State of California 

AIR RESOURCES BOARD 

Resolution 01-38 

October 25, 2001 

Agenda Item No.: 01-8-1 

WHEREAS, sections 39600 and 39601 of the Health and Safety Code authorize the Air 

Resources Board (the “ARB” or "Board") to adopt standards, rules and regulations and 

to do such acts as may be necessary for the proper execution of the powers and duties 

granted to and imposed upon the Board by law; 

WHEREAS, in section 43000 of the Health and Safety Code, the Legislature has 

declared that the emission of air pollutants from motor vehicles is the primary cause of 

air pollution in many parts of the State and, in sections 39002 and 39003 of the Health 

and Safety Code, has charged the Board with the responsibility of systematically 

addressing the serious air pollution problem caused by motor vehicles; 

WHEREAS, sections 43013, 43101, and 43104 of the Health and Safety Code 

authorize the Board to adopt emission standards and test procedures to control air 

pollution caused by motor vehicles; 

WHEREAS, section 43018(a) of the Health and Safety Code directs the Board to 

endeavor to achieve the maximum degree of emission reduction possible from 

vehicular and other mobile sources in order to accomplish the attainment of state 

ambient air quality standards at the earliest practicable date; 

WHEREAS, section 43018(c) of the Health and Safety Code provides that in carrying 

out section 43018, the Board shall adopt standards and regulations that will result in 

the most cost-effective combination of control measures on all classes of motor 

vehicles and motor vehicle fuel, including but not limited to reductions in motor vehicle 

exhaust and evaporative emissions, and reductions in in-use vehicular emissions 

through durability and performance improvements; 

WHEREAS, section 39667 of the Health and Safety Code authorizes the Board to adopt 

vehicular emission standards to reduce identified toxic air contaminants; 

WHEREAS, California identified diesel PM as a toxic air contaminant in August 1998; 

WHEREAS, the Board has adopted standards for exhaust emissions from heavy-duty 

engines and vehicles in title 13, California Code of Regulations, section 1956.8, which 

incorporates test procedures for determining compliance with the standards as set forth 

in the “California Exhaust Emission Standards and Test Procedures for 1985 and 

Subsequent Model Heavy-Duty Diesel Engines and Vehicles,” and Board staff has 

proposed amendments to these standards and test procedures as presented in 

Appendices A & B hereto, respectively; 
Resolution 01-38 2 

WHEREAS, medium-duty and heavy-duty diesel vehicles are an important contributor to 

California’s economy; 

WHEREAS, medium-duty and heavy-duty diesel vehicles are projected to account for 

as much as 28 percent and 16 percent of the statewide mobile source oxides of 

nitrogen (NOx) and exhaust particulate matter (PM) inventory in 2010, respectively; 

WHEREAS, aftertreatment systems have been developed for medium-duty and heavyduty diesel vehicles; 

WHEREAS, in January 2001, the United States Environmental Protection Agency (U.S. 

EPA) adopted more stringent emission standards for 2007 and subsequent model year 

heavy-duty engines and vehicles, hereinafter the “federal 2007 Final Rule”; 

WHEREAS, the emission standards adopted by the U.S. EPA for 2007 reduce engine 

exhaust NOx emissions by 90 percent, non-methane hydrocarbon (NMHC) emissions 

by 72 percent, and engine exhaust PM emissions by 90 percent from heavy-duty and 

medium-duty diesel engines, compared to the previous standards; 

WHEREAS, in the federal 2007 Final Rule the U.S. EPA also adopted revisions to the 

federal test procedures to account for the more stringent emission standards; 

WHEREAS, in the federal 2007 Final Rule the U.S. EPA also adopted federal low sulfur 

diesel fuel requirements that will enable application of aftertreatment-based emission 

control systems that may be needed to meet the more stringent 2007 emission 

standards; 

WHEREAS, the federal Clean Air Act grants the State of California the authority to 

adopt standards for the control of emissions from new motor vehicles and engines if the 

State determines that the State standards will be, in the aggregate, at least as 

protective of public health and welfare as the applicable federal standards; 

WHEREAS, California currently regulates heavy-duty diesel engine (HDDE) and 

medium-duty diesel engine (MDDE) exhaust emissions under a waiver of federal 

preemption granted by the U.S. EPA; 

WHEREAS, the California Environmental Quality Act and Board regulations require that 

no project that may have significant adverse environmental impacts be adopted as 

originally proposed if feasible alternatives or mitigation measures are available to 

reduce or eliminate such impacts; 

WHEREAS, a public hearing and other administrative proceedings regarding the 

proposed amendments described herein have been held in accordance with the 

provisions of chapter 3.5 (commencing with section 11340), part 1, division 3, title 2 of 

the Government Code; 

WHEREAS, the Executive Officer has determined that the amendments proposed 

herein will not have a significant, if any, impact on the creation or elimination of jobs 

within the State of California, the creation of new businesses or elimination of existing 
Resolution 01-38 3 

businesses within California, or the expansion of businesses currently doing business 

within California; 

WHEREAS, the Executive Officer has determined that the amendments proposed 

herein will not create costs or savings, as defined in Government Code section 

11346.5(a)(6), to any state agency or in federal funding to the state, costs or mandate to 

any local agency or school district whether or not reimbursable by the state pursuant to 

part 7 (commencing with section 17500), division 4, title 2 of the Government Code, or 

other non-discretionary saving to local agencies; 

WHEREAS, the Board has considered the effects of the proposed amendments on the 

economy of the State; 

WHEREAS, the Board finds that: 

1. Ozone, created from the photochemical reaction of primarily NOx and 

hydrocarbons, causes harmful respiratory effects, and NOx alone can directly harm 

human health. 

2. Although significant strides have been made toward improving California’s air 

quality, health-based state and federal air quality standards continue to be 

exceeded in regions throughout California; the federal 1-hour ozone standard is 

exceeded in the South Coast Air Basin, San Diego County, the San Joaquin 

Valley, the Southeast Desert, the greater Sacramento area and Ventura County, 

and more areas of the State are likely to be designated nonattainment of the new 

federal eight-hour ozone standard. 

3. In California diesel PM accounted for approximately 70 percent of all air toxics in 

2000 and the average potential cancer risk associated with diesel PM is over 500 

excess cases per million people. 

4. Additional NOx and PM reductions will be needed for one or more nonattainment 

areas of the state to meet federal or state air quality standards, and additional PM 

reductions are needed to reduce potential cancer risk. 

5. PM aftertreatment systems, such as diesel particulate filters, or traps, have been 

proven successful in a variety of worldwide applications and demonstration 

programs, including on heavy-duty and medium-duty diesel engines. 

6. Research and demonstration of NOx aftertreatment systems on heavy-duty and 

medium-duty diesel engines is ongoing, but NOx catalysts have shown reductions 

of 30-40 percent, selective catalytic reduction has shown reductions of 70 percent 

while using fuel with sulfur levels higher than what will be in use in 2007, and NOx 

adsorbers have shown reductions of at least 90 percent. 

7. Closed crankcase filtration systems have been used for years in stationary source 

applications, and are adaptable to heavy-duty and medium-duty diesel engines. 
Resolution 01-38 4 

8. Further improvements are expected for heavy-duty and medium-duty engines’ 

exhaust gas recirculation, turbocharging and aftercooling, timing retard, and other 

advanced fuel injection controls. 

9. The emission standards and test procedures proposed herein are identical to those 

in the federal 2007 Final Rule, which the U.S. EPA adopted in January 2001. 

10. In January 2001, the U.S. EPA simultaneously adopted low sulfur fuel standards 

that will result in making fuel available in-use in California to enable aftertreatmentbased emission control systems to operate sufficiently to meet the more stringent 

emission standards proposed herein. 

11. California is the only state that has authority to establish new mobile source 

emission standards and/or test procedures that differ from federal standards and 

test procedures. 

12. The economic and fiscal impacts of the more stringent emission standards and 

revised supplemental test procedures proposed herein have been analyzed as 

required by California law, and the conclusions and supporting documentation for 

this analysis are set forth in the Initial Statement of Reasons. 

13. It agrees with the Executive Officer’s determinations regarding economic impacts 

in California, costs or savings to state agencies, and local mandates. 

14. The cost of reducing the emissions due to the more stringent emission standards 

range from $0.29 to $0.63 per pound of (combined) NOx plus reactive organic gas 

(ROG) reduced. 

15. The cost of reducing the emissions due to the more stringent emission standards 

range from $3.03 to $6.65 per pound of PM reduced. 

16. The cost-effectiveness values above are within the range of values associated with 

other control measures adopted under Board authority granted in the Health and 

Safety Code. 

17. The cost-effectiveness values above are based on costs for the manufacturers to 

comply with the 2007 federal requirements since the manufacturers will have 

already made design changes, as necessary, for their engines to comply with 

those requirements and will not have to redesign their engines to satisfy the 

emission standard and test procedure requirements proposed for amendment 

herein. 

18. The Board staff’s independent review of documents supporting U.S. EPA’s 2007 

Final Rule, as referenced in the Staff Report for this proposal, supports the 

amendments to California’s emission standards and test procedures proposed 

herein. 

19. Each provision of the more stringent emission standards proposed herein, as 

presented in Attachment A hereto, is necessary, cost-effective, and technologically 

feasible, including but not limited to the major provisions as follows: 
Resolution 01-38 5 

A. A more stringent HDDE NOx and NMHC emission standard phased in 

between 2007 and 2010; 

B. A more stringent HDDE PM emissions standard fully implemented in 2007; 

C. A more stringent MDDE NOx and NMHC emission standard phased in 

between 2007 and 2010; 

D. A more stringent MDDE PM emission standard and slightly less stringent CO 

standard fully implemented in 2007; 

E. Elimination of the crankcase emission exemption for turbocharged HDDEs; 

and 

F. An averaging, banking, and trading program revised to allow emissions 

trading between phased-in and phased-out engines, and to allow averaging 

between weight classes during phase-in. 

20. Each amendment to the supplemental test procedures proposed herein, as 

presented in Attachment B hereto, is necessary and appropriate for ensuring that 

engines certifying to the more stringent standards proposed herein will actually 

meet those standards, including but not limited to the following major provisions; 

A. Elimination of PM carve-out areas of the Not-to-Exceed (NTE) control zone; 

B. Elimination of the maximum allowable emission limits test; 

C. Elimination of the three “mystery points”; 

D. Continuation of the current EURO III European Stationary Cycle and raising 

of the current NTE test caps; and 

E. Reduced sulfur content for emission test and service accumulation fuel. 

21. Overall, the amendments proposed herein represent the most cost-effective path 

toward achieving the maximum degree of emission reductions possible from HDDE 

and affected MDDE engines, while recognizing constraints due to cost, lead time, 

and technical challenges. 

22. Because the more stringent emission standards and test procedures proposed 

herein are virtually identical to the federal requirements, adopting them will not 

cause California motor vehicle emission standards for medium-duty and heavyduty diesel engines, in the aggregate, to be less protective of public health and 

welfare than the applicable federal emission standards. 

23. Separate California emission standards and test procedures are necessary since 

California emission standards and test procedures must be, in the aggregate, at 

least as protective of public health and welfare as applicable federal standards and 

test procedures. 
Resolution 01-38 6 

24. The environmental impacts of the more stringent emission standards and revised 

supplemental test procedures proposed herein have been analyzed as required by 

California law, and the conclusions and supporting documentation for this analysis 

are set forth in the Initial Statement of Reasons. 

25. To the extent this regulatory proposal differs from adopted federal regulations, 

such differences are both authorized by law and are justified by ARB’s ongoing 

program to benefit human health and the environment; and 

WHEREAS, the Board further finds that: 

1. Adopting the emission standards and test procedures proposed herein is projected 

to reduce NOx plus ROG emissions by 8.1 tons per heavy heavy-duty diesel 

engine (33,001 pounds and greater gross vehicle weight rating), 2.2 tons per 

medium heavy-duty diesel engine (14,001 to 33,000 pounds gross vehicle weight 

rating), and 3.4 tons per light heavy-duty diesel engine (8,501 to 14,000 pounds 

gross vehicle weight rating) over the lifetime of each engine. 

2. Adopting the emission standards and test procedures proposed herein is projected 

to reduce PM emissions by 0.3 tons per heavy heavy-duty diesel engine (33,001 

pounds and greater gross vehicle weight rating), 0.1 tons per medium heavy-duty 

diesel engine (14,001 to 33,000 pounds gross vehicle weight rating), and negligibly 

per light heavy-duty diesel engine (8,501 to 14,000 pounds gross vehicle weight 

rating) over the lifetime of each engine. 

3. Adopting the more stringent emission standards and revised supplemental test 

procedures proposed herein is projected to reduce statewide NOx emissions by 49 

tons per day in 2010 and by 214 tons per day in 2020 from California and out-ofstate registered vehicles. 

4. Adopting the more stringent emission standards and revised supplemental test 

procedures proposed herein is projected to reduce statewide ROG emissions by 2 

tons per day in 2010 and by 9 tons per day in 2020 from California and out-of-state 

registered vehicles. 

5. Adopting the more stringent emission standards and revised supplemental test 

procedures proposed herein is projected to reduce statewide PM emissions by 3 

tons per day in 2010 and by 9 tons per day in 2020 from California and out-of-state 

registered vehicles. 

6. Adopting the more stringent emission standards and revised supplemental test 

procedures proposed herein is projected to increase statewide CO emissions by 

0.1 tons per day in 2010 and by 0.3 tons per day in 2020 from California and outof-state registered vehicles; however, this will not create significant local impacts or 

prevent areas from attaining or maintaining the federal CO standard. 

7. The more stringent emission standards and revised supplemental test procedures 

proposed herein will not have any significant adverse impact on the environment. 
Resolution 01-38 7 

8. There is no alternative considered by the Board that would be more effective in 

carrying out the purpose for which the regulations are proposed or would be as 

effective and less burdensome to affected private persons. 

NOW, THEREFORE, BE IT RESOLVED that the Board hereby amends section 1956.8, 

title 13, California Code of Regulations; and amends the incorporated “California 

Exhaust Emission Standards and Test Procedures for 1985 and Subsequent Model 

Heavy-Duty Diesel Engines and Vehicles,” as set forth in Attachments A and B hereto. 

BE IT FURTHER RESOLVED that the Board hereby determines that the regulations 

adopted herein will not cause California motor vehicle emission standards, in the 

aggregate, to be less protective of public health and welfare than applicable federal 

standards. 

BE IT FURTHER RESOLVED that the Board hereby finds that separate California 

emission standards and test procedures are necessary to ensure consistent 

requirements across the nation. 

BE IT FURTHER RESOLVED that the Board finds that the California emission 

standards and test procedures as adopted herein will not cause the California 

requirements to be inconsistent with section 202(a) of the Clean Air Act and raise no 

new issues affecting previous waiver determinations of the Administrator of the 

Environmental Protection Agency pursuant to section 209(b) of the Clean Air Act. 

BE IT FURTHER RESOLVED that the Executive Officer shall, upon adoption, forward 

the regulations to the U.S. EPA with a request for a waiver or confirmation that the 

regulations are within the scope of an existing waiver of federal preemption pursuant to 

section 209(b) of the Clean Air Act, as appropriate. 

I hereby certify that the above is a true and 

correct copy of Resolution 01-38, as adopted 

by the Air Resources Board. 

____________________________________ 

 Marie Kavan, Clerk of the Board
A - 1 

Resolution 01-38 

October 25, 2001 

Identification of Attachments to the Resolution

Attachment A: 

Amendments to Title 13, California Code of Regulations, Section 1956.8; 

Exhaust Emission Standards and Test Procedures for 1985 and Subsequent 

Model Year Heavy-Duty Engines and Vehicles. 

Attachment B: 

 Amendments to California Exhaust Emission Standards and Test Procedures 

for 1985 and Subsequent Model Heavy-Duty Diesel Engines and Vehicles.