5900-274 AB&T Report for Locomotives

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Overview

Instructions
Current MY Credit Calc
Current MY Credit Calc-MANUAL
Field Descriptions
Power Rating Calc
Proration Factors
Credit Summary

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Sheet 1: Instructions

United States

Environmental Protection Agency

Office of Air and Radiation, Office of Transportation and Air Quality

Manufacturer Averaging, Banking, and Trading Report for Locomotives

Last Revision: August 2018 Version Number: 2.2.1

Manufacturer Data Submission Template -- INSTRUCTIONS

Paperwork Reduction Act Notice

The public reporting and recordkeeping burden for this collection of information is estimated to average 30 hours per response. 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, Collection Strategies Division, U.S. Environmental Protection Agency (2822T), 1200 Pennsylvania Ave., NW, Washington, D.C. 20460. Include the OMB control number in any correspondence. Do not send the completed form to this address.

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Sheet 2: Current MY Credit Calc

	United States
	Environmental Protection Agency
	Office of Air and Radiation, Office of Transportation and Air Quality
	Manufacturer Averaging, Banking, and Trading Report for Locomotives
	Last Revision: August 2018 Version Number: 2.2.1
	Current MY Emission Credits											Submission Date:
	MODEL YEAR:
	Manufacturer:
	The fifth character (Industry Sector Code) is limited to either "G" or "K". If other Industry Sector Codes are used, please enter the engine family in the Current MY Credit Calc-MANUAL worksheet and provide an explanation in the Comment field. Engine Family	Applicable 40 CFR Part	Note: If the fifth character (Industry Sector Code) is "G" or "K" the entry in this cell will be populated with the responses "No" and "Yes", respectively. If other Industry Sector Codes are used, "N/A" will appear and the associated data for the engine family should be entered in the Current MY Credit Calc-MANUAL worksheet. Remanufactured? (Yes/No)	For Remanufactured locomotives or locomotive engines only. Age	Pollutant	Tier	Engine Class Type	Power Rating (hp)1	Useful Life (MW-hrs)	Production	FEL (g/bhp-hr)	Proration Factor (Fp)2	Standard (g/bhp-hr)	Credit Balance (Mg)	Messages	Comments
	1 See Power Rating Calc tab
	2 See Proration Factors tab. The proration factor is 1.00 for all locomotives that meet the definition of freshly manufactured.
	SUMMARY OF CURRENT MODEL YEAR CREDITS (Mg)								Messages					Paperwork Reduction Act Notice
	TIER	NOx Credits		NOx+HC Credits (Tier 4)		PM Credits		% Using Credits*						The public reporting and recordkeeping burden for this collection of information is estimated to average 30 hours per response. 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, Collection Strategies Division, U.S. Environmental Protection Agency (2822T), 1200 Pennsylvania Ave., NW, Washington, D.C. 20460. Include the OMB control number in any correspondence. Do not send the completed form to this address.
		Line-Haul	Switch	Line-Haul	Switch	Line-Haul	Switch
	Tier 0 Part 92	0	0			0	0
	Tier 0 Part 1033	0	0			0	0
	Tier 1 Part 92	0	0			0	0							OMB No. 2060-0392 Approval Expires on 8/31/2018 EPA Form 5900-274
	Tier 1 Part 1033	0	0			0	0
	Tier 2 Part 92	0	0			0	0	NA
	Tier 2 Part 1033	0	0			0	0
	Tier 3 Part 1033	0	0			0	0
	Tier 4 Part 1033	0	0	0	0	0	0	NA
								*May not exceed 50%.
	SUMMARY OF 40 CFR PARTS 92 AND 1033 STANDARDS AND FEL CAPS
	If Tier is:	And Pollutant is:	And Engine Class is:	Then Part 1033 Year of Original Manufacture is:	Then Part 1033 Std (g/bhp-hr) is:	Part 1033 FEL cap	Then Part 92 Year of Original Manufacture is:	Then Part 92 Std (g/bhp-hr) is:1	Part 92 FEL cap
	Tier 02	NOx	Line-Haul	1973-1992	8.0		before 2001	9.5
			Switch	1973-2001	11.8		before 2001	14.0
		PM	Line-Haul	1973-1992	0.22		before 2001	0.32
			Switch	1973-2001	0.26		before 2001	0.44
	Tier 12	NOx	Line-Haul	1993-2004	7.4	8.0	2002-2004	7.4	9.5
			Switch	2002-2004	11.0	11.8	2002-2004	11.0	14.0
		PM	Line-Haul	1993-2004	0.22	0.22	2002-2004	0.32	0.60
			Switch	2002-2004	0.26	0.26	2002-2004	0.44	0.72
	Tier 22	NOx	Line-Haul	2005-2011	5.5	7.4	2005 or later	5.5	7.4
			Switch	2005-2010	8.1	11.0	2005 or later	8.1	11.0
		PM	Line-Haul	2005-2011	0.10	0.22	2005 or later	0.20	0.45
			Switch	2005-2010	0.13	0.26	2005 or later	0.24	0.54
	Tier 3	NOx	Line-Haul	2012-2014	5.5	5.5
			Switch	2011-2014	5.0	8.1
		PM	Line-Haul	2012-2014	0.10	0.10
			Switch	2011-2014	0.10	0.13
	Tier 4	NOx	Line-Haul	2015 or later	1.3	5.5
			Switch	2015 or later	1.3	5.0
		PM	Line-Haul	2015 or later	0.03	0.10
			Switch	2015 or later	0.03	0.10
		Alternate HC+Nox	Line-Haul	2015 or later	1.4
			Switch	2015 or later	1.4
	1 §92.305(a)(2)(i) ABT standards: Std=0.43 g/kW-hr for Tier 0 and Tier 1 PM line-haul credits; Std=0.59 g/kW-hr for Tier 0 and Tier 1 PM switch credits (.7457*(g/kW-hr) = (g/bhp-hr))
	2 §1033.102(a) and (b): Part 1033 Tier 0 and 1 standards apply for new locomotives beginning 1-1-10. Part 1033 Tier 2 standards apply for new locomotives beginning 1-1-13. Tier 0, 1, and 2 Part 92
	standards apply for earlier model years unless the locomotive is remanufactured. According to §1033.150(a), for the 2009 MY, remanufacturers may remanufacture Tier 0, 1, and 2 locomotives
	to Part 92 standards only if no remanufacture system has been certified to meet the Part 1033 standards. After 2009, this provision applies only to Tier 2 remanufactured locomotives.
	3 Tier 3 and 4 standards apply for the model years specified in the table.

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Sheet 3: Current MY Credit Calc-MANUAL

	United States
	Environmental Protection Agency
	Office of Air and Radiation, Office of Transportation and Air Quality
	Manufacturer Averaging, Banking, and Trading Report for Locomotives
	Last Revision: August 2018 Version Number: 2.2.1
	Current MY Emission Credits - Manual											Submission Date:
	MODEL YEAR:
	Manufacturer:
	Engine Family	Applicable 40 CFR Part	Remanufactured? (Yes/No)	For Remanufactured locomotives or locomotive engines only. Age	Pollutant	Tier	Engine Class Type	Power Rating (hp)1	Useful Life (MW-hrs)	Production	FEL (g/bhp-hr)	Proration Factor (Fp)2	Standard (g/bhp-hr)	Credit Balance (Mg)	Comments
	1 See Power Rating Calc tab
	2 See Proration Factors tab. The proration factor is 1.00 for all locomotives that meet the definition of freshly manufactured.
	SUMMARY OF CURRENT MODEL YEAR CREDITS (Mg)								Messages
	TIER	NOx Credits		NOx+HC Credits (Tier 4)		PM Credits		% Using Credits*
		Line-Haul	Switch	Line-Haul	Switch	Line-Haul	Switch
	Tier 0 Part 92	0	0			0	0
	Tier 0 Part 1033	0	0			0	0
	Tier 1 Part 92	0	0			0	0
	Tier 1 Part 1033	0	0			0	0
	Tier 2 Part 92	0	0			0	0	NA
	Tier 2 Part 1033	0	0			0	0
	Tier 3 Part 1033	0	0			0	0
	Tier 4 Part 1033	0	0	0	0	0	0	NA
								*May not exceed 50%.
											Paperwork Reduction Act Notice
								OMB No. 2060-0392 Approval Expires on 8/31/2018 EPA Form 5900-274			The public reporting and recordkeeping burden for this collection of information is estimated to average 30 hours per response. 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, Collection Strategies Division, U.S. Environmental Protection Agency (2822T), 1200 Pennsylvania Ave., NW, Washington, D.C. 20460. Include the OMB control number in any correspondence. Do not send the completed form to this address.
	SUMMARY OF 40 CFR PARTS 92 AND 1033 STANDARDS AND FEL CAPS
	If Tier is:	And Pollutant is:	And Engine Class is:	Then Part 1033 Year of Original Manufacture is:	Then Part 1033 Std (g/bhp-hr) is:	Part 1033 FEL cap	Then Part 92 Year of Original Manufacture is:	Then Part 92 Std (g/bhp-hr) is:1	Part 92 FEL cap
	Tier 02	NOx	Line-Haul	1973-1992	8.0		before 2001	9.5
			Switch	1973-2001	11.8		before 2001	14.0
		PM	Line-Haul	1973-1992	0.22		before 2001	0.32
			Switch	1973-2001	0.26		before 2001	0.44
	Tier 12	NOx	Line-Haul	1993-2004	7.4	8.0	2002-2004	7.4	9.5
			Switch	2002-2004	11.0	11.8	2002-2004	11.0	14.0
		PM	Line-Haul	1993-2004	0.22	0.22	2002-2004	0.32	0.60
			Switch	2002-2004	0.26	0.26	2002-2004	0.44	0.72
	Tier 22	NOx	Line-Haul	2005-2011	5.5	7.4	2005 or later	5.5	7.4
			Switch	2005-2010	8.1	11.0	2005 or later	8.1	11.0
		PM	Line-Haul	2005-2011	0.10	0.22	2005 or later	0.20	0.45
			Switch	2005-2010	0.13	0.26	2005 or later	0.24	0.54
	Tier 3	NOx	Line-Haul	2012-2014	5.5	5.5
			Switch	2011-2014	5.0	8.1
		PM	Line-Haul	2012-2014	0.10	0.10
			Switch	2011-2014	0.10	0.13
	Tier 4	NOx	Line-Haul	2015 or later	1.3	5.5
			Switch	2015 or later	1.3	5.0
		PM	Line-Haul	2015 or later	0.03	0.10
			Switch	2015 or later	0.03	0.10
		Alternate HC+Nox	Line-Haul	2015 or later	1.4
			Switch	2015 or later	1.4
	1 §92.305(a)(2)(i) ABT standards: Std=0.43 g/kW-hr for Tier 0 and Tier 1 PM line-haul credits; Std=0.59 g/kW-hr for Tier 0 and Tier 1 PM switch credits (.7457*(g/kW-hr) = (g/bhp-hr))
	2 §1033.102(a) and (b): Part 1033 Tier 0 and 1 standards apply for new locomotives beginning 1-1-10. Part 1033 Tier 2 standards apply for new locomotives beginning 1-1-13. Tier 0, 1, and 2 Part 92
	standards apply for earlier model years unless the locomotive is remanufactured. According to §1033.150(a), for the 2009 MY, remanufacturers may remanufacture Tier 0, 1, and 2 locomotives
	to Part 92 standards only if no remanufacture system has been certified to meet the Part 1033 standards. After 2009, this provision applies only to Tier 2 remanufactured locomotives.
	3 Tier 3 and 4 standards apply for the model years specified in the table.
	CREDITS = (Std - FEL) x (1.341) x (UL) x (Production) x (Fp) x (10 -3)
	Notes:
	Tier 0 through 2 Line-Haul must also meet Switch stds.
	Tier 1 and 2 Switch must also meet Line-Haul stds.
	Tier 3 Line-Haul must also meet Tier 2 Switch stds

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Sheet 4: Field Descriptions

	United States
	Environmental Protection Agency
	Office of Air and Radiation, Office of Transportation and Air Quality
	Manufacturer Averaging, Banking, and Trading Report for Locomotives
	Last Revision: August 2018 Version Number: 2.2.1
	Field Descriptions for Current MY Credit Calc Worksheet
		Field	Description
		Engine Family	Enter the 12-character engine family name or test group name.
		Applicable 40 CFR Part	Select whether the engine family is certified under 40 CFR Part 92 or Part 1033.
		Remanufactured? (Y/N)	This field will be automatically populated with "Y" or "N" if the Industry Sector Code (i.e., the fifth character within the engine family name) is "K" or "G", respectively. Note that with respect to the NOx standard, the percentage of freshly manufactured engine families (on a production basis) that are using credits (i.e., with a NOx FEL greater than the standard) cannot exceed 50 percent in 2007 and later.
		Age	Age is the number of years from the date of original manufacture to the date the remanufacture is completed (rounded to the next higher year). Note that for replacement or repower engines, the proration factor should be determined based on the age of the locomotive chassis, not the age of the engine.
		Pollutant	Select the applicable Pollutant (NOx, HC+NOx, or PM) from the drop-down menu.
		Tier	Select the applicable Tier of standards (Tier 0, 1, 2, 3 or 4) from the drop-down menu.
		Engine Class Type	Select the type of cycle-weighted standards that apply to the engine family (or the subset participating in ABT for which credits are being calculated). Please select either Line-haul cycle or Switch cycle from the drop-down menu.
		Power Rating (hp)	Enter the sales-weighted average horsepower of the engine family (or subset of the engine family for which credits are being calculated). This value is necessary for credit calculations if useful life is listed in miles and can be calculated using the Power Rating Calc worksheet. See 40 CFR §92.305(b) and §1033.705(c).
		Useful Life (MW-hrs)	Enter the sales-weighted average useful life in MW-hrs, based on the sales-weighted average horsepower (hp) of the engine family (or subset of the engine family for which credits are being calculated). If useful life is in miles or years, convert to MW-hrs. See the methods for conversion at 40 CFR §92.305(b) and §1033.705(c).
		Production	Enter the number of locomotives or locomotive engines participating in the ABT program within the given engine family during the calendar year (or the number of locomotives or locomotive engines in the subset of the engine family for which credits are being calculated).
		FEL (g/bhp-hr)	Enter the applicable family emission limit (FEL) for the engine family (or subset participating in ABT) in grams per brake horsepower-hour (g/bhp-hr). The number of significant digits for the FEL should be consistent with the standard.
		Proration Factor (Fp)	This field will be automatically calculated based on the Applicable 40 CFR Part, Engine Class Type and Age. This is an estimate of the fraction of a locomotive's service life that remains as a function of age. See Proration Factors worksheet for complete list of relevant factors for both line haul and switch engines. The proration factor is 1.00 for all locomotives that meet the definition of freshly manufactured.
		Standard (g/kW-hr)	This is a predetermined value based on the Tier and engine type.
		Credit Balance	This is a calculated value based on the preceding data. Credits for each engine family are calculated as follows: Credits = (Standard - FEL) x (Useful Life in MW-hrs) x (Production) x (Proration Factor) x (10-3 kW-Mg/MW-g)
		Messages	If a row of data contains an error, the Messages column will display an error message. Otherwise, if applicable, the column will indicate which additional standards the engine family must meet.
		Comments	This field may be used to enter in any additional information regarding special circumstances or characteristics associated with the engine family name or credit calculations. This field is for informational purposes only and would not affect credit calculations or compliance determinations. The information entered may be used to distinguish between multiple entries for a split engine family, identify issues that EPA should be aware of as the data are evaluated, or track characteristics of the engine family name for internal purposes (e.g., identifying configurations, sub-configurations, model names/numbers, etc.).
			Paperwork Reduction Act Notice
			The public reporting and recordkeeping burden for this collection of information is estimated to average 30 hours per response. 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, Collection Strategies Division, U.S. Environmental Protection Agency (2822T), 1200 Pennsylvania Ave., NW, Washington, D.C. 20460. Include the OMB control number in any correspondence. Do not send the completed form to this address.

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Sheet 5: Power Rating Calc

	United States
	Environmental Protection Agency
	Office of Air and Radiation, Office of Transportation and Air Quality
	Manufacturer Averaging, Banking, and Trading Report for Locomotives
Last Revision: August 2018 Version Number: 2.2.1
Calculation of Production-Weighted Average Power for Locomotive Engines
	*The Average Power value corresponding to the final configurantion for a particular engine family is the power value used in the emission credit calculation (Current MY Credit Calc worksheet)
	Engine Family Name	Configuration	Maximum Power Rating (kW)	Production Volume	Cum. Production Volume	Average Power (kW)*	Average Power (hp)*
			Paperwork Reduction Act Notice
			The public reporting and recordkeeping burden for this collection of information is estimated to average 30 hours per response. 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, Collection Strategies Division, U.S. Environmental Protection Agency (2822T), 1200 Pennsylvania Ave., NW, Washington, D.C. 20460. Include the OMB control number in any correspondence. Do not send the completed form to this address.

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Sheet 6: Proration Factors

	United States
	Environmental Protection Agency
	Office of Air and Radiation, Office of Transportation and Air Quality
	Manufacturer Averaging, Banking, and Trading Report for Locomotives
	Last Revision: August 2018 Version Number: 2.2.1
		Proration Factors for Locomotive Engines Certified under 40 CFR Part 92 or 1033
	Part 92 Switch and Line-Haul			Part 1033 Line-Haul			Part 1033 Switch
	Table D305-1 to §92.305 - Proration Factors (Fp)			Table 1 to §1033.705 - Proration Factors (Fp)			Table 2 to §1033.705 - Proration Factors (Fp)
	Age 1	Proration Factor		Age 1	Proration Factor		Age 1	Proration Factor
	1	0.964		1	0.96		1	0.98
	2	0.929		2	0.92		2	0.96
	3	0.893		3	0.88		3	0.94
	4	0.857		4	0.84		4	0.92
	5	0.821		5	0.81		5	0.90
	6	0.786		6	0.77		6	0.88
	7	0.750		7	0.73		7	0.86
	8	0.714		8	0.69		8	0.84
	9	0.679		9	0.65		9	0.82
	10	0.643		10	0.61		10	0.80
	11	0.607		11	0.57		11	0.78
	12	0.571		12	0.54		12	0.76
	13	0.548		13	0.50		13	0.74
	14	0.524		14	0.47		14	0.72
	15	0.500		15	0.43		15	0.70
	16	0.476		16	0.40		16	0.68
	17	0.452		17	0.36		17	0.66
	18	0.429		18	0.33		18	0.64
	19	0.405		19	0.30		19	0.62
	20	0.381		20 +	0.27		20	0.60
	21	0.357					21	0.58
	22	0.333					22	0.56
	23	0.310					23	0.54
	24	0.286					24	0.52
	25	0.268					25	0.50
	26	0.250					26	0.48
	27	0.232					27	0.46
	28	0.214					28	0.44
	29	0.196					29	0.42
	30	0.179					30	0.40
	31	0.161					31	0.38
	32 +	0.143					32	0.36
							33	0.34
							34	0.32
	NOTES:						35	0.30
	1. Age is the number of years from the date of original manufacture to the date the remanufacture is completed (rounded to the next higher year). Note that for replacement or repower engines, the proration factor should be determined based on the age of the locomotive chassis, not the age of the engine.						36	0.28
							37	0.26
							38	0.24
	2. The proration factor is 1.00 for all locomotives that meet the definition of freshly manufactured.						39	0.22
	3. The minimum proration factor for remanufactured locomotives that meet the definition of refurbished but not freshly manufactured is 0.60.						40 +	0.20
	4. For Part 1033 line haul locomotives more than 20 years old, use the proration factor for 20 year old locomotives. For Part 1033 switch locomotives more than 40 years old, use the proration factor for 40 year old locomotives. For Part 92 locomotives more than 32 years old, use the proration factor for 32 year old locomotives.
				Paperwork Reduction Act Notice
				The public reporting and recordkeeping burden for this collection of information is estimated to average 30 hours per response. 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, Collection Strategies Division, U.S. Environmental Protection Agency (2822T), 1200 Pennsylvania Ave., NW, Washington, D.C. 20460. Include the OMB control number in any correspondence. Do not send the completed form to this address.

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Sheet 7: Credit Summary

	United States
	Environmental Protection Agency
	Office of Air and Radiation, Office of Transportation and Air Quality
	Manufacturer Averaging, Banking, and Trading Report for Locomotives
	Last Revision: August 2018 Version Number: 2.2.1
	Credit Summary for the Part 92 and 1033 Locomotive ABT Programs
	MODEL YEAR:
	Manufacturer:
			Part 1033						Part 92					Credit Usage and Averaging								Messages
			NOx		NOx+HC		PM		NOx		PM			# Credits	FROM:				TO (Current MY Balance):
			Line-Haul	Switch	Line-Haul	Switch	Line-Haul	Switch	Line-Haul	Switch	Line-Haul	Switch			CFR Part	Averaging Set	Credit Type	Tier	CFR Part	Averaging Set	Tier
	Credit Balances before Averaging:
	Current MY	Tier 0	0	0			0	0	0	0	0	0
		Tier 1	0	0			0	0	0	0	0	0
		Tier 2	0	0			0	0	0	0	0	0
		Tier 3	0	0			0	0
		Tier 4	0	0	0	0	0	0
	Banked	Tier 0
		Tier 1
		Tier 2
		Tier 3
		Tier 4
	Traded	Tier 0
		Tier 1
		Tier 2
		Tier 3
		Tier 4
	Transferred	Tier 0
		Tier 1
		Tier 2
		Tier 3
		Tier 4
	Credit Balances after Averaging:
	Current MY	Tier 0	0	0			0	0	0	0	0	0
		Tier 1	0	0			0	0	0	0	0	0
		Tier 2	0	0			0	0	0	0	0	0
		Tier 3	0	0			0	0
		Tier 4	0	0	0	0	0	0
	Banked	Tier 0	0	0			0	0	0	0	0	0
		Tier 1	0	0			0	0	0	0	0	0
		Tier 2	0	0			0	0	0	0	0	0
		Tier 3	0	0			0	0
		Tier 4	0	0			0	0
	Traded	Tier 0	0	0			0	0	0	0	0	0
		Tier 1	0	0			0	0	0	0	0	0
		Tier 2	0	0			0	0	0	0	0	0
		Tier 3	0	0			0	0
		Tier 4	0	0			0	0
	Transferred	Tier 0	0	0			0	0	0	0	0	0
		Tier 1	0	0			0	0	0	0	0	0
		Tier 2	0	0			0	0	0	0	0	0
		Tier 3	0	0			0	0
		Tier 4	0	0			0	0
	NOTES
														Paperwork Reduction Act Notice
														The public reporting and recordkeeping burden for this collection of information is estimated to average 30 hours per response. 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, Collection Strategies Division, U.S. Environmental Protection Agency (2822T), 1200 Pennsylvania Ave., NW, Washington, D.C. 20460. Include the OMB control number in any correspondence. Do not send the completed form to this address.