Regulatory
Information
Division,
U.
S.
Environmental
Protection
Agency
(
2137),
401
M
St.,
S.
W.,
Washington,
D.
C.
20460;
and
to
the
Office
of
Information
and
Regulatory
Affairs,
Office
of
Management
and
Budget,
725
17th
Street,
NW,
Washington,
DC
20503,
Attention:
Desk
Officer
for
EPA.
Include
the
EPA
ICR
number
1800.02
and
OMB
control
number
2060­
0392
in
any
correspondence.
