United States Air and Radiation EPA420-F-99-037
Environmental Protection September 1999
Agency
Office of Mobile Sources
vvEPA Technical
Highlights
Applicability of Locomotive
Emission Standards
In 1998, the U.S. Environmental Protection Agency (EPA) promulgated
final emission standards for oxides of nitrogen (NOx), hydrocarbons
(HC), carbon monoxide (CO), particulate matter (PM) and smoke for
newly manufactured and remanufactured locomotives and locomotive
engines. The requirements for compliance with these emission
standards are described in 40 CFR Part 92. This fact sheet provides an
overview of the applicability of these regulations. You should consult the
regulations contained in 40 CFR Part 92 for a complete description of
the applicability.
General Applicability
In general, the provisions of 40 CFR Part 92 apply to manufacturers,
remanufacturers, owners and operators of:
• Locomotives and locomotive engines manufactured on or after
January 1, 2000; and
• Locomotives and locomotive engines manufactured on or after
January 1, 1973 and remanufactured on or after January 1, 2000.
However, locomotives that were originally manufactured between Janu-
ary 1, 1973, and December 31, 1989, do not need to be brought into
compliance until they are remanufactured on or after January 1, 2002.
> Printed on Recycled Paper
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Also, locomotives that were originally manufactured between January 1,
1990, and December 31, 1999, may not need to be brought into compli-
ance when remanufactured before January 1, 2002, depending upon the
availability of a certified remanufacturing system. The phase-in of these
requirements is shown in more detail in the table below. Owners may
also opt to have their older (i.e., pre-1973) locomotives covered by these
regulations by upgrading them into a certified configuration. Such
locomotives would then be subject to these regulations for the remainder
of their service lives, and thus, would be subject to these emission
standards at each subsequent remanufacture.
There are three sets (or tiers) of emission standards. The Tier 0 standards
apply only to locomotives originally manufactured before 2002. The Tier
1 standards apply to locomotives manufactured in 2002-2004, and the
Tier 2 standards apply to locomotives manufactured in 2005 and later.
The applicability of the Tier 1 and Tier 2 standards is based on the date
of manufacture of the locomotive, rather than the engine. Thus, a newly
manufactured engine in 2005 that is used to repower a 1990 model year
locomotive would be subject to the Tier 0 emission standards, which are
also applicable to all other 1990 model year locomotives.
Phase-in of Compliance Requirements
By Locomotive Type Year of Manufacture
Calendar Years
2000
2001
2002-2006
2007
Locomotive
Type
Freight
Freight
Freight
Freight
Passenger
Freight
Freight
Freight
Freight
Passenger
Freight
Passenger
Passenger
Freight
Passenger
Year of Original
Manufacture
1973-1989
1990-1999
1990-1999
2000
1973-2000
1973-1989
1990-1993
1990-1993
1994-2001
1973-2001
1973-2006
1973-2001
2002-2006
1973-2007
1973-2007
Certified System
Available?
NA*
Yes
No
NA*
NA*
NA*
Yes
No
NA*
NA*
NA*
NA*
NA*
NA*
NA*
Compliance
Required?
No
Yes
No
No**
No
No
Yes
No
Yes**
No
Yes
No
Yes
Yes
Yes
* Availability criteria not applicable to this category.
** See §92.12(a)(3) for details about a one-year exemption that is available for new
models originally manufactured in 2001. This exemption requires that existing models
comply with the Tier 0 standards in 2000.
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and
There are certain types of locomotives that are excluded from these
regulations. First, all locomotives powered solely by an external source
of electricity, and all historic steam-powered locomotives are excluded
from these regulations. These locomotives are also not currently regu-
lated elsewhere by EPA. The regulations do not apply to existing loco-
motives owned by railroads that are classified as small businesses, as
defined below, because these locomotives are not considered to be new
locomotives when remanufactured.
EPA is also excluding from these requirements some smaller engines
that are more typically used in other nonroad equipment. Engines used
in locomotive-type vehicles that are powered by less than 750 kilowatts
(kW) (1006 horsepower) total power and engines that are used in self-
propelled railcars are excluded from these regulations. Such vehicles are
not considered to be locomotives under the definitions of 40 CFR Part
92. For example, a locomotive-type vehicle propelled by a single 700
kW engine (or two 350 kW engines) would not be subject to these
regulations, while a locomotive-type vehicle propelled by a single 800
kW engine (or two 400 kW engines) would be subject to these regula-
tions. Similarly, engines used in self-propelled passenger railcars are
excluded from these regulations. Such railcars are distinguished from
locomotives by the fact that they are designed specifically to carry
passengers in the propulsion vehicle. Locomotive engines which provide
only hotel (or head-end) power are also excluded from these regulations.
Diesel engines used in excluded locomotive-type vehicles, used in
railcars, or which provide only hotel power are subject to the require-
ments of 40 CFR Part 89.
EPA has created special provisions for regulating passenger locomotives,
primarily because of the low production volumes. Newly manufactured
passenger locomotives will not be required to comply with the emission
standards until January 1, 2002. Remanufactured passenger locomotives
(other than those originally manufactured on or after January 1, 2002)
will not be required to comply with the emission standards until
remanufactured on or after January 1, 2007.
Subparts I and J of 40 CFR Part 92 provide for other temporary and
permanent exemptions from these regulations.
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Definition of Small
Line-haul railroads with fewer than 1500 employees and switch railroads
with fewer than 500 employees are classified as small railroads. For
railroads owned by parent companies, the number of employees used to
determine small business status is the combined number of employees of
the railroad and any parent companies.
For information
Additional documents on locomotive exhaust emission standards are
available electronically from the EPA Internet server at:
http ://www. epa.gov/oms/locomotv.htm
For further information on compliance with these regulations, please
contact the locomotive certification contact at:
U.S. Environmental Protection Agency
Office of Mobile Sources (6403J)
401 M Street SW
Washington, DC 20460
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