5900-125 AB&T Report for Nonroad Compression Ignition Engine

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Overview

Current MY Credit Calc
Current MY Credit Calc -MANUAL
Field Descriptions
Credit Transfers-Tier 2&3
Credit Transfers-Tier 4
Summary-NMHC+NOx
Summary-PM
Instructions

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Sheet 1: Current MY Credit Calc

	United States
	Environmental Protection Agency
	Office of Transportation and Air Quality
	Manufacturer Averaging, Banking, and Trading Report for Nonroad CI Engines
	Last Revision: December 2015 Version Number 3.6
	Current Model Year Credit Calculations
	Model Year:
	Engine Family Name or Test Group	Tier in Effect	If Tier 2, Reserved for Future Use?	Do Tier 4 Alternative Compliance Options Apply? (Y/N)	An indication of whether the engine family is a generator set only applies if the engines are greater than 560 kW. Gen Sets? (Y/N)	These engines may not generate either PM or NMHC+NOx credits but the manufacturer may use credits under the ABT program to ensure that these engines are in compliance (see 40 CFR 1039.101(c) and Table 1 of 40 CFR 1039.102). If "Y" is selected, it is assumed that the alternate PM standard of 0.6 g/kW-hr applies. If the regular Tier 4 PM standard of 0.4 g/kW-hr applies, please select "N". Air Cooled, hand-startable, and direct injection? (Tier 4 and <8 kW engines only)	Average Power (kW)	Parameter	Averaging Set	FEL (g/kW-hr)	See 89.206(b)(4): Emission credits generated from engines rated at or above 19 kW utilizing indirect fuel injection may not be traded. Indirect Fuel Injection - Tier 2/3 only (Y/N)	Useful Life (Hours)	Do not include engines sold to equipment or vehicle manufacturers under the provisions of 89.102(g) (e.g., those that are not subject to the standards to address the need for compliance flexibility or hardship). Production Volume (actual sales/ production) (S)	This fraction must be greater than 0.50 to allow for the inclusion of untracked engines in the credit calculations. EPA accepts projections of untracked nonroad engines when at least 50 percent of the engines have actually been tracked to the point of first retail sale. If this fraction is at or above 0.90, no adjustment factor is necessary. Percent of Total Production that is Tracked (T)	This percentage represents the portion of tracked production volume that is sold within the U.S. Percent of Tracked Production that is Sold within U.S. (U)	This factor adjusts the number of untracked engines that are eligible to participate in ABT depending on the percent of overall sales that can be tracked. If the percent of untracked engines exceeds 50%, then only tracked engines are eligible to participate in the ABT program. If the percent of untracked engines is less than 10%, then no adjustment factor is applied. NOx Tracking Adjustment Factor (F)	Production Volume Used in Credit Calculations (V)	Tier 2/3 Applicable Standard (g/kW-hr)	Tier 4 Applicable Standard (g/kW-hr)	NOx or NMHC+NOx Averaging Credits Generated or Used	PM Averaging Credits Generated or Used	Messages	Comments
										Engine Families Using Credits: V = (S*T*U) + [(S*(1-T)*(U+(1-U)*(1-F))]					If T >= 0.70 but < 0.90, then F = (0.50) * (T) + (0.55)
										Engine Families Generating Credits: V = (S*T*U) + [(S*(1-T)*U*F)]					If T >= 0.50 but < 0.70, then F = (2.0) * (T) - (0.50)
															If T < 0.50, then F = 0
															if T >= 0.90, then F = 1
									Averaging Sets - NMHC + NOx Credits											≤ 560 kW Averaging Set		> 560 kW Averaging Set
									> 19 kW	Indirect Fuel Injection (> 19 kW)	< 19 kW	> 19 kW (marine diesel)	Indirect Fuel Injection (> 19 kW marine diesel)	< 19 kW (marine diesel)						≤ 560 kW NOx Credits	≤ 560 kW NMHC+NOx Credits	> 560 KW NOx Credits
		Current MY Credits (all credits generated and used)														Current MY Tier 4 Credits (all credits generated and used)				0.00	0.00	0.00
		Tier 2 Credits - not reserved for potential use in Tier 4							0.00	0.00	0.00	0.00	0.00	0.00
		Tier 2 Credits - reserved for potential use in Tier 4							0.00	0.00	0.00	0.00	0.00	0.00
		Tier 3 Credits							0.00	0.00		0.00	0.00							Averaging Set - PM Credits
		TOTAL CURRENT MY CREDITS AVAILABLE FOR AVERAGING (Tier 2 and 3 Credits not reserved)							0.00	0.00	0.00	0.00	0.00	0.00						> 560 KW	≤ 560 kW
																Current MY Tier 4 Credits (all credits generated and used)				0.00	0.00
									Averaging Sets - PM Credits
									> 19 kW	Indirect Fuel Injection (> 19 kW)	< 19 kW	> 19 kW (marine diesel)	Indirect Fuel Injection (> 19 kW marine diesel)	< 19 kW (marine diesel)
		Current MY Credits (all credits generated and used)															Paperwork Reduction Act Notice
		Tier 2 Credits - not reserved for potential use in Tier 4							0.00	0.00	0.00	0.00	0.00	0.00			The public reporting and recordkeeping burden for this collection of information is estimated to average 43 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.
		Tier 2 Credits - reserved for potential use in Tier 4							0.00	0.00	0.00	0.00	0.00	0.00
		Tier 3 Credits							0.00	0.00		0.00	0.00
		TOTAL CURRENT MY CREDITS AVAILABLE FOR AVERAGING (Tier 2 and 3 Credits not reserved)							0.00	0.00	0.00	0.00	0.00	0.00

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Sheet 2: Current MY Credit Calc -MANUAL

	United States
	Environmental Protection Agency
	Office of Transportation and Air Quality
	Manufacturer Averaging, Banking, and Trading Report for Nonroad CI Engines
	Last Revision: December 2015 Version Number 3.6
	Current Model Year Credit Calculations - MANUAL
	Model Year:
	Engine Family Name or Test Group	Tier in Effect	If Tier 2, Reserved for Future Use?	Do Tier 4 Alternative Compliance Options Apply? (Y/N)	An indication of whether the engine family is a generator set only applies if the engines are greater than 560 kW. Gen Sets? (Y/N)	These engines may not generate either PM or NMHC+NOx credits but the manufacturer may use credits under the ABT program to ensure that these engines are in compliance (see 40 CFR 1039.101(c) and Table 1 of 40 CFR 1039.102). If "Y" is selected, it is assumed that the alternate PM standard of 0.6 g/kW-hr applies. Air Cooled, hand-startable, and direct injection? (Tier 4 and <8 kW engines only)	Average Power (kW)	Parameter	Averaging Set	FEL (g/kW-hr)	See 89.206(b)(4): Emission credits generated from engines rated at or above 19 kW utilizing indirect fuel injection may not be traded. Indirect Fuel Injection - Tier 2/3 only (Y/N)	Useful Life (Hours)	Do not include engines sold to equipment or vehicle manufacturers under the provisions of 89.102(g) (e.g., those that are not subject to the standards to address the need for compliance flexibility or hardship). Production Volume (actual sales/ production) (S)	This fraction must be greater than 0.50 to allow for the inclusion of untracked engines in the credit calculations. EPA accepts projections of untracked nonroad engines when at least 50 percent of the engines have actually been tracked to the point of first retail sale. If this fraction is at or above 0.90, no adjustment factor is necessary. Percent of Total Production that is Tracked (T)	This percentage represents the portion of tracked production volume that is sold within the U.S. Percent of Tracked Production that is Sold within U.S. (U)	This factor adjusts the number of untracked engines that are eligible to participate in ABT depending on the percent of overall sales that can be tracked. If the percent of untracked engines exceeds 50%, then only tracked engines are eligible to participate in the ABT program. If the percent of untracked engines is less than 10%, then no adjustment factor is applied. NOx Tracking Adjustment Factor (F)	Production Volume Used in Credit Calculations (V)	Tier 2/3 Applicable Standard (g/kW-hr)	Tier 4 Applicable Standard (g/kW-hr)	NOx or NMHC+NOx Averaging Credits Generated or Used	PM Averaging Credits Generated or Used	Messages	Comments
										Engine Families Using Credits: V = (S*T*U) + [(S*(1-T)*(U+(1-U)*(1-F))]					If T >= 0.70 but < 0.90, then F = (0.50) * (T) + (0.55)
										Engine Families Generating Credits: V = (S*T*U) + [(S*(1-T)*U*F)]					If T >= 0.50 but < 0.70, then F = (2.0) * (T) - (0.50)
															If T < 0.50, then F = 0
															if T >= 0.90, then F = 1
									Averaging Sets - NMHC + NOx Credits											≤ 560 kW Averaging Set		> 560 kW Averaging Set
									> 19 kW	Indirect Fuel Injection (> 19 kW)	< 19 kW	> 19 kW (marine diesel)	Indirect Fuel Injection (> 19 kW marine diesel)	< 19 kW (marine diesel)						≤ 560 kW NOx Credits	≤ 560 kW NMHC+NOx Credits	> 560 KW NOx Credits
		Current MY Credits (all credits generated and used)														Current MY Tier 4 Credits (all credits generated and used)				0.00	0.00	0.00
		Tier 2 Credits - not reserved for potential use in Tier 4							0.00	0.00	0.00	0.00	0.00	0.00
		Tier 2 Credits - reserved for potential use in Tier 4							0.00	0.00	0.00	0.00	0.00	0.00
		Tier 3 Credits							0.00	0.00		0.00	0.00							Averaging Set - PM Credits
		TOTAL CURRENT MY CREDITS AVAILABLE FOR AVERAGING (Tier 2 and 3 Credits not reserved)							0.00	0.00	0.00	0.00	0.00	0.00						> 560 KW	≤ 560 kW
																Current MY Tier 4 Credits (all credits generated and used)				0.00	0.00
									Averaging Sets - PM Credits
									> 19 kW	Indirect Fuel Injection (> 19 kW)	< 19 kW	> 19 kW (marine diesel)	Indirect Fuel Injection (> 19 kW marine diesel)	< 19 kW (marine diesel)
		Current MY Credits (all credits generated and used)														Paperwork Reduction Act Notice
		Tier 2 Credits - not reserved for potential use in Tier 4							0.00	0.00	0.00	0.00	0.00	0.00		The public reporting and recordkeeping burden for this collection of information is estimated to average 43 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.
		Tier 2 Credits - reserved for potential use in Tier 4							0.00	0.00	0.00	0.00	0.00	0.00
		Tier 3 Credits							0.00	0.00		0.00	0.00
		TOTAL CURRENT MY CREDITS AVAILABLE FOR AVERAGING (Tier 2 and 3 Credits not reserved)							0.00	0.00	0.00	0.00	0.00	0.00

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Sheet 3: Field Descriptions

United States
Environmental Protection Agency
Office of Transportation and Air Quality
Manufacturer Averaging, Banking, and Trading Report for Nonroad CI Engines
	Last Revision: December 2015 Version Number 3.6
	Field Descriptions for Current MY Credit Calc
	Fields (Current MY Credit Calc)	Description
	Engine Family Name or Test Group	Enter the 12-character engine family name or test group name.
	Tier in Effect	Select Tier 2, 3 or 4 based on the standards that apply to the engine family.
	If Tier 2, Reserved for Future Use?	If the engine family or test group is subject to Tier 2, but will be reserved for future use in Tiers 3 or 4, select "Y" from the drop-down menu.
	Do Tier 4 Alternative Compliance Options Apply? (Y/N)	Select "Y" from the dropdown menu if alternative compliance options apply. If an alternative compliance option(s) apply (including alternate standards, alternate FELs, Temporary Compliance Adjustment Factors (TCAF), etc.), use the Current MY Credit Calc-MANUAL worksheet. The credits from both Current MY Credit Calc worksheets will be reflected in the corresponding averaging set in the Summary worksheets. The Manual worksheet allows the user to enter in both the standards and FELs for the engine family. NOTE: If TCAF applies, please adjust the FEL accordingly and insert a note in the "Comments" field to describe the adjustment.
	Gen Sets? (Y/N)	Select "Y" from the dropdown menu if the engine family consists of generator sets. This option only applies to engine families with a power rating above 560 kW.
	Air Cooled, hand-startable, and direct injection? (Tier 4 and <8 kW engines only)	Select "Y" from the dropdown menu if the engine family consists of hand-startable, air-cooled, direct injection engines below 8 kW subject to Tier 4 standards. The term hand-startable generally refers to engines that are started using a hand crank or pull cord. Note that these engines may not generate either PM or NMHC+NOx credits but the manufacturer may use credits under the ABT program to ensure that these engines are in compliance (see 40 CFR 1039.101(c) and Table 1 of 40 CFR 1039.102). If "Y" is selected, it is assumed that the alternate PM standard of 0.6 g/kW-hr applies. If the regular Tier 4 PM standard of 0.4 g/kW-hr applies, please select "N".
	Average Power (kW)	Enter the average power rating of all configurations within the engine family, calculated on a U.S. volume sales-weighted basis.
	Parameter	Select the applicable parameter: NOx, NMHC + NOx or PM
	Averaging Set	Selected the applicable averaging set: 1) At or above 19 kW (Tier 2 &3); 2) Below 19 kW (Tier 2 ); 3) At or above 19 kW (marine diesel only) (Tier 2 & 3); 4) Below 19 kW (marine diesel only) (Tier 2); 5) Above 560 kW (Tier 4);or 6) At or below 560 kW (Tier 4). Note that for Tier 2/3 engine families, manufacturers are allowed to use credits generated on marine engines to demonstrate compliance for land-based applications, but not vice versa.
	FEL (g/kW-hr)	Enter the applicable NOx, NMHC + NOx or PM family emission limit (FEL) for the engine family. This value should not exceed the applicable FEL caps under Part 89 or 1039.
	Indirect Fuel Injection - Tier 2/3 only (Y/N)	If the engine family is subject to Tier 2 or 3 standards under Part 89, select Y or N to indicate whether the engine family uses indirect fuel injection. Under 89.206(b)(4) emission credits generated from engines rated at or above 19 kW utilizing indirect fuel injection may not be traded to other manufacturers.
	Useful Life (Hours)	Enter the useful life for the engine family in hours.
	Production Volume (actual sales/production) (S)	Enter the number of nonroad engines produced and sold within the given engine family for the current model year. Do not include engines sold to equipment or vehicle manufacturers that are exempt from the standards to address hardship issues or the need for implementation flexibility. Note that this value corresponds to the variable "S" in the tracking calculations as shown directly below the data entry cells.
	Percent of Total Production that is Tracked (T)	Enter the fraction of the "Production Volume" that can be tracked to the point of first retail sale. If this fraction is greater than 0.50 untracked engines may be included in the credit calculations. EPA accepts projections of untracked nonroad engines when at least 50 percent of the engines have actually been tracked to the point of first retail sale. If the percent of tracked engines is at or above 90 percent, no adjustment will be made to untracked engines. Note that this value corresponds to the variable "T" in the tracking calculations as shown directly below the data entry cells.
	Percent of Tracked Production that is Sold within U.S. (U)	Of those that can be tracked, enter the fraction that were sold domestically within the United States. Note that this value corresponds to the variable "U" in the tracking calculations as shown directly below the data entry cells.
	NOx Tracking Adjustment Factor (F)	This factor is calculated automatically in the Current MY Credit Calc worksheet (if using the 'MANUAL' worksheet, this value is entered by the user). The factor is based on the "Percent of Total Production that is Tracked" and adjusts the number of untracked engines that are eligible to participate in ABT depending on the percent of overall sales that can be tracked. If the percent of untracked engines exceeds 50%, then only tracked engines are eligible to participate in the ABT program. If the percent of untracked engines is less than 10%, then no adjustment factor is applied. Note that this value corresponds to the variable "F" in the tracking calculations as shown directly below the data entry cells.
	Production Volume Used in Credit Calculations (V)	This value is calculated automatically in the Current MY Credit Calc worksheet (if using the 'MANUAL' worksheet, it is entered by the user). This value represents the production volume eligible to participate in the ABT program and it is the number that is used to calculate the credit balance. Note that this value corresponds to the variable "V" in the tracking calculations as shown directly below the data entry cells.
	Tier 2/3 Applicable Standard (g/kW-hr)	The standard is automatically populated in the Current MY Credit Calc worksheet (if using the 'MANUAL' worksheet, the standard is entered by the user) and is based on the Tier, Average Power Rating and Parameter. See Table 1 at 63 FR 57001.
	Tier 4 Applicable Standard (g/kW-hr)	The standard is automatically populated in the Current MY Credit Calc worksheet (if using the 'MANUAL' worksheet, the standard is entered by the user) and is based on the Tier, Average Power Rating and Parameter. See Table 1 at 63 FR 57001.
	NOx or NMHC+NOx Averaging Credits Generated or Used	Credits are calculated automatically in the Current MY Credit Calc worksheet (if using the 'MANUAL' worksheet, it is entered by the user) and represents the product of: 1) the difference between the NOx + NMHC standard and the FEL; 2) production volume; 3) average power rating; and 4) useful life.
	PM Averaging Credits Generated or Used	Credits are calculated automatically in the Current MY Credit Calc worksheet (if using the 'MANUAL' worksheet, it is entered by the user) and represents the product of: 1) the difference between the PM standard and the FEL; 2) production volume; 3) average power rating; and 4) useful life.
	Messages	If any of the entered data are incompatible or inconsistent with the program requirements and/or limitations, a note will be automatically displayed in this field. These messages are intended to help identify inconsistencies between the data entered for Tier, Average Power Rating, Averaging Set, and FEL, and are incorporated into both the automatic and manual worksheets.
	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 43 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 (2060-0287) in any correspondence. Do not send the completed form to this address.

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Sheet 4: Credit Transfers-Tier 2&3

	United States
	Environmental Protection Agency
	Office of Transportation and Air Quality
	Manufacturer Averaging, Banking, and Trading Report for Nonroad CI Engines
	Last Revision: December 2015 Version Number 3.6
	Credit Transfers - Tier 2 & 3
	Credits Purchased
		MY when Credits Earned	Tier in Effect	If Tier 2, Reserved for Future Use?	Averaging Set	Parameter	Date of Transfer	Provider	Recipient	Quantity of Credits Purchased		Summary of Credit Transfers by Averaging Set
												Averaging Set		Purchased	Sold	Net
												NMHC + NOx Credits	Tier 2 < 19 kW	0.0	0.0	0.0
													Tier 2 < 19 kW - res. for Tier 4	0.0	0.0	0.0
													Tier 2 < 19 kW (Marine)	0.0	0.0	0.0
													Tier 2 < 19 kW (Marine) - res. for Tier 4	0.0	0.0	0.0
													Tier 2 > 19 kW	0.0	0.0	0.0
													Tier 2 > 19 kW - res. for Tier 4	0.0	0.0	0.0
													Tier 3 > 19 kW	0.0	0.0	0.0
													Tier 2 > 19 kW (Marine)	0.0	0.0	0.0
													Tier 2 > 19 kW (Marine) - res. for Tier 4	0.0	0.0	0.0
													Tier 3 > 19 kW (Marine)	0.0	0.0	0.0
												PM Credits	Tier 2 < 19 kW	0.0	0.0	0.0
													Tier 2 < 19 kW - res. for Tier 4	0.0	0.0	0.0
													Tier 2 < 19 kW (Marine)	0.0	0.0	0.0
													Tier 2 < 19 kW (Marine) - res. for Tier 4	0.0	0.0	0.0
													Tier 2 > 19 kW	0.0	0.0	0.0
													Tier 2 > 19 kW - res. for Tier 4	0.0	0.0	0.0
													Tier 3 > 19 kW	0.0	0.0	0.0
													Tier 2 > 19 kW (Marine)	0.0	0.0	0.0
													Tier 2 > 19 kW (Marine) - res. for Tier 4	0.0	0.0	0.0
													Tier 3 > 19 kW (Marine)	0.0	0.0	0.0
	Credits Sold
		MY when Credits Earned	Tier in Effect	If Tier 2, Reserved for Future Use?	Averaging Set	Parameter	Date of Transfer	Provider	Recipient	Quantity of Credits Sold
		NOTE 1: Emission credits generated from Engines rated at or above 19 kW utilizing indirect fuel injection may not be traded to other manufacturers.
		(See 89.206(b)(4))
		NOTE 2: Emission credits may be exchanged between nonroad manufacturers within the same averaging set.
		(See 89.206(a))
								Paperwork Reduction Act Notice
								The public reporting and recordkeeping burden for this collection of information is estimated to average 43 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 (2060-0287) in any correspondence. Do not send the completed form to this address.

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Sheet 5: Credit Transfers-Tier 4

United States

Environmental Protection Agency

Office of Transportation and Air Quality

Manufacturer Averaging, Banking, and Trading Report for Nonroad CI Engines

Last Revision: December 2015 Version Number 3.6

Credit Transfers - Tier 4

Credits Purchased

MY when Credits Earned

Averaging Set

Parameter

Date of Transfer

Provider

Recipient

Quantity of Credits Purchased

Summary of Credit Transfers by Averaging Set

Averaging Set

Purchased

Sold

Net

NOx Credits

> 560 kW

0.0

0.0

0.0

≤ 560 kW

0.0

0.0

0.0

NMHC+NOx Credits

≤ 560 kW

0.0

0.0

0.0

PM Credits

> 560 kW

0.0

0.0

0.0

≤ 560 kW

0.0

0.0

0.0

Credits Sold

MY when Credits Earned

Averaging Set

Parameter

Date of Transfer

Provider

Recipient

Quantity of Credits Sold

Paperwork Reduction Act Notice

The public reporting and recordkeeping burden for this collection of information is estimated to average 43 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 (2060-0287) in any correspondence. Do not send the completed form to this address.

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Sheet 6: Summary-NMHC+NOx

	United States
	Environmental Protection Agency
	Office of Transportation and Air Quality
	Manufacturer Averaging, Banking, and Trading Report for Nonroad CI Engines
	Last Revision: December 2015 Version Number 3.6
	Summary - NMHC + NOx
	Model Year:	Manufacturer:	Averaging Set									Credit Usage and Averaging
			NOx/NMHC+NOx Credits - Tier 2 and 3						NOx/NMHC+NOx Credits - Tier 4			Number of Credits to be Applied **	FROM						TO				Messages	FROM	TO
			> 19 kW	Indirect Fuel Injection (> 19 kW)	< 19 kW	> 19 kW (marine diesel)	Indirect Fuel Injection (> 19 kW marine diesel)	< 19 kW (marine diesel)	> 560 kW	< 560 kW			Tier	Parameter	Type	Averaging Set	Indirect Fuel Injection? (Tiers 1, 2, or 3 only)	Reserved? (Tier 2)	Tier	Parameter	Averaging Set	Indirect Fuel Injection? (Tiers 1, 2, or 3 only)		Credits Subtracted	Credits Added
																								0	0
	Credit Balances before Averaging:																							0	0
		Credits Acquired via Trading Activity																						0	0
		Tier 2 NMHC+NOx Credits acquired via trading																						0	0
		Tier 2 NMHC+NOx Credits acquired via trading - previously reserved for Tier 4																						0	0
		Tier 3 NMHC+NOx and Tier 4 NOx Credits acquired via trading																						0	0
		Tier 4 NMHC+NOx Credits																						0	0
		Credits Carried Over from Previous Model Years																						0	0
		Tier 1 (NOx only) credits																						0	0
		Tier 2 NMHC+NOx credits - not reserved for Tier 4																						0	0
		Tier 2 NMHC+NOx credits - previously reserved for Tier 4																						0	0
		Tier 3 NMHC+NOx credits and Tier 4 NOx credits																						0	0
		Tier 4 NMHC+NOx Credits																						0	0
		Current MY Credits Generated and Used																						0	0
		Tier 2 NMHC+NOx credits - not reserved for Tier 4																						0	0
		Tier 2 NMHC+NOx credits - potentially reserved for Tier 4																						0	0
		Tier 3 NMHC+NOx credits and Tier 4 NOx credits																						0	0
		Tier 4 NMHC+NOx Credits																						0	0
																								0	0
	Summary of Credit Balances:																							0	0
		Credits Acquired via Trading Activity																						0	0
		Tier 2 NMHC+NOx Credits acquired via trading																						0	0
		Tier 2 NMHC+NOx Credits acquired via trading - previously reserved for Tier 4																						0	0
		Tier 3 NMHC+NOx and Tier 4 NOx Credits acquired via trading																						0	0
		Tier 4 NMHC+NOx Credits																						0	0
		Credits Carried Over from Previous Model Years																						0	0
		Tier 1 (NOx only) credits																						0	0
		Tier 2 NMHC+NOx credits																						0	0
		Tier 2 NMHC+NOx credits - previously reserved for Tier 4																						0	0
		Tier 3 NMHC+NOx credits and Tier 4 NOx credits																						0	0
		Tier 4 NMHC+NOx Credits																						0	0
		Current MY Credits
		Tier 2 NMHC+NOx credits (not reserved for potential Tier 4 use)										** Note: Credits from Tiers 2 and 3 averaging sets at or above 19 kW should only be applied to the Tier 4 averaging set above 560 kW if the engines families from which credits are being applied are rated above 560 kW.
		Tier 2 NMHC+NOx credits - previously reserved for Tier 4
		Tier 3 NMHC+NOx credits and Tier 4 NOx credits
		Tier 4 NMHC+NOx Credits
	Final Credit Balances
		FINAL Tier 1 (NOx only) Balance available for Banking/Trading *	0.0	0.0		0.0	0.0
		FINAL Tier 2 (NMHC+NOx) Balance available for Banking/Trading * (not reserved)	0.0	0.0	0.0	0.0	0.0	0.0
		FINAL Tier 2 NMHC+NOx credits reserved for potential use in Tier 4	0.0	0.0	0.0	0.0	0.0	0.0
		FINAL Tier 3 (NMHC+NOx) Balance available for Banking/Trading *	0.0	0.0		0.0	0.0
		FINAL Tier 4 (NOx) Balance available for Banking/Trading							0.0	0.0
		FINAL Tier 4 (NMHC+NOx) Balance available for Banking/Trading								0.0
		* Credits generated from engines at or above 19 kW using Indirect Fuel Injection are not eligible for trading.
				Paperwork Reduction Act Notice
				The public reporting and recordkeeping burden for this collection of information is estimated to average 43 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 (2060-0287) in any correspondence. Do not send the completed form to this address.

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Sheet 7: Summary-PM

	United States
	Environmental Protection Agency
	Office of Transportation and Air Quality
	Manufacturer Averaging, Banking, and Trading Report for Nonroad CI Engines
	Last Revision: December 2015 Version Number 3.6
	Summary - PM
	Model Year:	Manufacturer:	Averaging Set									Credit Usage and Averaging
			PM Credits - Tier 2 and 3						PM Credits - Tier 4			Number of Credits to be Applied **	FROM					TO			Messages	FROM	TO
			> 19 kW	Indirect Fuel Injection (> 19 kW)	< 19 kW	> 19 kW (marine diesel)	Indirect Fuel Injection (> 19 kW marine diesel)	< 19 kW (marine diesel)	> 560 kW	< 560 kW			Tier	Type	Averaging Set	Indirect Fuel Injection? (Tiers 2 or 3 only)	Reserved? (Tier 2)	Tier	Averaging Set	Indirect Fuel Injection? (Tiers 2 or 3 only)		Credits Subtracted	Credits Added
																						0	0
	Credit Balances before Averaging:																					0	0
		Credits Acquired via Trading Activity																				0	0
		Tier 2 PM Credits acquired via trading																				0	0
		Tier 2 PM Credits acquired via trading - previously reserved for Tier 4																				0	0
		Tier 3 and Tier 4 PM Credits acquired via trading																				0	0
		Credits Carried Over from Previous Model Years																				0	0
		Tier 2 PM credits - not reserved for Tier 4																				0	0
		Tier 2 PM credits - previously reserved for Tier 4																				0	0
		Tier 3 and Tier 4 PM credits																				0	0
		Current MY Credits Generated and Used																				0	0
		Tier 2 PM credits - not reserved for Tier 4																				0	0
		Tier 2 PM credits - potentially reserved for Tier 4																				0	0
		Tier 3 and Tier 4 PM credits																				0	0
																						0	0
																						0	0
	Summary of Credit Balances:																					0	0
		Credits Acquired via Trading Activity																				0	0
		Tier 2 PM Credits acquired via trading																				0	0
		Tier 2 PM Credits acquired via trading - previously reserved for Tier 4																				0	0
		Tier 3 and Tier 4 PM Credits acquired via trading																				0	0
		Credits Carried Over from Previous Model Years																				0	0
		Tier 2 PM credits																				0	0
		Tier 2 PM credits - previously reserved for Tier 4																				0	0
		Tier 3 and Tier 4 PM credits																				0	0
		Current MY Credits																				0	0
		Tier 2 PM credits (not reserved for potential Tier 4 use)																				0	0
		Tier 2 PM credits - previously reserved for Tier 4																				0	0
		Tier 3 and Tier 4 PM credits																				0	0
																						0	0
																						0	0
	Final Credit Balances
		FINAL Tier 2 PM Balance available for Banking/Trading * (not reserved)	0.0	0.0	0.0	0.0	0.0	0.0				** Note: Credits from Tiers 2 and 3 averaging sets above 19 kW should only be applied to the Tier 4 averaging set above 560 kW if the engines families from which credits are being applied are rated at or above 560 kW.
		FINAL Tier 2 PM credits reserved for potential use in Tier 4	0.0	0.0	0.0	0.0	0.0	0.0
		FINAL Tier 3 PM Balance available for Banking/Trading *	0.0	0.0		0.0	0.0
		FINAL Tier 4 PM Balance available for Banking/Trading							0.0	0.0
		* Credits generated from engines at or above 19 kW using Indirect Fuel Injection are not eligible for trading.
			Paperwork Reduction Act Notice
			The public reporting and recordkeeping burden for this collection of information is estimated to average 43 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 (2060-0287) in any correspondence. Do not send the completed form to this address.

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Sheet 8: Instructions

	United States
	Environmental Protection Agency
	Office of Transportation and Air Quality
	Manufacturer Averaging, Banking, and Trading Report for Nonroad CI Engines
	Last Revision: December 2015 Version Number 3.6
	Instructions
	I. Background A major component of the final rule for nonroad diesel engines is the averaging, banking, and trading (ABT) program for NOx, NMHC + NOx, and PM. Manufacturers must track the implementation of these provisions based on the model year, engine family, and the NOx, NMHC + NOx, or PM level to which the engine family is certified. In order to help streamline and standardize the process by which manufacturers submit information related to credits or deficits under the ABT program, EPA has created an Excel-based template to assist manufacturers with the organization, presentation, and submittal of their annual reports for Model Year (MY) 2009 and beyond. This reporting template covers engine families subject to the ABT reporting requirements under 40 CFR Part 89 (Tier 2 and 3) as well as 40 CFR Part 1039 (Tier 4).
	II. Reporting Template The Excel file contains seven worksheets: "Current MY Credit Calc," "Current MY Credit Calc – MANUAL," "Field Descriptions," "Credit Transfers – Tier 2 & 3" "Credit Transfers – Tier 4," "Summary – NMHC + NOx," and "Summary – PM." ● Current MY Credit Calc: This worksheet contains 23 fields, which apply to all of the information required to calculate credits for each engine family and track the overall credit balances for each nonroad averaging set. The first 15 columns are the fields that require data entry or input from the manufacturer. The next seven columns (highlighted in light green) are preset or calculated values based on the data entered and cannot be modified manually. One of these columns (Messages) indicates whether the data entered are inconsistent with the program requirements or limitations. There is one additional column to the right of these seven columns. This column (Comments) allows for the entry of any additional comments or notes that may apply to the data or credit calculation associated with the engine family. This worksheet only applies to calculations for the model year selected (2009 and beyond). There are filters for each column that can be used to filter or sort by clicking on the arrow within the column header.
	● Current MY Credit Calc – MANUAL: This worksheet contains the same fields and format as the Current MY Credit Calc worksheet, but incorporates automatic calculations or preset values for only three of the fields. This worksheet should be used only when there are unique circumstances (e.g., split engine families, alternative compliance options, etc.) that the automatic calculations in the Current MY Credit Calc worksheet are unable to process accurately. In this worksheet, with the exception of the parameter-specific credit totals and the Messages column, all columns allow for data entry or input from the user. The totals in the summary section below the data entry cells are automatically calculated by average set and parameter. The totals within this worksheet will be automatically reflected in the corresponding Summary sheet totals for both NMHC + NOx and PM. Note that as with the Current MY Credit Calc worksheet, filters may be used within each column by clicking on the arrow within the column header.
	● Field Descriptions: This worksheet contains detailed notes on each of the 23 fields in the first two worksheets, including a description of the required data or information, how the data should be entered, the existence of any drop-down menus, and any other information that would be relevant to that field (including whether the field is a calculated value based on preceding entries in the spreadsheet).
	● Credit Transfers – Tier 2 & 3: This worksheet summarizes any credit transfers for Tier 2 and Tier 3 that have occurred between manufacturers. The use of this worksheet will not be necessary in cases where the manufacturer has not transferred any credits to a separate entity. ● Credit Transfers – Tier 4: This worksheet summarizes any credit transfers for Tier 4 that have occurred between manufacturers. The use of this worksheet will not be necessary in cases where the manufacturer has not transferred any credits to a separate entity.
	● Summary – NMHC + NOx: This worksheet provides an overall summary of the nonroad NMHC + NOx and NOx credits that are reflected within the Current MY worksheets and/or the Credit Transfers worksheets and allows the manufacturer to enter in credits from previous model years so that banked credits may be properly applied and compared to Current MY credits. This worksheet allows the manufacturer to outline how credits will be used to document compliance with the NMHC + NOx standards. The Credit Usage and Averaging section to the right of the Summary of Credit Balances (both before and after averaging), should be used to apply credits from one Tier or Averaging Set to another. If the data entered in the Credit Usage and Averaging section is inconsistent with program requirements or limitations, a note will appear within the Messages column. For example, there are limitations on the application of previously banked Tier 1 NOx credits, which may not be applied to (i.e., averaged with) credits or deficits associated with Tier 4. In addition, Tier 2 or 3 credits that are applied to Tier 4 balances are subject to a 20 percent discount. Any discounts or limitations are integrated into the Summary of Credit Balances and Final Credit Balances sections.
	● Summary – PM: This worksheet provides an overall summary of the nonroad PM credits that have been calculated from the first worksheet or entered into the second worksheet and allows the manufacturer to enter in credits from previous model years so that banked credits can be properly applied and compared to current model year credits. The same approach described above for the Summary – NMHC + NOx worksheet also applies to this worksheet.
	III. Entering Data for the Current Model Year Several fields have drop-down menus within the data entry cells. These menus provide a specific set of choices and using this list, you may select the applicable option for each line item entry. The arrow for the drop-down menu is displayed within each cell. Filters are also available and allow you to view a specific subset of data (e.g., Tier 2 entries only). The filters can be used by clicking the arrow within the header.
	Step 1: Enter in the appropriate information for each data element in the first 15 columns of the "Current MY Credit Calc" worksheet. The next seven columns in this worksheet (highlighted in light green) are calculated or preset values based on the information and data entered in the first 15 columns. If special circumstances require additional flexibility for the credit calculations (e.g., split engine families), enter in relevant data for the fields within the "Current MY Credit Calc – MANUAL" worksheet (the totals will be automatically reflected in the appropriate Summary worksheet). Each engine family (or portion of each engine family) that is subject to a specific standard or averaging set, should have its own separate line item entry. Ensure that the Tier, Average Power Rating, Averaging Set, and FEL are compatible for each entry. Within both the automatic and manual worksheets, a note will appear in the "Message" column if data and/or field selections are inconsistent with program requirements or limitations. For example, if Tier 1 and NOx are selected, but the Average Power Rating is at or below 560 kW, a note will appear in the "Message" column that highlights the incompatibility of the averaging set and power rating. Based on the information you enter, the "Current MY Credit Calc" worksheet will calculate the corresponding credit balances for the engine family. Below the data entry rows, the current model year credit totals are summarized based on the Tier, averaging set, and parameter. Note that any extra rows that do not contain any data, can be left blank. If additional rows are needed, please contact EPA for a revised form and specify how many entries/rows will be required.
	Step 2: If any transfer of credits/deficits have occurred with another manufacturer, enter all relevant information into the fields listed in the appropriate "Credit Transfer" (Tiers 2 & 3 or Tier 4) worksheet.
	IV. Summary of NOx and NMHC + NOx Credits The "Summary – NMHC + NOx" worksheet contains a summary of all NOx and NMHC + NOx credits and deficits (both banked and current year) and allows for the application of these credits to current model year balances. The initial step requires the entry of carryover or traded credit and deficit balances. The process of applying and averaging these existing credits with current model year credits is summarized in the second step below. In this worksheet, any cells that are highlighted with a color will be automatically populated based on information in the "Current MY Credit Calc," "Current MY Credit Calc – MANUAL," "Credit Transfers – Tier 2 & 3," or "Credit Transfers – Tier 4" worksheets or from other data in this summary worksheet. Any cell that is gray indicates that data entry is not applicable or required.
	Step 1: Credit Balances Before Averaging: Enter any carryover credit balances from prior years. Note that current model year credits and credits acquired or sold through trading activity are automatically populated in this summary sheet based on data entered and calculated within the "Current MY Credit Calc," "Current MY Credit Calc – MANUAL," "Credit Transfers – Tier 2 & 3," or "Credit Transfers – Tier 4" worksheets, respectively.
	Step 2: Credit Usage and Averaging: Using the existing balances (as included in the "Credit Balances before Averaging" section), indicate the number of traded, banked, or current model year credits that should be applied to the current model year credit balances. Each line item in this section specifies the type of credits being used as well as the Tier to which the credits will be applied. Ensure that credits are applied to a compatible averaging set. Since indirect fuel injection credits for engines at or above 19 kW cannot be traded, the credit balances for these engines are maintained separately for both banked and current MY credits. Note that credits from Tiers 2 and 3 averaging sets at or above 19 kW should only be applied to the Tier 4 averaging set above 560 kW if the engine families from which credits are being applied are rated above 560 kW. For Tiers 2 and 3, credits in the marine diesel averaging sets may be used to cover a shortfall in the corresponding non-marine averaging set (see 40 CFR 89.204(c)(3) and (4)). The Messages column is automatically populated with an error message if an invalid selection has been made. The number of credits to be subtracted from the selected Tier and averaging set category as well as the number of credits to be added to the selected current model year Tier and averaging set category are displayed in the two right-hand columns. These values are automatically calculated and will reflect the 20 percent reduction if applicable. Note that if there is an error in the Messages column, the Credits Subtracted and Credits Added columns will not be calculated.
	The Summary of Credit Balances section of the worksheet is automatically populated with the credit balances based on the application of NOx and NMHC + NOx credits in the preceding sections. The "Final Credit Balances" totals include traded, banked, and current MY credit balances and are shown for NOx and NMHC + NOx. Note that credit balances for indirect fuel injection are not available for trading.
	V. Summary of PM Credits The "PM Summary" worksheet contains a summary of all PM credits (both banked and current year) and allows for the application of these credits to current model year balances. The initial step requires the entry of carryover or traded PM credit balances. The application and averaging of these existing PM credits with current model year PM credits is summarized in the second step. As with other worksheets, any cells that are highlighted with a color will be automatically populated based on information in the "Current MY Credit Calc," "Current MY Credit Calc – MANUAL," "Credit Transfers – Tier 2 & 3," or "Credit Transfers – Tier 4" worksheets or from other data in this worksheet. Any cell that is gray indicates that data entry is not applicable or required.
	Step 1: Credit Balances Before Averaging: Enter any carryover credit balances from prior years in the appropriate averaging set. Note that current model year credits and credits acquired or sold through trading activity are automatically populated in this summary sheet based on data entered and calculated within the "Current MY Credit Calc," "Current MY Credit Calc – MANUAL," "Credit Transfers – Tier 2 & 3," or "Credit Transfers – Tier 4" worksheets, respectively.
	Step 2: Credit Usage and Averaging: Using existing carryover or current model year credits (as included in the Credit Balances before Averaging section), indicate the number of credits that should be applied/averaged to the current model year credit balance. Ensure that credits are applied within the corresponding averaging set and maintain separate balances for indirect fuel injection. The program elements that apply to PM regarding the transfer of marine credits and the limitations on trading associated with indirect fuel injection credits are consistent with those for NMHC + NOx. Credit balances for indirect fuel injection are not available for trading. For Tier 2 and 3, marine diesel credits can be transferred within the final credit balances section to a corresponding nonmarine averaging set, if desired. The Messages column is automatically populated with an error message if an invalid selection has been made. The number of credits to be subtracted from the selected Tier and averaging set category as well as the number of credits to be added to the selected current model year, Tier, and averaging set category are displayed in the two right-hand columns. These values are automatically calculated and will reflect the 20 percent reduction, if applicable. Note that if there is an error in the Messages column, the Credits Subtracted and Credits Added columns will not be calculated.
	The Summary of Credit Balances section of the worksheet is automatically populated with the credit balances based on the application of PM credits in the preceding rows. The "Final Credit Balances" totals include traded, banked, and current MY credit balances and are combined into the overall PM averaging sets.
	Paperwork Reduction Act Notice
	The public reporting and recordkeeping burden for this collection of information is estimated to average 43 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 (2060-0287) in any correspondence. Do not send the completed form to this address.