[Code of Federal Regulations]
[Title 40, Volume 18]
[Revised as of July 1, 2003]
From the U.S. Government Printing Office via GPO Access
[CITE: 40CFR92.2]
[Page 404-411]
TITLE 40--PROTECTION OF ENVIRONMENT
CHAPTER I--ENVIRONMENTAL PROTECTION AGENCY (CONTINUED)
PART 92--CONTROL OF AIR POLLUTION FROM LOCOMOTIVES AND LOCOMOTIVE ENGINES--
Table of Contents
Subpart A--General Provisions for Emission Regulations for Locomotives
and Locomotive Engines
Sec. 92.2 Definitions.
(a) The definitions of this section apply to this subpart. They also
apply to all subparts of this part, except where noted otherwise.
(b) As used in this part, all terms not defined in this section
shall have the meaning given them in the Act:
Act means the Clean Air Act as amended (42 U.S.C. 7401 et seq.).
Administrator means the Administrator of the Environmental
Protection Agency or his/her authorized representative.
Aftertreatment system or aftertreatment component or aftertreatment
technology means any system or component or technology mounted
downstream of the exhaust valve or exhaust port whose design function is
to reduce exhaust emissions.
Alcohol fuel means a fuel consisting primarily (more than 50 percent
by weight) of one or more alcohols: e.g., methyl alcohol, ethyl alcohol.
Alternator/generator efficiency means the ratio of the electrical
power output from the alternator/generator to the mechanical power input
to the alternator/generator at the operating point.
Alternator/generator input horsepower means the mechanical
horsepower input to the main alternator or generator of a locomotive.
For the purpose
[[Page 405]]
of calculating brake horsepower, alternator/generator input horsepower
does not include any power used to circulate engine coolant, circulate
engine lubricant, or to supply fuel to the engine.
Applicable standard means a standard to which a locomotive or
locomotive engine is subject; or, where a locomotive or locomotive
engine is certified another standard or FEL, applicable standard means
the other standard or FEL to which the locomotive or locomotive engine
is certified, as allowed by Sec. 92.8. This definition does not apply to
subpart D of this part.
Auxiliary emission control device (AECD) means any element of design
which senses temperature, locomotive speed, engine RPM, atmospheric
pressure, manifold pressure or vacuum, or any other parameter for the
purpose of activating, modulating, delaying, or deactivating the
operation of any part of the emission control system (including, but not
limited to injection timing); or any other feature that causes in-use
emissions to be higher than those measured under test conditions, except
as allowed by this part.
Auxiliary engine means a locomotive engine that provides hotel
power, but does not provide power to propel the locomotive.
Auxiliary power means the power provided by the main propulsion
engine to operate accessories such as cooling fans.
Averaging for locomotives and locomotive engines means the exchange
of emission credits among engine families within a given manufacturer's,
or remanufacturer's, product line.
Banking means the retention of emission credits by a credit holder
for use in future calendar year averaging or trading as permitted by the
regulations in this part.
Brake horsepower means the sum of the alternator/generator input
horsepower and the mechanical accessory horsepower, excluding any power
used to circulate engine coolant, circulate engine lubricant, or to
supply fuel to the engine.
Calibration means the set of specifications, including tolerances,
unique to a particular design, version, or application of a component,
or components, or assembly capable of functionally describing its
operation over its working range. This definition does apply to subpart
B of this part.
Class I freight railroad means a Class I railroad that primarily
transports freight rather than passengers.
Class I railroad means a railroad that has been classified as a
Class I railroad by the Surface Transportation Board.
Class II railroad means a railroad that has been classified as a
Class II railroad by the Surface Transportation Board.
Class III railroad means a railroad that has been classified as a
Class III railroad by the Surface Transportation Board.
Configuration means any subclassification of an engine family which
can be described on the basis of gross power, emission control system,
governed speed, injector size, engine calibration, and other parameters
as designated by the Administrator.
Crankcase emissions means emissions to the atmosphere from any
portion of the crankcase ventilation or engine lubrication systems.
Defeat device means an AECD or other control feature that reduces
the effectiveness of the emission control system under conditions which
may reasonably be expected to be encountered in normal locomotive
operation and use, unless the AECD or other control feature has been
identified by the certifying manufacturer or remanufacturer in the
application for certification, and:
(1) Such conditions are substantially represented by the portion of
the federal test procedure during which the applicable emission rates
are measured;
(2) The need for the AECD is justified in terms of protecting the
locomotive or locomotive engine against damage or accident; or
(3) The AECD does not go beyond the requirements of engine starting.
Deterioration factor means the difference between exhaust emissions
at the end of useful life and exhaust emissions at the low mileage test
point expressed as either: the ratio of exhaust emissions at the end of
useful life to exhaust emissions at the low mileage test point (for
multiplicative deterioration factors); or the difference between
[[Page 406]]
exhaust emissions at the end of useful life exhaust emissions at the low
mileage test point (for additive deterioration factors).
Diesel fuel means any fuel suitable for use in diesel engines, and
which is commonly or commercially known or sold as diesel fuel.
Emission control system means those devices, systems or elements of
design which control or reduce the emission of substances from an
engine. This includes, but is not limited to, mechanical and electronic
components and controls, and computer software.
Emission credits represent the amount of emission reduction or
exceedance, by a locomotive engine family, below or above the emission
standard, respectively. Emission reductions below the standard are
considered as ``positive credits,'' while emission exceedances above the
standard are considered as ``negative credits.'' In addition,
``projected credits'' refer to emission credits based on the projected
applicable production/sales volume of the engine family. ``Reserved
credits'' are emission credits generated within a calendar year waiting
to be reported to EPA at the end of the calendar year. ``Actual
credits'' refer to emission credits based on actual applicable
production/sales volume as contained in the end-of-year reports
submitted to EPA.
Emission-data engine means an engine which is tested for purposes of
emission certification or production line testing.
Emission-data locomotive means a locomotive which is tested for
purposes of emission certification or production line testing.
Emission-related defect means a defect in design, materials, or
workmanship in a device, system, or assembly described in the approved
Application for certification which affects any parameter or
specification enumerated in Appendix I of this part.
Emission-related maintenance means that maintenance which
substantially affects emissions or which is likely to affect the
deterioration of the locomotive or engine with respect to emissions, as
described in an approved Application for certification.
Engine family means a group of locomotive or locomotive engine
configurations which are expected to have similar emission
characteristics throughout the useful lives of the locomotives and
engines (see Sec. 92.204), and which are (or were) covered (or requested
to be covered) by a specific certificate of conformity.
Engine used in a locomotive means an engine incorporated into a
locomotive or intended for incorporation into a locomotive.
Engineering analysis means a summary of scientific and/or
engineering principles and facts that support a conclusion made by a
manufacturer or remanufacturer, with respect to compliance with the
provisions of this part.
EPA Enforcement Officer means any officer or employee of the
Environmental Protection Agency so designated in writing by the
Administrator or his/her designee.
Ethanol means a fuel that contains at least 50 percent ethanol
(ethyl alcohol, (C2H5OH)) by volume.
Exhaust emissions means substances (i.e., gases and particles)
emitted to the atmosphere from any opening downstream from the exhaust
port or exhaust valve of a locomotive engine.
Family Emission Limit means an emission level declared by the
certifying manufacturer or remanufacturer to serve in lieu of an
otherwise applicable emission standard for certification and compliance
purposes in the averaging, banking and trading program. FELs are
expressed to the same number of decimal places as the applicable
emission standard.
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).
Freshly manufactured locomotive engine means a new locomotive engine
which has not been remanufactured.
Fuel system means the combination of fuel tank(s), fuel pump(s),
fuel lines and filters, pressure regulator(s), and fuel injection
components (or pressure regulator(s) and carburetor(s) if fuel injection
is not employed), fuel system vents, and any other component involved in
the delivery of fuel to the engine.
[[Page 407]]
Gaseous fuel means a fuel which is a gas at standard temperature and
pressure. This includes both natural gas and liquefied petroleum gas.
Green engine factor means a factor that is applied to emission
measurements from a locomotive or locomotive engine that has had little
or no service accumulation. The green engine factor adjusts emission
measurements to be equivalent to emission measurements from a locomotive
or locomotive engine that has had approximately 300 hours of use.
High-altitude means relating to an altitude greater than 4000 feet
(1220 meters) and less than 7000 feet (2135 meters), or equivalent
observed barometric test conditions of 25.7 to 22.7 inch Hg (88.5 to
78.1 kilopascals).
Hotel power means the power provided by an engine on a locomotive to
operate equipment on passenger cars of a train; e.g., heating and air
conditioning, lights, etc.
Idle speed means that speed, expressed as the number of revolutions
of the crankshaft per unit of time (e.g., rpm), at which the engine is
set to operate when not under load for purposes of propelling the
locomotive.
Importer means an entity or person who imports locomotives or
locomotive engines from a foreign country into the United States
(including the Commonwealth of Puerto Rico, the Virgin Islands, Guam,
American Samoa, and the Northern Mariana Islands).
Inspect and qualify means to determine that a previously used
component or system meets all applicable criteria listed for the
component or system in a certificate of conformity for remanufacturing
(e.g., determine that the component or system is functionally equivalent
to one that has not been used previously).
Installer means an individual or entity which assembles
remanufactured locomotives or locomotive engines.
Liquefied petroleum gas means the commercial product marketed as
liquefied petroleum gas or propane.
Locomotive means a self-propelled piece of on-track equipment
designed for moving or propelling cars that are designed to carry
freight, passengers or other equipment, but which itself is not designed
or intended to carry freight, passengers (other than those operating the
locomotive) or other equipment. Other equipment which is designed for
operation both on highways and rails; specialized railroad equipment for
maintenance, construction, post accident recovery of equipment, and
repairs; and other similar equipment; and vehicles propelled by engines
with rated horsepower of less than 750 kW (1006 hp) are not locomotives
(see 40 CFR Parts 86 and 89 for this equipment).
Locomotive engine means an engine incorporated into a locomotive or
intended for incorporation into a locomotive.
Low hour engine means an engine during the interval between the time
that normal assembly operations and adjustments are completed and the
time that 300 additional operating hours have been accumulated
(including hours accumulated during emission testing if performed).
Low idle speed means a speed which is less than normal idle speed,
expressed as the number of revolutions of the crankshaft per unit of
time, at which an engine can be set when not under load for purposes of
propelling the locomotive.
Low mileage locomotive means a locomotive during the interval
between the time that normal assembly operations and adjustments are
completed and the time that either 10,000 miles of locomotive operation
or 300 additional operating hours have been accumulated (including
emission testing if performed).
Malfunction means a condition in which the operation of a component
in a locomotive or locomotive engine occurs in a manner other than that
specified by the certifying manufacturer or remanufacturer (e.g., as
specified in the application for certification); or the operation of the
locomotive or locomotive engine in that condition.
Manufacturer means an individual or entity engaged in the
manufacturing or assembling of freshly manufactured locomotives or
freshly manufactured locomotive engines; or the importing of locomotives
or locomotive engines originally manufactured on or after
[[Page 408]]
January 1, 1973 and not remanufactured. (See Secs. 92.1(c) and 92.209
for applicability of this term.)
Maximum rated horsepower means the maximum brake horsepower output
of an engine.
Mechanical accessory horsepower means the sum of mechanical
horsepower generated by an engine to supply accessories. Mechanical
accessory horsepower does not include power supplied to the main
alternator or generator, power used to circulate engine coolant or
engine lubricant, or power used to supply fuel to the engine.
Methanol means a fuel that contains at least 50 percent methanol
(methyl alcohol, (CH3OH)) by volume.
Method of aspiration means the method whereby air for fuel
combustion enters the engine (e.g., natural or turbocharged).
Model year means a calendar year; except where the Administrator
determines a different production period which includes January 1 of
such calendar year.
Natural gas means the commercial product marketed as natural gas
whose primary constituent is methane.
New locomotive or new locomotive engine means:
(1)(i) A locomotive or locomotive engine the equitable or legal
title to which has never been transferred to an ultimate purchaser; or
(ii) A locomotive or locomotive engine which has been
remanufactured, but has not been placed back into service.
(2) Where the equitable or legal title to a locomotive or locomotive
engine is not transferred prior to its being placed into service, the
locomotive or locomotive engine ceases to be new when it is placed into
service.
(3) With respect to imported locomotives or locomotive engines, the
term ``new locomotive'' or ``new locomotive engine'' means a locomotive
or locomotive engine that is not covered by a certificate of conformity
under this part at the time of importation, and that was manufactured or
remanufactured after the effective date of the emission standards in
this part which is applicable to such locomotive or engine (or which
would be applicable to such locomotive or engine had it been
manufactured or remanufactured for importation into the United States).
(4) Notwithstanding paragraphs (1) through (3) of this definition,
locomotives and locomotive engines which were originally manufactured
before January 1, 1973 and which have not been upgraded are not new.
(5) Notwithstanding paragraphs (1) through (3) of this definition,
locomotives and locomotive engines which are owned by a small railroad
and which have never been remanufactured into a certified configuration
are not new.
Nonconforming locomotive or nonconforming locomotive engine means a
locomotive or locomotive engine which is not covered by a certificate of
conformity prior to importation or being offered for importation (or for
which such coverage has not been adequately demonstrated to EPA); or a
locomotive or locomotive engine which was originally covered by a
certificate of conformity, but which is not in a certified
configuration, or otherwise does not comply with the conditions of that
certificate of conformity.
(Note: Domestic locomotives and locomotive engines which are not
covered by a certificate of conformity prior to their introduction into
U.S. commerce are considered to be noncomplying locomotives and
locomotive engines.)
Non-locomotive-specific engine means an engine that is sold for and
used in non-locomotive applications more than for locomotive
applications.
Normal idle means relating to the idle throttle-notch position for
locomotives that have one throttle-notch position, or the highest the
idle throttle-notch position for locomotives that have two throttle-
notch positions.
Opacity means the fraction of a beam of light, expressed in percent,
which fails to penetrate a plume of smoke as measured and calculated
under the provisions of subpart B of this part.
Original manufacture means the event of freshly manufacturing a
locomotive or locomotive engine. The date of original manufacture is the
date of final assembly; except as provided in Sec. 92.11. Where a
locomotive or locomotive engine is manufactured under Sec. 92.11, the
date of original manufacture is the date on which the final assembly
[[Page 409]]
of locomotive or locomotive engine was originally scheduled.
Original remanufacture means the first remanufacturing of a
locomotive or locomotive engine at which the locomotive or locomotive
engines is subject to the emission standards of this part.
Oxides of nitrogen means nitric oxide and nitrogen dioxide. Oxides
of nitrogen are expressed quantitatively as if the nitric oxide were in
the form of nitrogen dioxide (oxides of nitrogen are assumed to have a
molecular weight equivalent to nitrogen dioxide).
Passenger locomotive means a locomotive designed and constructed for
the primary purpose of propelling passenger trains, and providing power
to the passenger cars of the train for such functions as heating,
lighting and air conditioning.
Petroleum fuel means a fuel primarily derived from crude oil (e.g.,
gasoline or diesel fuel).
Power assembly means the components of an engine in which combustion
of fuel occurs, and consists of the cylinder, piston and piston rings,
valves and ports for admission of charge air and discharge of exhaust
gases, fuel injection components and controls, cylinder head and
associated components.
Primary fuel means that type of fuel (e.g., diesel fuel) that is
consumed in the greatest quantity (mass basis) when the locomotive or
locomotive engine is operated in use.
Produce means to manufacture or remanufacture. Where a certificate
holder does not actually assemble the locomotives or locomotive engines
that it manufactures or remanufactures, produce means to allow other
entities to assemble locomotives or locomotive engines under the
certificate holder's certificate.
Railroad means a commercial entity that operates locomotives to
transport passengers or freight.
Rated horsepower means the maximum horsepower output of a locomotive
engine in use.
Remanufacture means:
(1)(i) To replace, or inspect and qualify, each and every power
assembly of a locomotive or locomotive engine, whether during a single
maintenance event or cumulatively within a five year period; or
(ii) To upgrade a locomotive or locomotive engine; or
(iii) To convert a locomotive or locomotive engine to enable it to
operate using a fuel other than it was originally manufactured to use;
or
(iv) To install a remanufactured engine or a freshly manufactured
engine into a previously used locomotive.
(2) Remanufacture also means the act of remanufacturing.
Remanufacture system or remanufacturing system means all components
(or specifications for components) and instructions necessary to
remanufacture a locomotive or locomotive engine in accordance with
applicable requirements of this part.
Remanufactured locomotive means either a locomotive which is powered
by a remanufactured locomotive engine, or a repowered locomotive.
Remanufactured locomotive engine means a locomotive engine which has
been remanufactured.
Remanufacturer means an individual or entity that is engaged in the
manufacture or assembly of remanufactured locomotives or locomotive
engines, (including: Entities that design or produce the emission-
related parts used in remanufacturing; entities that install parts in an
existing locomotive or locomotive engine to remanufacture it; and
entities that own or operate the locomotive or locomotive engine and
provide specifications as to how an engine is to be remanufactured
(i.e., specifying who will perform the work, when the work is to be
performed, what parts are to be used, or how to calibrate the adjustable
parameters of the engine)); or an importer of remanufactured locomotives
or locomotive engines. (See Secs. 92.1(c) and 92.209 for applicability
of this term.)
Repower means replacement of the engine in a previously used
locomotive with a freshly manufactured locomotive engine. Replacing a
locomotive engine with a freshly manufactured locomotive engine in a
locomotive that has a refurbished or reconditioned chassis such that
less than 25 of the parts of the locomotive were previously used (as
weighted by dollar value) is not repowering.
[[Page 410]]
Repowered locomotive means a locomotive that has been repowered with
a freshly manufactured engine.
Service life means the total life of a locomotive or locomotive
engine. Service life begins when the locomotive or locomotive engine is
originally manufactured and continues until the locomotive or locomotive
engine is permanently removed from service.
Small railroad means a railroad that is classified by the Small
Business Administration as a small business.
Small remanufacturer means a remanufacturer that is classified by
the Small Business Administration as a small business.
Smoke means the matter in the engine exhaust which obscures the
transmission of light.
Specified adjustable range means the range of allowable settings for
an adjustable component specified by a certificate of conformity.
Specified by a certificate of conformity or specified in a
certificate of conformity means stated or otherwise specified in a
certificate of conformity or an approved application for certification.
Steam locomotive means a historic locomotive propelled by a steam
engine.
Switch locomotive means a locomotive designed or used solely for the
primary purpose of propelling railroad cars a short distance, and that
is powered by an engine with a maximum horsepower rating of 2300 hp or
less.
Test locomotive or locomotive engine means a locomotive or
locomotive engine in a test sample.
Test sample means the collection of locomotives or locomotive
engines selected from the population of an engine family for emission
testing or auditing.
Throttle means the component, or components, which either directly
or indirectly controls the fuel flow to the engine.
Throttle notch means a discrete throttle position for a locomotive
with a limited number of throttle positions.
Throttle notch horsepower means the brake horsepower output of an
engine corresponding to each throttle notch position, including dynamic-
brake settings.
Throttle notch speed means the speed of the engine, expressed as the
number of revolutions of the crankshaft per unit of time (e.g., rpm),
corresponding to each throttle notch position, including dynamic-brake,
and hotel power settings.
Tier 0 means relating to emission standards applicable to
locomotives originally manufactured before January 1, 2002; or relating
to such locomotives.
1 means relating to emission standards applicable to locomotives
originally manufactured on or after January 1, 2002 and before January
1, 2005; or relating to such locomotives.
Tier 2 means relating to emission standards applicable to
locomotives originally manufactured on or after January 1, 2005; or
relating to such locomotives.
Total Hydrocarbon Equivalent means the sum of the carbon mass
contributions of non-oxygenated hydrocarbons, alcohols and aldehydes, or
other organic compounds that are measured separately as contained in a
gas sample, expressed as gasoline-fueled vehicle hydrocarbons. The
hydrogen-to-carbon ratio of the equivalent hydrocarbon is 1.85:1. Total
Hydrocarbon Equivalent is abbreviated THCE.
Trading means the exchange of locomotive or locomotive engine
emission credits between credit holders.
United States. United States includes the customs territory of the
United States as defined in 19 U.S.C. 1202, and the Virgin Islands,
Guam, American Samoa, and the Commonwealth of the Northern Mariana
Islands.
Upgrade means to modify a locomotive or locomotive engine that was
originally manufactured prior to January 1, 1973 (or a locomotive or
locomotive engine that was originally manufactured on or after January
1, 1973, and that is not subject to the emission standards of this
part), such that it is intended to comply with the Tier 0 standards.
Upgrading is a type of remanufacturing.
Useful life means the period during which the locomotive engine is
designed to properly function in terms of reliability and fuel
consumption, without being remanufactured, specified as work output or
miles. It is the period during which a new locomotive or locomotive
engine is required to comply with all applicable emission standards.
[[Page 411]]
Volatile liquid fuel means any liquid fuel other than diesel or
biodiesel.
Voluntary emission recall means a repair, adjustment, or
modification program voluntarily initiated and conducted by a
manufacturer or remanufacturer to remedy any emission-related defect for
which notification of locomotive or locomotive engine owners has been
provided.