### APPENDIX A



## FINAL TECHNICAL SUPP ORT DOCUMENT

Amendments to the New Engine Tier 4

Off

- Road Compression

- Ignition RegulationsThi s Page Left Intentionally BlankFINAL TECHNICAL SUPP ORT DOCUMENT: TIER 4

Note: This appendix provides backgrou nd information regarding the Tier 4 Off

- Road Compression

- Ignition Regulations and Test Procedures approved by the Air Resources Board on December 16, 2011, and with subsequent conforming

modifications authorized under Resolution 11

- 41. Revisions to the or iginal Appendix R, published on October 26, 2011, as part of the Staff Report: Initial Statement of Reasons, are meant solely to indicate the transition from a proposed document to a final document, and are indicated either by underlined

t ype to indicate a dditions (except that some existing headings within the document were underlined originally for emphasis, and remain so, and thus do not constitute new language) or by strikeout to indicate delet ions.This Page Left Intentionally BlankA

- 1 Detailed D es cri ptions of Proposed Final Amendments: Tier 4 Off

- Road CI

E ngine s

I. DEFINITIONS

This section provides background on key terms that staff is proposing for have

been incorporat ion ed or modifi cation ed in to the California off

- road diesel regulations and/ or test procedures

.

• 2011 and Later Test Procedures:

In keeping with the precedence for incorporating test procedures and defining a

standardized abbreviation for them in the definition section § 2421 of the off

- road diesel regulation, staff’s proposal ass igns the updated test procedures titled

“California Exhaust Emission Standards and Test Procedures for New 2011 and

Later Tier 4 Off

- Road Compression Ignition Engines, Parts I

- D, I

- E, and I

- F,” have been assigned to new subparagraph (a)(4)(B) as the 2011 a nd Later Test Procedures. The previous version of the test procedures are relocated to new subparagraph (a)(4)(A), previously just (a)(4), and retitled to indicate model

year

- limited applicability through the 2010 model year (i.e., 2008

- 2010 Test

Procedur es).

• Constant Speed Engine:

Staff proposes to align with t T he definition of a “constant speed engine” has been aligned with the federal definition of “constant speed engine/operation” in 40 CFR, part 1039.801. The new definition more accurately describe s the normal operation of a constant speed engine, including a more realistic allowance for fluctuating engine speed under changing loads. The revised definition is appended to the existing definitions of “constant speed engine” in new subparagraph (a)(15 )(C) with referenced applicability to 2011 and later model year engines,

• Date of Manufacture or Build Date :

The proposal aligns with definition of “date of manufacture” has been aligned with

the federal definition of “date of manufacture” described in 40 CFR, part 1068.30 to standardize the assignment of engine build dates. Further, the use of the term

in § 2423(j)(1) of the regulation to characterize the type of power to be included on the emissions label for replacement engines necessitates the creation of a new

definition for “Date of Manufacture” in §242 1(a)(19). All subsequent definitions are renumbered to preserve alphabetical order.A

- 2 • Carryover:

Staff proposes to align The definition of “carryover” has been aligned with the

federal definition of “carryover’ in 40 CFR, part 1039.801 to ensure uniform criteria for the application of data from previous model year engine families.

II. EMISSION STANDARDS

• Proposed Alternate Tier 4 NMHC+NOx standards and FEL Caps.

Table R

- II.A; Tier 4 Exhaust Emiss ion Standards (grams per kilowatt

- hour)

MAXIMUM

ENGINE

POWER MODEL YEAR TYPE PM NMHC+

NOX NMHC NOX CO

grams per kilowatt

- hour

56≤kW<75 2012

- 2014 PHASE

- IN

0.02 - 0.19 0.40

5.0 PHASE

- OUT 4.7

- -

or/ ALT NOX

- 0.19 3.4

or/ ALT NOX+NMHC 3.5

- -

2015 and later FINAL

- 0.19 0.40

75≤kW<130 2012

- 2014 PHASE

- IN

0.02 - 0.19 0.40

5.0 PHASE

- OUT 4.0

- -

or/ ALT NOX

- 0.19 3.4

or/ ALT NOX+NMHC 3.5

- -

2015 and later FINAL

- 0.19 0.40

130≤kW≤560 2011

- 2013 PHASE

- IN

0.02 - 0.19 0 .40

3.5 PHASE

- OUT 4.0

- -

or/ ALT NOX

- 0.19 2.0

or/ ALT NOX+NMHC 2.1

- -

2014 and later FINAL

- 0.19 0.40A

- 3 • Proposed ALT NOx FEL Cap Applicability

Table R

- II.B; Tier 4 Family Emission Limit (FEL) Caps

MAXIMUM

ENGINE POWER FEL TYPE MODEL YEAR PM NOX NMHC+

NOX

grams per kilowatt

- hour

56≤kW<75 Phase

- in 2012

- 2014 0.04 0.80

-

Phase

- out

- 7.5

Alternate NOx Std 2012

- 2013 0.04 3.0

- 2012

- 2014 4.4

Alternate NOx+NMHC Std 2012

- 2013/2014 0.04

- 4.7

Primary 2014/2015 and later 0.04 0.80

-

ALT 20% PM 2012

- 2015 0.40

-

ALT 20% NO X 20 12

- 2015 4.4

-

ALT 20% NOx+NMHC Std 2012

- 2015

- - 4.7

ALT 5% 2016 and later 0.40 4.4

-

75≤kW<130 Phase

- in 2012

- 2014

0.04 0.80

-

Phase

- out

- 6.6

Alternate NOx Std 2012

- 2013 3.0 7

-

2012

- 2014 3.8

-

Alternate NOx+NMHC Std 2012

- 2013/2014

- 4.0

Primary 2014/2015 and later 0.80

-

ALT 20% PM 2012

- 2015 0.30

-

ALT 20% NOX 20 12

- 2015 3.8

-

ALT 20% NOx+NMHC Std 2012

- 2015

- - 4.0

ALT 5% 2016 and later 0.30 3.8

-

130≤kW≤560 Phase

- in 2011

- 2013

0.04 0.80

-

Phase

- out

- 6.6/6.4

Alter nate NOx Std 2011

- 2013 2.7

-

Alternate NOx+NMHC Std 2011

- 2013

- 4.0

Primary 2014 and later 0.80

-

ALT 20% PM 2011

- 2014 0.20

-

ALT 20% NOX 2011

- 2014 3.8

-

ALT 20% NOx+NMHC Std 2012

- 2015

- - 4.0

ALT 5% 2015 and later 0.20 3.8

-A

- 4 III. DIFF ERENCES BETWEEN CALIFORNIA AND FEDERAL REGULATIONS

A. PROPOSED NEW NON

- ALIGNMENT REQUIREMEN TS

1. Replacement Engine Labeling

Staff proposes to include a A dditional information is required on replacement engine labels to assist ARB’s in

- use off

- road diese l modernization programs that rely on accurate power and emissions performance information to ensure the calculation of appropriate fleet emission averages. In addition to the proposed harmonized statement of compliance in § 2423(j)(1) of the regulations a nd § 1068.240 of the Test Procedures, the new California label would also include s “engine power,” “reference family name,” and “date of manufacture.” These additional parameters would provide end

- users with the information necessary to accurately register their engines and equipment, and would should greatly enhance the ability of ARB’s field inspectors to enforce the regulations. Federal regulations do not include a similar requirement because U.S. EPA does not currently regulate in

- use off

- road engines, making knowledge of these parameters

less critical outside of California.

2. Preliminary Approval

ARB is not aligning Staff proposes not to align with a U.S. EPA amendment to § 1039.210 that gives manufacturers the assurance that preliminary approvals (i .e., those given prior to the approval of a manufacturer’s certification application) will not usually be reversed apart from the discovery of new information contrary to the findings that resulted in the preliminary approval. Rather than to provide
poten tially specious global assurances, staff prefers to continue the practice of working with industry on a case

- by

- case basis to provide direction on certification requirements and options prior to application. Ultimately, however, it is the

manufacturer’s r esponsibility to ensure that it has met the letter of the law regarding certification requirements. The issuance of an Executive Order, after reviewing an application for certification, is, and should remain, the official means for granting binding approv al.

3. Untracked Replacement Engine Provision

ARB is not aligning Staff proposes not to align with an amendment to §1068.240 permitting a small number of replacement engines to be exempt from tracking requirements (e.g., labels). As noted above in the di scussion for replacement engine labeling, properly labeled engines are extremely important for the correct implementation and enforcement of California’s in

- use off

- road fleet modernization programs. Even a small number of engines without labels could

ham per registration and enforcement efforts sufficiently to compromise the effectiveness of those programs and the emission reduction benefits associatedA

- 5 with them. This is not as large a concern federally because U.S. EPA does not regulate in

- use off

- road e ngines like California.

4. Engine Definition

ARB is not aligning Staff proposes not to align with U.S. EPA’s definition of an engine as an engine block with an installed crankshaft, nor U.S. EPA’s definition of a partially complete engine as defined in §1068.240 . Rather, staff chooses to remain flexible in its interpretation of what constitutes an engine, generally, an assemblage of systems and components that are capable of providing power and generating emissions. Nevertheless, the lack of a generic and formal “engine” definition is not necessary for compliance with the California regulation or any portion of the incorporated Test Procedures. The California regulations already provide for the labeling and final assembly of partially complete (or ““i ncomplete”) engines in § 2423(l). This section, as noted below in the discussion on the r ebuild

l abeling p rohibition and s upplemental l abel r equirement is already a departure from federal requirements and would not support the federal definition of a parti ally complete engine.

B. PRIOR NON

- ALIGNMENT REQUIREMEN TS

Flexibility Engine Labeling ARB requires the inclusion of a reference engine family name on the emission control label of flexibility engines to aid in the verification of emission levels by

fiel d inspectors

Flexibility Engine Executive Orders ARB requires that engines produced for use in flexibility equipment be covered by

an Executive Order.

Rebuild Labeling Prohibition and Supplemental Label Requirement ARB adopted a new § 2423(l) during the previous amendment of the off

- road diesel regulations that clarifies the categorization of remanufactured engines as a subset of rebuilt engines, thereby subject to the same requirements as rebuilt engines, and specifies labeling content for the different types of rebuilt engines.

Extension of Replacement Engine Reporting Requirements ARB clarified that when replacing a California certified off

- road diesel engine, equipment manufacturers are generally required to use the cleanest engines available. This interpretation of existing language differs from U.S. EPA’s interpretation which states that the replacement engine must be “at least as clean” as the engine it replaces.A

- 6 In

- Use Compliance/Recall Program ARB maintained the independent a uthority of California to investigate and recall engines found to be in violation of the regulations apart from U.S. EPA, if

necessary.