State of California

AIR RESOURCES BOARD

California Exhaust Emission Standards and Test Proc edures 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 o f Federal Regulations (CFR) part 1039, subparts A, B, C, D, E, F, G, H, a nd I, including Appendix I, II, III, IV, V, and VI to part 1039, as amended July 13, 2005, 4 0 CFR Part 1065, Subparts A, B, C, D, E, F, G, H, I, J, and K, as amended July 13, 200 5, 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 s tandard type. Incorporated sections that have been included in their entirety are set f orth 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 bee n incorporated into these test procedures by reference, unchanged. CFR sections t hat are not listed are not part of the test procedures. If there is any conflict betw een 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 T itle 13 apply.-i

### Table of Contents

PART 1039 – CONTROL OF EMISSIONS FROM NEW AND IN-US E 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 m e? ...................................... 2 § 1039.20 What requirements from this part apply t o excluded stationary

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

Subpart B – Emission Standards and Related Requirem ents......................................... 2

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

2014 model year? ................................... ........................................... 2 § 1039.102 What exhaust emission standards and phas e-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 mee t? ............................... 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 requireme nts apply to me? ............. 9 § 1039.125 What maintenance instructions must I giv e to buyers?...................... 9 § 1039.130 What installation instructions must I gi ve to equipment

manufacturers?..................................... ............................................. 9 § 1039.135 How must I label and identify the engine s 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 ob taining 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 instructi ons in my application?... 10 § 1039.225 How do I amend my application for certif ication 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 fami ly 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 report s 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 accou nt for infrequently

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

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

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

§ 1039.601 What compliance provisions apply to thes e engines? ..................... 13 § 1039.605 What provisions apply to engines already certified under the

motor-vehicle program?............................. ...................................... 13 § 1039.610 What provisions apply to vehicles alread y 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 en gines used solely for

competition? ....................................... ............................................. 13 § 1039.625 What requirements apply under the progra m for equipmentmanufacturer flexibility? .......................... ......................................... 14 § 1039.626 What special provisions apply to equipme nt imported under the

equipment-manufacturer flexibility program?........ ........................... 18 § 1039.627 What are the incentives for equipment ma nufacturers to use cleaner

engines? ........................................... ............................................... 18 § 1039.630 What are the economic hardship provision s for equipment

manufacturers?..................................... ........................................... 18 § 1039.635 What are the hardship provisions for eng ine 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 Indepen dent Commercial

Importers?......................................... ............................................... 20-iiiSubpart H – Averaging, Banking, and Trading for Cer tification..................................... 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 fo r 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 emissi on 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 Informa tion.............................................. 2 1

§ 1039.801 What definitions apply to this part?.... .............................................. 21 § 1039.805 What symbols, acronyms, and abbreviation s does this part use? ... 24 § 1039.810 What materials does this part reference? ........................................ 24 § 1039.815 What provisions apply to confidential in formation?.......................... 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 Cycle s 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-Igni tion 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 relati onship 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 an d field testing.................. 27 § 1065.20 Units of measure and overview of calcula tions............................... 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............... .................................................. 2 7 § 1065.130 Engine exhaust..........................

................................................... ... 28 § 1065.140 Dilution for gaseous and PM constituents ........................................ 28 § 1065.145 Gaseous and PM probes, transfer lines, a nd sampling system

components. ........................................ ............................................ 28 § 1065.150 Continuous sampling. .................... .................................................. 2 8 § 1065.170 Batch sampling for gaseous and PM consti tuents. .......................... 28 § 1065.190 PM-stabilization and weighing environmen ts 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 measureme nt instruments. ............. 28 Measurement of Engine Parameters and Ambient Condit ions ............................... 29 § 1065.210 Work input and output sensors. .......... ............................................. 29 § 1065.215 Pressure transducers, temperature sensor s, 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 me ters..................................... 29 § 1065.245 Sample flow meter for batch sampling.... ......................................... 29 § 1065.248 Gas divider.............................

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

CO and CO 2 Measurements...................................... ............................................. 29 § 1065.250 Nondispersive infra-red analyzer. ....... ............................................. 29 Hydrocarbon Measurements ...........................

................................................... .... 30 § 1065.260 Flame-ionization detector............... .................................................. 3 0 § 1065.265 Nonmethane cutter. ......................

................................................... 30 § 1065.267 Gas chromatograph. ...................... .................................................. 3 0

NO
x Measurements ......................................

................................................... ....... 30 § 1065.270 Chemiluminescent detector. .............. .............................................. 30 § 1065.272 Nondispersive ultraviolet analyzer. ..... ............................................. 30

O 2 Measurements......................................

................................................... .......... 30 § 1065.280 Paramagnetic and magnetopneumatic O 2 detection analyzers. ...... 30

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

................................................... ..... 30 § 1065.284 Zirconia (ZrO 2 ) analyzer......................................... .......................... 30

PM Measurements ....................................

................................................... .......... 30 § 1065.290 PM gravimetric balance. ................. ................................................. 30 § 1065.295 PM inertial balance for field testing an alysis. ................................... 31-vSubpart D – Calibrations and Verifications.........

................................................... ........ 31

§ 1065.301 Overview and general provisions......... ............................................ 31 § 1065.303 Summary of required calibration and veri fications. .......................... 31 § 1065.305 Verifications for accuracy, repeatabilit y, 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 Condit ions ............................... 31 § 1065.310 Torque calibration. .....................

................................................... ... 31 § 1065.315 Pressure, temperature, and dewpoint cali bration............................. 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 (prop ane check). ..................... 32 § 1065.345 Vacuum-side leak verification. .......... ............................................... 32

CO and CO 2 Measurements...................................... ............................................. 32 § 1065.350 H 2 O interference verification for CO 2 NDIR analyzers. .................... 32 § 1065.355 H 2 O and CO 2 interference verification for CO NDIR analyzers... ..... 32 Hydrocarbon Measurements ...........................

................................................... .... 32 § 1065.360 FID optimization and verification....... ............................................... 32 § 1065.362 Non-stoichiometric raw exhaust FID O 2 interference verification. .... 33 § 1065.365 Nonmethane cutter penetration fractions. ........................................ 33

NO
x Measurements ......................................

................................................... ....... 33 § 1065.370 CLD CO 2 and H 2 O quench verification. ............................. .............. 33 § 1065.372 NDUV analyzer HC and H 2 O interference verification. .................... 33 § 1065.376 Chiller NO 2 penetration....................................... ............................. 33 § 1065.378 NO 2 -to-NO converter conversion verification........... ........................ 33

PM Measurements ....................................

................................................... .......... 33 § 1065.390 PM balance verifications and weighing pr ocess verification. ........... 33 § 1065.395 Inertial PM balance verifications. ...... ............................................... 33

Subpart E – Engine Selection, Preparation, and Main tenance...................................... 33

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

................................................... . 33 § 1065.405 Test engine preparation and maintenance. ...................................... 34 § 1065.410 Maintenance limits for stabilized test e ngines.................................. 34 § 1065.415 Durability demonstration. ............... .................................................. 3 4

Subpart F – Performing an Emission Test in the Labo ratory......................................... 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 shutdow n........................................ 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 val idation, and drift correction.. 35 § 1065.590 PM sample preconditioning and tare weigh ing. ............................... 35 § 1065.595 PM sample post-conditioning and total we ighing............................. 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 calcul ations............................ 35 § 1065.645 Amount of water in an ideal gas......... .............................................. 36 § 1065.650 Emission calculations. ..................

................................................... 36 § 1065.655 Chemical balances of fuel, intake air, a nd 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 correct ion. ................................... 36 § 1065.670 NO
x

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 G ases and Other Calibration

Standards ..........................................

................................................... ........... 37

§ 1065.701 General requirements for test fuels..... ............................................. 37 § 1065.703 Distillate diesel fuel. .................

................................................... ..... 37 § 1065.705 Residual fuel [Reserved]................ .................................................. 3 7 § 1065.710 Gasoline................................

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

................................................... ...... 37 § 1065.720 Liquefied petroleum gas................. .................................................. 3 7 § 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 Mea surement Systems .................... 38

Subpart K – Definitions and Other Reference Informa tion ............................................ 39

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

................................................... ......... 39 § 1065.1005 Symbols, abbreviations, acronyms, and u nits of measure............... 39 § 1065.1010 Reference materials....................

................................................... .. 39

PART 1068 – GENERAL COMPLIANCE PROVISIONS FOR NONRO AD PROGRAMS40

Subpart A – Applicability and Miscellaneous Provisi ons ............................................... 4 0

§ 1068.1 Does this part apply to me? .............. .............................................. 40 § 1068.5 How must manufacturers apply good enginee ring judgment? ........ 40 § 1068.10 What provisions apply to confidential in formation?......................... 40 § 1068.15 Who is authorized to represent the Air R esources Board? ............. 40 § 1068.20 May ARB enter my facilities for inspecti ons?.................................. 41 § 1068.25 What information must I give to ARB? .... ........................................ 43 § 1068.27 May ARB conduct testing with my producti on engines? ................. 43 § 1068.30 What definitions apply to this part? .... ............................................. 43 § 1068.35 What symbols, acronyms, and abbreviation s does this part use? .. 44

Subpart B – Prohibited Actions and Related Requirem ents.......................................... 44

§ 1068.101 What general actions does this regulatio n prohibit? ........................ 44 § 1068.105 What other provisions apply to me specif ically if I manufacture

equipment needing certified engines? ............... .............................. 47 § 1068.110 What other provisions apply to engines i n service? ......................... 47 § 1068.115 When must manufacturers honor emission-r elated warranty claims?

................................................... ................................................... ... 48 § 1068.120 What requirements must I follow to rebui ld engines? ...................... 48 § 1068.125 What happens if I violate the regulation s? ....................................... 48

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

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

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

................................................... ................................................... ... 48 § 1068.210 What are the provisions for exempting te st engines? ...................... 48 § 1068.215 What are the provisions for exempting ma nufacturer-owned engines?

................................................... ................................................... ... 48 § 1068.220 What are the provisions for exempting di splay engines?................. 49 § 1068.225 What are the provisions for exempting en gines for national security?

................................................... ................................................... ... 49 § 1068.230 What are the provisions for exempting en gines for export?............. 49 § 1068.235 What are the provisions for exempting en gines used solely for

competition? ....................................... ............................................. 49 § 1068.240 What are the provisions for exempting ne w replacement engines?. 49 § 1068.245 What temporary provisions address hardsh ip due to unusual

circumstances?..................................... ........................................... 50 § 1068.250 What are the provisions for extending co mpliance deadlines for

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

§ 1068.255 What are the provisions for exempting en gines for hardship for

equipment manufacturers and secondary engine manufa cturers? .. 50 § 1068.260 What are the provisions for temporarily exempting engines for

delegated final assembly? .......................... ..................................... 51 § 1068.265 What provisions apply to engines that ar e 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 f or imported engines?....... 51 § 1068.310 What are the exclusions for imported eng ines?............................... 51 § 1068.315 What are the permanent exemptions for im ported engines? ........... 51 § 1068.320 How must I label an imported engine with a permanent exemption?51 § 1068.325 What are the temporary exemptions for im ported engines? ............ 52

§ 1068.330 How do I import engines requiring furthe r 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 fail s an SEA? ..................... 53 § 1068.425 What happens if one of my production-lin e engines exceeds the

emission standards?................................ ........................................ 53 § 1068.430 What happens if an engine family fails a n 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 suspend ed Executive Order? .... 53 § 1068.445 When may ARB revoke my Executive Order u nder 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 Sele ctive 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 p lan?............................... 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 emis sion-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 Componen ts............................................ 55

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

CALIFORNIA EXHAUST EMISSION STANDARDS AND TEST PROC EDURES FOR

NEW 2008 AND LATER TIER 4 OFF-ROAD COMPRESSION-IGNI TION ENGINES

The following provisions of Part 1039, Part 1065, a nd Part 1068, Title 40, Code of Federal Regulations, as proposed by the United Stat es Environmental Protection Agency on the date listed, are adopted and incorpor ated herein by this reference for 2008 model year and later off-road compression-igni tion engines as the California

Exhaust Emission Standards and Test Procedures for New 2008 and Later Tier 4 Off-Road Compression-Ignition Engines, except as al tered or replaced by the provisions

set forth below.

PART 1039 – CONTROL OF EMISSIONS FROM NEW AND IN-US E 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 20 00 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 provision s that may affect engine or equipment manufacturers, or both, and others. However, the r equirements of this part are generally addressed to the engine manufacturer. Th e term “you” generally means the engine manufacturer, as defined in § 1039.801. Thi s part 1039 is divided into the following subparts:

* * * * *

§ 1039.15 Do any other regulation parts apply to m e?

* * * * *

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

* * * * *

(b)(4) DELETE,

REPLACE WITH:
State: "THIS ENGINE IS EXCLUDED FROM THE REQUIREMEN TS OF 13 CCR, CH 9, ARTICLE 4, AS A “STATIONARY ENGINE.” INSTALL ING 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 thi s provision is permitted.

Subpart B – Emission Standards and Related Requirem ents

§ 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 appl y after the 2014 model year. Certain of these standards also apply for model yea r 2014 and earlier. This section presents the full set of emission standards that ap ply after all the transition and phase-in provisions of § 1039.102 and § 1039.104 expire. Se e § 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 phas e-in allowances apply for my engines in model year 2014 and earlier?

Introductory Text DELETE,

REPLACE WITH: The exhaust emission standards of this section appl y for 2014 and earlier model years. See §1039.101 for exhaust emission standards that a pply 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 stan dards (and FELs if the engines are certified using ABT) for gaseous pollutants as cert ified 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 a pply 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). St arting 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 abov e 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 engin es." Under Option #2, all these-5-

engines produced before the 2012 model year must me et the applicable standards under Title 13, CCR, § 2423(b)(1)(A). Engines cert ified to the Option #2 standards in model year 2012 are considered to be "Option #2 eng ines."

* * * * *

(d)(1) DELETE,

REPLACE WITH: For model years 2012 through 2014, you may use bank ed NOx+NMHC credits from any Tier 2 engine at or above 37 kW certified under Tit le 13, CCR, § 2423(b)(1)(A) to meet the NOx phase-in standards or the NOx+NMHC phase-ou t standards under paragraphs (b) and (c) of this section, subject to the additio nal ABT provisions in § 1039.740.

* * * * *

(g)(1) “(1) NTE standards.” DELETE,

REPLACE WITH: “(1) NTE limits.”

* * * * *

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

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 c ertify 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). Ho wever, the NTE limits for PM apply to these engines.

* * * * *

Table 8 Footnote 3 DELETE,

REPLACE WITH: For manufacturers certifying engines to the standar ds 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 standa rds 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 pla ce of the otherwise required statement of compliance in § 2424(c)(2): “THIS ENGINE MEETS C ALIFORNIA EMISSION STANDARDS UNDER 13 CCR 2423(b)(6).” The referencin g of similar federal requirements in combination with California referen ces under this provision is permitted. For power categories with a percentage phase-in, th ese engines should be treated as phase-in engines for purposes of determining compli ance 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 Ti tle 13, CCR, § 2423(b)(1)(A) and the 2000 Plus Limited Test Procedures for model yea rs through 2012, but you must begin complying in 2013 with Tier 4 standards and r equirements 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 standard s and other requirements under Title 13, CCR, § 2423(b)(1)(A) and the 2000 Plus Li mited Test Procedures applicable for that model year, except as noted in this paragr aph (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 i n § 2424(c)(2): "THIS ENGINE COMPLIES WITH CALIFORNIA REGULATIONS FOR [CURRENT M ODEL YEAR]

OFF-ROAD COMPRESSION-IGNITION ENGINES UNDER 13 CCR 2423(b)(7).". The referencing of similar federal requirements in comb ination 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 § 242 4(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-o ut engines that you certify to the same numerical standards (and FELs if the engines a re 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 mee t?

* * * * *

§ 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 requireme nts apply to me?

* * * * *

(c) DELETE,

REPLACE WITH: Components covered . The emission-related warranty covers all compone nts 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-relat ed warranty covers these components even if another company produces the com ponent. Your emission-related warranty does not cover components whose failure wo uld not increase an engine’s emissions of any pollutant.

* * * * *

§ 1039.125 What maintenance instructions must I giv e to buyers?

* * * * *

§ 1039.130 What installation instructions must I gi ve to equipment manufacturers?

* * * * *

§ 1039.135 How must I label and identify the engine s I produce?

* * * * *

(c)(12) DELETE,

REPLACE WITH:

State: "THIS ENGINE COMPLIES WITH CALIFORNIA REGULA TIONS FOR [MODEL YEAR] OFF-ROAD DIESEL ENGINES.". The referencing o f similar federal requirements in combination with California referen ces 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 ob taining 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 o f 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 instructi ons in my application?

* * * * *

§ 1039.225 How do I amend my application for certif ication 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 fami ly 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 Of ficer to approve deterioration factors for an engine family with established techn ology based on engineering analysis instead of testing. Engines certified to a NOx+NMH C 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 emiss ion control, except that this does not include any engines that use exhaust-gas recirculat ion or aftertreatment. In most cases, technologies used to meet the Tier 1 and Tie r 2 emission standards would be considered to be established technology.

* * * * *

§ 1039.250 What records must I keep and what report s 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 accou nt for infrequently regenerating

aftertreatment devices?

* * * * *

Subpart G – Special Compliance Provisions

§ 1039.601 What compliance provisions apply to thes e engines?

* * * * *

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

DELETE.

§ 1039.610 What provisions apply to vehicles alread y 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 APPL ICATIONS USING

NONCOMMERCIAL FUEL. MALADJUSTMENT OF THE ENGINE IS A VIOLATION OF

CALIFORNIA LAW SUBJECT TO CIVIL PENALTY.”. The ref erencing of similar federal requirements in combination with California referen ces under this provision is permitted.

* * * * *

§ 1039.620 What are the provisions for exempting en gines used solely for competition?

* * * * *-14-

§ 1039.625 What requirements apply under the progra m for equipment-manufacturer flexibility?

Introductory Text DELETE,

REPLACE WITH: The provisions of this section allow equipment manu facturers to produce equipment with engines that are subject to less stringent emi ssion 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 T itle 13, CCR, §§ 2423(d) and (e) for provisions that apply to equipment produced while T ier 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 b e used within one of the seven-year flexibility usage periods specified in Table 1 or T able 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 p ercentage increments, except as provided for in paragraph (b)(2) or (m) of this sec tion. Equipment claimed as percent-of-production flexibility allowances must c ontain 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 fle xibility allowances for a power category must be used within the same flexibility u sage period.

(b)(2) DELETE,

REPLACE WITH:

Small-volume allowances . As an alternative to the percent-of-production a llowance 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 wit h the following provisions:

* * * * *-15-

(d)(4) DELETE,

REPLACE WITH: Manufacturers may start using a portion of the flex ibility allowances in paragraphs (b)(1) or (b)(2) of this section for equipment and vehicle s 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 th ese early-use flexibility allowances toward the total percentage, or number, of flexibil ity allowances permitted under the provisions of paragraphs (b)(1) or (b)(2) of this s ection. 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 volu me 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 i n paragraph (g) of this section.

Table 3 follows:

* * * * *

(e)(1) DELETE,

REPLACE WITH: Equipment manufacturers using the provisions of par agraph (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 a t 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 identif y the type of equipment] HAS AN

ENGINE THAT MEETS CALIFORNIA EMISSION STANDARDS UND ER 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) a nd, if available, Title 13, CCR, § 2423(d).

(g)(2) DELETE,

REPLACE WITH: For each year that an equipment manufacturer uses t he provisions of this section, the

manufacturer must send the Executive Officer a writ ten 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 c ategory, based on actual U.S.-directed production volume and, if available, California-directed production volume. Also, the manufacturer must identify the percentage s of U.S.-directed production volumes and, if available, California-directed prod uction volumes, that correspond to the number of units in each power category and the cumu lative 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-pro duction allowances in paragraph (b)(1)

of this section.

* * * * *

(i) DELETE,

REPLACE WITH:

Enforcement . Producing more equipment with engines exempted f rom 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, surrend er 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 produc e 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 equipmen t 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 allow ances. The list shall include the equipment manufacturers’ names, engine models, and estimated national production volumes. A copy of the original correspondence fro m the equipment manufacturer-17-

requesting the production of flexibility engines sh all 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 Execut ive Officer upon request. Furthermore, all engines produced for sale in Calif ornia 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 lett er 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 whi ch a valid Executive Order has been issued in a previous model year. The engi ne family name of the previously certified engine family must be included in the manufacturer’s request for certification.

Upon determination that the conditions in paragraph s (1) and (2) have been satisfied, the engine manufacturer shall be provided with an E xecutive Order covering the requested flexibility engine families for the curre nt 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 allowanc es regardless of model year. These engine family names shall be used by the engine man ufacturer to comply with the labeling requirements of paragraph (2) below.

(2) Engine labeling . Engine manufacturers shall meet the labeling req uirements provided in § 1039.135 for all engines produced und er the allowances of this section. However, the following statement must be substitute d for the statement of compliance required under § 1039.135:

“THIS ENGINE COMPLIES WITH CALIFORNIA EMISSION REQU IREMENTS UNDER 13 CCR 2423(d). SELLING OR INSTALLING THIS E NGINE FOR ANY
PURPOSE OTHER THAN FOR THE EQUIPMENT FLEXIBILITY PR OVISIONS

CITED MAY BE A VIOLATION OF STATE LAW SUBJECT TO CI VIL PENALTY.” [Insert Engine Family Name]

The referencing of similar federal requirements in combination with California references under this provision is permitted. Furt hermore, the Executive Officer may, upon request, approve alternate labeling specificat ions provided that they meet the intent of this requirement.-18-

§ 1039.626 What special provisions apply to equipme nt 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 ma nufacturers to use cleaner engines?

* * * * *

§ 1039.630 What are the economic hardship provision s for equipment manufacturers?

Entire Section DELETE,

REPLACE WITH: The provisions in Title 13, CCR, § 2423(f) shall ap ply.

§ 1039.635 What are the hardship provisions for eng ine 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 reimburs ement 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: "T HIS 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 ref erencing of similar federal requirements in combination with California referen ces 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 “N TE 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 Indepen dent Commercial Importers?

* * * * *

Subpart H – Averaging, Banking, and Trading for Cer tification

§ 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 fo r 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 emissi on 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 f ollowing standards under 40 CFR part 89”,

REPLACE WITH: And it was certified to the following standards und er 40 CFR part 89 or 13 CCR 2423(b)(1)(A) ...

(b)(2) DELETE,

REPLACE WITH: Emission credits generated from marine engines cert ified under the provisions of 40 CFR part 89 or Title 13, CCR, § 2423(b)(1)(A), m ay 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 fo r 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 Informa tion

§ 1039.801 What definitions apply to this part?

ADD: 40 CFR part 1065 means Part 1065 and applicable subparts of these 2 008 and Later

Test Procedures when referenced in unrevised sectio ns.-22-

ADD: 40 CFR part 1068 means Part 1068 and applicable subparts of these 2 008 and Later Test procedures when referenced in unrevised sectio ns.

Act DELETE,

REPLACE WITH:

Act means California Health and Safety Code, Division 26, and corresponding regulations, except where the context indicates oth erwise.

* * * * *

ADD: Certificate of Conformity means an Executive Order issued in accordance with the California Health and Safety Code, Division 26, Par t 5.

Certification DELETE,

REPLACE WITH:

Certification means obtaining an executive order for an engine fa mily complying with the off-road compression-ignition engine emission stand ards and requirements specified in Title 13, CCR, Chapter 9, §§ 2420-2427.

* * * * *

ADD: Certified configuration or certified emissions conf iguration means the assembled state of an engine that is equipped with a complete set o f emission-related components and systems that are equivalent from an emissions stand point (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 origina l emission-related components and systems for that engine, or (C) are direct replacem ent parts equaling or exceeding the emissions-related performance of the original or su perseded components and systems.

* * * * *

ADD:

Clean Air Act means California Health and Safety Code, Division 26, and corresponding regulations, except where the context indicates oth erwise.

* * * * *

Designated Compliance Officer DELETE,

REPLACE WITH: Designated Compliance Officer means the Executive Officer of the Air Resources B oard (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 tha t includes off-road engines.

* * * * *

Nonroad engine DELETE,

REPLACE WITH: Nonroad engine means an off-road engine as defined in this sectio n.

* * * * *

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 de finition, any internal combustion engine: (i) In or on a piece of equipment that is self-pro pelled or serves a dual purpose by both propelling itself and performing another funct ion (such as garden tractors, off--24-

highway mobile cranes, and bulldozers); or (ii) In or on a piece of equipment that is intende d to be propelled while performing its function (such as lawnmowers and string trimmer s); or (iii) That, by itself or in or on a piece of equip ment, 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-roa d engine if: (i) The engine is used to propel a vehicle subject to the emissions standards contained in Title 13, California Code of Regulatio ns, Sections 1950-1978, or a vehicle used solely for competition, or is subject to stand ards promulgated under section 202 of the federal Clean Air Act (42 U.S.C; or (ii) The engine is regulated by a federal New Sour ce 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 consecut ive months or a shorter period of time for an engine located at a seasonal source. A loca tion 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 o r similar function as the engine replaced will be included in calculating the consec utive 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 perma nent basis (i.e., at least two years) and that operates at that single location approxima tely three months (or more) each year. This paragraph does not apply to an engine a fter 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 abbreviation s does this part use?

* * * * *

§ 1039.810 What materials does this part reference?

* * * * *-25-

§ 1039.815 What provisions apply to confidential in formation?

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 (Of f-Road Compression-Ignition Engines and Equipment) is entitled to confidential treatmen t 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 Executiv e Officer’s decision regarding certification, as specified in Title 17, CCR, Divis ion 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 Cycle s 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-Igni tion 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 compl etely new document. Few of the original sections remain, but even those have d ifferent 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 modific ations to the Omnibus Technical Amendments rather than to staff’s existing Part 106 5 of the existing 2008 and Later Test Procedures. In effect, staff is proposi ng 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 otherwis e noted.

Subpart A – Applicability and General Provisions

§ 1065.1 Applicability.

* * * * *

(a)(2) DELETE,

REPLACE WITH: Land-based off-road compression-ignition engines re gulated under Title 13, CCR, Chapter 9, Article 4, and subject to the emission s tandards 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 relati onship to the standard-setting part.

* * * * *

§ 1065.10 Other procedures.

* * * * *-27-

§ 1065.12 Approval of alternate procedures.

* * * * *

§ 1065.15 Overview of procedures for laboratory an d field testing.

* * * * *

§ 1065.20 Units of measure and overview of calcula tions.

* * * * *

§ 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, a nd sampling system
components.

* * * * *

§ 1065.150 Continuous sampling.

* * * * *

§ 1065.170 Batch sampling for gaseous and PM constituents.

* * * * *

§ 1065.190 PM-stabilization and weighing environments for grav imetric 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 measureme nt instruments.

* * * * *-29-

Measurement of Engine Parameters and Ambient Condit ions

§ 1065.210 Work input and output sensors.

* * * * *

§ 1065.215 Pressure transducers, temperature sensor s, 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 me ters.

* * * * *

§ 1065.245 Sample flow meter for batch sampling.

* * * * *

§ 1065.248 Gas divider.

* * * * *

CO and CO 2 Measurements

§ 1065.250 Nondispersive infra-red analyzer.

* * * * *-30-

Hydrocarbon Measurements

§ 1065.260 Flame-ionization detector.

* * * * *

§ 1065.265 Nonmethane cutter.

* * * * *

§ 1065.267 Gas chromatograph.

* * * * *

NO
x Measurements

§ 1065.270 Chemiluminescent detector.

* * * * *

§ 1065.272 Nondispersive ultraviolet analyzer.

* * * * *

O 2 Measurements

§ 1065.280 Paramagnetic and magnetopneumatic O 2 detection analyzers.

* * * * *

Air-to-Fuel Ratio Measurements

§ 1065.284 Zirconia (ZrO 2 ) 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 veri fications.

* * * * *

§ 1065.305 Verifications for accuracy, repeatabilit y, 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 Condit ions

§ 1065.310 Torque calibration.

* * * * *

§ 1065.315 Pressure, temperature, and dewpoint cali bration.

* * * * *-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 (prop ane check).

* * * * *

§ 1065.345 Vacuum-side leak verification.

* * * * *

CO and CO 2 Measurements

§ 1065.350 H 2 O interference verification for CO 2 NDIR analyzers.

* * * * *

§ 1065.355 H 2 O and CO 2 interference verification for CO NDIR analyzers.

* * * * *

Hydrocarbon Measurements

§ 1065.360 FID optimization and verification.

* * * * *-33-

§ 1065.362 Non-stoichiometric raw exhaust FID O 2 interference verification.

* * * * *

§ 1065.365 Nonmethane cutter penetration fractions.

* * * * *

NO
x Measurements

§ 1065.370 CLD CO 2 and H 2 O quench verification.

* * * * *

§ 1065.372 NDUV analyzer HC and H 2 O interference verification.

* * * * *

§ 1065.376 Chiller NO 2 penetration.

* * * * *

§ 1065.378 NO 2 -to-NO converter conversion verification.

* * * * *

PM Measurements

§ 1065.390 PM balance verifications and weighing pr ocess verification.

* * * * *

§ 1065.395 Inertial PM balance verifications.

* * * * *

Subpart E – Engine Selection, Preparation, and Main tenance

§ 1065.401 Test engine selection.

* * * * *-34-

§ 1065.405 Test engine preparation and maintenance.

* * * * *

§ 1065.410 Maintenance limits for stabilized test e ngines.

* * * * *

§ 1065.415 Durability demonstration.

* * * * *

Subpart F – Performing an Emission Test in the Labo ratory

§ 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 shutdow n.

* * * * *

§ 1065.530 Emission test sequence.

* * * * *-35-

§ 1065.545 Validation of proportional flow control for batch sampling.

* * * * *

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

* * * * *

§ 1065.590 PM sample preconditioning and tare weigh ing.

* * * * *

§ 1065.595 PM sample post-conditioning and total we ighing.

* * * * *

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 calcul ations.

* * * * *-36-

§ 1065.645 Amount of water in an ideal gas.

* * * * *

§ 1065.650 Emission calculations.

* * * * *

§ 1065.655 Chemical balances of fuel, intake air, a nd exhaust.

* * * * *

§ 1065.659 Removed water correction.

* * * * *

§ 1065.660 THC and NMHC determination.

* * * * *

§ 1065.665 THCE and NMHCE determination.

* * * * *

§ 1065.667 Dilution air background emission correct ion.

* * * * *

§ 1065.670 NO
x

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 G ases and Other Calibration

Standards

§ 1065.701 General requirements for test fuels.

* * * * *

(b) DELETE,

REPLACE WITH: With Executive Officer approval, the certifying ent ity 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 spec ifications, such as California diesel fuel, so long as they do not affect the demonstrati on 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 Mea surement Systems

DELETE.-39-

Subpart K – Definitions and Other Reference Informa tion

§ 1065.1001 Definitions.

ADD: The definitions in 40 CFR 1039.801, as modified, ap ply with the following revisions.

ADD: 40 CFR part 1039 means Part 1039 and applicable subparts of these 2 008 and Later Test procedures when referenced in unrevised sectio ns.

40 CFR part 1068 means Part 1068 and applicable subparts of these 2 008 and Later Test procedures when referenced in unrevised sectio ns.

* * * * *

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 u nits of measure.

* * * * *

§ 1065.1010 Reference materials.

* * * * *-40-

PART 1068 – GENERAL COMPLIANCE PROVISIONS FOR NONRO AD PROGRAMS

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

noted.

Subpart A – Applicability and Miscellaneous Provisi ons

§ 1068.1 Does this part apply to me?

* * * * *

(a)(3) DELETE,

REPLACE WITH: Land-based off-road compression-ignition engines re gulated under Title 13, CCR, Chapter 9, Article 4, and subject to the emission s tandards in § 2423(b)(1)(B) of that

Article.

* * * * *

(b)(5) DELETE,

REPLACE WITH: Off-road compression-ignition engines regulated und er 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 enginee ring judgment?

* * * * *

§ 1068.10 What provisions apply to confidential in formation?

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 (Of f-Road Compression-Ignition Engines and Equipment) is entitled to confidential treatmen t as provided by Title 17, CCR, §§ 91000-91022.

§ 1068.15 Who is authorized to represent the Air R esources Board?

* * * * *-41-

§ 1068.20 May ARB enter my facilities for inspecti ons?

DELETE,

REPLACE WITH: (a) Any engine manufacturer affected by these regul ations, 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 an y of the following: (1) Any facility where tests or procedures or acti vities connected with such tests or procedures are or were performed. (2) Any facility where any new off-road compressio n-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 documen t relating to any of the above is

located.

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

ARB Enforcement Officer must be allowed: (1) To inspect and monitor any part or aspect of s uch procedures, activities, and testing facilities, including, but not limited to, monitoring engine preconditioning, emissions tests and break-in, maintenance, and engi ne storage procedures. (2) To verify correlation or calibration of test e quipment; 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 aspec t of any such certification engine and any components to be used in the constru ction thereof.

(c) To permit an ARB determination whether producti on off-road compression-ignition engines conform in all material respects to the des ign 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 crede ntials, to: (1) Any facility where any document design, or pro cedure relating to the translation of the design and construction of engines and emiss ion related components described in the application for certification or used for ce rtification testing into production engines is located or carried on; and, (2) Any facility where any off-road compression-ig nition engines to be introduced

into commerce are manufactured or assembled. (3) Any California retail outlet where any off-roa d compression-ignition engine is

sold.

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

Officer must be allowed: (1) To inspect and monitor any aspects of such man ufacture 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 o f 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 Enforcemen t Officer's entry.

(e) Any ARB Enforcement Officer must be furnished b y 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 applic ant for or recipient of certification is required to cause those in charge of a facility ope rated for its benefit to furnish such reasonable assistance without charge to the ARB irr espective of whether or not the applicant controls the facility.

(f) The duty to admit or cause to be admitted any A RB Enforcement Officer applies whether or not the applicant owns or controls the f acility in question and applies both to domestic and foreign engine manufacturers and facil ities. 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 d ata 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 responsib ility 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 are as or facilities are concerned, “operating hours” means all times during which pers onnel are at work in the vicinity of the area or facility and have access to it. (3) Where facilities or areas other than those cov ered 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, maint enance, break-in procedure, production or compilation of records, or any other procedure o r activity is being conducted related to certification testing, translation of designs fr om the test stage to the production stage, or engine manufacture or assembly. (4) “Reasonable assistance” includes, but is not l imited to, providing clerical, copying, interpretation and translation services; m aking personnel available upon request to inform the ARB Enforcement Officer of ho w the facility operates and to answer questions; and performing requested emission s 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-i n. The engine manufacturer must be compelled to cause the personal appearance of an y employee at such a facility before an ARB Enforcement Officer, upon written req uest from the Executive Officer for the appearance of any employee of a facility, and s ervice of such request upon the engine manufacturer. Any such employee who has bee n instructed by the engine-43-

manufacturer to appear will be entitled to be accom panied, 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 p art must establish and maintain records, perform tests, make reports and provide ad ditional information that the Executive Officer may reasonably require under the California Health and Safety Code, Division 26, and corresponding regulations. This a lso applies to engines that are exempt from emission standards.

§ 1068.27 May ARB conduct testing with my producti on engines?

* * * * *

§ 1068.30 What definitions apply to this part?

ADD: The definitions in 40 CFR 1039.801 and 1065.1001, a s 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 unrevi sed sections.

ADD: 40 CFR part 1068 means Part 1068 and applicable subparts contained in these 2008 and Later Test procedures when referenced in unrevi sed sections.

* * * * *

ADD:

Administrator

means the Executive Officer of the Air Resources B oard, or a designee of

the Executive Officer.

* * * * *-44-

Certificate holder

DELETE,

REPLACE WITH:

Certificate holder means a manufacturer (including importers) with a v alid Executive Order for at least one engine family in a given mod el year.

ADD: Certified configuration or certified emissions conf iguration means the assembled state of an engine that is equipped with a complete set o f emission-related components and systems that are equivalent from an emissions stand point (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 origina l emission-related components and systems for that engine, or (C) are direct replacem ent parts equaling or exceeding the emissions-related performance of the original or su perseded components and systems.

* * * * *

ADD: EPA Delegation Manual means documents explaining the procedures for dele gation

within the Air Resources Board.

* * * * *

Standard-setting part DELETE,

REPLACE WITH: Standard-setting part means the articles of the California Code of Regul ations that define emission standards for a particular engine.

* * * * *

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

* * * * *

Subpart B – Prohibited Actions and Related Requirem ents

§ 1068.101 What general actions does this regulatio n prohibit?

* * * * *-45-

(a) DELETE,

REPLACE WITH: The following prohibitions and requirements apply t o 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, offer ed for sale, or introduced or delivered into commerce in California or imported into

California unless it has a valid Executive Order fo r its model year and the required label or tag. The actions listed in the previous sentenc e 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 req uired engine label or tag. For purposes of this paragraph (a)(1), an appropriate E xecutive Order is one that applies for the same model year as the model year of the equipm ent (except as allowed by § 1068.105(a)), covers the appropriate category of engines, and conforms to all requirements specified for the equipment in the sta ndard-setting part. The requirements of this paragraph (a)(1) also cover new engines tha t are produced solely to replace an older engine in a piece of equipment, unless the en gine qualifies for the replacement-engine exemption in § 1068.240. Civil penalties my be assessed for each engine in violation under the requirements of the C alifornia Health and Safety Code, Division 26, and corresponding regulations. (2) Reporting and recordkeeping . Manufacturers are required to record certain typ es of information to show that their engines are meeting California’s standards. Manufacturers must comply with these requirements t o 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 inf ormation 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 requir ements 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 pe nalty provisions thereunder. (3) Testing and access to facilities . Manufacturers may not prevent ARB or its delegated agents from entering the manufacturer’s f acility 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 perfor m this testing is prohibited. Civil penalties my be assessed for each engine in violati on 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 wi th 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 restricti on 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 t his part is subject to a civil penalty-46-

as specified in the California Health and Safety Co de, 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, se ll, 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 Calif ornia 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 b e moved or installed in any mobile equipment except as allowed by the provisions of th is chapter. The residence time requirements of paragraph (2)(iii) of the nonroad e ngine 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 Calif ornia 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 b ecause it is to be used solely for competition may not be used in a manner that is inc onsistent with use solely for competition. A violation of the requirements of th is 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 pe nalty 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 r equirements of this subpart is a violation of the applicable provisions of the California Heal th and Safety Code, Division 26, and corresponding regulations, and is subject to the pe nalty provisions thereunder. Note the following: (i) The definition of new is broad for imported eng ines; uncertified engines and equipment (including used engines and equipment) ar e generally considered to be new when imported. (ii) Engines that were originally manufactured befo re applicable ARB standards became effective are generally not subject to emission sta ndards. (6) Warranty . Manufacturers must honor the emission-related wa rranty requirements under § 1068.115 and fulfill any applicable respons ibilities to recall engines under § 1068.505. Failure to meet these obligations is p rohibited. 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 correspond ing 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 Heal th and Safety Code, Division 26, and corresponding regulations.

ADD: (f) Under § 43017 of the California Health and Safe ty Code, the Air Resources Board may enjoin any violation of any provision of Subpar t B of this part 1068.

§ 1068.105 What other provisions apply to me specif ically if I manufacture equipment needing certified engines?

* * * * *

(d) DELETE,

REPLACE WITH: Producing off-road equipment certified to highway e mission standards . A manufacturer may produce off-road equipment from complete or inc omplete motor vehicles with the motor vehicle engine under the following conditions : (1) The engine or vehicle is certified to Californi a on-road requirements. (2) The engine is not adjusted outside the manufact urer's specifications. (3) The engine or vehicle is not modified in any wa y 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 E xecutive Officer as determined necessary to ensure emission performance equity.

§ 1068.110 What other provisions apply to engines i n 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 rebuild er 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 requ est.

* * * * *-48-

§ 1068.115 When must manufacturers honor emission-r elated warranty claims?

Introductory text DELETE,

REPLACE WITH: Title 13, CCR, Chapter 9, Article 4, § 2425, requir es certifying manufacturers of compression-ignition engines to warrant to purchase rs 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 eng ines 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 rebui ld engines?

* * * * *

ADD: (l) The provisions in Title 13, CCR, § 2423(l) shal l apply.

§ 1068.125 What happens if I violate the regulation s?

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 f rom the prohibited acts?

* * * * *

§ 1068.210 What are the provisions for exempting te st engines?

* * * * *

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

* * * * *-49-

(b) DELETE,

REPLACE WITH: By provision of the California Health and Safety Co de, Division 24, Part 5, Chapter 1, § 43014, a manufacturer may request the Executive O fficer to issue an experimental permit for a nonconforming engine under the ownersh ip and control of the manufacturer for the purposes of developing products, assessing production methods, or promoting engines in the marketplace. The engine shall not b e loaned, leased, or sold to generate revenue, either by itself or in a piece of equipmen t.

* * * * *

(c)(3)(iv) DELETE,

REPLACE WITH:

The statement “THIS ENGINE IS COVERED BY AN EXPERIM ENTAL PERMIT AND IS
EXEMPT FROM MEETING CALIFORNIA EMISSION REQUIREMENT S.”. The referencing of similar federal requirements in comb ination with California references under this provision is permitted.

§ 1068.220 What are the provisions for exempting di splay engines?

* * * * *

§ 1068.225 What are the provisions for exempting en gines for national security?

* * * * *

§ 1068.230 What are the provisions for exempting en gines for export?

* * * * *

§ 1068.235 What are the provisions for exempting en gines used solely for competition?

* * * * *

§ 1068.240 What are the provisions for exempting ne w replacement engines?

* * * * *

(c) DELETE,

REPLACE WITH: If the engine being replaced was not certified to a ny 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-RO AD EMISSION
REQUIREMENTS. SALE OR INSTALLATION OF THIS ENGINE FOR ANY PURPOSE

OTHER THAN AS A REPLACEMENT ENGINE FOR AN ENGINE MA NUFACTURED PRIOR TO JANUARY 1, [Insert appropriate year reflec ting when the earliest tier of emission standards began to apply to engines of tha t size and type] IS A VIOLATION

OF CALIFORNIA LAW SUBJECT TO CIVIL PENALTY.” The r eferencing 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 emiss ion standards less stringent than those in effect when you produce the replacement en gine, 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 appropria te year reflecting when the applicable tier of emission standards for the r eplaced 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 T O REPLACE AN OFF-ROAD ENGINE BUILT BEFORE JANUARY 1 [Insert appr opriate year reflecting when the next tier of emission standards began to a pply] 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 hardsh ip due to unusual

circumstances?

* * * * *

§ 1068.250 What are the provisions for extending co mpliance deadlines for small-volume manufacturers under hardship?

* * * * *

§ 1068.255 What are the provisions for exempting en gines 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 RE LATED 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 ar e 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 f or 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 eng ines?

* * * * *

§ 1068.315 What are the permanent exemptions for im ported 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 E XEMPTION FROM

MEETING CURRENT YEAR CALIFORNIA OFF-ROAD DIESEL EMI SSION REQUIREMENTS BY ALLOWANCE FOR [identify the permane nt exemption category authorizing the exemption (for example, “NATIONAL S ECURITY”)]. INSTALLING THIS

ENGINE IN ANY DIFFERENT APPLICATION IS A VIOLATION OF CALIFORNIA LAW SUBJECT TO CIVIL PENALTY.”. The referencing of sim ilar federal requirements in combination with California references under this p rovision is permitted.

§ 1068.325 What are the temporary exemptions for im ported engines?

* * * * *

§ 1068.330 How do I import engines requiring furthe r assembly?

* * * * *

§ 1068.335 What are the penalties for violations?

* * * * *

ADD: (c) Under § 43017 of the California Health and Safe ty Code, the Air Resources Board may enjoin any violation of any provision of Subpar t 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 fail s an SEA?

* * * * *

§ 1068.425 What happens if one of my production-lin e engines exceeds the emission

standards?

* * * * *

§ 1068.430 What happens if an engine family fails a n 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 suspend ed Executive Order?

* * * * *

§ 1068.445 When may ARB revoke my Executive Order u nder 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 emis sion test results from U.S. EPA-directed audits for engines certified in Califo rnia.

§ 1068.455 What records must I keep?

* * * * *

Appendix A to Subpart E of Part 1068-Plans for Sele ctive 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 p lan?

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 emis sion-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 Executiv e 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 Componen ts

* * * * *

Appendix II to Part 1068 – Emission-Related Paramet ers and Specifications

* * * * *