(a) Within 45 days after the end of the model year, send the Designated Compliance Officer a report describing the following information about locomotives you produced during the model year:
(1) Report the total number of locomotives you produced in each engine family by locomotive model and engine model.
(2) If you produced exempted locomotives, report the number of exempted locomotives you produced for each locomotive model and identify the buyer or shipping destination for each exempted locomotive. You do not need to report under this paragraph (a)(2) locomotives that were temporarily exempted, exported locomotives, locomotives exempted as manufacturer/remanufacturer-owned locomotives, or locomotives exempted as test locomotives.
(b) Organize and maintain the following records:
(1) A copy of all applications and any summary information you send us.
(2) Any of the information we specify in § 1033.205 that you were not required to include in your application.
(3) A detailed history of each emission-data locomotive. For each locomotive, describe all of the following:
(i) The emission-data locomotive's construction, including its origin and buildup, steps you took to ensure that it represents production locomotives, any components you built specially for it, and all the components you include in your application for certification.
(ii) How you accumulated locomotive operating hours (service accumulation), including the dates and the number of hours accumulated.
(iii) All maintenance, including modifications, parts changes, and other service, and the dates and reasons for the maintenance.
(iv) All your emission tests (valid and invalid), including the date and purpose of each test and documentation of test parameters as specified in part 40 CFR part 1065, and the date and purpose of each test.
(v) All tests to diagnose locomotive or emission control performance, giving the date and time of each and the reasons for the test.
(vi) Any other significant events.
(4) If you test a development engine for certification, you may omit information otherwise required by paragraph (b)(3) of this section that is unrelated to emissions and emission-related components.
(5) Production figures for each engine family divided by assembly plant.
(6) Keep a list of locomotive identification numbers for all the locomotives you produce under each certificate of conformity.
(c) Keep required data from emission tests and all other information specified in this section for eight years after we issue your certificate. If you use the same emission data or other information for a later model year, the eight-year period restarts with each year that you continue to rely on the information.
(d) Store these records in any format and on any media, as long as you can promptly send us organized, written records in English if we ask for them. You must keep these records readily available. We may review them at any time.
(e) Send us copies of any locomotive maintenance instructions or explanations if we ask for them.
[73 FR 37197, June 30, 2008, as amended at 81 FR 74006, Oct. 25, 2016]