Section 1033.730 - ABT reports(a) If any of your engine families are certified using the ABT provisions of this subpart, you must send an end-of-year report within 90 days after the end of the model year and a final report within 270 days after the end of the model year. We may waive the requirement to send the end-of year report, as long as you send the final report on time.(b) Your end-of-year and final reports must include the following information for each engine family participating in the ABT program: (1) Engine family designation and averaging sets (whether switch, line-haul, or both).(2) The emission standards that would otherwise apply to the engine family.(3) The FEL for each pollutant. If you change the FEL after the start of production, identify the date that you started using the new FEL and/or give the engine identification number for the first engine covered by the new FEL. In this case, identify each applicable FEL and calculate the positive or negative emission credits as specified in § 1033.225 .(4) The projected and actual U.S.-directed production volumes for the model year as described in § 1033.705 . If you changed an FEL during the model year, identify the actual U.S.-directed production volume associated with each FEL.(5) Rated power for each locomotive configuration, and the average locomotive power weighted by U.S.-directed production volumes for the engine family.(7) Calculated positive or negative emission credits for the whole engine family. Identify any emission credits that you traded or transferred, as described in paragraph (d)(1) or (e) of this section.(c) Your end-of-year and final reports must include the following additional information:(1) Show that your net balance of emission credits from all your engine families in each averaging set in the applicable model year is not negative.(2) State whether you will retain any emission credits for banking. If you choose to retire emission credits that would otherwise be eligible for banking, identify the engine families that generated the emission credits, including the number of emission credits from each family.(3) State that the report's contents are accurate.(d) If you trade emission credits, you must send us a report within 90 days after the transaction, as follows: (1) As the seller, you must include the following information in your report:(i) The corporate names of the buyer and any brokers.(ii) A copy of any contracts related to the trade.(iii) The averaging set corresponding to the engine families that generated emission credits for the trade, including the number of emission credits from each averaging set.(2) As the buyer, you must include the following information in your report: (i) The corporate names of the seller and any brokers.(ii) A copy of any contracts related to the trade.(iii) How you intend to use the emission credits, including the number of emission credits you intend to apply for each averaging set.(e) If you transfer emission credits, you must send us a report within 90 days after the first transfer to an owner/operator, as follows:(1) Include the following information:(i) The corporate names of the owner/operator receiving the credits.(ii) A copy of any contracts related to the trade.(iii) The serial numbers and engine families for the locomotive that generated the transferred emission credits and the number of emission credits from each family.(2) The requirements of this paragraph (e) apply separately for each owner/operator.(3) We may require you to submit additional 90-day reports under this paragraph (e).(f) Send your reports electronically to the Designated Compliance Officer using an approved information format. If you want to use a different format, send us a written request with justification for a waiver.(g) Correct errors in your end-of-year report or final report as follows:(1) You may correct any errors in your end-of-year report when you prepare the final report, as long as you send us the final report by the time it is due.(2) If you or we determine within 270 days after the end of the model year that errors mistakenly decreased your balance of emission credits, you may correct the errors and recalculate the balance of emission credits. You may not make these corrections for errors that are determined more than 270 days after the end of the model year. If you report a negative balance of emission credits, we may disallow corrections under this paragraph (g)(2).(3) If you or we determine anytime that errors mistakenly increased your balance of emission credits, you must correct the errors and recalculate the balance of emission credits.(h) We may modify these requirements for owners/operators required to submit reports because of their involvement in credit transferring. 73 FR 37197 , June 30, 2008, as amended at 75 FR 22987 , Apr. 30, 2010; 81 FR 74009 , Oct. 25, 2016