State of California 

AIR RESOURCES BOARD 

California Exhaust Emission Standards and Test Procedures for New 2008 and 

Later Tier 4 Off-Road Compression-Ignition Engines

PART I-C 

Adopted: October 20, 2005 

NOTE: This document incorporates by reference 40 Code of Federal Regulations 

(CFR) part 1039, subparts A, B, C, D, E, F, G, H, and I, including Appendix I, II, III, IV, 

V, and VI to part 1039, as amended July 13, 2005, 40 CFR Part 1065, Subparts A, B, C, 

D, E, F, G, H, I, J, and K, as amended July 13, 2005, 40 CFR Part 1068, Subparts A, B, 

C, D, E, F, and G, including Appendix A to Subpart E and Appendix I and II to part 

1068, as amended July 13, 2005, and the internally referenced subparts of 

40 CFR Part 85, 40 CFR Part 86, and 40 CFR Part 89. This is an original document 

and all language contained herein is set forth in standard type. Incorporated sections 

that have been included in their entirety are set forth with the section number and title. 

California provisions that replace specific federal provisions are denoted by the words 

“DELETE” for the federal language and “REPLACE WITH” or “ADD” for the California 

language. The symbols “* * * * *” and “...” mean that the remainder of the CFR text 

for a specific section, although not shown, has been incorporated into these test 

procedures by reference, unchanged. CFR sections that are not listed are not part of 

the test procedures. If there is any conflict between the provisions of this document and 

the California Health and Safety Code, Division 26, or Title 13 of the California Code of 

Regulations (CCR), the Health and Safety Code and Title 13 apply. 
-iTable of Contents 

PART 1039 – CONTROL OF EMISSIONS FROM NEW AND IN-USE NONROAD 

COMPRESSION-IGNITION ENGINES.............................................................. 1 

Subpart A – Overview and Applicability........................................................................... 1 

§ 1039.1 Does this part apply for my engines?................................................ 1 

§ 1039.5 Which engines are excluded from this part’s requirements?............. 1 

§ 1039.10 How is this part organized?............................................................... 2

§ 1039.15 Do any other regulation parts apply to me? ...................................... 2 

§ 1039.20 What requirements from this part apply to excluded stationary 

engines? ............................................................................................ 2 

Subpart B – Emission Standards and Related Requirements......................................... 2 

§ 1039.101 What exhaust emission standards must my engines meet after the 

2014 model year? .............................................................................. 2 

§ 1039.102 What exhaust emission standards and phase-in allowances apply for 

my engines in model year 2014 and earlier? ..................................... 4 

§ 1039.104 Are there interim provisions that apply only for a limited time?.......... 6 

§ 1039.105 What smoke standards must my engines meet? ............................... 8 

§ 1039.107 What evaporative emission standards and requirements apply?....... 8 

§ 1039.110 [Reserved] ......................................................................................... 8 

§ 1039.115 What other requirements must my engines meet? ............................ 9 

§ 1039.120 What emission-related warranty requirements apply to me? ............. 9 

§ 1039.125 What maintenance instructions must I give to buyers?...................... 9 

§ 1039.130 What installation instructions must I give to equipment 

manufacturers?.................................................................................. 9 

§ 1039.135 How must I label and identify the engines I produce?........................ 9 

§ 1039.140 What is my engine’s maximum engine power?................................ 10 

Subpart C – Certifying Engine Families......................................................................... 10 

§ 1039.201 What are the general requirements for obtaining an Executive Order?

......................................................................................................... 10 

§ 1039.205 What must I include in my application?............................................ 10 

§ 1039.210 May I get preliminary approval before I complete my application? .. 10 

§ 1039.220 How do I amend the maintenance instructions in my application?... 10 

§ 1039.225 How do I amend my application for certification to include new or 

modified engines or to change an FEL? .......................................... 10 

§ 1039.230 How do I select engine families? ..................................................... 11 

§ 1039.235 What emission testing must I perform for my application for an 

Executive Order? ............................................................................. 11 

§ 1039.240 How do I demonstrate that my engine family complies with exhaust 

emission standards?........................................................................ 11 

§ 1039.245 How do I determine deterioration factors from exhaust durability 

testing? ............................................................................................ 11
-ii- 

§ 1039.250 What records must I keep and what reports must I send to the Air 

Resources Board (ARB)? ................................................................ 11 

§ 1039.255 What decisions may ARB make regarding my Executive Order? .... 11 

Subpart D – [Reserved]................................................................................................. 12 

Subpart E – In-use Testing............................................................................................ 12 

§ 1039.401 General Provisions. ......................................................................... 12 

Subpart F – Test Procedures ........................................................................................ 12 

§ 1039.501 How do I run a valid emission test? ................................................. 12 

§ 1039.505 How do I test engines using steady-state duty cycles, including 

ramped-modal testing? .................................................................... 12 

§ 1039.510 Which duty cycles do I use for transient testing?............................. 12 

§ 1039.515 What are the test procedures related to not-to-exceed limits?......... 12 

§ 1039.520 What testing must I perform to establish deterioration factors? ....... 12 

§ 1039.525 How do I adjust emission levels to account for infrequently 

regenerating aftertreatment devices? .............................................. 13 

Subpart G – Special Compliance Provisions................................................................. 13 

§ 1039.601 What compliance provisions apply to these engines? ..................... 13 

§ 1039.605 What provisions apply to engines already certified under the 

motor-vehicle program?................................................................... 13 

§ 1039.610 What provisions apply to vehicles already certified under the 

motor-vehicle program?................................................................... 13 

§ 1039.615 What special provisions apply to engines using noncommercial fuels?

......................................................................................................... 13 

§ 1039.620 What are the provisions for exempting engines used solely for 

competition? .................................................................................... 13 

§ 1039.625 What requirements apply under the program for equipmentmanufacturer flexibility? ................................................................... 14 

§ 1039.626 What special provisions apply to equipment imported under the 

equipment-manufacturer flexibility program?................................... 18 

§ 1039.627 What are the incentives for equipment manufacturers to use cleaner 

engines? .......................................................................................... 18 

§ 1039.630 What are the economic hardship provisions for equipment 

manufacturers?................................................................................ 18 

§ 1039.635 What are the hardship provisions for engine manufacturers?.......... 18 

§ 1039.640 What special provisions apply to branded engines?........................ 18 

§ 1039.645 What special provisions apply to engines used for transportation 

refrigeration units? ........................................................................... 18 

§ 1039.650 [Reserved] ....................................................................................... 19 

§ 1039.655 What special provisions apply to engines sold in Guam, American 

Samoa, or the Commonwealth of the Northern Mariana Islands? ... 20 

§ 1039.660 What special provisions apply to Independent Commercial 

Importers?........................................................................................ 20 
-iiiSubpart H – Averaging, Banking, and Trading for Certification..................................... 20 

§ 1039.701 General provisions........................................................................... 20 

§ 1039.705 How do I generate and calculate emission credits?......................... 20 

§ 1039.710 How do I average emission credits? ................................................ 20 

§ 1039.715 How do I bank emission credits? ..................................................... 20 

§ 1039.720 How do I trade emission credits?..................................................... 20 

§ 1039.725 What must I include in my application for certification? ................... 20 

§ 1039.730 What ABT reports must I send to ARB?........................................... 20 

§ 1039.735 What records must I keep?.............................................................. 20 

§ 1039.740 What restrictions apply for using emission credits? ......................... 21 

§ 1039.745 What can happen if I do not comply with the provisions of this 

subpart?........................................................................................... 21 

Subpart I – Definitions and Other Reference Information.............................................. 21 

§ 1039.801 What definitions apply to this part?.................................................. 21 

§ 1039.805 What symbols, acronyms, and abbreviations does this part use? ... 24 

§ 1039.810 What materials does this part reference? ........................................ 24 

§ 1039.815 What provisions apply to confidential information?.......................... 25 

§ 1039.820 How do I request a hearing?............................................................ 25 

Appendix I to Part 1039 – [Reserved]............................................................................ 25 

Appendix II to Part 1039 – Steady-state Duty Cycles for Constant-Speed Engines...... 25 

Appendix III to Part 1039 – Steady-state Duty Cycles for Variable-Speed Engines with 

Maximum Power below 19 kW......................................................................... 25 

Appendix IV to Part 1039 – Steady-state Duty Cycles for Variable-Speed Engines with 

Maximum Power at or above 19 kW ................................................................ 25 

Appendix V to Part 1039 – [Reserved] .......................................................................... 25 

Appendix VI to Part 1039 – Nonroad Compression-Ignition Composite Transient Cycle25 

PART 1065 – ENGINE-TESTING PROCEDURES ....................................................... 26 

Subpart A – Applicability and General Provisions ......................................................... 26 

§ 1065.1 Applicability..................................................................................... 26 

§ 1065.2 Submitting information to ARB under this part................................ 26 

§ 1065.5 Overview of this part 1065 and its relationship to the standard-setting 

part. ................................................................................................. 26 

§ 1065.10 Other procedures............................................................................ 26 

§ 1065.12 Approval of alternate procedures.................................................... 27 

§ 1065.15 Overview of procedures for laboratory and field testing.................. 27 

§ 1065.20 Units of measure and overview of calculations............................... 27 

§ 1065.25 Recordkeeping................................................................................ 27 

Subpart B – Equipment Specifications .......................................................................... 27 

§ 1065.101 Overview.......................................................................................... 27 
-iv- 

§ 1065.110 Work inputs and outputs, accessory work, and operator demand. .. 27 

§ 1065.120 Fuel properties and fuel temperature and pressure......................... 27 

§ 1065.122 Engine cooling and lubrication......................................................... 27 

§ 1065.125 Engine intake air. ............................................................................. 27 

§ 1065.127 Exhaust gas recirculation................................................................. 27 

§ 1065.130 Engine exhaust................................................................................ 28 

§ 1065.140 Dilution for gaseous and PM constituents........................................ 28 

§ 1065.145 Gaseous and PM probes, transfer lines, and sampling system 

components. .................................................................................... 28 

§ 1065.150 Continuous sampling. ...................................................................... 28 

§ 1065.170 Batch sampling for gaseous and PM constituents. .......................... 28 

§ 1065.190 PM-stabilization and weighing environments for gravimetric analysis.

......................................................................................................... 28 

§ 1065.195 PM-stabilization environment for in-situ analyzers........................... 28 

Subpart C – Measurement Instruments......................................................................... 28 

§ 1065.201 Overview and general provisions..................................................... 28 

§ 1065.202 Data updating, recording, and control.............................................. 28 

§ 1065.205 Performance specifications for measurement instruments. ............. 28 

Measurement of Engine Parameters and Ambient Conditions ............................... 29 

§ 1065.210 Work input and output sensors. ....................................................... 29 

§ 1065.215 Pressure transducers, temperature sensors, and dewpoint sensors.

......................................................................................................... 29 

Flow-Related Measurements.................................................................................. 29 

§ 1065.225 Intake-air flow meter. ....................................................................... 29 

§ 1065.230 Raw exhaust flow meter................................................................... 29

§ 1065.240 Dilution air and diluted exhaust flow meters..................................... 29 

§ 1065.245 Sample flow meter for batch sampling............................................. 29 

§ 1065.248 Gas divider....................................................................................... 29 

CO and CO2 Measurements................................................................................... 29 

§ 1065.250 Nondispersive infra-red analyzer. .................................................... 29 

Hydrocarbon Measurements .................................................................................. 30 

§ 1065.260 Flame-ionization detector................................................................. 30 

§ 1065.265 Nonmethane cutter. ......................................................................... 30 

§ 1065.267 Gas chromatograph. ........................................................................ 30 

NOx Measurements ................................................................................................ 30 

§ 1065.270 Chemiluminescent detector. ............................................................ 30 

§ 1065.272 Nondispersive ultraviolet analyzer. .................................................. 30 

O2 Measurements................................................................................................... 30 

§ 1065.280 Paramagnetic and magnetopneumatic O2 detection analyzers. ...... 30 

Air-to-Fuel Ratio Measurements............................................................................. 30 

§ 1065.284 Zirconia (ZrO2) analyzer................................................................... 30 

PM Measurements ................................................................................................. 30 

§ 1065.290 PM gravimetric balance. .................................................................. 30

§ 1065.295 PM inertial balance for field testing analysis. ................................... 31 
-vSubpart D – Calibrations and Verifications.................................................................... 31 

§ 1065.301 Overview and general provisions..................................................... 31 

§ 1065.303 Summary of required calibration and verifications. .......................... 31 

§ 1065.305 Verifications for accuracy, repeatability, and noise.......................... 31 

§ 1065.307 Linearity verification. ........................................................................ 31 

§ 1065.308 Continuous gas analyzer system-response and updating-recording 

verification........................................................................................ 31

§ 1065.309 Continuous gas analyzer uniform response verification................... 31 

Measurement of Engine Parameters and Ambient Conditions ............................... 31 

§ 1065.310 Torque calibration. ........................................................................... 31 

§ 1065.315 Pressure, temperature, and dewpoint calibration............................. 31 

Flow-Related Measurements.................................................................................. 32 

§ 1065.320 Fuel-flow calibration......................................................................... 32 

§ 1065.325 Intake-flow calibration. ..................................................................... 32 

§ 1065.330 Exhaust-flow calibration................................................................... 32 

§ 1065.340 Diluted exhaust flow (CVS) calibration............................................. 32 

§ 1065.341 CVS and batch sampler verification (propane check). ..................... 32 

§ 1065.345 Vacuum-side leak verification. ......................................................... 32 

CO and CO2 Measurements................................................................................... 32 

§ 1065.350 H2O interference verification for CO2 NDIR analyzers. .................... 32 

§ 1065.355 H2O and CO2 interference verification for CO NDIR analyzers........ 32 

Hydrocarbon Measurements .................................................................................. 32 

§ 1065.360 FID optimization and verification...................................................... 32 

§ 1065.362 Non-stoichiometric raw exhaust FID O2 interference verification. .... 33 

§ 1065.365 Nonmethane cutter penetration fractions......................................... 33 

NOx Measurements ................................................................................................ 33 

§ 1065.370 CLD CO2 and H2O quench verification. ........................................... 33 

§ 1065.372 NDUV analyzer HC and H2O interference verification. .................... 33 

§ 1065.376 Chiller NO2 penetration.................................................................... 33 

§ 1065.378 NO2-to-NO converter conversion verification................................... 33 

PM Measurements ................................................................................................. 33 

§ 1065.390 PM balance verifications and weighing process verification. ........... 33 

§ 1065.395 Inertial PM balance verifications. ..................................................... 33 

Subpart E – Engine Selection, Preparation, and Maintenance...................................... 33 

§ 1065.401 Test engine selection....................................................................... 33 

§ 1065.405 Test engine preparation and maintenance....................................... 34 

§ 1065.410 Maintenance limits for stabilized test engines.................................. 34 

§ 1065.415 Durability demonstration. ................................................................. 34 

Subpart F – Performing an Emission Test in the Laboratory......................................... 34 

§ 1065.501 Overview.......................................................................................... 34 

§ 1065.510 Engine mapping............................................................................... 34 

§ 1065.512 Duty cycle generation. ..................................................................... 34 

§ 1065.514 Cycle-validation criteria.................................................................... 34 
-vi- 

§ 1065.520 Pre-test verification procedures and pre-test data collection. .......... 34 

§ 1065.525 Engine starting, restarting, and shutdown........................................ 34 

§ 1065.530 Emission test sequence................................................................... 34

§ 1065.545 Validation of proportional flow control for batch sampling................ 35 

§ 1065.550 Gas analyzer range validation, drift validation, and drift correction.. 35 

§ 1065.590 PM sample preconditioning and tare weighing. ............................... 35 

§ 1065.595 PM sample post-conditioning and total weighing............................. 35 

Subpart G – Calculations and Data Requirements........................................................ 35 

§ 1065.601 Overview.......................................................................................... 35 

§ 1065.602 Statistics. ......................................................................................... 35 

§ 1065.610 Duty cycle generation. ..................................................................... 35 

§ 1065.630 1980 international gravity formula.................................................... 35 

§ 1065.640 Flow meter calibration calculations. ................................................. 35 

§ 1065.642 SSV, CFV, and PDP molar flow rate calculations............................ 35 

§ 1065.645 Amount of water in an ideal gas....................................................... 36 

§ 1065.650 Emission calculations. ..................................................................... 36 

§ 1065.655 Chemical balances of fuel, intake air, and exhaust.......................... 36 

§ 1065.659 Removed water correction............................................................... 36 

§ 1065.660 THC and NMHC determination........................................................ 36 

§ 1065.665 THCE and NMHCE determination. .................................................. 36 

§ 1065.667 Dilution air background emission correction. ................................... 36 

§ 1065.670 NOx intake-air humidity and temperature corrections. ..................... 36 

§ 1065.672 Drift correction. ................................................................................ 36 

§ 1065.675 CLD quench verification calculations. .............................................. 36 

§ 1065.690 Buoyancy correction for PM sample media...................................... 36 

§ 1065.695 Data requirements. .......................................................................... 37 

Subpart H – Engine Fluids, Test Fuels, Analytical Gases and Other Calibration 

Standards ........................................................................................................ 37 

§ 1065.701 General requirements for test fuels.................................................. 37 

§ 1065.703 Distillate diesel fuel. ......................................................................... 37 

§ 1065.705 Residual fuel [Reserved].................................................................. 37 

§ 1065.710 Gasoline........................................................................................... 37 

§ 1065.715 Natural gas. ..................................................................................... 37 

§ 1065.720 Liquefied petroleum gas................................................................... 37 

§ 1065.740 Lubricants. ....................................................................................... 38 

§ 1065.745 Coolants........................................................................................... 38 

§ 1065.750 Analytical gases............................................................................... 38 

§ 1065.790 Mass standards. .............................................................................. 38 

Subpart I – Testing with Oxygenated Fuels................................................................... 38 

§ 1065.801 Applicability...................................................................................... 38 

§ 1065.805 Sampling system. ............................................................................ 38 

§ 1065.845 Response factor determination........................................................ 38 

§ 1065.850 Calculations. .................................................................................... 38 
-viiSubpart J – Field Testing and Portable Emission Measurement Systems .................... 38 

Subpart K – Definitions and Other Reference Information ............................................ 39 

§ 1065.1001 Definitions........................................................................................ 39 

§ 1065.1005 Symbols, abbreviations, acronyms, and units of measure............... 39 

§ 1065.1010 Reference materials......................................................................... 39 

PART 1068 – GENERAL COMPLIANCE PROVISIONS FOR NONROAD PROGRAMS40 

Subpart A – Applicability and Miscellaneous Provisions ............................................... 40 

§ 1068.1 Does this part apply to me? ............................................................ 40 

§ 1068.5 How must manufacturers apply good engineering judgment? ........ 40 

§ 1068.10 What provisions apply to confidential information?......................... 40 

§ 1068.15 Who is authorized to represent the Air Resources Board? ............. 40 

§ 1068.20 May ARB enter my facilities for inspections?.................................. 41 

§ 1068.25 What information must I give to ARB? ............................................ 43 

§ 1068.27 May ARB conduct testing with my production engines? ................. 43 

§ 1068.30 What definitions apply to this part? ................................................. 43 

§ 1068.35 What symbols, acronyms, and abbreviations does this part use? .. 44 

Subpart B – Prohibited Actions and Related Requirements.......................................... 44 

§ 1068.101 What general actions does this regulation prohibit? ........................ 44 

§ 1068.105 What other provisions apply to me specifically if I manufacture 

equipment needing certified engines? ............................................. 47 

§ 1068.110 What other provisions apply to engines in service? ......................... 47 

§ 1068.115 When must manufacturers honor emission-related warranty claims?

......................................................................................................... 48 

§ 1068.120 What requirements must I follow to rebuild engines? ...................... 48 

§ 1068.125 What happens if I violate the regulations? ....................................... 48 

Subpart C – Exemptions and Exclusions ...................................................................... 48 

§ 1068.201 Does ARB exempt or exclude any engines from the prohibited acts?

......................................................................................................... 48 

§ 1068.210 What are the provisions for exempting test engines? ...................... 48 

§ 1068.215 What are the provisions for exempting manufacturer-owned engines?

......................................................................................................... 48 

§ 1068.220 What are the provisions for exempting display engines?................. 49 

§ 1068.225 What are the provisions for exempting engines for national security?

......................................................................................................... 49 

§ 1068.230 What are the provisions for exempting engines for export?............. 49 

§ 1068.235 What are the provisions for exempting engines used solely for 

competition? .................................................................................... 49 

§ 1068.240 What are the provisions for exempting new replacement engines?. 49 

§ 1068.245 What temporary provisions address hardship due to unusual 

circumstances?................................................................................ 50 

§ 1068.250 What are the provisions for extending compliance deadlines for 

small-volume manufacturers under hardship?................................. 50 
-viii- 

§ 1068.255 What are the provisions for exempting engines for hardship for 

equipment manufacturers and secondary engine manufacturers? .. 50 

§ 1068.260 What are the provisions for temporarily exempting engines for 

delegated final assembly? ............................................................... 51 

§ 1068.265 What provisions apply to engines that are conditionally exempted 

from certification? ............................................................................ 51 

Subpart D – Imports ...................................................................................................... 51 

§ 1068.301 Does this subpart apply to me? ....................................................... 51 

§ 1068.305 How do I get an exemption or exclusion for imported engines?....... 51 

§ 1068.310 What are the exclusions for imported engines?............................... 51 

§ 1068.315 What are the permanent exemptions for imported engines? ........... 51 

§ 1068.320 How must I label an imported engine with a permanent exemption?51 

§ 1068.325 What are the temporary exemptions for imported engines? ............ 52 

§ 1068.330 How do I import engines requiring further assembly?.............................. 52 

§ 1068.335 What are the penalties for violations?.............................................. 52 

Subpart E – Selective Enforcement Auditing................................................................. 52 

§ 1068.401 What is a selective enforcement audit? ........................................... 52 

§ 1068.405 What is in a test order?.................................................................... 52 

§ 1068.410 How must I select and prepare my engines?................................... 52 

§ 1068.415 How do I test my engines?............................................................... 52 

§ 1068.420 How do I know when my engine family fails an SEA? ..................... 53 

§ 1068.425 What happens if one of my production-line engines exceeds the 

emission standards?........................................................................ 53 

§ 1068.430 What happens if an engine family fails an SEA? ............................. 53 

§ 1068.435 May I sell engines from an engine family with a suspended Executive 

Order?.............................................................................................. 53

§ 1068.440 How do I ask ARB to reinstate my suspended Executive Order? .... 53 

§ 1068.445 When may ARB revoke my Executive Order under this subpart and 

how may I sell these engines again? ............................................... 53 

§ 1068.450 What records must I send to ARB?.................................................. 53 

§ 1068.455 What records must I keep?.............................................................. 53 

Appendix A to Subpart E of Part 1068-Plans for Selective Enforcement Auditing.. 53 

Subpart F – Reporting Defects and Recalling Engines ................................................. 54

§ 1068.501 How do I report engine defects?...................................................... 54 

§ 1068.505 How does the recall program work? ................................................ 54 

§ 1068.510 How do I prepare and apply my remedial plan?............................... 54 

§ 1068.515 How do I mark or label repaired engines? ....................................... 54 

§ 1068.520 How do I notify affected owners?..................................................... 54 

§ 1068.525 What records must I send to ARB?.................................................. 54 

§ 1068.530 What records must I keep?.............................................................. 55 

§ 1068.535 How can I do a voluntary recall for emission-related problems?...... 55 

§ 1068.540 [Removed] ....................................................................................... 55 
-ixSubpart G – Hearings.................................................................................................... 55 

§ 1068.601 What are the procedures for hearings? ........................................... 55 

Appendix I to Part 1068 – Emission-Related Components............................................ 55 

Appendix II to Part 1068 – Emission-Related Parameters and Specifications .............. 55 
-1- 

CALIFORNIA EXHAUST EMISSION STANDARDS AND TEST PROCEDURES FOR 

NEW 2008 AND LATER TIER 4 OFF-ROAD COMPRESSION-IGNITION ENGINES 

The following provisions of Part 1039, Part 1065, and Part 1068, Title 40, Code of 

Federal Regulations, as proposed by the United States Environmental Protection 

Agency on the date listed, are adopted and incorporated herein by this reference for 

2008 model year and later off-road compression-ignition engines as the California 

Exhaust Emission Standards and Test Procedures for New 2008 and Later Tier 4 

Off-Road Compression-Ignition Engines, except as altered or replaced by the provisions 

set forth below. 

PART 1039 – CONTROL OF EMISSIONS FROM NEW AND IN-USE NONROAD 

COMPRESSION-IGNITION ENGINES 

SOURCE: 69 FR 38957, June 29, 2004, amended July 13, 2005, unless otherwise 

noted. 

Subpart A – Overview and Applicability 

§ 1039.1 Does this part apply for my engines? 

 * * * * * 

(b)(3) 

See Title 13, CCR, Chapter 9, Article 4, and the 2000 Plus Limited Test Procedures for 

requirements that apply to engines not yet subject to the requirements of this part 1039. 

 * * * * * 

§ 1039.5 Which engines are excluded from this part’s requirements? 

 * * * * * 
-2- 

§ 1039.10 How is this part organized? 

Introductory Text DELETE, 

REPLACE WITH: 

The regulations in this part 1039 contain provisions that may affect engine or equipment 

manufacturers, or both, and others. However, the requirements of this part are 

generally addressed to the engine manufacturer. The term “you” generally means the 

engine manufacturer, as defined in § 1039.801. This part 1039 is divided into the 

following subparts: 

 * * * * * 

§ 1039.15 Do any other regulation parts apply to me? 

 * * * * * 

§ 1039.20 What requirements from this part apply to excluded stationary engines? 

 * * * * * 

(b)(4) DELETE, 

REPLACE WITH: 

State: "THIS ENGINE IS EXCLUDED FROM THE REQUIREMENTS OF 13 CCR, 

CH 9, ARTICLE 4, AS A “STATIONARY ENGINE.” INSTALLING OR USING THIS 

ENGINE IN ANY OTHER APPLICATION MAY BE A VIOLATION OF CALIFORNIA 

LAW SUBJECT TO CIVIL PENALTY.”. The referencing of similar federal requirements 

in combination with California references under this provision is permitted. 

Subpart B – Emission Standards and Related Requirements 

§ 1039.101 What exhaust emission standards must my engines meet after the 2014 

model year? 

Introductory Text DELETE, 

REPLACE WITH: 

The exhaust emission standards of this section apply after the 2014 model year. 

Certain of these standards also apply for model year 2014 and earlier. This section 

presents the full set of emission standards that apply after all the transition and phase-in 

provisions of § 1039.102 and § 1039.104 expire. See § 1039.102 and Title 13, CCR, 

§ 2423(b)(1)(A) for exhaust emission standards that apply to 2014 and earlier model 

years. § 1039.105 specifies smoke standards. 

 * * * * * 
-3- 

(d) “not-to-exceed standards” DELETE, 

REPLACE WITH: 

“not-to-exceed limits” 

 * * * * * 

(e) “not-to-exceed (NTE) standards” DELETE, 

REPLACE WITH: 

“not-to-exceed (NTE) limits” 

 * * * * * 

(e)(2) “section, the NTE standard” DELETE, 

REPLACE WITH: 

“section, the NTE limit” 

 * * * * * 

(e)(2) “equation: NTE standard” DELETE, 

REPLACE WITH: 

“equation: NTE limit” 

 * * * * * 

(e)(6) “NTE standards” DELETE, 

REPLACE WITH: 

“NTE limits” 

 * * * * * 

(e)(7) “NTE standard” DELETE, 

REPLACE WITH: 

“NTE limit” 

 * * * * * 

(h) “The NTE standards of” DELETE, 

REPLACE WITH: 

“The NTE limits of” 

 * * * * * 
-4- 

(h) “meet the NTE standards” DELETE, 

REPLACE WITH: 

“meet the NTE limits” 

 * * * * * 

§ 1039.102 What exhaust emission standards and phase-in allowances apply for my 

engines in model year 2014 and earlier? 

Introductory Text DELETE, 

REPLACE WITH: 

The exhaust emission standards of this section apply for 2014 and earlier model years. 

See §1039.101 for exhaust emission standards that apply to later model years. See 

Title 13, CCR, §2423(b)(1)(A), for exhaust emission standards that apply to model years 

before the standards of this part 1039 take effect.

 * * * * * 

(a)(2) DELETE, 

REPLACE WITH: 

The transient standards in this section for gaseous pollutants do not apply to phase-out 

engines that you certify to the same numerical standards (and FELs if the engines are 

certified using ABT) for gaseous pollutants as certified under the Tier 3 requirements of 

Title 13, CCR, § 2423(b)(1)(A). However, except as specified by paragraph (a)(1) of 

this section, the transient PM emission standards apply to these engines. 

 * * * * * 

Table 1 Footnote 1

 DELETE, 

REPLACE WITH: 

For engines that qualify for the special provisions in § 1039.101(c), you may delay 

certifying to the standards in this part 1039 until 2010. In 2009 and earlier model years, 

these engines must instead meet the applicable Tier 2 standards and other 

requirements of Title 13, CCR, § 2423(b)(1)(A). Starting in 2010, these engines must 

meet a PM standard of 0.60 g/kW-hr, as described in § 1039.101(c). Engines certified 

to the 0.60 g/kWhr PM standard may not generate ABT credits. 

 * * * * * 

Table 3 Footnote 1

 DELETE, 

REPLACE WITH: 

You may certify engines to the Option #1 or Option #2 standards starting in the listed 

model year. Under Option #1, all engines at or above 37 kW and below 56 kW produced 

before the 2013 model year must meet the applicable Option #1 standards in this table. 

These engines are considered to be "Option #1 engines." Under Option #2, all these 
-5- 

engines produced before the 2012 model year must meet the applicable standards 

under Title 13, CCR, § 2423(b)(1)(A). Engines certified to the Option #2 standards in 

model year 2012 are considered to be "Option #2 engines." 

 * * * * * 

(d)(1) DELETE, 

REPLACE WITH: 

For model years 2012 through 2014, you may use banked NOx+NMHC credits from any 

Tier 2 engine at or above 37 kW certified under Title 13, CCR, § 2423(b)(1)(A) to meet 

the NOx phase-in standards or the NOx+NMHC phase-out standards under paragraphs 

(b) and (c) of this section, subject to the additional ABT provisions in § 1039.740. 

 * * * * * 

(g)(1) “(1) NTE standards.” DELETE, 

REPLACE WITH: 

“(1) NTE limits.” 

 * * * * * 

(g)(1) “calculate and apply the NTE standards” DELETE, 

REPLACE WITH: 

“calculate and apply the NTE limits.” 

 * * * * * 

(g)(1) “The NTE standards do not” DELETE, 

REPLACE WITH: 

“The NTE limits do not.” 

 * * * * * 

(g)(1)(iii) “the NTE standards” DELETE, 

REPLACE WITH: 

“the NTE limits” 

 * * * * * 
-6- 

(g)(1)(iv) DELETE, 

REPLACE WITH: 

Gaseous pollutants for phase-out engines that you certify to the same numerical 

standards and FELs for gaseous pollutants to which you certified under the Tier 3 

requirements of Title 13, CCR, § 2423(b)(1)(A). However, the NTE limits for PM apply 

to these engines. 

 * * * * * 

Table 8 Footnote 3

 DELETE, 

REPLACE WITH: 

For manufacturers certifying engines to the standards of this part 1039 in 2012 under 

Option #2 of Table 3 of § 1039.102, the FEL caps of § 1039.101 apply for model year 

2012 and later; see Title 13, CCR, § 2423(b)(1)(A) for provisions that apply to earlier 

model years. 

 * * * * * 

§ 1039.104 Are there interim provisions that apply only for a limited time? 

 * * * * * 

(a)(4)(iii) DELETE, 

REPLACE WITH: 

All other offset-using engines must meet the standards and other provisions that apply 

in model year 2011 for engines in the 19 ≤ kW < 130 power categories, in model year 

2010 for engines in the 130 ≤ kW ≤ 560 power category, or in model year 2014 for 

engines above 560 kW. Show that engines meet these emission standards by meeting 

all the requirements of § 1068.265. You must meet the labeling requirements in 

Title 13, CCR, § 2424, but use the following in place of the otherwise required statement 

of compliance in § 2424(c)(2): “THIS ENGINE MEETS CALIFORNIA EMISSION 

STANDARDS UNDER 13 CCR 2423(b)(6).” The referencing of similar federal 

requirements in combination with California references under this provision is permitted. 

For power categories with a percentage phase-in, these engines should be treated as 

phase-in engines for purposes of determining compliance with phase-in requirements. 

 * * * * * 

(c)(1) Table DELETE “The standards and requirements in 40 CFR part 89”, 

REPLACE WITH: 

The standards and requirements in Title 13, CCR, § 2423(b)(1)(A) 

 * * * * * 
-7- 

(c)(2)(ii) DELETE, 

REPLACE WITH: 

If you do not choose to comply with paragraph (c)(2)(i) of this section, you may continue 

to comply with the standards and requirements in Title 13, CCR, § 2423(b)(1)(A) and 

the 2000 Plus Limited Test Procedures for model years through 2012, but you must 

begin complying in 2013 with Tier 4 standards and requirements specified in Table 3 of 

§ 1039.102 for model years 2013 and later. 

 * * * * * 

(c)(4)(i) DELETE, 

REPLACE WITH: 

Produce engines that meet all the emission standards and other requirements under 

Title 13, CCR, § 2423(b)(1)(A) and the 2000 Plus Limited Test Procedures applicable 

for that model year, except as noted in this paragraph (c). 

(c)(4)(ii) DELETE, 

REPLACE WITH: 

Meet the labeling requirements in Title 13, CCR, § 2424, but use the following in place 

of the otherwise required statement of compliance in § 2424(c)(2): "THIS ENGINE 

COMPLIES WITH CALIFORNIA REGULATIONS FOR [CURRENT MODEL YEAR] 

OFF-ROAD COMPRESSION-IGNITION ENGINES UNDER 13 CCR 2423(b)(7).". The 

referencing of similar federal requirements in combination with California references 

under this provision is permitted. 

 * * * * * 

(c)(5)(ii) DELETE, 

REPLACE WITH: 

Meet the labeling requirements in Title 13, § 2424, but use the following in place of the 

otherwise required statement of compliance in § 2424(c)(3): "THIS ENGINE COMPLIES 

WITH CALIFORNIA REGULATIONS FOR [CURRENT MODEL YEAR] OFF-ROAD 

COMPRESSION-IGNITION ENGINES UNDER 13 CCR 2423(b)(7).". The referencing 

of similar federal requirements in combination with California references under this 

provision is permitted. 

 * * * * * 

(d) “Deficiencies for NTE standards.” DELETE, 

REPLACE WITH: 

“Deficiencies for NTE limits.” 

 * * * * * 
-8- 

(d) “applicable NTE standards” DELETE, 

REPLACE WITH: 

“applicable NTE limits.” 

 * * * * * 

(d) “from the NTE standards” DELETE, 

REPLACE WITH: 

“from the NTE limits.” 

 * * * * * 

(d) “with the NTE standards” DELETE, 

REPACE WITH: 

“with the NTE limits.” 

 * * * * * 

(d)(4) “which NTE standards” DELETE, 

REPLACE WITH: 

“which NTE limits.” 

 * * * * * 

(g)(4) DELETE, 

REPLACE WITH: 

Do not apply TCAFs to gaseous emissions for phase-out engines that you certify to the 

same numerical standards (and FELs if the engines are certified using ABT) for 

gaseous pollutants as you certified under the Tier 3 requirements of Title 13, CCR, 

§ 2423(b)(1)(A) and § 2423(b)(2)(A). 

 * * * * * 

§ 1039.105 What smoke standards must my engines meet? 

 * * * * * 

§ 1039.107 What evaporative emission standards and requirements apply? 

 * * * * * 

§ 1039.110 [Reserved] 

 * * * * * 
-9- 

§ 1039.115 What other requirements must my engines meet? 

 * * * * * 

§ 1039.120 What emission-related warranty requirements apply to me? 

 * * * * * 

(c) DELETE, 

REPLACE WITH: 

Components covered. The emission-related warranty covers all components whose 

failure would increase an engine’s emissions of any pollutant. This includes 

components listed in Title 13, CCR, § 2425(d), and components from any other system 

developed to control emissions. The emission-related warranty covers these 

components even if another company produces the component. Your emission-related 

warranty does not cover components whose failure would not increase an engine’s 

emissions of any pollutant. 

 * * * * * 

§ 1039.125 What maintenance instructions must I give to buyers? 

 * * * * * 

§ 1039.130 What installation instructions must I give to equipment manufacturers? 

 * * * * * 

§ 1039.135 How must I label and identify the engines I produce? 

 * * * * * 

(c)(12) DELETE, 

REPLACE WITH: 

State: "THIS ENGINE COMPLIES WITH CALIFORNIA REGULATIONS FOR [MODEL 

YEAR] OFF-ROAD DIESEL ENGINES.". The referencing of similar federal 

requirements in combination with California references under this provision is permitted. 

 * * * * * 

ADD: 

(h) Labeling requirements for rebuilt engines. The provisions in the California Code of 

Regulations, Title 13, Section 2423(l), shall apply for labeling rebuilt engines. 
-10- 

§ 1039.140 What is my engine’s maximum engine power? 

 * * * * * 

Subpart C – Certifying Engine Families 

§ 1039.201 What are the general requirements for obtaining an Executive Order? 

 * * * * * 

§ 1039.205 What must I include in my application? 

 * * * * * 

(p) “not-to-exceed emission standards” DELETE, 

REPLACE WITH: 

“not-to-exceed emission limits” 

 * * * * * 

(w) DELETE, 

REPLACE WITH: 

Unconditionally certify that all the engines in the engine family comply with the 

requirements of this part, other referenced parts of the California Code of Regulations 

and the California Health and Safety Code. 

 * * * * * 

§ 1039.210 May I get preliminary approval before I complete my application? 

 * * * * * 

§ 1039.220 How do I amend the maintenance instructions in my application? 

 * * * * * 

§ 1039.225 How do I amend my application for certification to include new or modified 

engines or to change an FEL? 

 * * * * * 
-11- 

§ 1039.230 How do I select engine families? 

 * * * * * 

§ 1039.235 What emission testing must I perform for my application for an Executive 

Order? 

Introductory Text: DELETE, “NTE standards” 

REPLACE WITH: 

“NTE limits” 

 * * * * * 

§ 1039.240 How do I demonstrate that my engine family complies with exhaust 

emission standards? 

 * * * * * 

§ 1039.245 How do I determine deterioration factors from exhaust durability testing? 

 * * * * * 

(a) DELETE, 

REPLACE WITH: 

An engine manufacturer may request the Executive Officer to approve deterioration 

factors for an engine family with established technology based on engineering analysis 

instead of testing. Engines certified to a NOx+NMHC standard or FEL greater than the 

Tier 3 NOx+NMHC standard described in Title 13, CCR, § 2423(b)(1)(A) are considered 

to rely on established technology for gaseous emission control, except that this does not 

include any engines that use exhaust-gas recirculation or aftertreatment. In most 

cases, technologies used to meet the Tier 1 and Tier 2 emission standards would be 

considered to be established technology. 

 * * * * * 

§ 1039.250 What records must I keep and what reports must I send to the Air 

Resources Board (ARB)? 

 * * * * * 

§ 1039.255 What decisions may ARB make regarding my Executive Order? 

 * * * * * 
-12- 

Subpart D – [Reserved] 

Subpart E – In-use Testing 

§ 1039.401 General Provisions. 

 * * * * * 

Subpart F – Test Procedures 

§ 1039.501 How do I run a valid emission test? 

 * * * * * 

(b) “not-to-exceed emission standards” DELETE, 

REPLACE WITH: 

“not-to-exceed emission limits” 

 * * * * * 

§ 1039.505 How do I test engines using steady-state duty cycles, including 

ramped-modal testing? 

 * * * * * 

§ 1039.510 Which duty cycles do I use for transient testing? 

 * * * * * 

§ 1039.515 What are the test procedures related to not-to-exceed limits? 

 * * * * * 

(a) “not-to-exceed emission standards” DELETE, 

REPLACE WITH: 

“not-to-exceed emission limits” 

 * * * * * 

§ 1039.520 What testing must I perform to establish deterioration factors? 

 * * * * * 
-13- 

§ 1039.525 How do I adjust emission levels to account for infrequently regenerating 

aftertreatment devices? 

 * * * * * 

Subpart G – Special Compliance Provisions 

§ 1039.601 What compliance provisions apply to these engines? 

 * * * * * 

§ 1039.605 What provisions apply to engines already certified under the motor-vehicle 

program? 

DELETE. 

§ 1039.610 What provisions apply to vehicles already certified under the motor-vehicle 

program? 

DELETE. 

§ 1039.615 What special provisions apply to engines using noncommercial fuels? 

 * * * * * 

(b)(2)(ii) DELETE, 

REPLACE WITH: 

State: “THIS ENGINE IS CERTIFIED TO OPERATE IN APPLICATIONS USING 

NONCOMMERCIAL FUEL. MALADJUSTMENT OF THE ENGINE IS A VIOLATION OF 

CALIFORNIA LAW SUBJECT TO CIVIL PENALTY.”. The referencing of similar federal 

requirements in combination with California references under this provision is permitted. 

 * * * * * 

§ 1039.620 What are the provisions for exempting engines used solely for 

competition? 

 * * * * * 
-14- 

§ 1039.625 What requirements apply under the program for equipment-manufacturer 

flexibility? 

 

Introductory Text DELETE, 

REPLACE WITH: 

The provisions of this section allow equipment manufacturers to produce equipment 

with engines that are subject to less stringent emission standards after the Tier 4 

emission standards begin to apply. To be eligible to use these provisions, you must 

follow all the instructions in this section. See Title 13, CCR, §§ 2423(d) and (e) for 

provisions that apply to equipment produced while Tier 1, Tier 2, or Tier 3 standards 

apply. See § 1039.626 for requirements that apply specifically to companies that 

manufacture equipment outside the United States and to companies that import such 

equipment without manufacturing it. 

 * * * * * 

(b)(1) DELETE, 

REPLACE WITH: 

Percent-of-production allowances. A manufacturer may produce equipment and 

vehicles with engines that are exempt from meeting current model year emission 

standards for a portion of its California-directed production volume. These 

percent-of-production flexibility allowances must be used within one of the seven-year 

flexibility usage periods specified in Table 1 or Table 2 of this section for each 

applicable power category, provided that the seven-year sum of the U.S.-directed 

portion of the manufacturer’s percent-of-production flexibility allowances does not 

exceed 80 percent, expressed in cumulative yearly percentage increments, except as 

provided for in paragraph (b)(2) or (m) of this section. Equipment claimed as 

percent-of-production flexibility allowances must contain only engines that have been 

certified to, at least, the standards in paragraph (e), corresponding to the flexibility 

usage period selected by the manufacturer. All flexibility allowances for a power 

category must be used within the same flexibility usage period. 

(b)(2) DELETE, 

REPLACE WITH: 

Small-volume allowances. As an alternative to the percent-of-production allowance in 

paragraph (b)(1), an off-road equipment or vehicle manufacturer may produce 

equipment with engines that are exempt from meeting current model year emission 

standards for a portion of its California-directed production volume, provided that the 

exempt equipment is a subset of the manufacturer’s U.S.-directed volume of exempt 

equipment and the manufacturer is in compliance with the following provisions: 

 * * * * * 
-15- 

(d)(4) DELETE, 

REPLACE WITH: 

Manufacturers may start using a portion of the flexibility allowances in paragraphs (b)(1) 

or (b)(2) of this section for equipment and vehicles containing engines not yet subject to 

the Tier 4 standards, provided that the seven-year period for using flexibility allowances 

under the Tier 2/3 flexibility program in Title 13, CCR, §§ 2423(d)(1)(a), (d)(1)(b), or 

(d)(2)(a) has expired. Manufacturers must count these early-use flexibility allowances 

toward the total percentage, or number, of flexibility allowances permitted under the 

provisions of paragraphs (b)(1) or (b)(2) of this section. The maximum cumulative 

early-use allowance is 10 percent under the percent-of-production provision in 

paragraph (b)(1), or 100 units under the small volume provision in paragraph (b)(2). 

Table 3 shows the applicable years for using early-use flexibility allowances. 

Manufacturers using allowances under this paragraph (d)(4) must comply with the 

notification and reporting requirements specified in paragraph (g) of this section. 

Table 3 follows: 

 * * * * * 

(e)(1) DELETE, 

REPLACE WITH: 

Equipment manufacturers using the provisions of paragraph (d)(4) of this section, must 

use engines that, at a minimum, meet the applicable Tier 1 emission standards in 

Title 13, CCR, § 2423(b)(1)(a). 

 * * * * * 

(e)(3) DELETE, 

REPLACE WITH: 

In all other cases, engines at or above 37 kW and at or below 560 kW must meet the 

appropriate Tier 3 standards described in Title 13, CCR, § 2423(b)(1)(a). Engines 

below 37 kW and engines above 560 kW must meet the appropriate Tier 2 standards 

described in Title 13, CCR, § 2423(b)(1)(a). 

 * * * * * 

(f)(5) DELETE, 

REPLACE WITH: 

The following statement: THIS EQUIPMENT [or identify the type of equipment] HAS AN 

ENGINE THAT MEETS CALIFORNIA EMISSION STANDARDS UNDER 13 CCR 

2423(d). 

 * * * * * 
-16- 

(g)(1)(vi) DELETE, 

REPLACE WITH: 

The number of units in each power category that the equipment manufacturer has sold 

in previous calendar years under 40 CFR 89.102(d) and, if available, Title 13, CCR, 

§ 2423(d). 

(g)(2) DELETE, 

REPLACE WITH: 

For each year that an equipment manufacturer uses the provisions of this section, the 

manufacturer must send the Executive Officer a written report by March 31 of the 

following year. The report shall include the total number of engines sold by the 

manufacturer in the preceding year for each power category, based on actual 

U.S.-directed production volume and, if available, California-directed production volume. 

Also, the manufacturer must identify the percentages of U.S.-directed production 

volumes and, if available, California-directed production volumes, that correspond to the 

number of units in each power category and the cumulative numbers and percentages 

of units for all the units sold by the manufacturer under this section for each power 

category. The percentage figures may be omitted if the manufacturer states in the 

report that it will not be using the percent-of-production allowances in paragraph (b)(1) 

of this section. 

 * * * * * 

(i) DELETE, 

REPLACE WITH: 

Enforcement. Producing more equipment with engines exempted from meeting 

current-model year emission requirements under this section or installing engines that 

do not meet the emission standards of paragraph (e) of this section violates the 

requirements of Title 13, CCR, § 2423(d) and may be subject to civil penalties under 

California Health and Safety Code, Division 26, and corresponding regulations. 

Equipment manufacturers must, upon request, surrender to the Executive Officer all 

records required under this section. 

(j) DELETE, 

REPLACE WITH: 

(1) Provisions for engine manufacturers. To meet the demand for engines created 

under this section, engine manufacturers may produce engines that do not meet current 

model year emission requirements. However, engine manufacturers must receive 

written assurance from each equipment manufacturer, prior to production, that a certain 

number of these engines are needed for the equipment manufacturer’s equipment 

flexibility allowances. Engine manufacturers shall provide to the Executive Officer 

annually, as part of the certification application, a list of the equipment manufacturers 

requesting such engines for their flexibility allowances. The list shall include the 

equipment manufacturers’ names, engine models, and estimated national production 

volumes. A copy of the original correspondence from the equipment manufacturer 
-17- 

requesting the production of flexibility engines shall be kept on file by the engine 

manufacturer in addition to, and in accordance with, the provisions of § 1039.250, and 

shall be made available without delay to the Executive Officer upon request. 

Furthermore, all engines produced for sale in California under the provisions of this 

section must be covered by an Executive Order. To obtain an Executive Order for 

these engines, the engine manufacturer shall comply with the following: 

(A) Prior to the start of production, submit a letter to the Chief of the Mobile 

Source Operations Division, or designee, requesting certification for flexibility 

engines intended for sale in California, and 

(B) Provide written assurance that the flexibility engines to be produced will be 

identical in all material respects to those for which a valid Executive Order 

has been issued in a previous model year. The engine family name of the 

previously certified engine family must be included in the manufacturer’s 

request for certification. 

Upon determination that the conditions in paragraphs (1) and (2) have been satisfied, 

the engine manufacturer shall be provided with an Executive Order covering the 

requested flexibility engine families for the current model year. The engine family 

names included in the Executive Order shall either be the same as, or a subset of the 

previously certified engine family names, and will remain the same for as long as the 

engines continue to qualify as flexibility allowances regardless of model year. These 

engine family names shall be used by the engine manufacturer to comply with the 

labeling requirements of paragraph (2) below. 

(2) Engine labeling. Engine manufacturers shall meet the labeling requirements 

provided in § 1039.135 for all engines produced under the allowances of this section. 

However, the following statement must be substituted for the statement of compliance 

required under § 1039.135: 

“THIS ENGINE COMPLIES WITH CALIFORNIA EMISSION REQUIREMENTS 

UNDER 13 CCR 2423(d). SELLING OR INSTALLING THIS ENGINE FOR ANY 

PURPOSE OTHER THAN FOR THE EQUIPMENT FLEXIBILITY PROVISIONS 

CITED MAY BE A VIOLATION OF STATE LAW SUBJECT TO CIVIL PENALTY.” 

[Insert Engine Family Name] 

The referencing of similar federal requirements in combination with California 

references under this provision is permitted. Furthermore, the Executive Officer may, 

upon request, approve alternate labeling specifications provided that they meet the 

intent of this requirement. 
-18- 

§ 1039.626 What special provisions apply to equipment imported under the 

equipment-manufacturer flexibility program? 

 * * * * * 

(b)(1)(iv) DELETE, 

REPLACE WITH: 

The number of units in each power category imported by the foreign manufacturer in 

previous calendar years under 40 CFR 89.102(d) and Title 13, CCR, § 2423(d). 

 * * * * * 

§ 1039.627 What are the incentives for equipment manufacturers to use cleaner 

engines? 

 * * * * * 

§ 1039.630 What are the economic hardship provisions for equipment manufacturers? 

Entire Section DELETE, 

REPLACE WITH: 

The provisions in Title 13, CCR, § 2423(f) shall apply. 

§ 1039.635 What are the hardship provisions for engine manufacturers? 

 * * * * * 

§ 1039.640 What special provisions apply to branded engines? 

 * * * * * 

(a)(1) DELETE, 

REPLACE WITH: 

Meet the emission warranty requirements that apply under Title 13, CCR, § 2425. This 

may involve a separate agreement involving reimbursement of warranty-related 

expenses. 

 * * * * * 

§ 1039.645 What special provisions apply to engines used for transportation 

refrigeration units? 

 * * * * * 
-19- 

(d)(1) DELETE, 

REPLACE WITH: 

State on the emission control information label: "THIS ENGINE IS CERTIFIED TO 

OPERATE ONLY IN TRANSPORTATION REFRIGERATION UNITS. INSTALLING OR 

USING THIS ENGINE IN ANY OTHER APPLICATION MAY BE A VIOLATION OF 

CALIFORNIA LAW SUBJECT TO CIVIL PENALTY.”. The referencing of similar federal 

requirements in combination with California references under this provision is permitted. 

 * * * * * 

(e) “comply with NTE standards” DELETE, 

REPLACE WITH: 

“comply with NTE limits.” 

 * * * * * 

(e) “that the NTE standards” DELETE, 

REPLACE WITH: 

“that the NTE limits.” 

 * * * * * 

(e) “the not-to-exceed standards” DELETE, 

REPLACE WITH: 

“the not-to-exceed limits.” 

 * * * * * 

(e) “subject to NTE standards” DELETE, 

REPLACE WITH: 

“subject to NTE limits.” 

 * * * * * 

(f)(2)(i) REPLACE “NTE emission standards” WITH “NTE emission limits” 

 * * * * * 

§ 1039.650 [Reserved] 

 * * * * * 
-20- 

§ 1039.655 What special provisions apply to engines sold in Guam, American Samoa, 

or the Commonwealth of the Northern Mariana Islands? 

 DELETE. 

§ 1039.660 What special provisions apply to Independent Commercial Importers? 

 * * * * * 

Subpart H – Averaging, Banking, and Trading for Certification 

§ 1039.701 General provisions. 

 * * * * * 

§ 1039.705 How do I generate and calculate emission credits? 

 * * * * * 

§ 1039.710 How do I average emission credits? 

 * * * * * 

§ 1039.715 How do I bank emission credits? 

 * * * * * 

§ 1039.720 How do I trade emission credits? 

 * * * * * 

§ 1039.725 What must I include in my application for certification? 

 * * * * * 

§ 1039.730 What ABT reports must I send to ARB? 

 * * * * * 

§ 1039.735 What records must I keep? 

 * * * * * 
-21- 

§ 1039.740 What restrictions apply for using emission credits? 

 * * * * * 

(b)(1) DELETE, 

REPLACE WITH: 

For purposes of ABT under this subpart, you may not use emission credits generated 

from engines subject to emission standards under 40 CFR part 89 or Title 13, CCR, 

§ 2423(b)(1)(A), except as specified in § 1039.102(d)(1) or the following table: 

 * * * * * 

Table Heading DELETE “And it was certified to the following standards under 

40 CFR part 89”, 

REPLACE WITH: 

And it was certified to the following standards under 40 CFR part 89 or 

13 CCR 2423(b)(1)(A) ...

(b)(2) DELETE, 

REPLACE WITH: 

Emission credits generated from marine engines certified under the provisions of 

40 CFR part 89 or Title 13, CCR, § 2423(b)(1)(A), may not be used under this part. 

(b)(3) DELETE, 

REPLACE WITH: 

See 40 CFR part 89 or Title 13, CCR, § 2423 and the 2000 Plus Limited Test 

Procedures for other restrictions that may apply for using emission credits generated 

under that part. 

 * * * * * 

§ 1039.745 What can happen if I do not comply with the provisions of this subpart? 

 * * * * * 

Subpart I – Definitions and Other Reference Information 

§ 1039.801 What definitions apply to this part? 

ADD: 

40 CFR part 1065 means Part 1065 and applicable subparts of these 2008 and Later 

Test Procedures when referenced in unrevised sections. 
-22- 

ADD: 

40 CFR part 1068 means Part 1068 and applicable subparts of these 2008 and Later 

Test procedures when referenced in unrevised sections. 

Act DELETE, 

REPLACE WITH: 

Act means California Health and Safety Code, Division 26, and corresponding 

regulations, except where the context indicates otherwise. 

 * * * * * 

ADD: 

Certificate of Conformity means an Executive Order issued in accordance with the 

California Health and Safety Code, Division 26, Part 5. 

Certification DELETE, 

REPLACE WITH: 

Certification means obtaining an executive order for an engine family complying with the 

off-road compression-ignition engine emission standards and requirements specified in 

Title 13, CCR, Chapter 9, §§ 2420-2427. 

 * * * * * 

ADD: 

Certified configuration or certified emissions configuration means the assembled state 

of an engine that is equipped with a complete set of emission-related components and 

systems that are equivalent from an emissions standpoint (i.e., tolerances, calibrations, 

and specifications) to those components and systems that (A) were originally installed 

on the engine when it was issued an Executive Order, (B) have been approved by the 

engine manufacturer to supersede any of the original emission-related components and 

systems for that engine, or (C) are direct replacement parts equaling or exceeding the 

emissions-related performance of the original or superseded components and systems. 

 * * * * * 

ADD: 

Clean Air Act means California Health and Safety Code, Division 26, and corresponding 

regulations, except where the context indicates otherwise. 

 * * * * * 

Designated Compliance Officer DELETE, 

REPLACE WITH: 

Designated Compliance Officer means the Executive Officer of the Air Resources Board 

(or the Executive Officer’s designee). 
-23- 

Designated Enforcement Officer DELETE, 

REPLACE WITH: 

Designated Enforcement Officer means the Executive Officer of the Air Resources 

Board (or the Executive Officer’s designee). 

 * * * * * 

ADD: 

EPA or U.S. EPA means Air Resources Board. 

 * * * * * 

ADD: 

Executive Order means an order issued by the Executive Officer of the Air Resources 

Board certifying engines for sale in California. 

 * * * * * 

Nonroad DELETE, 

REPLACE WITH: 

Nonroad means relating to off-road engines or equipment that includes off-road 

engines. 

 * * * * * 

Nonroad engine DELETE, 

REPLACE WITH: 

Nonroad engine means an off-road engine as defined in this section. 

 * * * * * 

Nonroad equipment DELETE, 

REPLACE WITH: 

Nonroad equipment means a piece of equipment that is powered by one or more 

off-road engines. 

 * * * * * 

ADD: 

Off-road engine means: 

(1) Except as discussed in paragraph (2) of this definition, any internal combustion 

engine: 

 (i) In or on a piece of equipment that is self-propelled or serves a dual purpose by 

both propelling itself and performing another function (such as garden tractors, off-
-24- 

highway mobile cranes, and bulldozers); or 

 (ii) In or on a piece of equipment that is intended to be propelled while performing 

its function (such as lawnmowers and string trimmers); or 

 (iii) That, by itself or in or on a piece of equipment, is portable or transportable, 

meaning designed to be and capable of being carried or moved from one location to 

another. Indicia of transportability include, but are not limited to, wheels, skids, carrying 

handles, dolly, trailer, or platform. 

(2) An internal combustion engine is not an off-road engine if: 

 (i) The engine is used to propel a vehicle subject to the emissions standards 

contained in Title 13, California Code of Regulations, Sections 1950-1978, or a vehicle 

used solely for competition, or is subject to standards promulgated under section 202 of 

the federal Clean Air Act (42 U.S.C; or 

 (ii) The engine is regulated by a federal New Source Performance Standard 

promulgated under section 111 of the 1990 Clean Air Act (42 U.S.C. 7511); or 

 (iii) The engine otherwise included in paragraph (1)(iii) of this definition remains or 

will remain at a location for more than 12 consecutive months or a shorter period of time 

for an engine located at a seasonal source. A location is any site at a building, 

structure, facility, or installation. Any engine (or engines) that replaces an engine at a 

location and that is intended to perform the same or similar function as the engine 

replaced will be included in calculating the consecutive time period. An engine located 

at a seasonal source is an engine that remains at a seasonal source during the full 

annual operating period of the seasonal source. A seasonal source is a stationary 

source that remains in a single location on a permanent basis (i.e., at least two years) 

and that operates at that single location approximately three months (or more) each 

year. This paragraph does not apply to an engine after the engine is removed from the 

location. 

 * * * * * 

We (us, our) DELETE, 

REPLACE WITH: 

We (us, our) means the Executive Officer of the California Air Resources Board and any 

authorized representatives. 

ADD: 

ADDENDUM: The definitions in the California Health and Safety Code and in Title 13, 

CCR, § 2421, shall apply. 

§ 1039.805 What symbols, acronyms, and abbreviations does this part use? 

 * * * * * 

§ 1039.810 What materials does this part reference?

 * * * * * 
-25- 

§ 1039.815 What provisions apply to confidential information? 

DELETE, 

REPLACE WITH: 

Any manufacturer may assert that some or all of the information submitted pursuant to 

Title 13, CCR, Division 3, Chapter 9, Article 4 (Off-Road Compression-Ignition Engines 

and Equipment) is entitled to confidential treatment as provided by Title 17, CCR, 

§§ 91000-91022. 

§ 1039.820 How do I request a hearing? 

DELETE, 

REPLACE WITH: 

A manufacturer may request a hearing on an Executive Officer’s decision regarding 

certification, as specified in Title 17, CCR, Division 3, Chapter 1, Subchapter 1.25, 

Articles 1 and 2. 

Appendix I to Part 1039 – [Reserved] 

 * * * * * 

Appendix II to Part 1039 – Steady-state Duty Cycles for Constant-Speed Engines 

 * * * * * 

Appendix III to Part 1039 – Steady-state Duty Cycles for Variable-Speed Engines with 

Maximum Power below 19 kW 

 * * * * * 

Appendix IV to Part 1039 – Steady-state Duty Cycles for Variable-Speed Engines with 

Maximum Power at or above 19 kW 

 * * * * * 

Appendix V to Part 1039 – [Reserved] 

 * * * * * 

Appendix VI to Part 1039 – Nonroad Compression-Ignition Composite Transient Cycle 

 * * * * * 
-26- 

PART 1065 – ENGINE-TESTING PROCEDURES 

Note: 40 CFR Part 1065, as modified by the July 13, 2005, Omnibus Technical 

Amendments, is for all intents and purposes a completely new document. Few of 

the original sections remain, but even those have different titles and content than 

originally designated. Therefore, to expedite the incorporation of the Omnibus 

Technical Amendments into Part 1065 of the 2008 and Later Test Procedures, 

the modified text identified will reference modifications to the Omnibus Technical 

Amendments rather than to staff’s existing Part 1065 of the existing 2008 and 

Later Test Procedures. In effect, staff is proposing to incorporate the Omnibus 

Technical Amendments (70 FR 40516, July 13, 2005), as if it were a new 

document. 

SOURCE: 70 FR 40516, July 13, 2005, unless otherwise noted. 

Subpart A – Applicability and General Provisions 

§ 1065.1 Applicability. 

 * * * * * 

(a)(2) DELETE, 

REPLACE WITH: 

Land-based off-road compression-ignition engines regulated under Title 13, CCR, 

Chapter 9, Article 4, and subject to the emission standards in § 2423(b)(1)(B) of that 

Article. 

 * * * * * 

(g) DELETE. 

§ 1065.2 Submitting information to ARB under this part. 

 * * * * * 

§ 1065.5 Overview of this part 1065 and its relationship to the standard-setting part. 

 * * * * * 

§ 1065.10 Other procedures. 

 * * * * * 
-27- 

§ 1065.12 Approval of alternate procedures. 

 * * * * * 

§ 1065.15 Overview of procedures for laboratory and field testing. 

 * * * * * 

§ 1065.20 Units of measure and overview of calculations. 

 * * * * * 

§ 1065.25 Recordkeeping. 

 * * * * * 

Subpart B – Equipment Specifications 

§ 1065.101 Overview. 

 * * * * * 

§ 1065.110 Work inputs and outputs, accessory work, and operator demand. 

 

 * * * * * 

§ 1065.120 Fuel properties and fuel temperature and pressure. 

 * * * * * 

§ 1065.122 Engine cooling and lubrication. 

 * * * * * 

§ 1065.125 Engine intake air. 

 * * * * * 

§ 1065.127 Exhaust gas recirculation. 

 * * * * * 
-28- 

§ 1065.130 Engine exhaust. 

 * * * * * 

§ 1065.140 Dilution for gaseous and PM constituents. 

 * * * * * 

§ 1065.145 Gaseous and PM probes, transfer lines, and sampling system 

components. 

 * * * * * 

§ 1065.150 Continuous sampling. 

 * * * * * 

§ 1065.170 Batch sampling for gaseous and PM constituents. 

 * * * * * 

§ 1065.190 PM-stabilization and weighing environments for gravimetric analysis. 

 * * * * * 

§ 1065.195 PM-stabilization environment for in-situ analyzers.

 * * * * * 

Subpart C – Measurement Instruments 

§ 1065.201 Overview and general provisions. 

 * * * * * 

§ 1065.202 Data updating, recording, and control. 

 * * * * * 

§ 1065.205 Performance specifications for measurement instruments. 

 * * * * * 
-29- 

Measurement of Engine Parameters and Ambient Conditions 

§ 1065.210 Work input and output sensors. 

 * * * * * 

§ 1065.215 Pressure transducers, temperature sensors, and dewpoint sensors. 

 * * * * * 

Flow-Related Measurements 

§ 1065.220 Fuel flow meter.

 * * * * * 

§ 1065.225 Intake-air flow meter. 

 * * * * * 

§ 1065.230 Raw exhaust flow meter. 

 * * * * * 

§ 1065.240 Dilution air and diluted exhaust flow meters. 

 * * * * * 

§ 1065.245 Sample flow meter for batch sampling. 

 * * * * * 

§ 1065.248 Gas divider. 

 * * * * * 

CO and CO2 Measurements 

§ 1065.250 Nondispersive infra-red analyzer. 

 * * * * * 
-30- 

Hydrocarbon Measurements 

§ 1065.260 Flame-ionization detector. 

 * * * * * 

§ 1065.265 Nonmethane cutter. 

 * * * * * 

§ 1065.267 Gas chromatograph. 

 * * * * * 

NOx Measurements 

§ 1065.270 Chemiluminescent detector. 

 * * * * * 

§ 1065.272 Nondispersive ultraviolet analyzer. 

 * * * * * 

O2 Measurements 

§ 1065.280 Paramagnetic and magnetopneumatic O2 detection analyzers. 

 * * * * * 

Air-to-Fuel Ratio Measurements 

§ 1065.284 Zirconia (ZrO2) analyzer. 

 * * * * * 

PM Measurements 

§ 1065.290 PM gravimetric balance. 

 * * * * * 
-31- 

§ 1065.295 PM inertial balance for field testing analysis. 

 * * * * * 

Subpart D – Calibrations and Verifications 

§ 1065.301 Overview and general provisions. 

 * * * * * 

§ 1065.303 Summary of required calibration and verifications. 

 * * * * * 

§ 1065.305 Verifications for accuracy, repeatability, and noise. 

 * * * * * 

§ 1065.307 Linearity verification. 

 * * * * * 

§ 1065.308 Continuous gas analyzer system-response and updating-recording 

verification. 

 * * * * * 

§ 1065.309 Continuous gas analyzer uniform response verification. 

 * * * * * 

Measurement of Engine Parameters and Ambient Conditions 

§ 1065.310 Torque calibration. 

 * * * * * 

§ 1065.315 Pressure, temperature, and dewpoint calibration. 

 * * * * * 
-32- 

Flow-Related Measurements 

§ 1065.320 Fuel-flow calibration. 

 * * * * * 

§ 1065.325 Intake-flow calibration. 

 * * * * * 

§ 1065.330 Exhaust-flow calibration. 

 * * * * * 

§ 1065.340 Diluted exhaust flow (CVS) calibration. 

 * * * * * 

§ 1065.341 CVS and batch sampler verification (propane check). 

 * * * * * 

§ 1065.345 Vacuum-side leak verification. 

 * * * * * 

CO and CO2 Measurements 

§ 1065.350 H2O interference verification for CO2 NDIR analyzers. 

 * * * * * 

§ 1065.355 H2O and CO2 interference verification for CO NDIR analyzers. 

 * * * * * 

Hydrocarbon Measurements 

§ 1065.360 FID optimization and verification. 

 * * * * * 
-33- 

§ 1065.362 Non-stoichiometric raw exhaust FID O2 interference verification. 

 * * * * * 

§ 1065.365 Nonmethane cutter penetration fractions.

 * * * * * 

NOx Measurements 

§ 1065.370 CLD CO2 and H2O quench verification. 

 * * * * * 

§ 1065.372 NDUV analyzer HC and H2O interference verification. 

 * * * * * 

§ 1065.376 Chiller NO2 penetration. 

 * * * * * 

§ 1065.378 NO2-to-NO converter conversion verification. 

 * * * * * 

PM Measurements 

§ 1065.390 PM balance verifications and weighing process verification. 

 * * * * * 

§ 1065.395 Inertial PM balance verifications. 

 * * * * * 

Subpart E – Engine Selection, Preparation, and Maintenance 

§ 1065.401 Test engine selection. 

 * * * * * 
-34- 

§ 1065.405 Test engine preparation and maintenance.

 * * * * * 

§ 1065.410 Maintenance limits for stabilized test engines. 

 * * * * * 

§ 1065.415 Durability demonstration. 

 * * * * * 

Subpart F – Performing an Emission Test in the Laboratory 

§ 1065.501 Overview. 

 * * * * * 

§ 1065.510 Engine mapping. 

 * * * * * 

§ 1065.512 Duty cycle generation. 

 * * * * * 

§ 1065.514 Cycle-validation criteria. 

 * * * * * 

§ 1065.520 Pre-test verification procedures and pre-test data collection. 

 * * * * * 

§ 1065.525 Engine starting, restarting, and shutdown. 

 * * * * * 

§ 1065.530 Emission test sequence. 

 * * * * * 
-35- 

§ 1065.545 Validation of proportional flow control for batch sampling. 

 * * * * * 

§ 1065.550 Gas analyzer range validation, drift validation, and drift correction. 

 * * * * * 

§ 1065.590 PM sample preconditioning and tare weighing. 

 * * * * * 

§ 1065.595 PM sample post-conditioning and total weighing. 

 * * * * * 

Subpart G – Calculations and Data Requirements 

§ 1065.601 Overview. 

 * * * * * 

§ 1065.602 Statistics. 

 * * * * * 

§ 1065.610 Duty cycle generation. 

 * * * * * 

§ 1065.630 1980 international gravity formula. 

 * * * * * 

§ 1065.640 Flow meter calibration calculations. 

 * * * * * 

§ 1065.642 SSV, CFV, and PDP molar flow rate calculations. 

 * * * * * 
-36- 

§ 1065.645 Amount of water in an ideal gas. 

 * * * * * 

§ 1065.650 Emission calculations. 

 * * * * * 

§ 1065.655 Chemical balances of fuel, intake air, and exhaust. 

 * * * * * 

§ 1065.659 Removed water correction. 

 * * * * * 

§ 1065.660 THC and NMHC determination. 

 * * * * * 

§ 1065.665 THCE and NMHCE determination. 

 * * * * * 

§ 1065.667 Dilution air background emission correction. 

 * * * * * 

§ 1065.670 NOx intake-air humidity and temperature corrections. 

 * * * * * 

§ 1065.672 Drift correction. 

 * * * * * 

§ 1065.675 CLD quench verification calculations. 

 * * * * * 

§ 1065.690 Buoyancy correction for PM sample media.

 * * * * * 
-37- 

§ 1065.695 Data requirements. 

 * * * * * 

Subpart H – Engine Fluids, Test Fuels, Analytical Gases and Other Calibration 

Standards 

§ 1065.701 General requirements for test fuels. 

 * * * * * 

(b) DELETE, 

REPLACE WITH: 

With Executive Officer approval, the certifying entity may use other test fuels so long as 

they do not affect the demonstration of compliance.

 * * * * * 

§ 1065.703 Distillate diesel fuel. 

 * * * * * 

ADD: 

(d) The Executive Officer may allow other fuel specifications, such as California diesel 

fuel, so long as they do not affect the demonstration of compliance. 

§ 1065.705 Residual fuel [Reserved]. 

 * * * * * 

§ 1065.710 Gasoline. 

 * * * * * 

§ 1065.715 Natural gas. 

 * * * * * 

§ 1065.720 Liquefied petroleum gas. 

 * * * * * 
-38- 

§ 1065.740 Lubricants. 

 * * * * * 

§ 1065.745 Coolants. 

 * * * * * 

§ 1065.750 Analytical gases. 

 * * * * * 

§ 1065.790 Mass standards. 

 * * * * * 

Subpart I – Testing with Oxygenated Fuels 

§ 1065.801 Applicability. 

 * * * * * 

§ 1065.805 Sampling system. 

 * * * * * 

§ 1065.845 Response factor determination. 

 * * * * * 

§ 1065.850 Calculations. 

 * * * * * 

Subpart J – Field Testing and Portable Emission Measurement Systems 

DELETE. 
-39- 

Subpart K – Definitions and Other Reference Information 

§ 1065.1001 Definitions. 

ADD: 

The definitions in 40 CFR 1039.801, as modified, apply with the following revisions. 

ADD: 

40 CFR part 1039 means Part 1039 and applicable subparts of these 2008 and Later 

Test procedures when referenced in unrevised sections. 

40 CFR part 1068 means Part 1068 and applicable subparts of these 2008 and Later 

Test procedures when referenced in unrevised sections. 

 * * * * * 

Designated Officer DELETE, 

REPLACE WITH: 

Designated Compliance Officer means the Executive Officer of the Air Resources 

Board, or a designee of the Executive Officer. 

 * * * * * 

§ 1065.1005 Symbols, abbreviations, acronyms, and units of measure. 

 * * * * * 

§ 1065.1010 Reference materials. 

 * * * * * 
-40- 

PART 1068 – GENERAL COMPLIANCE PROVISIONS FOR NONROAD PROGRAMS 

SOURCE: 67 FR 68427, November 8, 2002, amended July 13, 2005, unless otherwise 

noted. 

Subpart A – Applicability and Miscellaneous Provisions 

§ 1068.1 Does this part apply to me? 

 * * * * * 

(a)(3) DELETE, 

REPLACE WITH: 

Land-based off-road compression-ignition engines regulated under Title 13, CCR, 

Chapter 9, Article 4, and subject to the emission standards in § 2423(b)(1)(B) of that 

Article. 

 * * * * * 

(b)(5) DELETE, 

REPLACE WITH: 

Off-road compression-ignition engines regulated under Title 13, CCR, Chapter 9, 

Article 4, and subject to the emission standards in § 2423(b)(1)(A) of that Article. 

 * * * * * 

§ 1068.5 How must manufacturers apply good engineering judgment? 

 * * * * * 

§ 1068.10 What provisions apply to confidential information? 

DELETE, 

REPLACE WITH: 

Any manufacturer may assert that some or all of the information submitted pursuant to 

Title 13, CCR, Division 3, Chapter 9, Article 4 (Off-Road Compression-Ignition Engines 

and Equipment) is entitled to confidential treatment as provided by Title 17, CCR, 

§§ 91000-91022. 

§ 1068.15 Who is authorized to represent the Air Resources Board? 

 * * * * * 
-41- 

§ 1068.20 May ARB enter my facilities for inspections? 

DELETE, 

REPLACE WITH: 

(a) Any engine manufacturer affected by these regulations, upon receipt of prior notice 

must admit or cause to be admitted during operating hours any ARB Enforcement 

Officer that has presented proper credentials to any of the following: 

 (1) Any facility where tests or procedures or activities connected with such tests or 

procedures are or were performed. 

 (2) Any facility where any new off-road compression-ignition engine is present and 

is being, has been, or will be tested. 

 (3) Any facility where a manufacturer constructs, assembles, modifies, or builds-up 

an engine into a certification engine that will be tested for certification. 

 (4) Any facility where any record or other document relating to any of the above is 

located. 

(b) Upon admission to any facility referred to in paragraph (c)(1) of this Section, any 

ARB Enforcement Officer must be allowed: 

 (1) To inspect and monitor any part or aspect of such procedures, activities, and 

testing facilities, including, but not limited to, monitoring engine preconditioning, 

emissions tests and break-in, maintenance, and engine storage procedures. 

 (2) To verify correlation or calibration of test equipment; and, 

 (3) To inspect and make copies of any such records, designs, or other documents; 

and, 

 (4) To inspect and/or photograph any part or aspect of any such certification 

engine and any components to be used in the construction thereof. 

(c) To permit an ARB determination whether production off-road compression-ignition 

engines conform in all material respects to the design specifications that apply to those 

engines described in the Executive Order certifying such engines and to standards 

prescribed herein. Engine manufacturers must, upon receipt of prior notice, admit any 

ARB Enforcement Officer, upon presentation of credentials, to: 

 (1) Any facility where any document design, or procedure relating to the translation 

of the design and construction of engines and emission related components described 

in the application for certification or used for certification testing into production engines 

is located or carried on; and, 

 (2) Any facility where any off-road compression-ignition engines to be introduced 

into commerce are manufactured or assembled. 

 (3) Any California retail outlet where any off-road compression-ignition engine is 

sold. 

(d) On admission to any such facility referred to in this Section, any ARB Enforcement 

Officer must be allowed: 

 (1) To inspect and monitor any aspects of such manufacture or assembly and 

other procedures; 
-42- 

 (2) To inspect and make copies of any such records, documents or designs; and, 

 (3) To inspect and photograph any part or aspect of any such new off-road 

compression-ignition engines and any component used in the assembly thereof that are 

reasonably related to the purpose of the Enforcement Officer's entry. 

(e) Any ARB Enforcement Officer must be furnished by those in charge of a facility 

being inspected with such reasonable assistance as may be necessary to discharge 

any function listed in this paragraph. Each applicant for or recipient of certification is 

required to cause those in charge of a facility operated for its benefit to furnish such 

reasonable assistance without charge to the ARB irrespective of whether or not the 

applicant controls the facility. 

(f) The duty to admit or cause to be admitted any ARB Enforcement Officer applies 

whether or not the applicant owns or controls the facility in question and applies both to 

domestic and foreign engine manufacturers and facilities. The ARB will not attempt to 

make any inspections that it has been informed that local law forbids. However, if local 

law makes it impossible to insure the accuracy of data generated at a facility, no 

informed judgment that an engine is certifiable or is covered by an Executive Order can 

properly be based on the data. It is the responsibility of the engine manufacturer to 

locate its testing and manufacturing facilities in jurisdictions where this situation will not 

arise. 

(g) For purposes of this Section: 

 (1) “Presentation of credentials” means a display of a document designating a 

person to be an ARB Enforcement Officer. 

 (2) Where engine, component, or engine storage areas or facilities are concerned, 

“operating hours” means all times during which personnel are at work in the vicinity of 

the area or facility and have access to it. 

 (3) Where facilities or areas other than those covered by paragraph (g)(2) of this 

Section are concerned, “operating hours” means all times during which an assembly 

line is in operation or during which testing, maintenance, break-in procedure, production 

or compilation of records, or any other procedure or activity is being conducted related 

to certification testing, translation of designs from the test stage to the production stage, 

or engine manufacture or assembly. 

 (4) “Reasonable assistance” includes, but is not limited to, providing clerical, 

copying, interpretation and translation services; making personnel available upon 

request to inform the ARB Enforcement Officer of how the facility operates and to 

answer questions; and performing requested emissions tests on any engine that is 

being, has been, or will be used for certification testing. Such tests must be 

nondestructive, but may require appropriate break-in. The engine manufacturer must 

be compelled to cause the personal appearance of any employee at such a facility 

before an ARB Enforcement Officer, upon written request from the Executive Officer for 

the appearance of any employee of a facility, and service of such request upon the 

engine manufacturer. Any such employee who has been instructed by the engine 
-43- 

manufacturer to appear will be entitled to be accompanied, represented, and advised by 

counsel. 

§ 1068.25 What information must I give to ARB? 

 * * * * * 

(b) DELETE, 

REPLACE WITH: 

Manufacturers subject to the requirements of this part must establish and maintain 

records, perform tests, make reports and provide additional information that the 

Executive Officer may reasonably require under the California Health and Safety Code, 

Division 26, and corresponding regulations. This also applies to engines that are 

exempt from emission standards. 

§ 1068.27 May ARB conduct testing with my production engines? 

 * * * * * 

§ 1068.30 What definitions apply to this part? 

ADD: 

The definitions in 40 CFR 1039.801 and 1065.1001, as modified, apply with the 

following revisions: 

ADD: 

40 CFR part 1039 means Part 1039 and applicable subparts contained in these 2008 

and Later Test procedures when referenced in unrevised sections. 

ADD: 

40 CFR part 1068 means Part 1068 and applicable subparts contained in these 2008 

and Later Test procedures when referenced in unrevised sections. 

 * * * * * 

ADD: 

Administrator means the Executive Officer of the Air Resources Board, or a designee of 

the Executive Officer. 

 * * * * * 
-44- 

Certificate holder DELETE, 

REPLACE WITH: 

Certificate holder means a manufacturer (including importers) with a valid Executive 

Order for at least one engine family in a given model year. 

ADD: 

Certified configuration or certified emissions configuration means the assembled state 

of an engine that is equipped with a complete set of emission-related components and 

systems that are equivalent from an emissions standpoint (i.e., tolerances, calibrations, 

and specifications) to those components and systems that (A) were originally installed 

on the engine when it was issued an Executive Order, (B) have been approved by the 

engine manufacturer to supersede any of the original emission-related components and 

systems for that engine, or (C) are direct replacement parts equaling or exceeding the 

emissions-related performance of the original or superseded components and systems. 

 * * * * * 

ADD: 

EPA Delegation Manual means documents explaining the procedures for delegation 

within the Air Resources Board. 

 * * * * * 

Standard-setting part DELETE, 

REPLACE WITH: 

Standard-setting part means the articles of the California Code of Regulations that 

define emission standards for a particular engine. 

 * * * * * 

§ 1068.35 What symbols, acronyms, and abbreviations does this part use? 

 * * * * * 

Subpart B – Prohibited Actions and Related Requirements 

§ 1068.101 What general actions does this regulation prohibit? 

 * * * * * 
-45- 

(a) DELETE, 

REPLACE WITH: 

The following prohibitions and requirements apply to manufacturers of new engines and 

manufacturers of equipment containing these engines, except as described in subparts 

C and D of this part: 

(1) Introduction into commerce. New engines and equipment may not be sold, offered 

for sale, or introduced or delivered into commerce in California or imported into 

California unless it has a valid Executive Order for its model year and the required label 

or tag. The actions listed in the previous sentence may not be taken with respect to any 

equipment containing an engine subject to this part’s provisions, unless the engine has 

a valid and appropriate Executive Order and the required engine label or tag. For 

purposes of this paragraph (a)(1), an appropriate Executive Order is one that applies for 

the same model year as the model year of the equipment (except as allowed by 

§ 1068.105(a)), covers the appropriate category of engines, and conforms to all 

requirements specified for the equipment in the standard-setting part. The requirements 

of this paragraph (a)(1) also cover new engines that are produced solely to replace an 

older engine in a piece of equipment, unless the engine qualifies for the 

replacement-engine exemption in § 1068.240. Civil penalties my be assessed for each 

engine in violation under the requirements of the California Health and Safety Code, 

Division 26, and corresponding regulations. 

(2) Reporting and recordkeeping. Manufacturers are required to record certain types of 

information to show that their engines are meeting California’s standards. 

Manufacturers must comply with these requirements to make and maintain required 

records (including those described in § 1068.501), and may not deny ARB access to 

these records or the ability to copy these records for which ARB has the authority to 

examine upon request. The required reports and information must be provided to the 

ARB upon request without delay. Failure to comply with the requirements of this 

paragraph is prohibited. A violation of the requirements of this subpart is a violation of 

the applicable provisions of the California Health and Safety Code, Division 26, and 

corresponding regulations, and is subject to the penalty provisions thereunder. 

(3) Testing and access to facilities. Manufacturers may not prevent ARB or its 

delegated agents from entering the manufacturer’s facility to inspect and/or perform 

authorized testing. Manufacturers must perform the tests we require (or have the tests 

performed by an outside source). Failure to perform this testing is prohibited. Civil 

penalties my be assessed for each engine in violation under the requirements of the 

California Health and Safety Code, Division 26, and corresponding regulations. 

(b) DELETE, 

REPLACE WITH: 

The following prohibitions apply to all entities with respect to the engines to which this 

part applies: 

(1) Tampering. No one may remove or disable a device or element of design that may 

affect an engine’s emission levels. This restriction applies before and after the engine is 

placed in service. Section 1068.120 describes how this applies to rebuilding engines. 

A person or a manufacturer or dealer who violates this part is subject to a civil penalty 
-46- 

as specified in the California Health and Safety Code, Division 26, and corresponding 

regulations This prohibition does not apply in any of the following situations: 

 * * * * * 

(2) Defeat devices. A manufacturer may not knowingly manufacture, sell, offer to sell, 

or install, an engine part if it bypasses, impairs, defeats, or disables the engine’s control 

the emissions of any pollutant. A violation of the requirements of this subpart is a 

violation of the applicable provisions of the California Health and Safety Code, 

Division 26, and corresponding regulations, and is subject to the penalty provisions 

thereunder. 

(3) Stationary engines. An engine that is excluded from any requirements of this 

chapter because it is a stationary engine may not be moved or installed in any mobile 

equipment except as allowed by the provisions of this chapter. The residence time 

requirements of paragraph (2)(iii) of the nonroad engine definition in § 1068.30 may not 

be intentionally circumvented. A violation of the requirements of this subpart is a 

violation of the applicable provisions of the California Health and Safety Code, 

Division 26, and corresponding regulations, and is subject to the penalty provisions 

thereunder for each day you are in violation. 

(4) Competition engines. An uncertified engine or piece of equipment that is excluded 

or exempted from any requirements of this chapter because it is to be used solely for 

competition may not be used in a manner that is inconsistent with use solely for 

competition. A violation of the requirements of this subpart is a violation of the 

applicable provisions of the California Health and Safety Code, Division 26, and 

corresponding regulations, and is subject to the penalty provisions thereunder. 

(5) Importation. An uncertified engine or piece of equipment may not be imported if it is 

defined to be new in the standard-setting part and it is built after emission standards 

start to apply in California. A violation of the requirements of this subpart is a violation 

of the applicable provisions of the California Health and Safety Code, Division 26, and 

corresponding regulations, and is subject to the penalty provisions thereunder. Note the 

following: 

(i) The definition of new is broad for imported engines; uncertified engines and 

equipment (including used engines and equipment) are generally considered to be new 

when imported. 

(ii) Engines that were originally manufactured before applicable ARB standards became 

effective are generally not subject to emission standards. 

(6) Warranty. Manufacturers must honor the emission-related warranty requirements 

under § 1068.115 and fulfill any applicable responsibilities to recall engines under 

§ 1068.505. Failure to meet these obligations is prohibited. A violation of the 

requirements of this subpart is a violation of the applicable provisions of the California 

Health and Safety Code, Division 26, and corresponding regulations, and is subject to 

the penalty provisions thereunder. 

 * * * * * 
-47- 

(e) DELETE, 

REPLACE WITH: 

The maximum penalty values listed in paragraphs (a) and (b) of this section are shown 

for calendar year 2002. Maximum penalty limits for later years may be adjusted based 

on the applicable provisions of the California Health and Safety Code, Division 26, and 

corresponding regulations. 

ADD: 

(f) Under § 43017 of the California Health and Safety Code, the Air Resources Board 

may enjoin any violation of any provision of Subpart B of this part 1068. 

§ 1068.105 What other provisions apply to me specifically if I manufacture equipment 

needing certified engines? 

 * * * * * 

(d) DELETE, 

REPLACE WITH: 

Producing off-road equipment certified to highway emission standards. A manufacturer 

may produce off-road equipment from complete or incomplete motor vehicles with the 

motor vehicle engine under the following conditions: 

(1) The engine or vehicle is certified to California on-road requirements. 

(2) The engine is not adjusted outside the manufacturer's specifications. 

(3) The engine or vehicle is not modified in any way that may affect its emission control. 

This applies to evaporative emission controls, but not refueling emission controls. 

(4) Additional restrictions may be imposed by the Executive Officer as determined 

necessary to ensure emission performance equity. 

§ 1068.110 What other provisions apply to engines in service? 

 * * * * * 

(b) DELETE, 

REPLACE WITH: 

Certifying aftermarket parts. The manufacturer or rebuilder of an aftermarket engine 

part shall be required to certify according to the requirements of Title 13, CCR, 

Chapter 4, Article 2. The aftermarket part rebuilder or manufacturer must keep all 

records showing how the part affects emissions, and shall provide this information to the 

Executive Officer within 30 calendar days upon request. 

 * * * * * 
-48- 

§ 1068.115 When must manufacturers honor emission-related warranty claims? 

Introductory text DELETE, 

REPLACE WITH: 

Title 13, CCR, Chapter 9, Article 4, § 2425, requires certifying manufacturers of 

compression-ignition engines to warrant to purchasers that their engines are designed, 

built, and equipped to conform at the time of sale to the applicable regulations for their 

full useful life, including a warranty that the engines are free from defects in materials 

and workmanship that would cause an engine to fail to conform to the applicable 

regulations during the specified warranty period. This section codifies the warranty 

requirements without intending to limit them. 

 * * * * * 

§ 1068.120 What requirements must I follow to rebuild engines? 

 * * * * * 

ADD: 

(l) The provisions in Title 13, CCR, § 2423(l) shall apply. 

§ 1068.125 What happens if I violate the regulations? 

 DELETE, 

REPLACE WITH: 

A violation of the requirements of this subpart is a violation of the applicable provisions 

of the California Health and Safety Code, Division 26, and corresponding regulations, 

and is subject to the penalty provisions thereunder. 

Subpart C – Exemptions and Exclusions 

§ 1068.201 Does ARB exempt or exclude any engines from the prohibited acts? 

 * * * * * 

§ 1068.210 What are the provisions for exempting test engines? 

 * * * * * 

§ 1068.215 What are the provisions for exempting manufacturer-owned engines? 

 * * * * * 
-49- 

(b) DELETE, 

REPLACE WITH: 

By provision of the California Health and Safety Code, Division 24, Part 5, Chapter 1, 

§ 43014, a manufacturer may request the Executive Officer to issue an experimental 

permit for a nonconforming engine under the ownership and control of the manufacturer 

for the purposes of developing products, assessing production methods, or promoting 

engines in the marketplace. The engine shall not be loaned, leased, or sold to generate 

revenue, either by itself or in a piece of equipment. 

 * * * * * 

(c)(3)(iv) DELETE, 

REPLACE WITH: 

The statement “THIS ENGINE IS COVERED BY AN EXPERIMENTAL PERMIT AND IS 

EXEMPT FROM MEETING CALIFORNIA EMISSION REQUIREMENTS.”. The 

referencing of similar federal requirements in combination with California references 

under this provision is permitted. 

§ 1068.220 What are the provisions for exempting display engines? 

 * * * * * 

§ 1068.225 What are the provisions for exempting engines for national security? 

 * * * * * 

§ 1068.230 What are the provisions for exempting engines for export? 

 * * * * * 

§ 1068.235 What are the provisions for exempting engines used solely for 

competition? 

 * * * * * 

§ 1068.240 What are the provisions for exempting new replacement engines? 

 * * * * * 

(c) DELETE, 

REPLACE WITH: 

If the engine being replaced was not certified to any emission standards under this 

chapter, add a permanent label with your corporate name and trademark and the 

following language: 
-50- 

“THIS ENGINE DOES NOT COMPLY WITH CALIFORNIA OFF-ROAD EMISSION 

REQUIREMENTS. SALE OR INSTALLATION OF THIS ENGINE FOR ANY PURPOSE 

OTHER THAN AS A REPLACEMENT ENGINE FOR AN ENGINE MANUFACTURED 

PRIOR TO JANUARY 1, [Insert appropriate year reflecting when the earliest tier of 

emission standards began to apply to engines of that size and type] IS A VIOLATION 

OF CALIFORNIA LAW SUBJECT TO CIVIL PENALTY.” The referencing of similar 

federal requirements in combination with California references under this provision is 

permitted. 

(d) DELETE, 

REPLACE WITH: 

If the engine being replaced was certified to emission standards less stringent than 

those in effect when you produce the replacement engine, add a permanent label with 

your corporate name and trademark and the following language: 

“THIS ENGINE COMPLIES WITH CALIFORNIA OFF-ROAD AND U.S. EPA 

NONROAD EMISSION REQUIREMENTS FOR [Insert appropriate year reflecting when 

the applicable tier of emission standards for the replaced engine began to apply] 

ENGINES UNDER 13 CCR 2423(j) AND 40 CFR 1068.240. SELLING OR 

INSTALLING THIS ENGINE FOR ANY PURPOSE OTHER THAN TO REPLACE AN 

OFF-ROAD ENGINE BUILT BEFORE JANUARY 1 [Insert appropriate year reflecting 

when the next tier of emission standards began to apply] MAY BE A VIOLATION OF 

CALIFORNIA AND FEDERAL LAW SUBJECT TO CIVIL PENALTY.” The referencing 

of similar federal requirements in combination with California references under this 

provision is permitted. 

 * * * * * 

§ 1068.245 What temporary provisions address hardship due to unusual 

circumstances? 

 * * * * * 

§ 1068.250 What are the provisions for extending compliance deadlines for 

small-volume manufacturers under hardship? 

 * * * * * 

§ 1068.255 What are the provisions for exempting engines for hardship for equipment 

manufacturers and secondary engine manufacturers? 

 * * * * * 

(b)(4)(i) DELETE, 

REPLACE WITH: 

If the engine does not meet any emission standards: “THIS ENGINE IS EXEMPT 
-51- 

UNDER 13 CCR 2423(f) FROM EMISSION STANDARDS AND RELATED 

REQUIREMENTS.”. The referencing of similar federal requirements in combination 

with California references under this provision is permitted. 

 * * * * * 

§ 1068.260 What are the provisions for temporarily exempting engines for delegated 

final assembly? 

 * * * * * 

§ 1068.265 What provisions apply to engines that are conditionally exempted from 

certification? 

 * * * * * 

Subpart D – Imports 

§ 1068.301 Does this subpart apply to me? 

 * * * * * 

§ 1068.305 How do I get an exemption or exclusion for imported engines? 

 * * * * * 

ADD: 

(f) For any engine whose destination is California, send the completed form to the 

Executive Officer of the Air Resources Board. 

§ 1068.310 What are the exclusions for imported engines? 

 * * * * * 

§ 1068.315 What are the permanent exemptions for imported engines? 

 * * * * * 

§ 1068.320 How must I label an imported engine with a permanent exemption? 

 * * * * * 
-52- 

(b)(4) DELETE, 

REPLACE WITH: 

State: "THIS IMPORT ENGINE IS GRANTED A PERMANENT EXEMPTION FROM 

MEETING CURRENT YEAR CALIFORNIA OFF-ROAD DIESEL EMISSION 

REQUIREMENTS BY ALLOWANCE FOR [identify the permanent exemption category 

authorizing the exemption (for example, “NATIONAL SECURITY”)]. INSTALLING THIS 

ENGINE IN ANY DIFFERENT APPLICATION IS A VIOLATION OF CALIFORNIA LAW 

SUBJECT TO CIVIL PENALTY.”. The referencing of similar federal requirements in 

combination with California references under this provision is permitted. 

§ 1068.325 What are the temporary exemptions for imported engines? 

 * * * * * 

§ 1068.330 How do I import engines requiring further assembly? 

 * * * * * 

§ 1068.335 What are the penalties for violations? 

 * * * * * 

ADD: 

(c) Under § 43017 of the California Health and Safety Code, the Air Resources Board 

may enjoin any violation of any provision of Subpart D of this part 1068. 

Subpart E – Selective Enforcement Auditing 

§ 1068.401 What is a selective enforcement audit? 

 * * * * * 

§ 1068.405 What is in a test order? 

 * * * * * 

§ 1068.410 How must I select and prepare my engines? 

 * * * * * 

§ 1068.415 How do I test my engines? 

 * * * * * 
-53- 

§ 1068.420 How do I know when my engine family fails an SEA? 

 * * * * * 

§ 1068.425 What happens if one of my production-line engines exceeds the emission 

standards? 

 * * * * * 

§ 1068.430 What happens if an engine family fails an SEA? 

 * * * * * 

§ 1068.435 May I sell engines from an engine family with a suspended Executive 

Order? 

 * * * * * 

§ 1068.440 How do I ask ARB to reinstate my suspended Executive Order? 

 * * * * * 

§ 1068.445 When may ARB revoke my Executive Order under this subpart and how 

may I sell these engines again? 

 * * * * * 

§ 1068.450 What records must I send to ARB? 

 * * * * * 

ADD: 

(f) The manufacturer shall supply upon request emission test results from U.S. 

EPA-directed audits for engines certified in California. 

§ 1068.455 What records must I keep? 

 * * * * * 

Appendix A to Subpart E of Part 1068-Plans for Selective Enforcement Auditing 

 * * * * * 
-54- 

Subpart F – Reporting Defects and Recalling Engines

§ 1068.501 How do I report engine defects? 

 * * * * * 

§ 1068.505 How does the recall program work? 

DELETE, 

REPLACE WITH: 

Off-road engines subject to provisions of subpart B of this part are subject to recall 

regulations specified in Title 13, California Code of Regulations, Chapter 2, 

Articles 2.1 – 2.4, §§ 2111 – 2141. 

§ 1068.510 How do I prepare and apply my remedial plan? 

DELETE, 

REPLACE WITH: 

Off-road engines subject to provisions of subpart B of this part are subject to recall 

regulations specified in Title 13, California Code of Regulations, Chapter 2, 

Articles 2.1 – 2.4, §§ 2111 – 2141. 

§ 1068.515 How do I mark or label repaired engines?

DELETE, 

REPLACE WITH: 

Off-road engines subject to provisions of subpart B of this part are subject to recall 

regulations specified in Title 13, California Code of Regulations, Chapter 2, 

Articles 2.1 – 2.4, §§ 2111 – 2141. 

§ 1068.520 How do I notify affected owners? 

DELETE, 

REPLACE WITH: 

Off-road engines subject to provisions of subpart B of this part are subject to recall 

regulations specified in Title 13, California Code of Regulations, Chapter 2, 

Articles 2.1 – 2.4, §§ 2111 – 2141. 

§ 1068.525 What records must I send to ARB? 

DELETE, 

REPLACE WITH: 

Off-road engines subject to provisions of subpart B of this part are subject to recall 

regulations specified in Title 13, California Code of Regulations, Chapter 2, 

Articles 2.1 – 2.4, §§ 2111 – 2141. 
-55- 

§ 1068.530 What records must I keep? 

DELETE, 

REPLACE WITH: 

Off-road engines subject to provisions of subpart B of this part are subject to recall 

regulations specified in Title 13, California Code of Regulations, Chapter 2, 

Articles 2.1 – 2.4, §§ 2111 – 2141. 

§ 1068.535 How can I do a voluntary recall for emission-related problems? 

DELETE, 

REPLACE WITH: 

Off-road engines subject to provisions of subpart B of this part are subject to recall 

regulations specified in Title 13, California Code of Regulations, Chapter 2, 

Articles 2.1 – 2.4, §§ 2111 – 2141. 

§ 1068.540 [Removed] 

DELETE. 

Subpart G – Hearings 

§ 1068.601 What are the procedures for hearings? 

DELETE, 

REPLACE WITH: 

A manufacturer may request a hearing on an Executive Officer’s decision regarding 

certification, as specified in Title 17, California Code of Regulations, Division 3, 

Chapter 1, Subchapter 1.25, Articles 1 and 2. 

Appendix I to Part 1068 – Emission-Related Components 

 * * * * * 

Appendix II to Part 1068 – Emission-Related Parameters and Specifications 

 * * * * *