APPENDIX C

FINAL REGULATION ORDER SUMMARY & RATIONALE

Tier 4 Off-Road Compression-Ignition Engine Regulations

• Title 13, California Code of Regulations

• Test Procedures
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SUMMARY AND RATIONALE FOR THE TIER 4 OFF-ROAD 

COMPRESSION-IGNITION ENGINE REGULATIONS AND TEST PROCEDURES

Note: This appendix provides a summary of, and the rationale for, the Tier 4 off-road 

compression-ignition engine regulations and test procedures amendments 

approved by the Air Resources Board on December 16, 2011, and with 

subsequent conforming modifications authorized under Resolution 11-41. 

Revisions to the original summary and rationale document published on 

October 26, 2011, as part of the Staff Report: Initial Statement of Reasons, are 

indicated either by underlined type to indicate additions (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 deletions.
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Summary and Rationale for Proposed Regulations

Off-Road Compression-Ignition Engines and Equipment

Rationale for staff’s proposed amendments to Article 4, Chapter 9, Division 3, Title 13,

California Code of Regulations (CCR) 

§2421 Definitions

Some of the proposed amendments are necessary to restore/establish alignment with 

similar provisions in the federal regulations for nonroad compression-ignition engines. 

Without such alignment, manufacturers could be forced to satisfy additional 

requirements and/or certify separate engine families in California at considerable extra 

cost without a corresponding increase in emission benefits. The other proposed 

amendments are necessary either to ensure the effectiveness of ARB programs for 

which U.S. EPA does not have an equivalent counterpart, or to properly reference 

incorporated documents.

(a)(3) Staff proposes to clarify that the dates of applicability for the 

2000 and Later Plus Limited Test Procedures are based on

model years (and not calendar years).

(a)(4)(A) In addition to creating a new subparagraph (A) under the 

existing incorporation provision of the Tier 4 test procedures, 

staff proposes to sunset the test procedures by renaming 

them as the “2008-2010 Test Procedures” and to append the 

date of amendment (place holder) reflecting the revisions 

proposed herein.

(a)(4)(B) A new subparagraph (B) is proposed to incorporate the 

amended “2011 and Later Test Procedures” for Tier 4 

engines.

(a)(15)(B) To preserve the applicability of the existing “constant-speed 

engine” definition for pre-2011 Tier 4 engines, staff proposes 

to revise the subjugating test procedure reference to reflect 

the retired 2008-2010 Test Procedures.

(a)(15)(C) A new subparagraph (C) is proposed making the revised 

“constant speed engine” definition applicable to 2011 and 

later Tier 4 engines.

(a)(19) A new definition for “date of manufacture” is proposed to 

align with the analogous federal definition, and because the 

term is referenced in the labeling requirements of §2423(j)(1) 
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for new replacement engines. All subsequent definitions are 

renumbered accordingly.

(a)(35) References to the existing test procedures would be updated 

and supplemented to reflect the revised test procedures.

(a)(38) A reference to §1039.801 of the Tier 4 test procedures is 

provided as a supplement to the existing definition of a 

“model year” to ensure alignment with federal provisions.

§ 2423 Exhaust Emission Standards and Test Procedures – Off-Road Compression

Ignition Engines

The proposed amendment is necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

(b)(1)(B) The proposal would update existing test procedure 

references to reflect the revised test procedures.

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

Table 1b The proposed amendments to the table include new 

ALT NOx+NMHC standards for engines 56 ≤ kW ≤ 560 as 

well as clarifications and revisions to the footnotes 

corresponding to the incorporation of the new standard. 

Footnote 8 is newly added to identify a compliance option 

not overtly illustrated by the table.

The proposed amendment is necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

Table 1c Amendment to footnote 1 would update existing test 

procedure references to reflect the revised test procedures.
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The proposed amendment is necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

(b)(2)(B) The proposal would update existing test procedure 

references to reflect the revised test procedures.

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

Table 2b-1 The proposed amendments to the table include new 

ALT NOx+NMHC and ALT 20% NOx+NMHC FEL caps for 

engines 56 ≤ kW < 75 corresponding to the incorporation of 

the new ALT NOx+NMHC standard in Table 1b. 

Additionally, the implementation periods for several existing 

FEL caps have been revised to correct clerical errors that 

unintentionally limited their applicability to one or two years 

whereas the original intention, as stated in the ARB staff 

report and U.S. EPA preamble for the original rulemakings, 

was clearly a period of four years. Other clarifications are 

proposed to the table to better illustrate optional compliance 

dates, and the footnotes have been revised to correspond to 

the incorporation of the new FEL caps and/or revisions to 

existing implementation dates.

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

Table 2b-2 The proposed amendments to this table are similar to those 

identified for Table 2b-1 above, but applicable to engines 

75 ≤ kW < 560. Additionally, footnote 9 is added to the table 

to clarify that the ALT 20% NOx FEL caps would still be 

available to manufacturers in 2014 for engines 

130 ≤ kW < 560 even if a different certification strategy had 

been used from 2012-2013.
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The proposed amendment is necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

(b)(2)(C) The proposal would update existing test procedure 

references to reflect the revised test procedures.

The proposed amendment is necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

(b)(3)(A) The proposal would update existing test procedure 

references to reflect the revised test procedures.

The proposed amendment is necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

(b)(5)(B) The proposal would update existing test procedure 

references to reflect the revised test procedures.

The proposed amendment is necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

(b)(6) The proposal would update existing test procedure 

references to reflect the revised test procedures.

The proposed amendment is necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

(b)(9) The proposal would update existing test procedure 

references to reflect the revised test procedures.
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The proposed amendment is necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

(b)(12)(A) The proposal would update existing test procedure 

references to reflect the revised test procedures.

The proposed amendment is necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

(c)(2)(B) The proposal would update existing test procedure 

references to reflect the revised test procedures.

The proposed amendment is necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

(d) The proposal would update existing test procedure 

references to reflect the revised test procedures.

The proposed amendment is necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

(d)(1)(C) The proposal would update existing test procedure 

references to reflect the revised test procedures.

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

Table 6 The proposed amendments to the table correct a clerical 

error that would unintentionally require Tier 3 engines to be 

used as flexibility allowances for engines 19 ≤ kW < 56 even
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though ARB never required Tier 3 for this category. The 

amendment would substitute the more appropriate Tier 2 

engine requirement in place. A new footnote 1 was 

appended to the table to clarify that flexibility allowances 

may still be certified to FELs, but that FELs less stringent 

than the applicable flexibility standards must be offset with 

emission credits. The original footnote 1 is renumbered to 2 

and the original footnote 2 is deleted because it is no longer 

relevant with respect to the correction of the Tier 3 to Tier 2 

clerical error explained above.

The proposed amendment is necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

(d)(2)(B) The proposal would update existing test procedure 

references to reflect the revised test procedures.

The proposed amendment is necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

(d)(3)(B) The proposal would update existing test procedure 

references to reflect the revised test procedures.

The proposed amendment is necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

(d)(4) The proposed amendment clarifies that in some cases 

manufacturers would be required to use Tier 2 engines 

under the flexibility program instead of Tier 1 engines.

The proposed amendment is necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.
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(d)(5)(A) The amendment would align with federal requirements by 

providing an option for manufacturers to eliminate the listing 

of the FEL on flexibility engine labels when the FEL is more 

stringent than the emission standard. Because flexibility 

engines cannot generate emission credits, listing an FEL 

that is more stringent than the standard is no longer 

necessary for enforcement or in-use compliance purposes.

The proposed amendment is necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

(d)(5)(B) The proposal would require manufacturers to list their 

website on the emission control label instead of an 

employee’s name and telephone number for contact 

purposes, because the website is likely to be a more 

permanent point of reference.

The proposed amendment is necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

(d)(7)(A) The proposal would remove the requirement for a 

manufacturer to notify ARB of its intent to use flexibility 

allowances by January 1 of the first year that flexibility 

allowances will be used because requests for flexibility 

allowances may not occur until later in the year. The new 

requirement allows manufacturers to notify ARB at any time 

during the year so long as it precedes the usage of flexibility 

allowances.

The proposed amendment is necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

(d)(7)(A)(2) The proposed requirement would require equipment 

manufacturers to provide ARB with the email address of a 

contact person who can answer questions regarding the 

manufacturers’ intent to use flexibility allowances.
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The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

(d)(7)(B) The proposed amendments to this section include clarifying 

refinements to the language pertaining to the production 

volume information that needs to be reported to ARB, and 

post-production confirmation that the engine manufacturers 

providing flexibility allowances have all been identified.

The proposed amendment is necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

(d)(8) The proposal would update existing test procedure

references to reflect the revised test procedures.

The proposed amendment is necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

(d)(9) The proposal would update existing test procedure 

references to reflect the revised test procedures.

The proposed amendment is necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

(e)(2) Staff proposes to require the inclusion of engine family name 

in the recordkeeping requirements for flexibility allowances 

to improve certification tracking and verification capabilities.

The proposed amendment is necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 
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certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

(f)(3) The proposal would update existing test procedure 

references to reflect the revised test procedures.

The proposed amendment is necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

(h) The proposal would update existing test procedure 

references to reflect the revised test procedures.

Some of the proposed amendments are necessary to restore/establish alignment with 

similar provisions in the federal regulations for nonroad compression-ignition engines. 

Without such alignment, manufacturers could be forced to satisfy additional 

requirements and/or certify separate engine families in California at considerable extra 

cost without a corresponding increase in emission benefits. The other proposed 

amendments are necessary to ensure the effectiveness of ARB programs for which 

U.S. EPA does not have an equivalent counterpart.

(j)(1)(D) The proposed amendments would align with proposed 

federal requirements by creating separate labeling 

specifications for new replacement engines dependent on 

whether or not the replacement engine was ever subject to 

emission standards. The label text is also revised for greater 

alignment with federal provisions, except that ARB would 

require “engine power,” “reference engine family,” and “date 

of manufacture” to be displayed on the label to assist with 

the implementation and enforcement of ARB’s various in-use 

off-road programs. U.S. EPA does not have equivalent 

in-use programs. Section-specific definitions are provided to 

define the terms “certified power” and “advertised power” as 

used in the labeling requirements.

The proposed amendment is necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

(l)(1) The proposal would update existing test procedure 

references to reflect the revised test procedures.
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The proposed amendment is necessary to establish alignment with similar provisions in 

the federal regulations for nonroad compression-ignition engines. Without such 

alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

(m) The proposed amendment creates a new paragraph (m) to 

align with the recently promulgated federal anti-stockpiling 

requirements incorporated in the 2011 and Later Test 

Procedures at §1068.103 and §1068.105. 

§ 2424 Emission Control Labels – 1996 and Later Off-Road Compression-Ignition 

Engines

The proposed amendment is necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

(c)(2) The proposal fixes a referencing error that should have been 

updated during previous regulatory amendments to cite the 

“2000 and Later Plus Limited Test Procedures.”

The proposed amendment is necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

(c)(3) The proposal would update existing test procedure 

references to reflect the revised test procedures.

The proposed amendment is necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.
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(l) The proposed amendment creates a new paragraph (l) to 

align with federal provisions, as incorporated in 

§1068.101(b)(7) of the 2011 and Later Test Procedures, 

which allows dealers and authorized distributors to replace 

incorrect labels on engines and equipment prior to the sale 

of the engines and equipment to ultimate purchasers. For 

example, dealers and authorized distributors would be 

allowed to remove the existing label from an engine 

originally certified under the transitional program for 

equipment manufacturers (TPEM flexibility program) in order 

to re-purpose the engine as a replacement engine so long as 

the engine had not yet been sold to an ultimate purchaser. 

In so doing, the manufacturer would be responsible for 

updating any tabulations, calculations, or reporting 

requirements that would be affected by the re-purposing of 

the engine. Downgrading the emissions performance of an 

engine shall not occur when re-purposing the engine. The 

ARB requirement would also extend the provision to affixing 

supplemental replacement engine labels as required in 

2423(j). The new paragraph also reinforces that removal of 

an emissions control label, unless permitted by regulation, is 

a violation of the regulations.

§ 2425 Defects Warranty Requirements for 1996 and Later Off-Road 

Compression-Ignition Engines.

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

(a) The proposed amendments clarify that the revised defects 

warranty and reporting requirements in §1039.120 and 

§1039.125 would only apply to 2011 and Later Tier 4 

engines.

§ 2425.1 Defect Investigation and Reporting Requirements.

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.
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(a) The proposal would update existing test procedure 

references to reflect the revised test procedures.

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

(c) The proposal would update existing test procedure 

references to reflect the revised test procedures.

§ 2426 Emission Control System Warranty Statement.

The proposed amendments are necessary to ensure that owners of Tier 4 engines are 

provided with warranty-related information. Without such information, owners might not 

be fully informed regarding their rights to have defective components replaced at no 

cost to them, which could result in improper engine maintenance and a corresponding 

increase in emissions.

(a) The proposed amendments would extend the requirement 

for manufacturers to include a copy of the California 

Emission Control Warranty Statement to all off-road 

compression-ignition engines. Tier 4 engines were 

unintentionally omitted during the previous amendment of 

the regulations. Additional refinements to the language on 

the Emission Control Warranty Statement are proposed to 

better reflect the inclusion of all types of off-road 

compression-ignition engines (not just heavy-duty engines). 

A typographical error in the text of the California Emission 

Control Warranty Statement was corrected by replacing the 

parenthetical “year” with the parenthetical “years.” The 

plural form of the word better correlates to ARB’s 

longstanding practice of allowing manufacturers to specify a 

range of years on the warranty statement for carry-over 

engine families rather than requiring manufacturers to 

produce a unique warranty statement for each year when all 

other relevant information is identical.

(b) The proposed amendment to this paragraph (b) is similar to 

the amendment in (a) above such that manufacturers would 

be required to include a description of the obligations and 

warranty rights of the manufacturer and equipment for 

previously (and unintentionally) excluded Tier 4 engines.
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§ 2427 Production Engine Testing, Selection, Evaluation, and Enforcement 

Action.

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

(c)(1)(B) The proposal would update existing test procedure 

references to reflect the revised test procedures.
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California Exhaust Emission Standards and Test Procedures for New 2008-

2010 Tier 4 Off-Road Compression-Ignition Engines, Part I-C

Staff proposes to retire the existing “California Exhaust Emission Standards and Test 

Procedures for New 2008 and Later Tier 4 Off-Road Compression-Ignition Engines, 

Part I-C,” applicable to land-based off-road compression ignition engines regulated 

under Title 13, CCR, Chapter 9, Article 4, by retitling to the “California Exhaust Emission 

Standards and Test Procedures for New 2008-2010 Tier 4 Off Road Compression 

Ignition Engines, Part I-C.” The applicability of the current test procedures, as 

referenced in proposed §2421(a)(4)(A) of the California regulation, will then be limited to 

Tier 4 engines through the 2010 model year only. 

In the following descriptions of the specific amendments being proposed, a complete 

alignment with a corresponding federal subsection is indicated by “(Alignment).”

Instances of non-alignment with specific portions within a subsection being proposed for 

alignment are indicated by “(Non-alignment).”

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

COMPRESSION-IGNITION ENGINES

The proposed amendment is necessary to clarify the scope of applicability as belonging 

to California certified engines rather than federally certified engines.

Staff proposes to substitute the adjective “OFF-ROAD” in place of the federal 

adjective “NONROAD” in the title of this Part 1039 for better consistency with, and 

identification of, California requirements.

Subpart G – Special Compliance Provisions

The purpose of subpart G is to grant optional compliance flexibility provisions to address 

hardship and/or to ease the transition to lower standards. The provisions in this subpart 

are usually available for a limited time only.

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

flexibility?

The proposed amendment is necessary to restore/establish alignment with a similar 

provision in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

(e)(3) The proposed amendment corrects a clerical error that would have 

unintentionally required Tier 3 engines to be used as flexibility 
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allowances for engines 19 ≤ kW < 56 even though ARB never required 

Tier 3 for this category. The amendment changes the 37kW endpoint to 

a 56kW endpoint and, as a result, enables the appropriate use of Tier 2 

engine for the power category. (Alignment)

PART 1068 – GENERAL COMPLIANCE PROVISIONS FOR OFF-ROAD PROGRAMS

The proposed amendment is necessary to clarify the scope of applicability as belonging 

to California certified engines rather than federally certified engines.

Staff proposes to substitute the adjective “OFF-ROAD” in place of the federal 

adjective “NONROAD” in the title of this Part 1068 for better consistency with, and 

identification of, California requirements. 

Subpart B – Prohibited Actions and Related Requirements

The purpose of Subpart B is to clarify the intention of the regulations by identifying 

actions that are contrary to compliance and/or which would constitute violations subject 

to civil penalty. 

§ 1068.101 What general actions does this regulation prohibit?

The proposed amendment is necessary to clarify the scope of applicability as belonging 

to California certified engines rather than federally certified engines.

(b)(3) The proposal replaces the adjective “nonroad” with the more appropriate 

adjective “off-road” for better consistency with, and identification of, 

California requirements.
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California Exhaust Emission Standards and Test Procedures for New 2011 

and Later Tier 4 Off-Road Compression-Ignition Engines, Part I-D

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

COMPRESSION-IGNITION ENGINES

Proposed amendments to the incorporated provisions of the California Exhaust 

Emission Standards and Test Procedures for New 2011 and Later Tier 4 Off-Road 

Compression Ignition Engines, Part I-D, applicable to land-based off-road 

compression-ignition engines regulated under Title 13, CCR, Chapter 9, Article 4. 

In the following descriptions of the specific amendments being proposed, a complete 

alignment with a corresponding federal subsection is indicated by “(Alignment).”

Instances of non-alignment with specific portions within a subsection being proposed for 

alignment are indicated by “(Non-alignment).”

Subpart A – Overview and Applicability

The purpose of Subpart A is to identify the types of engines and equipment subject to 

the regulations and to provide guidance on how best to navigate through the regulations 

to ensure full comprehension and compliance. 

§1039.1 Does this part apply for my engines?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

 

The proposed amendments to this section clarify that stationary engines, which are 

generally not subject to Part 1039, may still be required to comply with the emissions 

standards in Part 1039 if so required by the stationary engine regulations. (Alignment) 

§1039.2 Who is responsible for compliance?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

This is a new section, consisting of text transferred from §1039.10 of the existing test 

procedures, intended to make more apparent that the certification requirements of the 

regulation are primarily applicable to engine manufacturers. (Alignment)
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§1039.5 Which engines are excluded from this part’s requirements?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

The proposed amendments provide additional clarity regarding specific engine types 

that are not subject to Part 1039. (Alignment)

§1039.10 How is this part organized?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

This section remains unchanged except for the transfer of text to §1039.2 related to the 

identification of certification responsibilities. (Alignment)

§1039.15 Do any other regulation parts apply to me?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

The proposed amendments clarify the use of Part 1065 of the Test Procedures for 

emission measurement purposes only and not for determining compliance with exhaust 

standards. (Alignment)

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

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.
C-18

The proposed amendment limits the requirement to place labels on stationary engines 

that would otherwise be subject to labeling provisions under other regulations. 

(Alignment)

§1039.30 Submission of information

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

This is a new section intended to summarize and simplify the identification of existing 

reporting and record keeping requirements that are spread throughout Parts 1039 and 

1068. (Alignment)

Subpart B – Emission Standards and Related Requirements

The purpose of subpart B is to identify emission standards, implementation dates, 

warranty provisions, maintenance-related requirements, and labeling specifications. 

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

engines in model year 2014 and earlier?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

The proposed amendments create a new alternate interim Tier 4 exhaust standard for 

combined oxides of nitrogen and hydrocarbon (ALT NOx + NMHC) that is more 

stringent than the sum of the separate ALT NOx and NMHC standards, but which can 

be met using banked emission credits. The proposed amendments also fix a clerical 

error in which the wrong power designation would have resulted in Tier 3 engines being 

required for equipment flexibility allowances in a power category for which Tier 3 

engines were never required. The final proposed amendment does away with an 

unnecessary requirement to identify the PM standard on the emission label for non-FEL 

certified engines in the 37 - 56 kW power category. (Alignment)

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

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 
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certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

The proposed amendments correct clerical errors in Table 1 of §1039.104 that 

unintentionally limit the implementation period for using ALT FEL Caps to only one or 

two years whereas the intention, as stated in the previous staff report, was to provide a 

four year usage period. Additionally, the proposed amendments clarify that a 

manufacturer is free to certify an engine family to the new ALT NOx+NMHC standards 

even if the engine could satisfy just the ALT NOx FEL requirement. (Alignment)

§1039.115 What other requirements apply?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

The proposed amendments clarifies that only engines subject to Part 1039 need to 

comply with the provisions in §1039.115, and limit the applicability period for controlling 

crankcase emissions to the engine’s useful life.(Alignment)

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

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

The amendments would clarify applicability of warranty provisions to regulated 

pollutants only and correct several grammatical errors. (Alignment) 

§1039.125 What maintenance instructions must I give to buyers?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

The amendments would extend the maintenance interval for several components, 

including particulate traps, to 4500 hours, and append crankcase vent filters to the list of 

components covered for 1500 hours. Additionally, the amendments provide additional 
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flexibilities that would allow manufacturers to request shorter warranty periods provided 

a need for such can be demonstrated. (Alignment)

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

Some of the proposed amendments are necessary to restore/establish alignment with 

similar provisions in the federal regulations for nonroad compression-ignition engines. 

Without such alignment, manufacturers could be forced to satisfy additional 

requirements and/or certify separate engine families in California at considerable extra 

cost without a corresponding increase in emission benefits. The other proposed 

amendments are necessary to ensure the effectiveness of ARB programs for which 

U.S. EPA does not have an equivalent counterpart. 

The proposed amendments require the listing of PM standards on some lower power 

engines during the Tier 4 interim years and redirect the use of standardized terms and 

abbreviations to reference §1068.45 rather than SAE J1930. (Alignment)

The proposed amendments would also make mandatory the inclusion of the engine’s 

date of manufacture on the emissions control label and clarifies that the visibility 

requirements in the regulation still apply. (Non-alignment)

Subpart C – Certifying Engine Families

The purpose of subpart C is to specify the requirements for certifying engine families 

and obtaining Executive Orders.

§1039.205 What must I include in my application?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

The proposed amendments clarify that emission results must be submitted in the 

certification application for each mode when testing under a discrete-mode cycle. The 

amendments also clarify that measured carbon dioxide (CO2), nitrous oxide (N2O), and 

methane (CH4) (greenhouse gasses) must usually be reported in the certification 

application. The amendments would also require manufacturers to identify whether or 

not any of the engines in an engine family will be used in stationary applications, and 

require manufacturers to explain and justify significant increases in production volumes 

from year to year to curtail any potential stockpiling intentions. Finally, the amendments 

would require that manufacturers assign a certification service agent located 

domestically. (Alignment) 
C-21

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

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

The proposed amendments clarify the procedures for amending maintenance 

instructions and the continued liability of the manufacturer for those changes with 

respect to warranty claims.(Alignment)

§1039.225 How do I amend my application for certification?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

The proposed modifications provide clarity to existing language by making some 

provisions more specific, and by removing ambiguity from others. Additionally, the 

amendments clarify existing policy to allow the raising or lowering of FEL designations 

under specific conditions. (Alignment)

§1039.230 How do I select engine families?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

The proposed amendments consist of a change in philosophy regarding the grouping of 

engines into families based on cylinder arrangement rather than cylinder count and 

provide more specificity regarding existing requirements. (Alignment)
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§1039.235 What testing requirements apply for certification?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

In addition to simplifying the name of the section, the proposed amendments would 

clarify existing text and would require the measurement of CO2, N2O, and CH4 for 

low-hour certification testing as well as the protocol for rounding test results. 

Additionally, the text clarifies that N20 and CH4 testing may be omitted for engines not 

subject to N20 and CH4 standards so long as an alternate approved method of inferring 

the data is available. (Alignment)

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

emission standards?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

The proposed amendments require that emission test results from engines used to 

establish deterioration factors must be below the standards at each test point for

general certification testing and for not-to-exceed (NTE) testing. Other clarifications 

making existing language more specific are also proposed. (Alignment)

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

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

The proposed amendment restructures the wording in the paragraph to locate the 

introduction and purpose statement ahead of the specification of procedural criteria for 

determining deterioration factors. (Alignment) 

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

Resources Board (ARB)?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 
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such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

The proposed amendments extend the deadline for submitting production reports to 45 

days (previously 30) after the end of the year and make grammatical and referencing 

corrections. (Alignment)

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

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

The proposed amendments clarify that all information will be considered when denying 

a manufacturers application for certification, and provide California-specific references 

regarding ARB’s authority to void Executive Orders. (Alignment)

Subpart F – Test Procedures

The purpose of subpart F is to standardize the procedures for measuring emissions in a 

precise and repeatable manner representing the real-world operation of off-road diesel 

engines and equipment.

§ 1039.501 How do I run a valid emission test?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

The proposed amendments refine the scope of applicability to measuring only exhaust 

constituents and reiterate that CO2, N2O, and CH4 must also be measured. (Alignment)

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

modal testing?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.
C-24

The proposed amendments to this section include a more specific reference to part 

1065.514 for calculating duty-cycle statistics, a reference change to the procedures in 

part 1065 for calculating idle emissions, removal of the elsewhere-required maximum 

fueling rate criterion for testing constant speed engines at full load operating modes, 

and changes to duty-cycle regression calculations when using, and to allow the use of, 

non-motoring dynamometers during idle operation. The amendments also update 

references for steady-state duty cycles from the previously existing Appendices III and 

IV to the newly consolidated Appendix II. (Alignment) 

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

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

The proposed amendments clarify the calculation of “Official Transient Emission Result” 

with a graphical representation of the equation, and replace the validation procedures 

for cycle statistics with a reference to 1065.514. (Alignment)

Subpart G – Special Compliance Provisions

The purpose of subpart G is to grant optional compliance flexibility provisions to address 

hardship and/or to ease the transition to lower standards. The provisions in this subpart

are usually available for a limited time only.

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

flexibility?

Some of the proposed amendments are necessary to restore/establish alignment with 

similar provisions in the federal regulations for nonroad compression-ignition engines. 

Without such alignment, manufacturers could be forced to satisfy additional 

requirements and/or certify separate engine families in California at considerable extra 

cost without a corresponding increase in emission benefits. The other proposed 

amendments are necessary to ensure the effectiveness of ARB programs for which 

U.S. EPA does not have an equivalent counterpart.

The proposed amendments to this section include clarification that engines certified to 

FELs are still considered compliant with emission standards, clarification that 

manufacturers may be required to use Tier 2 engines under the flexibility program, the 

correction of a clerical error that would have resulted in manufacturers being required to 

use non-existent Tier 3 engines as flexibility allowances for equipment requiring engines 

with rated power 37-56 kW, a requirement to list the manufacturer’s website on the 
C-25

emission control label instead of an employee’s name and telephone number for contact 

purposes, removal of the unnecessary January 1 deadline for notifying ARB of a 

manufacturer’s intent to use flexibility allowances, clarification of the requirements for 

identifying the manufacturers of the engines to be used by the equipment manufacturer, 

and the option to eliminate the listing of the FEL on flexibility engine labels when the 

FEL is more stringent than the emission standard. (Alignment)

Staff also proposes to require the inclusion of engine family name to the recordkeeping 

requirements to assist ARB certification staff in tracking and verifying flexibility 

allowances. (Non-Alignment)

§ 1039.626 What special provisions apply to equipment imported under the 

equipment-manufacturer flexibility program?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

The proposed requirements would remove the unnecessary January 1 deadline for 

notifying ARB of an importer’s intent to use flexibility allowances. (Alignment)

Subpart H – Averaging, Banking, and Trading for Certification

The purpose of Subpart H is to explain the requirements for calculating Family Emission 

Limits (FELs) and the proper application of emission credits.

§ 1039.705 How do I generate and calculate emission credits?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

The proposed amendments clarify that positive and negative emission credits should be 

rounded separately prior to being added together. (Alignment)

§ 1039.715 How do I bank emission credits?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 
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certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

The proposed amendments remove the restriction of using banked credits only within 

the averaging set in which they were created and clarify when and how reserved credits 

become actual credits. (Alignment)

§ 1039.720 How do I trade emission credits?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

The proposed amendment clarifies that trading banked credits to another manufacturer 

is only allowed within an averaging set. (Alignment)

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

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

The proposed amendments remove provisions to identify the final destination of the 

generated credits because there are no longer any restrictions to use credits within the 

same averaging set. (Alignment)

§ 1039.730 What ABT reports must I send to ARB?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

The proposed amendments clarify the recordkeeping requirements after changing an 

FEL post production, and make more specific the type of production volumes 

associated with the changed FEL that must be reported. (Alignment)
C-27

§ 1039.735 What records must I keep?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

The proposed amendments restrict the use and banking of credits for improper retention 

of accurate records, allow manufacturers to store records on any media so long as the 

information is in English and can be made available to ARB promptly on request, and 

requires the identification of the purchaser and destination for every engine sold in the 

records. (Alignment) 

Subpart I – Definitions and Other Reference Information

The purpose of subpart I is to explain terms, acronyms, and abbreviations used 

throughout the test procedures and regulations to ensure a consistent interpretation of 

the requirements herein.

§ 1039.801 What definitions apply to this part?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

The proposed changes to this section include the addition or revision of several 

definitions necessary for maintaining alignment between federal and California 

regulations. (Alignment)

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

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

The proposed amendments include new acronyms for nitrous oxide (N2O) and methane 

(CH4) because these pollutants are now required to be measured and reported in the 

certification applications for some engine families. (Alignment)

§ 1039.810 What materials does this part reference?
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The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

Staff proposes to delete this section as it is no longer a federal requirement and was 

only included in the California test procedures for continuity and consistency. The 

reference information is contained elsewhere within the regulations.(Alignment) 

§1039.825 What reporting and recordkeeping requirements apply under this part?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

This is a new section that would simplify the identification of reporting and 

recordkeeping requirements in Part 1039 by consolidating the location for each 

requirement by section number. (Alignment)

Appendix II to Part 1039 – Steady-state Duty Cycles

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

The proposed amendments to Appendix II include a change in title and the reorganizing 

and incorporation of requirements from Appendices III and IV to create a more 

comprehensive section for the requirements pertaining to the duty-cycles for 

steady-state engines. (Alignment)

Appendix III to Part 1039 DELETE. (Alignment)

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.
C-29

Appendix IV to Part 1039 DELETE. (Alignment)

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.
C-30

California Exhaust Emission Standards and Test Procedures for New 2011 

and Later Tier 4 Off-Road Compression-Ignition Engines, Part I-E

PART 1065 – ENGINE-TESTING PROCEDURES: Tier 4 Off-Road CompressionIgnition Engines

The proposed part 1065 test procedures prescribe scaled specifications for test 

equipment and measurement instruments by parameters such as engine power, engine 

speed and the emission standards to which an engine must comply. Manufacturers will 

be able to use these specifications to determine what range of engines and emission 

standards may be tested. The basis of the proposed 1065 is the federal part 1065, 

which is a combination of U.S. EPA’s existing test procedures for testing various 

categories of nonroad engines and heavy-duty on-highway engines. Part 1065 has 

been revised by U.S. EPA to better fit off-road compression-ignition engines in response 

to comments from stakeholders.

Part 1065 is organized by subparts as shown below:

Subpart A General provisions; global information on applicability, alternate 

procedures, units of measure, etc.

Subpart B Equipment specifications; required hardware for testing

Subpart C Measurement instruments

Subpart D Calibration and verifications; for measurement systems

Subpart E Engine selection, preparation, and maintenance

Subpart F Test protocols; step-by-step sequences for laboratory testing and test 

validation

Subpart G Calculations and required information

Subpart H Fuels, fluids, and analytical gases

Subpart I Oxygenated fuels; special test procedures

Subpart J Field testing and portable emissions measurement systems

Subpart K Definitions, references, and symbols

Subpart A

The purpose of subpart A is to identify the applicability of part 1065 and describe how 

procedures other than those in part 1065 may be used to comply with Title 13, CCR 

regulations for off-road compression-ignition engines.

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.
C-31

§1065.1 The purpose of this section is to explain that land-based off-road

compression-ignition engines remain subject to Title 13, CCR, Chapter 9, Article4, 

rather than U.S. EPA’s exhaust emission requirements. Other subsections that are not 

applicable to this portion of the California test procedure are deleted. 

Subpart B

The purpose of subpart B is to describe engine and dynamometer related systems. 

Many of these specifications are scaled to an engine’s size, speed, torque, exhaust flow 

rate, etc. Subpart B also describes sampling dilution systems. These include 

specifications for the allowable components, materials, pressures, temperatures, and a 

diagram illustrating all the available equipment for measuring emissions.

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

Subpart C

The purpose of subpart C is to specify the requirements for the measurement 

instruments used for testing. These specifications apply to both laboratory and field 

testing. Subpart C recommends accuracy, repeatability, noise, and response time 

specifications for individual measurement instruments, and requires that overall 

measurement systems meet the calibrations and verifications in Subpart D.

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

Subpart D

The purpose of subpart D is to specify accuracy, repeatability and other related 

parameters for the test measurement systems. 

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.
C-32

Subpart E

The purpose of subpart E is to describe how to select, prepare, and maintain a test 

engine. 

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

Subpart F

The purpose of subpart F is to describe the step-by-step protocols for engine mapping, 

test cycle generation, test cycle validation, pre-test preconditioning, engine starting, 

emission sampling, and post-test validations.

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

Subpart G

The purpose of subpart G is to address all the calculations required in part 1065. 

Subpart G specifies emission calculations based on molar quantities for flow rates 

instead of volume or mass. This change eliminates the frequent confusion caused by 

using different reference points for standard pressure and standard temperature. 

Instead of declaring standard densities at standard pressure and standard temperature 

to convert volumetric concentration measurements to mass-based units, subpart G 

declares molar masses for individual elements and compounds. Since these values are 

independent of all other parameters, they are known to be universally constant.

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

Subpart H

The purpose of subpart H is to specify test fuels, lubricating oils and coolants, and 

analytical gases for testing. Subpart H also specifies that service accumulation fuels 
C-33

must be either a test fuel or a commercially available in-use fuel. This helps ensure that 

testing is representative of in-use engine operation.

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

§1065.701 The proposed amendments are necessary to restore/establish alignment 

with similar provisions in the federal regulations for nonroad compression-ignition 

engines. Without such alignment, manufacturers could be forced to satisfy additional 

requirements and/or certify separate engine families in California at considerable extra 

cost without a corresponding increase in emission benefits. The purpose of this section

is to describe general requirements for test fuels. Staff has proposed that the Executive 

Officer may approve other test fuels to be used by the certifying entity so long as they 

do not affect the demonstration of compliance.

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

§1065.703 The purpose of this section is to allow engine testing with other fuels, 

such as California diesel fuel, so long as they do not affect the demonstration of 

compliance.

Subpart I

The purpose of this subpart is to describe special procedures for measuring certain 

hydrocarbons whenever oxygenated fuels are used.

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

Subpart J

The purpose of subpart J is to describe field testing and portable emissions 

measurement systems (PEMS).
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The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

Subpart K

The purpose of subpart K is to list all the defined terms, identification of reference 

materials, and lists of acronyms and abbreviations used throughout part 1065.

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.
C-35

California Exhaust Emission Standards and Test Procedures for New 2011 

and Later Tier 4 Off-Road Compression-Ignition Engines, Part I-F

PART 1068 – GENERAL COMPLIANCE PROVISIONS FOR OFF-ROAD 

COMPRESSION-IGNITION ENGINE PROGRAMS

Proposed amendments to the incorporated provisions of the California Exhaust 

Emission Standards and Test Procedures for New 2011 and Later Tier 4 Off Road 

Compression Ignition Engines, Part I-F, applicable to land-based off-road compression 

ignition engines regulated under Title 13, CCR, Chapter 9, Article 4.

In the following descriptions of the specific amendments being proposed, a complete 

alignment with a corresponding federal subsection is indicated by “(Alignment).”

Instances of non-alignment with specific portions within a subsection being proposed for 

alignment are indicated by “(Non-alignment).”

The proposed amendments are necessary to clarify the scope of applicability as 

belonging to California certified engines rather than federally certified engines, and to 

identify the source document upon which staff’s proposed changes are predicated.

Staff proposes to substitute the adjective “OFF-ROAD” in place of the federal 

adjective “NONROAD” in the title of this Part 1068 for better consistency with, 

and identification of, California requirements. Additionally, staff proposes to add 

the phrase “COMPRESSION-IGNITION ENGINE” to indicate that the California 

test procedures are specific to off-road compression-ignition engines unlike the 

federal version of Part 1068 which is applicable to all nonroad categories.

Staff proposes to reference the existing test procedures as the new source 

document rather than to continue referencing the federal register from which the 

exiting test procedures were originally constructed. This is a more 

straightforward way of illustrating staff’s proposed amendments than to 

reconstruct the entirety of amendments from the initial adoption of the regulation, 

which could confuse the reader as to which proposed changes are current and 

which had been previously adopted by the Board.

Subpart A – Applicability and Miscellaneous Provisions

The purpose of Subpart A is to identify the types of engines and equipment subject to 

the regulations, explain ARB’s rights to inspect and verify compliance, explain ARB’s 

decision making process, define technical terms used throughout the test procedures, 

and provide general guidance regarding labels.

§ 1068.2 How does this part apply for engines and how does it apply for 

equipment?

 
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The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

Staff’s proposal incorporates a new section to explain the applicability of recently added 

provisions for equipment manufacturers. In general, the federal provisions are meant to 

apply to nonroad categories where evaporative emission control requirements and 

standards are already effective. However, staff is proposing to incorporate these 

provisions for the California off-road compression-ignition category, which has no 

evaporative emission control requirements, because the provisions would grant ARB 

increased access to inspect equipment manufacturing facilities to ensure compliance 

regarding other equipment-manufacturer-specific areas of these regulations, California’s 

other off-road compression-ignition in-use regulations, and the future implementation of 

off-road compression-ignition not-to-exceed requirements. (Alignment)

§ 1068.5 How must manufacturers apply good engineering judgment?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

The proposal adds in-use equipment to the list of compliance testing categories wherein 

good engineering judgment must be applied. (Alignment)

§ 1068.15 What general provisions apply for Air Resources Board 

decision-making?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

The proposal amends the title of the section to more accurately depict the information 

contained in the section. (Alignment) 

§ 1068.20 May ARB enter my facilities for inspections?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 
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certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

Staff proposes to extend ARB’s right-of-access authority to facilities that manufacturer, 

store, and/or test off-road compression-ignition equipment. (Alignment)

§ 1068.25 What information must I give to ARB?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

Staff proposes to extend recordkeeping and reporting requirements for exempt 

equipment to equipment manufacturers. Staff also proposes to clarify that required 

records must be retained for 8 years and that manufacturers are ultimately liable and 

subject to civil penalty for the submission of false information, even if provided to and 

submitted by a third party. (Alignment)

§ 1068.27 May ARB conduct testing with my production engines/equipment?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

Staff proposes to extend ARB’s authority to request and conduct production-line testing 

to equipment subject to the regulations (instead of just engines). (Alignment) 

§ 1068.30 What definitions apply to this part?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

The proposed amendments to this section include updated references to the proposed 

revised test procedures for sharing common definitions, updated general references to 

the proposed revised test procedures for Parts 1039 and 1068, adoption of several new 

definitions, and the modification of several existing definitions. (Alignment)

§1068.45 General labeling provisions.
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The proposed amendments are necessary to ensure the effectiveness of ARB programs 

for which U.S. EPA does not have an equivalent counterpart.

Staff proposes to redirect the provisions of this new section back to the existing 

requirements for emission control labels found in §2424 of the California regulations, 

including criteria for visibility, permanence, location, and other related requirements. 

(Non-alignment)

Subpart B – Prohibited Actions and Related Requirements

The purpose of Subpart B is to clarify the intention of the regulations by identifying 

actions that are contrary to compliance and/or which would constitute violations subject 

to civil penalty.

§ 1068.101 What general actions does this regulation prohibit?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

Staff proposes to incorporate new federal subparagraph (b)(7) that clarifies the 

prohibition and penalties associated with removing permanent labels, but also provides 

a list of circumstances where removal is permitted, including replacement of an 

incorrect label prior to the engine being sold to an ultimate purchaser. (Alignment) 

§ 1068.103 What are the provisions related to the duration and applicability of 

Executive Orders?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

Staff proposes to align with new federal section §1068.103 for the purposes of having a 

uniform nationwide approach regarding model year production periods, and clarifying 

that engines may be pre-built prior to the effective date of the Executive Order. The 

proposed amendments would also clarify stockpiling prohibitions by constraining 

manufacturer’s inventory practices to prevent the circumvention of new standards. 

(Alignment)

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

equipment needing certified engines?
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The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

The proposal further clarifies prohibitions against stockpiling by disallowing the 

knowledgeable installation of engines by equipment manufacturers that were illegally 

stockpiled by engine suppliers, and clarifies that equipment may not be introduced into 

commerce in California with engines that are not covered by an Executive Order. 

(Alignment)

§ 1068.110 What other provisions apply to engines/equipment in service?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

The proposed amendments would make equipment (instead of just engines) applicable 

to the provisions regulating aftermarket parts, and the certification thereof, for repair 

purposes, and allows manufacturers to limit diagnosis and repair support to authorized 

service facilities so long as warranty obligations can still be met. (Alignment)

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

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

Staff proposes to extend the provisions related to warranty claims to equipment, but 

only with respect to the regulated aspects of the equipment. (Alignment)

§ 1068.120 What requirements must I follow to rebuild engines?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.
C-40

The proposed amendments clarify that although records need not be kept for 

maintenance or service other that than rebuilding, it is a violation for service providers to 

make any repair or modification that results in increased emissions. The proposed 

amendments also clarify that rebuilt engines must be at least as clean as the engines 

being replaced, but that in some cases an earlier tier engine can be as clean as a later 

tier engine due to averaging, etc. Additionally, the amendments allow for the 

approximation of hours of operation or mileage if the engine does not have an hour 

meter or odometer. (Alignment)

Subpart C – Exemptions and Exclusions

The purpose of Subpart C is to identify special cases or classifications of engines and 

equipment where the requirements of this part would not apply. (Alignment)

§ 1068.201 Does ARB exempt or exclude any engines/equipment from the 

prohibited acts?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

The proposed amendments would extend the applicability of exemptions and exclusions 

from prohibited acts to equipment (instead of just engines), as appropriate. (Alignment)

§ 1068.210 What are the provisions for exempting test engines/equipment?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

The proposed amendments would extend the applicability of testing-related exemption 

provisions to equipment (instead of just engines) used solely for testing purposes, as 

appropriate. Affected equipment would be labeled accordingly. (Alignment)

§ 1068.215 What are the provisions for exempting manufacturer-owned 

engines/equipment?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 
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certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

The proposed amendments would extend the applicability of experimental permit 

exemptions to equipment (instead of just engines), as appropriate. Affected equipment 

would be labeled accordingly. (Alignment)

§ 1068.220 What are the provisions for exempting display engines/equipment?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

The proposed amendments would extend the applicability of display exemption 

provisions to equipment (instead of just engines), as appropriate. Affected equipment 

would be labeled accordingly. (Alignment)

§ 1068.225 What are the provisions for exempting engines/equipment for national 

security?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

The proposed amendments would extend the applicability of exemptions for national 

security to equipment (instead of just engines). The proposed amendments would also 

redirect all requirements to the exact federal requirements of 40 CFR 1068.225 as of 

June 28, 2011.(Alignment)

§ 1068.230 What are the provisions for exempting engines/equipment for export?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

The proposed amendments would extend the applicability of export exemption 

provisions to equipment (instead of just engines), as appropriate. (Alignment)
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§ 1068.235 What are the provisions for exempting engines/equipment used solely 

for competition?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

The proposed amendments would extend the applicability of competition exemption 

provisions to equipment (instead of just engines), as appropriate. The proposed 

amendments also clarify that using this provision to circumvent the regulations would be 

a violation of the regulations. (Alignment)

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

Some of the proposed amendments are necessary to restore/establish alignment with 

similar provisions in the federal regulations for nonroad compression-ignition engines. 

Without such alignment, manufacturers could be forced to satisfy additional 

requirements and/or certify separate engine families in California at considerable extra 

cost without a corresponding increase in emission benefits. The other proposed 

amendments are necessary to ensure the effectiveness of ARB programs for which 

U.S. EPA does not have an equivalent counterpart.

Staff proposes to amend the labeling portion of this section to focus on the replacement 

engine rather than the engine being replaced. (Non-alignment)

Staff proposes to adopt the same statement of compliance form as promulgated 

federally (i.e., same language, but with California-specific references). (Alignment)

Staff proposes the inclusion of additional information (i.e., engine power, reference 

family name, and date of manufacturer) on the emissions control label to aid in the 

implementation of ARB-specific in-use fleet modernization programs and their 

enforcement. (Non-alignment) 

§ 1068.245 What temporary provisions address hardship due to unusual 

circumstances?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

The proposal would clarify existing language by removing redundant or unnecessary 

qualifiers to using the hardship allowances. The proposal would also clarify conditions 

in a new subparagraph (b), related to the unusual circumstances that lead to the 
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hardship, by which manufacturers can qualify for hardship relief without a demonstration 

that lack of relief will result in the insolvency of their companies. New provisions 

regarding the labeling of equipment are also proposed to address hardship relief 

pertaining to equipment. (Alignment)

§ 1068.250 What are the provisions for extending compliance deadlines for small 

volume manufacturers and small businesses under hardship?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

Staff proposes to extend the applicability of this provision to small businesses and for 

equipment (instead of just engines), as appropriate. Staff also proposes to adopt the 

same labeling form as U.S. EPA for engines qualifying under this provision, but would 

require a mandatory listing of engine power on the emission control label for California 

engines. New provisions regarding the labeling of equipment are also proposed to 

address this provision pertaining to equipment. (Alignment)

§ 1068.255 What are the provisions for exempting engines and components for 

hardship for equipment manufacturers and secondary engine 

manufacturers?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

Staff proposes to clarify the labeling requirements for engines using the provisions of 

this section by adopting the same labeling form as U.S. EPA, but with a mandatory 

listing of engine power on the emission control label for California engines. (Alignment)

§ 1068.260 What general provisions apply for selling or shipping engines that are not 

yet in their certified configuration?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.
C-44

Staff proposes to clarify the existing language of §1068.261 by bifurcating the 

requirements into separate sections, the new §1068.260 and the amended §1068.261. 

This new section explains the delegated assembly requirements for engines that are not 

yet certified whereas the amended §1068.261 explains the delegated assembly 

requirements for engines that have already been certified. (Alignment)

§ 1068.261 What provisions apply for selling or shipping certified engines that are 

not yet in the certified configuration?

 

Some of the proposed amendments are necessary to restore/establish alignment with 

similar provisions in the federal regulations for nonroad compression-ignition engines. 

Without such alignment, manufacturers could be forced to satisfy additional 

requirements and/or certify separate engine families in California at considerable extra 

cost without a corresponding increase in emission benefits. The other proposed 

amendments are necessary to ensure the effectiveness of ARB programs for which 

U.S. EPA does not have an equivalent counterpart.

As explained above, staff proposes to revise this section to specifically address the 

delegated final assembly of certified engines. (Alignment)

Staff also proposes to include language separate from that in the federal provisions to 

prevent distributors that have been designated as equipment manufacturers under this 

section to be eligible for equipment manufacturer flexibility allowances.(Non-alignment)

§ 1068.265 What provisions apply to engines/equipment that are conditionally 

exempted from certification?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

Staff proposes to extend the provisions of this section to equipment, for which 

certification would normally apply, that have been exempted from certification 

requirements. (Alignment)

Subpart D – Imports

The purpose of Subpart D is to ensure uniform compliance with the regulations 

regardless of an engine’s point of origin.
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§ 1068.301 What general provisions apply?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

In addition to a change in title to more accurately characterize the section, staff 

proposes to clarify that U.S. EPA is generally responsible for regulating the importation 

of engines into the United States, even if importation were to occur exclusively into 

California, but that ARB reserves the right to independently enforce the requirements 

through civil penalties and/or the revocation of Executive Orders. (Alignment)

§ 1068.305 How do I get an exemption or exclusion for imported 

engines/equipment?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

Staff proposes to clarify that U.S. EPA is generally responsible for regulating the 

importation of engines into the United States, even if importation were to occur 

exclusively into California. (Alignment)

§ 1068.310 What are the exclusions for imported engines/equipment?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

Staff proposes to clarify that U.S. EPA is generally responsible for regulating the 

importation of engines into the United States, even if importation were to occur 

exclusively into California. (Alignment)

§ 1068.315 What are the permanent exemptions for imported engines/equipment?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 
C-46

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

Staff proposes to clarify that U.S. EPA is generally responsible for regulating the 

importation of engines into the United States, even if importation were to occur 

exclusively into California. (Alignment)

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

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

Staff proposes to delete this section in deference to U.S. EPA’s jurisdiction over the 

importation of engines into the United States and because the labeling provisions of this 

section are now addressed elsewhere in §1068.310(e). (Alignment)

§ 1068.325 What are the temporary exemptions for imported engines/equipment?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

Staff proposes to clarify that U.S. EPA is generally responsible for regulating the 

importation of engines into the United States, even if importation were to occur 

exclusively into California. (Alignment)

§ 1068.330 How do I import engines requiring further assembly?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

Staff proposes to delete this section in deference to U.S. EPA’s jurisdiction over the 

importation of engines into the United States and because the further assembly of this 

section provisions have now been assimilated into §1068.325. (Alignment)
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§ 1068.335 What are the penalties for violations?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

Staff proposes to clarify that U.S. EPA is generally responsible for regulating the 

importation of engines into the United States, even if importation were to occur 

exclusively into California. Staff also proposes to retain authority to enjoin any violation 

of any provisions of Subpart D of this part 1068 under §43017 of the California Health 

and Safety Code. (Alignment)

§ 1068.360 What restrictions apply to assigning a model year to imported engines 

and equipment?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

Staff proposes to clarify that U.S. EPA is generally responsible for regulating the 

importation of engines into the United States, even if importation were to occur 

exclusively into California. (Alignment)

Subpart E – Selective Enforcement Auditing

The purpose of Subpart E is to provide ARB with an early opportunity to evaluate the 

emissions performance of certified production vehicles and the authority to revoke 

Executive Orders upon evaluation failure.

§ 1068.410 How must I select and prepare my engines?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

Staff proposes to remove the provisions for calculating an alternate minimum idle speed 

based on emissions stabilization in lieu of the more standardized procedures in part 

1065 of the 2011 and Later Test Procedures. The proposal also renumbers portions of 

the section to improve readability.(Alignment) 
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§ 1068.415 How do I test my engines?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

Staff’s proposal clarifies that ARB has the authority to require service hour accumulation 

at a greater rate than the minimum specified accumulation rate. (Alignment)

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

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

Staff proposes to clarify the existing requirement by reorganizing sentences to improve 

readability. (Alignment)

Subpart F – Reporting Defects and Recalling Engines/Equipment

The purpose of Subpart F is to ensure the repair of non-conforming engines and 

equipment in the field and to serve as an incentive for manufacturers to design and 

build more durable engines and equipment from the start to avoid the expenses 

associated with conducting a recall. 

§ 1068.501 How do I report emission-related defects?

The proposed amendments are necessary to restore/establish alignment with similar 

provisions in the federal regulations for nonroad compression-ignition engines. Without 

such alignment, manufacturers could be forced to satisfy additional requirements and/or 

certify separate engine families in California at considerable extra cost without a 

corresponding increase in emission benefits.

Staff proposes to incorporate the latest changes made by U.S. EPA to the defect 

reporting requirements of this section to avoid separate federal vs. State thresholds. 

Separate thresholds would necessitate manufacturers doing double work to comply with 

these provisions without a corresponding benefit in emissions. (Alignment)