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 RULE 4702 INTERNAL COMBUSTION ENGINES (Adopted August 21, 2003; Amended 

June 16, 2005; Amended April 20, 2006; Amended January 18, 2007; Amended 

August 18, 2011) 

1.0 Purpose 

The purpose of this rule is to limit the emissions of nitrogen oxides (NOx), carbon 

monoxide (CO), volatile organic compounds (VOC), and sulfur oxides (SOx) from 

internal combustion engines. 

2.0 Applicability 

This rule applies to any internal combustion engine rated at 25 brake horsepower or 

greater. 

3.0 Definitions 

3.1 Agriculture Operations (AO): the growing and harvesting of crops or the raising 

of fowl or animals, for the primary purpose of earning a living, or of conducting 

agricultural research or instruction by an educational institution. 

3.2 Air Pollution Control Officer (APCO): the Air Pollution Control Officer of the 

San Joaquin Valley Unified Air Pollution Control District. 

3.3 ARB: California Air Resources Board. 

3.4 California Reformulated Diesel: diesel fuel meeting 15 ppmv sulfur content limit 

as required by the California Diesel Fuel Regulations as specified in the California 

Code of Regulations, Title 13, Division 3, Chapter 5 (Standards for Motor Vehicle 

Fuels), Article 2 (Standards for Diesel Fuel), Section 2281- Sulfur content of 

Diesel Fuel. 

3.5 California Reformulated Gasoline: gasoline meeting California Air Resources 

Board requirements for motor vehicle fuel as specified in California Code of 

Regulations, Title 13, Division 3, Chapter 5, Article 1, Subarticle 2 - Standards 

for gasoline sold beginning March 1, 1996.

3.6 Certified Compression-Ignited Engine: a Tier 1, Tier 2, Tier 3, or Tier 4 

compression-ignited engine that is EPA certified as specified in Title 40 Code of 

Federal Regulations Part 89 or in Title 40 Code of Federal Regulations Part 

1039. 

3.7 Certified Spark-Ignited Engine: a spark-ignited engine that is used exclusively in 

agricultural operations and that is ARB certified as specified in Title 13, 
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Division 3, Chapter 9, Article 4.5, Section 2433 of the California Code of 

Regulations and that has been certified to meet a Certification Level for 

hydrocarbon plus NOx emissions of 0.6 grams/bhp-hr (40.2 ppmv) or less. 

3.8 CO: carbon monoxide. 

3.9 Compression-Ignited Internal Combustion Engine: an engine that uses the heat of 

compression to initiate combustion. 

3.10 Cyclic Loaded Engine: an internal combustion engine that, under normal 

operating conditions, varies in shaft load by 40% or more of rated brake 

horsepower during recurrent periods of 30 seconds or less or is used to power an 

oil well reciprocating pump unit. 

3.11 De-rated Engine: an internal combustion engine which has been physically limited 

and restricted by permit condition to an operational level of less than 50 

horsepower. 

3.12 Diesel Engine: a compression-ignited internal combustion engine. 

3.13 Disaster or State of Emergency: a fire, flood, earthquake, or other similar natural 

catastrophe. 

3.14 Distributed Generation (DG): relatively small power plants, such as internal 

combustion engine generator sets, which are used to generate electrical power that 

is either fed into the power grid or used on-site. DG units are located throughout 

the grid and are usually sited in or close to load centers or utility customers’ sites. 

Distributed Generation also refers to a mechanical drive system consisting of one 

or more internal combustion engines and electric motors, where use of the internal 

combustion engines or electric motors is interchangeable. 

3.15 Emergency Standby Engine: an internal combustion engine which operates as a 

temporary replacement for primary mechanical or electrical power during an 

unscheduled outage caused by sudden and reasonably unforeseen natural disasters 

or sudden and reasonably unforeseen events beyond the control of the operator. 

An engine shall be considered to be an emergency standby engine if it is used only 

for the following purposes: (1) periodic maintenance, periodic readiness testing, or 

readiness testing during and after repair work; (2) unscheduled outages, or to 

supply power while maintenance is performed or repairs are made to the primary 

power supply; and (3) if it is limited to operate 100 hours or less per calendar 

year for non-emergency purposes. An engine shall not be considered to be an 

emergency standby engine if it is used: (1) to reduce the demand for electrical 

power when normal electrical power line service has not failed, or (2) to produce 
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power for the utility electrical distribution system, or (3) in conjunction with a 

voluntary utility demand reduction program or interruptible power contract. 

3.16 EPA: U.S. Environmental Protection Agency. 

3.17 Exhaust Control: device or technique used to treat an engine’s exhaust to reduce 

NOx, VOC, or CO emissions, and includes, but is not limited to, catalysts, 

afterburners, reaction chambers, and chemical injectors. 

3.18 Flood: a sudden and reasonably unforeseen rising and overflowing of a body of 

water especially onto normally dry land. 

3.19 Gaseous Fuel: a fuel which is a gas at standard conditions including but not 

limited to natural gas, methane, ethane, propane, butane and liquefied petroleum 

gas (LPG). 

3.20 Higher Heating Value (hhv): the total heat liberated per mass or volume of fuel 

burned (expressed as Btu per pound, Btu per cubic foot, or Btu per gallon), when 

fuel and dry air at Standard Conditions undergo complete combustion and all 

resulting products are brought to their standard states at Standard Conditions. If 

certification of hhv is not provided by the fuel supplier, it shall be determined by 

the applicable test methods specified in Section 6.4. 

3.21 Installation Date: the date that an internal combustion engine is initially placed at a 

location in order to be operated for the first time in its lifetime. 

3.22 Internal Combustion Engine: a spark- or compression-ignited reciprocating 

engine. 

3.23 Lean-Burn Engine: a spark-ignited internal combustion engine that is operated 

with an exhaust stream oxygen concentration of four (4) percent by volume, or 

greater, prior to any exhaust stream control device. 

3.24 Limited Use Engine: an internal combustion engine that is limited by a permit 

condition to be operated no more than 4,000 hours per calendar year and provided 

the following requirements are met: 

3.24.1 The engine is operated with an operating nonresettable elapsed time 

meter; 

3.24.2 In lieu of an operating nonresettable elapsed time meter, the operator 

may use an alternative device, method, or technique, in determining 

operating time, provided that the alternative is approved by the APCO 

and EPA and is allowed by the Permit-to-Operate. The operator must 
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demonstrate that the alternative device, method, or technique is 

equivalent to using a nonresettable elapsed time meter; 

3.24.3 The operator shall properly maintain and operate the nonresettable 

elapsed time meter or alternative device in accordance with the 

manufacturer’s instructions; and 

3.24.4 The engine operator maintains records of the annual operating hours and 

makes the records available to the APCO upon request. 

 
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3.25 Location: a single site at a building, structure, facility, or installation. 

3.26 Low-use Engine: an internal combustion engine that is limited by a permit 

condition to be operated no more than 200 hours per calendar year and the engine 

is not used to perform any of the functions specified in Section 3.26.1 through 

Section 3.26.3.

3.26.1 Generate electrical power that is either fed into the electrical utility power 

grid or used to reduce electrical power purchased by a stationary source; 

3.26.2 Generate mechanical power that is used to reduce electrical power 

purchased by a stationary source; or 

3.26.3 Is used in a distributed generation application. 

3.27 Military Tactical Equipment: a transportable engine operated by the United States 

armed forces or National Guard which is designed specifically for military use in 

an off-road, dense terrain; hostile environment; or aboard military combat vessels. 

3.28 Mobile Agricultural Equipment: equipment at an agricultural operation which is 

towed or mounted on a vehicle and is continuously moved during the operation of 

the equipment. Mobile Agricultural Equipment includes, but is not limited to 

sprayers, balers, and harvest equipment. 

3.29 NOx: oxides of nitrogen, calculated as equivalent nitrogen dioxide (NO2). 

3.30 Operator: includes but is not limited to any person who owns, leases, supervises, 

or operates a facility and/or equipment. 

3.31 Public Utilities Commission (PUC) Quality Natural Gas: high methane gas (at 

least 80% methane by volume) as specified in PUC General Order 58-A. 

3.32 Rated Brake Horsepower: the continuous brake horsepower rating specified for 

the engine by the manufacturer or listed on the nameplate of the unit, unless 

otherwise physically limited and specified by a condition on the engine's Permit-toOperate or Permit-Exempt Equipment Registration. 

3.33 Replacement Engine: an engine that is installed to replace an engine that was in 

place as of August 18, 2011, and that such replacement is performed solely for 

the purpose of complying with the requirements of Section 5.2 of this rule. 

3.34 Rich-Burn Engine: a spark-ignited internal combustion engine that is operated 

with an exhaust stream oxygen concentration of less than four (4) percent by 

volume prior to any exhaust stream control device. 
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3.35 Spark-Ignited Internal Combustion Engine: a liquid or gaseous fueled engine 

designed to ignite its air/fuel mixture by a spark across a spark plug. 

3.36 Stationary Source: as defined in Rule 2201 (New and Modified Stationary 

Source Review Rule). 

3.37 Tier 1 Engine, Tier 2 Engine, Tier 3 Engine, and Tier 4 Engine: an EPAcertified compression-ignited engine that meets the Tier 1, Tier 2, or Tier 3 

emission standards of Table 1 on page 56970 of the Final Rule (October 23, 

1998) or the Tier 4 emission standards of Table II.A.2 (Tier 4 NOx and NMHC 

Standards and Schedule) on page 38971 of the Final Rule (June 29, 2004) or 

Table II.A.4 (Tier 4 Standards for Engines Over 750 hp (g/bhp-hr )) on page 

38980 of the Final Rule (June 29, 2004), respectively. 

3.38 VOC: volatile organic compounds, as defined in Rule 1020 (Definitions). 

3.39 Waste Gas: an untreated, raw gas derived through a natural process, such as 

anaerobic digestion, from the decomposition of organic waste at municipal solid 

waste landfills or publicly owned wastewater treatment facility. Waste gas 

includes landfill gas which is generated at landfills, digester gas which is 

generated at sewage treatment facilities, or a combination of the two. 

3.40 Wind Machine: a machine consisting of a large fan mounted on a tower 

powered by an internal combustion engine, used exclusively to provide 

protection to crops, including, but not limited to oranges, lemons, and grapes, 

from cold weather by effecting a heat transfer by moving warmer atmospheric 

air downward and mixing it with the colder air surrounding a crop. 

 
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4.0 Exemptions 

4.1 The requirements of this rule shall not apply to the following engines: 

4.1.1 An engine used to propel implements of husbandry, as that term is 

defined in Section 36000 of the California Vehicle Code, as that section 

existed on January 1, 2003. 

4.1.2 An engine used exclusively to power a wind machine. 

4.1.3 A de-rated spark-ignited engine not used in agricultural operations, 

provided the de-rating occurred before June 1, 2004. 

4.1.4 A de-rated spark-ignited engine used in agricultural operations or a derated compression-ignited engine, provided the de-rating occurred before 

June 1, 2005. 

4.1.5 An engine used exclusively to power Mobile Agricultural Equipment. 

4.1.6 An internal combustion engine registered as a portable emissions unit under 

the Statewide Portable Equipment Registration Program pursuant to 

California Code of Regulations Title 13, Division 3, Chapter 9, Article 5, 

Sections 2450-2465. 

4.1.7 An internal combustion engine registered as a portable emissions unit under 

Rule 2280 (Portable Equipment Registration). 

4.2 Except for the requirements of Sections 5.9 and 6.2.3, the requirements of this 

rule shall not apply to an emergency standby engine or a low-use engine, provided 

that the engine is operated with an operating nonresettable elapsed time meter. 

4.2.1 In lieu of operating a nonresettable elapsed time meter, the operator may 

use an alternative device, method, or technique, in determining operating 

time, provided that the alternative is approved by the APCO and EPA 

and is allowed by the Permit-to-Operate or Permit-Exempt Equipment 

Registration. The operator must demonstrate that the alternative device, 

method, or technique is equivalent to using a nonresettable elapsed time 

meter. 

4.2.2 The operator shall properly maintain and operate the nonresettable elapsed 

time meter or alternative device in accordance with the manufacturer’s 

instructions. 
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4.3 Except for the administrative requirements of Section 6.2.3, the requirements of 

this rule shall not apply to the following: 

4.3.1 An internal combustion engine that meets the following conditions: 

4.3.1.1 The engine is operated exclusively to preserve or protect 

property, human life, or public health during a disaster or state 

of emergency, such as a fire or flood; and 

4.3.1.2 Except for operations associated with Section 4.3.1.1, the 

engine is limited to operate no more than 100 hours per 

calendar year as determined by an operational nonresettable 

elapsed time meter, for periodic maintenance, periodic 

readiness testing, and readiness testing during and after repair 

work of the engine; and 

4.3.1.3 The engine is operated with an operational nonresettable 

elapsed time meter. In lieu of installing a nonresettable elapsed 

time meter, the operator of an engine may use an alternative 

device, method, or technique, in determining operating time 

provided that the alternative is approved by the APCO and 

EPA. The operator of the engine shall properly maintain and 

operate the nonresettable elapsed time meter or alternative device 

in accordance with the manufacturer’s instructions. 

4.3.2 Military Tactical Equipment and engines used to retract military aircraft 

arresting gear cables. 

4.4 For existing facilities, a replacement unit installed for the sole purpose of 

complying with the requirements of this rule shall be considered to be an 

emission control technique and shall be exempt from the Best Available Control 

Technology (BACT) and offsets requirements of District Rule 2201 (New and 

Modified Stationary Source Review Rule) provided that all other requirements 

of Rule 2201 are met. 

4.5 Except for the requirements of Section 5.1, the requirements of this rule shall 

not apply to stationary engines rated at least 25 Brake Horsepower, up to, and 

including 50 Brake Horsepower. 

 

 
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5.0 Requirements 

5.1 Stationary Engines Rated at Least 25 Brake Horsepower, Up To, and Including 

50 Brake Horsepower and Used in Non-Agricultural Operations (Non-AO) 

5.1.1 On and after July 1, 2012, no person shall sell or offer for sale any nonAO spark-ignited engine or any non-AO compression-ignited engine 

unless the engine meets the applicable requirements and emission limits 

specified in 40 Code of Federal Regulation (CFR) 60 Subpart IIII 

(Standards of Performance for Stationary Compression Ignition Internal 

Combustion Engines) and 40 CFR 60 Subpart JJJJ (Standards of 

Performance for Stationary Spark Ignition Internal Combustion Engines) 

for the year in which the ownership of the engine changes. 

5.1.2 By January 1, 2013, the operator shall submit a one-time report that 

includes the number of engines at the stationary source, and the 

following information for each engine: 

5.1.2.1 Location of each engine, 

5.1.2.2 Engine manufacturer, 

5.1.2.3 Model designation and engine serial number, 

5.1.2.4 Rated brake horsepower, 

5.1.2.5 Type of fuel and type of ignition, 

5.1.2.6 Combustion type: rich-burn, lean-burn, or compression 

ignition, 

5.1.2.7 Purpose, and intended use, of the engine, 

5.1.2.8 Typical daily operating schedule, and 

5.1.2.9 Fuel consumption (cubic feet for gas or gallons for liquid fuel) 

for the previous one-year period. 

5.2 Stationary Engines Rated at Greater than 50 Brake Horsepower (>50 bhp) 

 

5.2.1 Spark Ignited Engines Used in non-AO - Table 1 Emission 

Limits/Standards 

The operator of a spark-ignited internal combustion engine rated at >50 

bhp that is used exclusively in non-AO shall not operate it in such a 

manner that results in emissions exceeding the limits in Table 1 for the 

appropriate engine type until such time that the engine has demonstrated 

compliance with Table 2 emission limits pursuant to the compliance 

deadlines in Section 7.5. In lieu of complying with Table 1 emission 

limits, the operator of a spark-ignited engine shall comply with the 

applicable emission limits pursuant to Section 8.0. 
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Table 1 Emission Limits/Standards for a Spark-Ignited Internal Combustion Engine rated at 

>50 bhp Used Exclusively in Non-AO (All ppmv limits are corrected to 15% oxygen 

on a dry basis.). 

Engine Type NOx CO VOC 

1. Rich-Burn 

 a. Waste gas fueled 50 ppmv or 

90% reduction 2000 ppmv 250 ppmv

 b. Cyclic loaded, field gas fueled 50 ppmv 2000 ppmv 250 ppmv

 c. All other engines 25 ppmv or 

96% reduction 2000 ppmv 250 ppmv

2. Lean-Burn 

 a. Two stroke, gaseous fueled, less than 100 

horsepower 

75 ppmv or 

85% reduction 2000 ppmv 750 ppmv

 b. All other engines 65 ppmv or 

90% reduction 2000 ppmv 750 ppmv

5.2.2 Spark-Ignited Engines Used in non-AO – Table 2 Emission 

Limits/Standards 

On and after the compliance schedule specified in Section 7.5, the 

operator of a spark-ignited engine > 50 bhp that is used in non-AO shall 

comply with all the applicable requirements of the rule and one of the 

following, on an engine-by-engine basis:

5.2.2.1 On and after the compliance schedule specified in Section 7.5, 

the operator of a spark-ignited engine that is used exclusively in 

non-AO shall comply with Sections 5.2.2.1.1 through 5.2.2.1.3 

on an engine-by-engine basis: 

5.2.2.1.1 NOx, CO, and VOC emission limits pursuant to 

Table 2; 

5.2.2.1.2 SOx control requirements of Section 5.7, pursuant to 

the deadlines specified in Section 7.5; and 

5.2.2.1.3 Monitoring requirements of Section 5.10, pursuant to 

the deadlines specified in Section 7.5. 

5.2.2.2 In lieu of complying with the NOx emission limit requirement of 

Section 5.2.2.1.1, an operator may pay an annual fee to the 

District, as specified in Section 5.6, pursuant to Section 7.6. 

5.2.2.2.1 Engines in the fee payment program shall have actual 

emissions not greater than the applicable limits in 
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Table 1 during the entire time the engine is part of the 

fee payment program. 

5.2.2.2.2 Compliance with Section 5.7 and 5.10, pursuant to the 

deadlines specified in Section 7.5, is also required as 

part of the fee payment option. 

5.2.2.3 In lieu of complying with the NOx, CO, and VOC limits of Table 

2 on an engine-by-engine basis, an operator may elect to 

implement an alternative emission control plan pursuant to 

Section 8.0. An operator electing this option shall not be eligible 

to participate in the fee payment option outlined in Section 

5.2.2.2 and Section 5.6. 

Table 2 Emission Limits for a Spark-Ignited Internal Combustion Engine Rated at >50 bhp 

Used Exclusively in Non-AO (All ppmv limits are corrected to 15% oxygen on a dry 

basis). Emission Limits are effective according to the compliance schedule specified 

in Section 7.5. 

Engine Type NOx Limit 

(ppmv) 

CO Limit 

(ppmv) 

VOC Limit 

(ppmv) 

1. Rich-Burn 

a. Waste Gas Fueled 50 2000 250 

b. Cyclic Loaded, Field Gas Fueled 50 2000 250 

c. Limited Use 25 2000 250 

d. Rich-Burn Engine, not listed above 11 2000 250 

2. Lean-Burn Engines 

a. Two-Stroke, Gaseous Fueled, >50 

bhp and < 100 bhp 75 2000 750 

b. Limited Use 65 2000 750 

c. Lean-Burn Engine used for gas 

compression 

65 ppmv or 

93% reduction 2000 750 

d. Lean-Burn Engine, not listed above 11 2000 750 

5.2.3 Spark-Ignited Engines Used Exclusively in Agricultural Operations (AO) 

5.2.3.1 The operator of a spark-ignited internal combustion engine rated 

at >50 bhp that is used exclusively in AO shall not operate it in 

such a manner that results in emissions exceeding the limits in 

Table 3 for the appropriate engine type on an engine-by-engine 

basis. 

 
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5.2.3.2 In lieu of complying with the NOx, CO, and VOC limits of Table 

3 on an engine-by-engine basis, an operator may elect to 

implement an alternative emission control plan pursuant to 

Section 8.0. 

5.2.3.3 An operator of an AO spark-ignited engine that is subject to the 

applicable requirements of Table 3 shall not replace such engine 

with an engine that emits more emissions of NOx, VOC, and 

CO, on a ppmv basis, (corrected to 15% oxygen on a dry basis) 

than the engine being replaced. 

Table 3 Emission Limits/Standards and Compliance Schedule for a Spark-Ignited Internal 

Combustion Engine >50 bhp Used Exclusively in AO (All ppmv limits are corrected 

to 15% oxygen on a dry basis). 

Engine Type NOx Limit CO Limit VOC Limit 

1. Rich-Burn 90 ppmv or 80% reduction 2000 ppmv 250 ppmv 

2. Lean-Burn 150 ppmv or 70% reduction 2000 ppmv 750 ppmv 

3. Certified and installed on or 

before June 16, 2005 

Meet a Certified Spark-Ignited Engine Standard of 

HC + NOx < 0.6 g/bhp-hr 

5.2.4 Certified Compression-Ignited Engines (AO and non-AO) 

The operator of a certified compression-ignited engine rated >50 bhp shall 

comply with the following requirements: 

5.2.4.1 Repower, replace, or control the engine’s emissions to comply 

with the applicable limits/standards in Table 4 on an engine-byengine basis by the compliance dates as specified in Table 4. 

5.2.4.2 The annual hours of operation shall be determined on a calendar 

year basis. 

5.2.4.3 In lieu of complying with the NOx, CO, and VOC limits of 

Table 4 on an engine-by-engine basis, an operator may elect to 

implement an alternative emission control plan pursuant to 

Section 8.0. 

5.2.4.4 An operator of an AO compression-ignited engine that is 

subject to the applicable requirements of Table 4 shall not 

replace such engine with an engine that emits more emissions 

of NOx, VOC, and CO, on a ppmv basis, (corrected to 15% 

oxygen on a dry basis) than the engine being replaced.
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5.2.4.5 Non-AO compression-ignited engines shall be operated in such 

a manner to comply with the SOx control requirements of 

Section 5.7 and the SOx monitoring requirements of Section 

5.10. 

Table 4 Emission Limits/Standards and Compliance Schedule for Compression-Ignited Internal 

Combustion Engine (corrected to 15% oxygen on a dry basis) 

Engine Type Emission Limit/ 

Standard Compliance Date 

1. Non-Certified Compression-Ignited Engine Installed on or before June 1, 2006 

a. Greater than 50 bhp but not 

more than 500 bhp 

EPA Tier 3 

or Tier 4 1/1/2010 

b. Greater than 500 bhp but not

more than 750 bhp and less 

than 1000 annual operating 

hours 

EPA Tier 3 1/1/2010 

c. Greater than 750 bhp and 

less than 1000 annual 

operating hours 

EPA Tier 4 7/1/2011 

d. Greater than 500 bhp and 

greater than or equal to 1000

annual operating hours 

80 ppmv NOx, 

2,000 ppmv CO, 

750 ppmv VOC 

1/1/2008 or, if owner has an 

agreement to electrify, comply 

by 1/1/2010 

2. Certified Compression-Ignited Engine 

a. EPA Certified Tier 1 or Tier

2 Engine EPA Tier 4 

1/1/2015 or 12 years after 

installation date, but not later 

than 6/1/2018 

b. EPA Certified Tier 3 or Tier

4 Engine 

Meet Certified 

Compression-Ignited 

Engine Standard in effect 

at time of installation 

At time of installation 

5.2.5 Non-Certified Compression-Ignited Engines (AO and Non-AO) 

The operator of a non-certified compression-ignited engine, in place on 

or before June 1, 2006, shall comply with the Emission Limit/Standard 

and Compliance Date in Table 4 based on the non-certified compressionignited engine that was in place on June 1, 2006, unless the operator 

meets one of the following conditions: 
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5.2.5.1 Replace the non-certified compression-ignited engine with a 

non-modified Tier 3 or a non-modified Tier 4 engine after June 

1, 2006; 

5.2.5.2 Control the non-certified compression-ignited engine after June 

1, 2006, to emit emissions less than, or equal to, 80 ppmv 

NOx, 2,000 ppmv CO, and 750 ppmv VOC (corrected to 15% 

oxygen on a dry basis); or 

5.2.5.3 Replace the non-certified compression-ignited engine after June 

1, 2006, with an engine or other source with emissions less 

than, or equal to, 80 ppmv NOx, 2,000 ppmv CO, and 750 

ppmv VOC (corrected to 15% oxygen on a dry basis). 

5.3 All continuous emission monitoring systems (CEMS) emissions measurements 

shall be averaged over a period of 15 consecutive minutes. Any 15-consecutiveminute block average CEMS measurement exceeding the applicable emission 

limits of this rule shall constitute a violation of this rule. 

5.4 Percent emission reductions, if used to comply with the NOx emission limits of 

Section 5.2, shall be calculated as follows: 

5.4.1 For engines with external control devices that are not operated in 

combination with a second emission control device or technique, percent 

reduction shall be calculated using emission samples taken at the inlet and 

outlet of the control device. 

5.4.2 For engines without external control devices and for engines with an 

external control device in combination with a second emission control 

device or technique, percent reduction shall be based on source test results 

for the uncontrolled engine and the engine after the control device or 

technique has been employed. In this situation, the engine’s typical 

operating parameters, loading, and duty cycle shall be documented and 

repeated at each successive post-control source test to ensure that the 

engine is meeting the percent reduction limit. When representative source 

sampling prior to the application of an emissions control technology or 

technique is not available, the APCO may approve the use of a 

manufacturer’s uncontrolled emissions information or source sampling 

from a similar, uncontrolled engine. 

5.5 The operator of an internal combustion engine that uses percent emission 

reduction to comply with the NOx emission limits of Section 5.2 shall provide an 

accessible inlet and outlet on the external control device or the engine as 

appropriate for taking emission samples and as approved by the APCO. 
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5.6 Payment of an Annual Fee In Lieu of Complying with a NOx Emission Limit 

The operator of a non-AO spark-ignited engine who elects to comply under 

Section 5.2.2.2 shall comply with the requirements of Sections 5.6 by the schedule 

specified in Section 7.6 and all other applicable provisions of this rule. 

5.6.1 An operator shall pay a total annual fee to the District based on the total 

NOx emissions from those engines that will be subject to Section 5.2.2.2. 

The annual fee shall be calculated in the following manner: 

5.6.1.1 The operator shall calculate the total emissions for all engines 

operating at a stationary source that will comply with Section 

5.2.2.2. The total NOx emissions shall be calculated in 

accordance with Section 5.6.1.3. 

5.6.1.2 The total annual fee shall be calculated in accordance with Section 

5.6.1.4. These calculations include only the units that have been 

identified to comply with Section 5.2.2.2. 

5.6.1.3 Total Emissions (TE) Calculation 

 E (engine) = A x B x C x D x 2.147 x 10-16

Where: 

E (engine) = Annual NOx emissions for each unit, in 

tons/year. 

A = NOx emission limit for the Permit-to-Operate, in 

ppmvd corrected to 15% oxygen. 

B = Annual fuel use (ft3/year) 

C = Fuel higher heating value (Btu/ft3) – for natural 

gas use 1,000 Btu/ft3 

D = Fuel F-Factor at 60o

F (Dscf/MMBtu) – for 

natural gas use 8,579 Dscf/MMBtu 

 
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TE = E(engine)

Where: 

E(engine) = Sum of all NOx emissions from all units in 

the annual fee program, in tons per year. 

5.6.1.4 Total Annual Fee Calculation 

Total Annual Fee = (TE x FR) + Administrative Fee 

Where: 

TE = Total Emissions, in tons per year, as 

calculated in Section 5.6.1.3. 

FR (Fee Rate) = the cost of NOx reductions, in dollars per ton, 

as established by District Rule 9510. Under 

no circumstances shall the cost per ton of 

NOx reductions exceed the cost effectiveness 

threshold for the Carl Moyer Cost 

Effectiveness, as established by the applicable 

state law. 

 Administrative Fee = 4% x (TE x FR) 

5.7 Sulfur Oxides (SOx) Emission Control Requirements 

On and after the compliance schedule specified in Section 7.5, operators of nonAO spark-ignited engines and non-AO compression-ignited engines shall comply 

with one of the following requirements: 

5.7.1 Operate the engine exclusively on PUC-quality natural gas, commercial 

propane, butane, or liquefied petroleum gas, or a combination of such 

gases; or 

5.7.2 Limit gaseous fuel sulfur content to no more than five (5) grains of total 

sulfur per one hundred (100) standard cubic feet; or 

5.7.3 Use California Reformulated Gasoline for gasoline-fired spark-ignited 

engines; or 

5.7.4 Use California Reformulated Diesel for compression-ignited engines; or 
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5.7.5 Operate the engine on liquid fuel that contains no more than 15 ppm 

sulfur, as determined by the test method specified in Section 6.4.6; or 

5.7.6 Install and properly operate an emission control system that reduces SO2

emissions by at least 95% by weight as determined by the test method 

specified in Section 6.4.6. 

5.8 Monitoring Requirements: Non-AO Spark-Ignited Engines and Engines in an 

AECP (Section 8.0) 

The operator of a non-AO spark-ignited engine subject to the requirements of 

Section 5.2 or any engine subject to the requirements of Section 8.0 shall comply 

with the following requirements: 

5.8.1 For each engine with a rated brake horsepower of 1,000 bhp or greater and 

which is allowed by Permit-to-Operate or Permit-Exempt Equipment 

Registration condition to operate more than 2,000 hours per calendar year, 

or with an external emission control device, either install, operate, and 

maintain continuous monitoring equipment for NOx, CO, and oxygen, as 

identified in Rule 1080 (Stack Monitoring), or install, operate, and 

maintain APCO-approved alternate monitoring. The monitoring system 

may be a continuous emissions monitoring system (CEMS), a parametric 

emissions monitoring system (PEMS), or an alternative monitoring system 

approved by the APCO. APCO-approved alternate monitoring shall 

consist of one or more of the following: 

5.8.1.1 Periodic NOx and CO emission concentrations, 

5.8.1.2 Engine exhaust oxygen concentration, 

5.8.1.3 Air-to-fuel ratio, 

5.8.1.4 Flow rate of reducing agents added to engine exhaust, 

5.8.1.5 Catalyst inlet and exhaust temperature, 

5.8.1.6 Catalyst inlet and exhaust oxygen concentration, or 

5.8.1.7 Other operational characteristics. 

5.8.2 For each engine not subject to Section 5.8.1, monitor operational 

characteristics recommended by the engine manufacturer or emission 

control system supplier, and approved by the APCO. 

5.8.3 For each engine with an alternative monitoring system, submit to, and 

receive approval from the APCO, adequate verification of the alternative 

monitoring system’s acceptability. This would include data 

demonstrating the system’s accuracy under typical operating conditions 

for the specific application and any other information or data deemed 

necessary in assessing the acceptability of the alternative monitoring 

system. 
SJVUAPCD 4702 - 19 8/18/11

5.8.4 For each engine with an APCO approved CEMS, operate the CEMS in 

compliance with the requirements of 40 Code of Federal Regulations 

(CFR) Part 51, 40 CFR Parts 60.7 and 60.13 (except subsection h), 40 

CFR Appendix B (Performance Specifications), 40 CFR Appendix F 

(Quality Assurance Procedures), and applicable provisions of Rule 1080 

(Stack Monitoring). 

5.8.5 For each engine, have the data gathering and retrieval capabilities of an 

installed monitoring system described in Section 5.8 approved by the 

APCO. 

5.8.6 For each engine, install and operate a nonresettable elapsed time meter. 

5.8.6.1 In lieu of installing a nonresettable elapsed time meter, the 

operator may use an alternative device, method, or technique, in 

determining operating time provided that the alternative is 

approved by the APCO and EPA and is allowed by a Permit-toOperate or Permit-Exempt Equipment Registration condition. 

5.8.6.2 The operator shall properly maintain and operate the nonresettable 

elapsed time meter or alternative device in accordance with the 

manufacturer’s instructions. 

5.8.7 For each engine, implement the Inspection and Monitoring (I&M) plan, if 

any, submitted to and approved by the APCO pursuant to Section 6.5. 

5.8.8 For each engine, collect data through the I&M plan in a form approved by 

the APCO. 

5.8.9 For each engine, use a portable NOx analyzer to take NOx emission 

readings to verify compliance with the emission requirements of Section 

5.2 or Section 8.0 during each calendar quarter in which a source test is 

not performed and the engine is operated. 

5.8.9.1 If an engine is operated less than 120 calendar days per calendar 

year, take one NOx emission reading during the calendar year in 

which a source test is not performed and the engine is operated. 

5.8.9.2 All emission readings shall be taken with the engine operating 

either at conditions representative of normal operations or 

conditions specified in the Permit-to-Operate or Permit-Exempt 

Equipment Registration. 
SJVUAPCD 4702 - 20 8/18/11

5.8.9.3 The analyzer shall be calibrated, maintained, and operated in 

accordance with the manufacturer’s specifications and 

recommendations or a protocol approved by the APCO. 

5.8.9.4 All NOx emissions readings shall be reported to the APCO in a 

manner approved by the APCO. 

5.8.9.5 NOx emission readings taken pursuant to this section shall be 

averaged over a 15 consecutive-minute period by either taking a 

cumulative 15 consecutive-minute sample reading or by taking at 

least five (5) readings evenly spaced out over the 15 consecutiveminute period. 

5.8.10 The APCO shall not approve an alternative monitoring system unless it 

is documented that continued operation within ranges of specified 

emissions-related performance indicators or operational characteristics

provides a reasonable assurance of compliance with applicable emission 

limits. The operator shall source test over the proposed range of 

surrogate operating parameters to demonstrate compliance with the 

applicable emission standards. 

5.8.11 For each engine subject to Section 8.0, install and operate a nonresettable 

fuel meter. 

5.8.11.1 In lieu of installing a nonresettable fuel meter, the operator may 

use an alternative device, method, or technique in determining 

daily fuel consumption provided that the alternative is approved 

by the APCO and EPA. 

5.8.11.2 The operator shall properly maintain, operate, and calibrate the 

required fuel meter in accordance with the manufacturer’s 

instructions. 

5.9 Monitoring Requirements: All Other Engines 

5.9.1 The operator of any of the following engines shall comply with the 

requirements specified in Section 5.9.2 through Section 5.9.5 below: 

5.9.1.1 An AO spark-ignited engine subject to the requirements of 

Section 5.2; 

5.9.1.2 A compression-ignited engine subject to the requirements of 

Section 5.2; or 
SJVUAPCD 4702 - 21 8/18/11

5.9.1.3 An engine subject to Section 4.2. 

5.9.2 Properly operate and maintain each engine as recommended by the engine 

manufacturer or emission control system supplier. 

5.9.3 Monitor the operational characteristics of each engine as recommended by 

the engine manufacturer or emission control system supplier. 

5.9.4 Install and operate a nonresettable elapsed time meter. 

5.9.4.1 In lieu of installing a nonresettable elapsed time meter, the 

operator may use an alternative device, method, or technique, 

in determining operating time provided that the alternative is 

approved by the APCO and EPA and is allowed by a Permit-toOperate or Permit-Exempt Equipment Registration condition. 

5.9.4.2 The operator shall properly maintain and operate the 

nonresettable elapsed time meter or alternative device in 

accordance with the manufacturer’s instructions. 

5.9.5 The operator of an AO spark-ignited engine that has been retro-fitted with 

a NOx exhaust control that has not been certified in accordance with 

Section 9.0 Exhaust Control System Certification Requirements, or a 

compression-ignited engine that has been retro-fitted with a NOx exhaust 

control shall comply with the following: 

5.9.5.1 Use a portable NOx analyzer to take NOx emission readings to 

demonstrate compliance with the emission requirements of 

Section 5.2. 

5.9.5.2 The operator of a compression-ignited engine that is subject to the 

limits/standards of Section 5.2 Table 4 Category 1.d shall use a 

portable NOx analyzer to take NOx emission readings at least 

once every six (6) months that the engine is operated. 

5.9.5.3 The operator of any other engine that has been retro-fitted with a 

NOx exhaust control shall use a portable NOx analyzer to take 

NOx emission readings at least once every 24 months that the 

engine is operated. 

5.9.5.4 All emission readings shall be taken with the engine operating 

either at conditions representative of normal operations or 

conditions specified in the Permit-to-Operate or Permit-Exempt 

Equipment Registration. 
SJVUAPCD 4702 - 22 8/18/11

5.9.5.5 The portable NOx analyzer shall be calibrated, maintained, and 

operated in accordance with the manufacturer’s specifications 

and recommendations or a protocol approved by the APCO. 

5.9.5.6 All NOx emissions readings shall be reported to the APCO in a 

manner approved by the APCO. 

5.9.5.7 NOx emission readings taken pursuant to this section shall be 

averaged over a 15 consecutive-minute period by either taking a 

cumulative 15 consecutive-minute sample reading or by taking 

at least five (5) readings evenly spaced out over the 15 

consecutive-minute period. 

5.10 SOx Emissions Monitoring Requirements 

On and after the compliance schedule specified in Section 7.5, an operator of a 

non-AO engine shall comply with the following requirements: 

5.10.1 An operator of an engine complying with Sections 5.7.2 or 5.7.5 shall 

perform an annual sulfur fuel analysis in accordance with the test 

methods in Section 6.4. The operator shall keep the records of the fuel 

analysis and shall provide it to the District upon request, 

5.10.2 An operator of an engine complying with Section 5.7.6 by installing 

and operating a control device with at least 95% by weight SOx 

reduction efficiency shall submit for approval by the APCO the 

proposed the key system operating parameters and frequency of the 

monitoring and recording not later than July 1, 2013, and 

5.10.3 An operator of an engine complying with Section 5.7.6 shall perform 

an annual source test unless a more frequent sampling and reporting 

period is included in the Permit-to-Operate. Source tests shall be 

performed in accordance with the test methods in Section 6.4. 

5.11 Permit-Exempt Equipment Registration Requirements 

The operator of an engine used exclusively in agricultural operations shall register 

such engine pursuant to Rule 2250 (Permit-Exempt Equipment Registration), 

except for an engine that meets any one of the following conditions: 

5.11.1 The engine is required to have a Permit-to-Operate pursuant to California 

Health and Safety Code Section 42301.16; or 

5.11.2 The engine is not required to comply with Section 5.2 of this rule. 
SJVUAPCD 4702 - 23 8/18/11

 
SJVUAPCD 4702 - 24 8/18/11

6.0 Administrative Requirements 

6.1 Emission Control Plan 

The operator of an engine subject to the requirements of Section 5.2 of this rule 

shall submit to the APCO an APCO-approvable emission control plan of all 

actions to be taken to satisfy the emission requirements of Section 5.2 and the 

compliance schedules of Section 7.0. If there is no change to the previouslyapproved emission control plan, the operator shall submit a letter to the District 

indicating that the previously approved plan is still valid. 

6.1.1 The requirement to submit an emission control plan shall apply to the 

following engines: 

6.1.1.1 Engines that have been retrofitted with an exhaust control device, 

except those certified per Section 9.0; 

6.1.1.2 Engines subject to Section 8.0; 

6.1.1.3 An AO spark-ignited engine that is subject to the requirements of 

Section 8.0; 

6.1.1.4 An AO spark-ignited engine that has been retrofitted with a 

catalytic emission control and is not subject to the requirements of 

Section 8.0. 

6.1.2 Such emission control plan shall contain the following information, as 

applicable for each engine: 

6.1.2.1 Permit-to-Operate number, Authority-to-Construct number, or 

Permit-Exempt Equipment Registration number, 

6.1.2.2 Engine manufacturer, 

6.1.2.3 Model designation and engine serial number, 

6.1.2.4 Rated brake horsepower, 

6.1.2.5 Type of fuel and type of ignition, 

6.1.2.6 Combustion type: rich-burn or lean-burn, 

6.1.2.7 Total hours of operation in the previous one-year period, 

including typical daily operating schedule, 

6.1.2.8 Fuel consumption (cubic feet for gas or gallons for liquid) for the 

previous one-year period, 

6.1.2.9 Stack modifications to facilitate continuous in-stack monitoring 

and to facilitate source testing, 

6.1.2.10 Type of control to be applied, including in-stack monitoring 

specifications, 
SJVUAPCD 4702 - 25 8/18/11

6.1.2.11 Applicable emission limits, 

6.1.2.12 Documentation showing existing emissions of NOx, VOC, and 

CO, and 

6.1.2.13 Date that the engine will be in full compliance with this rule. 

6.1.3 The emission control plan shall identify the type of emission control device 

or technique to be applied to each engine and a construction/removal 

schedule, or shall provide support documentation sufficient to demonstrate 

that the engine is in compliance with the emission requirements of this rule. 

6.1.4 For an engine being permanently removed from service, the emission 

control plan shall include a letter of intent pursuant to Section 7.2. 

6.2 Recordkeeping 

6.2.1 The operator of an engine subject to the requirements of Section 5.2 of this 

rule shall maintain an engine operating log to demonstrate compliance with 

this rule. This information shall be retained for a period of at least five 

years, shall be readily available, and be made available to the APCO upon 

request. The engine operating log shall include, on a monthly basis, the 

following information: 

6.2.1.1 Total hours of operation, 

6.2.1.2 Type of fuel used, 

6.2.1.3 Maintenance or modifications performed, 

6.2.1.4 Monitoring data, 

6.2.1.5 Compliance source test results, and 

6.2.1.6 Any other information necessary to demonstrate compliance with 

this rule. 

6.2.1.7 For an engine subject to Section 8.0, the quantity (cubic feet of 

gas or gallons of liquid) of fuel used on a daily basis. 

6.2.2 The data collected pursuant to the requirements of Section 5.8 and Section 

5.9 shall be maintained for at least five years, shall be readily available, 

and made available to the APCO upon request. 

6.2.3 An operator claiming an exemption under Section 4.2 or Section 4.3 shall 

maintain annual operating records. This information shall be retained for 

at least five years, shall be readily available, and provided to the APCO 

upon request. The records shall include, but are not limited to, the 

following: 

6.2.3.1 Total hours of operation, 

6.2.3.2 The type of fuel used, 
SJVUAPCD 4702 - 26 8/18/11

6.2.3.3 The purpose for operating the engine, 

6.2.3.4 For emergency standby engines, all hours of non-emergency and 

emergency operation shall be reported, and 

6.2.3.5 Other support documentation necessary to demonstrate claim to 

the exemption. 

6.3 Compliance Testing 

The operator of an engine subject to the requirements of Section 5.2 or the 

requirements of Section 8.0 shall comply with the following requirements: 

6.3.1 The requirements of Section 6.3.2 through Section 6.3.4 shall apply to the 

following engines: 

6.3.1.1 Engines that have been retrofitted with an exhaust control device, 

except those certified per Section 9.0; 

6.3.1.2 Engines subject to Section 8.0; 

6.3.1.3 An AO spark-ignited engine that is subject to the requirements of 

Section 8.0; 

6.3.1.4 An AO spark-ignited engine that has been retrofitted with a 

catalytic emission control and is not subject to the requirements of 

Section 8.0. 

6.3.2 Demonstrate compliance with applicable limits, ppmv or percent reduction, 

in accordance with the test methods in Section 6.4, as specified below: 

6.3.2.1 By the applicable date specified in Section 5.2, and at least once 

every 24 months thereafter, except for an engine subject to 

Section 6.3.2.2. 

6.3.2.2 By the applicable date specified in Section 5.2 and at least once 

every 60 months thereafter, for an AO spark-ignited engine that 

has been retro-fitted with a catalytic emission control device. 

6.3.2.3 A portable NOx analyzer may be used to show initial compliance 

with the applicable limits/standards in Section 5.2 for AO sparkignited engines, provided the criteria specified in Sections 

6.3.2.3.1 to 6.3.2.3.5 are met, and a source test is conducted in 

accordance with Section 6.3.2 within 12 months from the 

required compliance date. 
SJVUAPCD 4702 - 27 8/18/11

6.3.2.3.1 A minimum of 15 minutes of runtime must be 

measured with data recorded at a minimum of 15, 

evenly spaced time intervals. Compliance is to be 

determined with the arithmetic average of the 

oxygen-corrected data; 

6.3.2.3.2 The analyzer shall be calibrated, maintained, and 

operated in accordance with the manufacturer’s 

specifications and recommendations or a protocol 

approved by the APCO. Analyzer calibration 

records shall be made available at the District’s 

request; 

6.3.2.3.3 The analyzer shall be checked with EPA protocol 

span gas at the beginning and end of each test day. 

The results of these checks shall be recorded and 

copies submitted to the District with each engine 

test. If the analyzer exhibits more than a 10% 

deviation from the span check, the instrument must 

be re-calibrated. Any analysis performed prior to an 

end-of-day span check failure shall be void; 

6.3.2.3.4 The test results of each engine, including span check 

results, shall be submitted to the District within 30 

days of the test date. Test results shall clearly 

identify the engine tested including operator, 

location, permit or registration number, 

manufacturer, model, and serial number; and 

6.3.2.3.5 The analyzer utilized for each check shall be clearly 

identified in the material submitted with the test 

results. Identification shall include manufacturer and 

serial number of the analyzer used, and the last 

calibration date. 

6.3.3 Conduct emissions source testing with the engine operating either at 

conditions representative of normal operations or conditions specified in 

the Permit-to-Operate or Permit-Exempt Equipment Registration. For 

emissions source testing performed pursuant to Section 6.3.2 for the 

purpose of determining compliance with an applicable standard or 

numerical limitation, the arithmetic average of three (3) 30-consecutiveminute test runs shall apply. If two (2) of three (3) runs are above an 

applicable limit, the test cannot be used to demonstrate compliance with an 

applicable limit. VOC shall be reported as methane. VOC, NOx, and CO 
SJVUAPCD 4702 - 28 8/18/11

concentrations shall be reported in ppmv, corrected to 15 percent oxygen. 

For engines that comply with a percent reduction limit, the percent 

reduction of NOx emissions shall also be reported. 

6.3.4 In addition to other information, the source test protocol shall describe 

which critical parameters will be measured and how the appropriate 

range for these parameters shall be established. The range for these 

parameters shall be incorporated into the I&M plan. 

6.3.5 Engines that are limited by Permit-to-Operate or Permit-Exempt 

Equipment Registration condition to be fueled exclusively with PUC 

quality natural gas shall not be subject to the reoccurring source test 

requirements of Section 6.3.2 for VOC emissions. 

6.3.6 Representative Testing 

For spark-ignited engines, in lieu of compliance with the applicable 

requirements of Section 6.3.2, compliance with the applicable emission 

limits in Section 5.2 shall be demonstrated by submittal of annual emission 

test results, within 30 days of the test date, to the District, from a unit or 

units that represents a specified group of units, provided all of the 

following requirements are satisfied: 

6.3.6.1 The units are located at the same stationary source; 

6.3.6.2 The units were produced by the same manufacturer, have the 

same model number or other manufacturer’s designation in 

common, and have the same rated capacity and operating 

specifications; 

6.3.6.3 The units are operated and maintained in a similar manner; and 

6.3.6.4 At least 20% of the total number of units are tested during each 

annual test cycle. 

6.3.6.5 The District, based on documentation submitted by the stationary 

source: 

6.3.6.5.1 Determines that the margin of compliance for the 

identical units tested is significant and can be 

maintained on an on-going basis; or 

 
SJVUAPCD 4702 - 29 8/18/11

6.3.6.5.2 Determines based on a review of sufficient emissions 

data that, though the margin of compliance is not 

substantial, other factors allow for the determination 

that the variability of emissions for identical tested 

units is low enough for confidence that the untested 

unit will be in compliance. These factors may 

include, but are not limited to, the following: 

6.3.6.5.2.1 Historical records at the tested unit 

showing consistent invariant load; 

6.3.6.5.2.2 Fuel characteristics yielding low 

variability and therefore assurance that 

emissions will be constant and below 

allowable levels; 

6.3.6.5.2.3 Statistical analysis of a robust emissions 

data set demonstrating sufficiently low 

variability to convey assurance that the 

margin of compliance, though small, is 

reliable. 

6.3.6.6 Should any of the representative units exceed the required 

emission limits, or if the District notifies the operator that the 

criteria in Sections 6.3.6.1 through 6.3.6.5 have not been 

fulfilled, each of the units in the group shall individually 

demonstrate compliance by emissions testing. Failure to 

complete emissions testing within 90 days of the failed test shall 

result in the untested units being in violation of this rule. After 

compliance with the requirements of this section has been 

demonstrated, subsequent source testing shall be performed 

pursuant to Sections 6.3.2 or 6.3.6. 

6.4 Test Methods 

Compliance with the requirements of Section 5.2 shall be determined, as required, 

in accordance with the following test procedures or any other method approved by 

EPA and the APCO: 

6.4.1 Oxides of nitrogen - EPA Method 7E, or ARB Method 100. 

6.4.2 Carbon monoxide - EPA Method 10, or ARB Method 100. 

6.4.3 Stack gas oxygen - EPA Method 3 or 3A, or ARB Method 100. 
SJVUAPCD 4702 - 30 8/18/11

6.4.4 Volatile organic compounds - EPA Method 25A or 25B, or ARB Method 

100. Methane and ethane, which are exempt compounds, shall be 

excluded from the result of the test. 

6.4.5 Operating horsepower determination - any method approved by EPA and 

the APCO. 

6.4.6 SOx Test Methods 

6.4.6.1 Oxides of sulfur – EPA Method 6C, EPA Method 8, or ARB 

Method 100. 

6.4.6.2 Determination of total sulfur as hydrogen sulfide (H2S) content – 

EPA Method 11 or EPA Method 15, as appropriate. 

6.4.6.3 Sulfur content of liquid fuel – American Society for Testing and 

Materials (ASTM) D 6920-03 or ASTM D 5453-99. 

6.4.6.4 The SOx emission control system efficiency shall be determined 

using the following: 

% Control Efficiency = [(CSO2, inlet – CSO2, outlet) / CSO2, inlet] X 100 

Where: 

CSO2, inlet = concentration of SOx (expressed as SO2) at the 

inlet side of the SOx emission control system, in 

lb/Dscf 

CSO2, outlet = concentration of SOx (expressed as SO2) at the 

outlet side of the SOx emission control system, 

in lb/Dscf 

6.4.7 The Higher Heating Value (hhv) of the fuel shall be determined by one of 

the following test methods: 

6.4.7.1 ASTM D 240-02 or ASTM D 3282-88 for liquid hydrocarbon 

fuels. 

6.4.7.2 ASTM D 1826-94 or ASTM 1945-96 in conjunction with ASTM 

D 3588-89 for gaseous fuel. 
SJVUAPCD 4702 - 31 8/18/11

6.5 Inspection and Monitoring (I&M) Plan 

The operator of an engine that is subject to the requirements of Section 5.2 

or the requirements of Section 8.0 shall submit to the APCO for approval, an I&M 

plan that specifies all actions to be taken to satisfy the following requirements and 

the requirements of Section 5.8. The actions to be identified in the I&M plan shall 

include, but are not limited to, the information specified below. If there is no 

change to the previously approved I&M plan, the operator shall submit a letter to 

the District indicating that previously approved plan is still valid. 

6.5.1 The requirements of Section 6.5.2 through Section 6.5.9 shall apply to the 

following engines: 

6.5.1.1 Engines that have been retrofitted with an exhaust control device, 

except those certified per Section 9.0; 

6.5.1.2 Engines subject to Section 8.0; 

6.5.1.3 An AO spark-ignited engine that is subject to the requirements of 

Section 8.0. 

6.5.1.4 An AO spark-ignited engine that has been retrofitted with a 

catalytic emission control and is not subject to the requirements of 

Section 8.0. 

6.5.2 Procedures requiring the operator to establish ranges for control equipment 

parameters, engine operating parameters, and engine exhaust oxygen 

concentrations that source testing has shown result in pollutant 

concentrations within the rule limits. 

6.5.3 Procedures for monthly inspections as approved by the APCO. The 

applicable control equipment parameters and engine operating parameters 

will be inspected and monitored monthly in conformance with a regular 

inspection schedule listed in the I&M plan. 

6.5.4 Procedures for the corrective actions on the noncompliant parameter(s) that 

the operator will take when an engine is found to be operating outside the 

acceptable range for control equipment parameters, engine operating 

parameters, and engine exhaust NOx, CO, VOC, or oxygen 

concentrations. 

 
SJVUAPCD 4702 - 32 8/18/11

6.5.5 Procedures for the operator to notify the APCO when an engine is found 

to be operating outside the acceptable range for control equipment 

parameters, engine operating parameters, and engine exhaust NOx, CO, 

VOC, or oxygen concentrations. 

6.5.6 Procedures for preventive and corrective maintenance performed for the 

purpose of maintaining an engine in proper operating condition. 

6.5.7 Procedures and a schedule for using a portable NOx analyzer to take NOx 

emission readings pursuant to Section 5.8.9. 

6.5.8 Procedures for collecting and recording required data and other 

information in a form approved by the APCO including, but not limited to, 

data collected through the I&M plan and the monitoring systems described 

in Sections 5.8.1 and 5.8.2. Data collected through the I&M plan shall 

have retrieval capabilities as approved by the APCO. 

6.5.9 Procedures for revising the I&M plan. The I&M plan shall be updated to 

reflect any change in operation. The I&M plan shall be updated prior to 

any planned change in operation. An engine operator that changes 

significant I&M plan elements must notify the District no later than 

seven days after the change and must submit an updated I&M plan to the 

APCO no later than 14 days after the change for approval. The date and 

time of the change to the I&M plan shall be recorded in the engine 

operating log. For new engines and modifications to existing engines, 

the I&M plan shall be submitted to and approved by the APCO prior to 

issuance of the Permit-to-Operate or Permit-Exempt Equipment 

Registration. The operator of an engine may request a change to the 

I&M plan at any time. 

7.0 Compliance Schedules 

7.1 Loss of Exemption 

The operator of an engine which becomes subject to the emission limits/standards 

of this rule through loss of exemption shall not operate the subject engine, except 

as required for obtaining a new or modified Permit-to-Operate or Permit-Exempt 

Equipment Registration for the engine, until the operator demonstrates that the 

subject engine is in full compliance with the requirements of this rule. 

7.2 Permanent Removal of an Engine 

 The operator of an engine who elects to permanently remove the engine from 

service shall comply with all of the following conditions: 
SJVUAPCD 4702 - 33 8/18/11

7.2.1 Comply with all applicable requirements of this rule until the engine is 

permanently removed from service; 

7.2.2 Submit a letter to the APCO no later than 14 days before the engine is 

permanently removed from service, stating the intent to permanently 

remove the engine from service. The engine removal letter can be 

submitted with the emission control plan, if any; and 

7.2.3 Permanently remove the engine from service and officially surrender the 

Permit-to-Operate or Permit-Exempt Equipment Registration, if any, to the 

APCO no later than 30 days after the engine is permanently removed from 

service. 

7.3 AO Compression-Ignited Engine 

7.3.1 The operator of an AO compression-ignited engine that is subject to 

Section 5.2 and that is required to submit an Authority-to-Construct 

application in order to comply with the requirements of this rule, shall 

submit the Authority-to-Construct application, and any required 

Emission Control Plan or I&M Plan, no later than six months before the 

engine is required to be in compliance with the requirements of Section 

5.2. 

7.3.2 The operator of an AO compression-ignited engine that is subject to 

Section 5.2 and that is required to submit a Permit-Exempt Equipment 

Registration application in order to comply with the requirements of Rule 

4702, shall submit the Permit-Exempt Equipment Registration 

application, and any required Emission Control Plan or I&M Plan, no 

later than three months before the engine is required to be in compliance 

with the requirements of Section 5.2. 

7.3.3 Unless otherwise specified, the operator of an engine that is subject to 

the requirements of Section 5.2 of Rule 4702 shall be in full compliance 

with Rule 4702 by the indicated dates in Table 4. 

7.4 Non-AO Compression-Ignited Engine 

7.4.1 The operator of a non-AO compression-ignited engine that is 

subject to Section 5.2 and that is required to submit an 

Emission Control Plan, an I&M Plan, or an Authority-toConstruct in order to comply with rule requirements, shall 

submit such document(s) no later than six months before the 

engine is required to be in compliance with the requirements of 

Section 5.2. 
SJVUAPCD 4702 - 34 8/18/11

7.4.2 Unless otherwise specified, the operator of an engine that is subject to the 

requirements of Section 5.2 shall be in full compliance with Rule 4702 by 

the indicated dates in Table 4. 

7.5 Non-AO Spark-Ignited Engine 

7.5.1 An operator with non-AO spark-ignited engines at a stationary source 

subject to Table 2 or Section 8.0 emission limits, SOx control requirements 

of Section 5.7, and the SOx monitoring requirements of Section 5.10 shall 

comply with the schedule specified in Table 5. 

Table 5 Compliance Schedule for Non-AO Spark-Ignited Engines Subject to Table 2 Emission 

Limits, and SOx Control and Monitoring Requirements 

Engines to be in Compliance at a 

Stationary Source 

Emission 

Control Plan 

Authority to 

Construct and 

Inspection and 

Monitoring Plan 

Full 

Compliance 

Operator with a single engine at a stationary source 

Single Engine 1/1/12 1/1/13 1/1/14 

Operator with at least two engines, but less than 12 engines at a stationary source 

33% or more of the engines subject to 

Table 2 emission limits as of August 

18, 2011 

7/1/12 1/1/13 1/1/14 

66% or more of the engines subject to 

Table 2 emission limits as of August 

18, 2011 

7/1/12 1/1/14 1/1/15 

100% of the engines subject to Table 

2 emission limits 7/1/12 1/1/15 1/1/16 

Operator with at least 12 engines at a stationary source 

25% or more of the engines subject to 

Table 2 emission limits as of August 

18, 2011 

7/1/12 1/1/13 1/1/14 

50% or more of the engines subject to 

Table 2 emission limits as of August 

18, 2011 

7/1/12 1/1/14 1/1/15 

75% or more of the engines subject to 

Table 2 emission limits as of August 

18, 2011 

7/1/12 1/1/15 1/1/16 

100% of the engines subject to Table 

2 emission limits 7/1/12 1/1/16 1/1/17 

 
SJVUAPCD 4702 - 35 8/18/11

7.5.2 As shown in Table 5, the column labeled: 

7.5.2.1 “Emission Control Plan” identifies the date by which the operator 

shall submit an emission control plan pursuant to the applicable 

provisions of Section 6.1. The emission control plan shall identify 

all the Non-AO spark-ignited engines subject to Table 2 emission 

limits, SOx control and monitoring requirements. The emission 

control plan shall identify all the steps to be taken to comply with 

this rule. If there is no change to the previously approved 

emission control plan, the operator does not need to submit a new 

emission control plan. However, the operator shall submit a letter 

to the District indicating that previously approved plan is still 

valid. 

7.5.2.2 “Authority to Construct and Inspection and Maintenance Plan” 

identifies the date by which the operator shall submit an Authority 

to Construct (if needed) and an Inspection and Monitoring Plan as 

specified in the applicable provisions of Section 6.5 for each 

engine subject to Table 2 emission limits, SOx control and 

monitoring requirements. If there is no change to the previously 

approved I&M plan, the operator does not need to submit a new 

I&M Plan. However, the operator shall submit a letter to the 

District indicating that previously approved I&M plan is still valid. 

7.5.2.3 “Full Compliance” identifies the date by which the operator shall 

demonstrate that each unit is in compliance with Table 2 emission 

limits, SOx control and monitoring requirements. 

7.6 Operator of Non-AO Spark-Ignited Engine Who Elects to Pay Fees 

In lieu of complying with Table 2 NOx emission limits, the operator of a non-AO 

spark-ignited engine who elects to pay annual fees under Section 5.2.2.2 and 

Section 5.6 shall comply with the following requirements: 

7.6.1 By the date specified in Table 5, submit an Emission Control Plan which 

includes the following information: 

7.6.1.1 Number of engines at a stationary source that will comply under 

Section 5.2.2.2, 

7.6.1.2 Location of each engine, 

7.6.1.3 Engine manufacturer, model designation, engine serial number, 

and Permit-to-Operate number, and 
SJVUAPCD 4702 - 36 8/18/11

7.6.1.4 Each engine’s rated brake horsepower, fuel type, and type of 

ignition. 

7.6.2 The total annual fees shall be paid to the District in the following manner: 

7.6.2.1 Payment shall be paid no later than June 30 of each year, for the 

emissions of the previous calendar year, 

7.6.2.2 The first payment is due to the District no later than June 30 of the 

year in which full compliance is required for the specified percent 

of engines at a stationary as specified in Table 5 that the operator 

has opted to pay the annual fees, 

7.6.2.3 Should June 30 fall on a day when the District is closed, the 

payment shall be made by the next District working day after June 

30, and 

7.6.2.4 Payments shall continue annually until the engine either is 

permanently removed from use in the San Joaquin Valley Air 

Basin and the Permit-to-Operate is surrendered or the operator 

demonstrates compliance with the applicable Table 2 emission 

limits. 

7.6.2.5 The emissions fee for units that operate for less than the full 

calendar year before demonstrating compliance under Section 

5.2, shall be based on the actual fuel used during the portion of 

the calendar year prior to demonstrating compliance or removing 

the unit from operation within the San Joaquin Valley Air Basin. 

8.0 Alternative Emission Control Plan (AECP) 

An operator may comply with the NOx emission requirements of Section 5.2 for a group 

of engines by meeting the requirements below. An operator that is subject to the 

requirements below shall also comply with all the applicable requirements of Sections 

5.0, 6.0, and 7.0. Only engines subject to Section 5.2 are eligible for inclusion in an 

AECP. 

8.1 During any seven (7) consecutive calendar day period, the operator shall operate 

all engines in the AECP to achieve an actual aggregate NOx emission level that is 

not greater than 90 percent of the NOx emissions that would be obtained by 

controlling the engines to comply individually with the NOx limits in Section 5.2. 

The operator shall operate engines in the AECP such that 

AEActual ≤ 0.90 (AELimit) 
SJVUAPCD 4702 - 37 8/18/11

and shall notify the APCO within 24 hours of any violation of this section. 

8.1.1 The actual aggregate NOx emissions (AEActual) is the sum of the actual 

NOX emissions, over a seven (7) consecutive calendar day period, from 

all engines in the AECP which were actually operated during that period. 

AEActual shall be calculated as follows: 

( )( )( ) i i

i

Actual i AE   EF F k

where: 

i identifies each engine in the AECP. 

EFi is the NOx emission factor of the engine established pursuant to 

Section 8.2 and approved by the APCO. 

Fi is the actual total fuel used by the engine during the seven (7) 

consecutive calendar day period. 

ki is a constant used to convert an engine’s fuel use and NOx emission 

factor to the amount of NOx emitted. ki is dependent on the engine 

and the pollutant emitted. Calculation of ki shall be accomplished 

using 40 CFR Part 60, Appendix A, Method 19, or an equivalent 

method approved by EPA, ARB and the APCO. 

8.1.2 The estimated aggregate NOx emissions limit (AELimit) is the sum of the 

NOx emissions, over a seven (7) consecutive calendar day period, for the 

same engines in the AECP which were actually operated during the same 

period as considered in Section 8.1.1, calculated with the NOx limits of 

Section 5.2 and the actual fuel usage during that seven (7) consecutive 

calendar day period. AELimit shall be calculated as follows: 

( )( )( ) i i

i

Limit i AE   EL F k

where: 

i = identifies each engine in the AECP. 

ELi = the NOx emission limit from Section 5.2 for each engine. 

Fi = the actual total fuel used by the engine during the seven (7) 

consecutive calendar day period. 
SJVUAPCD 4702 - 38 8/18/11

ki = a constant used to convert an engine’s fuel use and NOx emission 

limit to the amount of NOx emitted. ki is dependent on the engine 

and the pollutant emitted. Calculation of ki shall be accomplished 

using 40 CFR Part 60, Appendix A, Method 19, or an equivalent 

method approved by EPA, ARB and the APCO. 

8.1.3 Only engines in the AECP which were operated during the seven (7) 

consecutive calendar day period shall be included in the calculations of 

AELimit and AEActual. 

8.1.4 The operator shall, at least one time each day the AECP is used, calculate 

and record the actual aggregate NOx emissions (AEActual) and the aggregate 

NOx emission limit (AELimit) for the preceding seven (7) consecutive 

calendar day period. 

8.2 The operator shall establish a NOx emission factor limit for each engine. The 

established NOx emission factor of an engine shall be no less than the NOx 

emission factor of the engine from the most recent source test conducted pursuant 

to Section 6.3 and approved by the APCO. The operator shall not operate an 

AECP engine in such a manner that NOx emissions exceed the established NOx 

emission factor of the engine. 

8.3 The operator shall submit the AECP to the APCO at least 18 months before 

compliance with the emission limits in Section 5.2 is required. The AECP shall: 

8.3.1 Not be implemented prior to APCO approval. 

8.3.2 Be enforceable on a daily basis by the District. 

8.3.3 Contain any information necessary to determine eligibility of the engines 

for alternative emission control, including, but not limited to: 

8.3.3.1 A list of engines subject to the AECP. All engines in an AECP 

shall be under the operational control of a single operator and 

shall be located at a single stationary source, 

8.3.3.2 The NOx emission factor established by the engine operator for 

each engine pursuant to Section 8.2, and 

8.3.3.3 The estimated aggregate NOx emissions calculated according to 

Section 8.1.2. 
SJVUAPCD 4702 - 39 8/18/11

8.3.4 Present the methodology for determining equivalency of actual NOx 

emissions under the proposed AECP as compared to the estimated NOx 

emissions allowed by this rule. 

8.3.5 Detail the method of recording and verifying daily compliance with the 

AECP. 

8.3.6 Demonstrate to the satisfaction of the APCO that the difference between 

the NOx emission limits of this rule and any lower actual NOx emissions 

will not be used to increase emissions from the same or another source. 

8.3.7 Demonstrate that the engines subject to the requirements of Section 5.2 are 

in compliance with or on an approved schedule for compliance with all 

applicable District rules. 

8.4 The operator shall submit an updated or modified AECP for approval by the 

APCO prior to any of the following: 

8.4.1 Modification of the engine(s) which would require an Authority-toConstruct; 

8.4.2 When new or amended rules are adopted which regulate the emissions 

from the engines; or 

8.4.3 When the NOx emission factor established by the engine operator for an 

engine pursuant to Section 8.2 is modified. 

8.5 In addition to the records kept pursuant to Section 6.2, the operator shall maintain 

records, on a daily basis, of the parameters needed to demonstrate compliance with 

the applicable NOx emission limits when operating under the AECP. These 

records shall be retained for at least five years, shall be readily available, and be 

made available to the APCO upon request. The records shall include, but are not 

limited to, the following for each engine unless otherwise indicated: 

8.5.1 Total hours of operation, 

8.5.2 Type and quantity (cubic feet of gas or gallons of liquid) of fuel used, 

8.5.3 The actual NOx emissions limits to be included in the calculation of AEActual

pursuant to Section 8.1.1, 

8.5.4 The actual aggregate NOx emissions (AEActual) for all the engines in the 

AECP calculated pursuant to Section 8.1.1, 
SJVUAPCD 4702 - 40 8/18/11

8.5.5 The estimated NOx emissions limits to be included in the calculation of 

AELimit pursuant to Section 8.1.2, 

8.5.6 The estimated aggregate NOx emissions (AELimit) for all the engines in the 

AECP calculated pursuant to Section 8.1.2, 

8.5.7 The comparison of the actual aggregate NOx emissions (AEActual) for all the 

engines in the AECP and 90 percent of the estimated aggregate NOx 

emissions (AELimit) for all the engines in the AECP to demonstrate 

compliance with Section 8.1, and 

8.5.8 Any other parameters needed to demonstrate daily compliance with the 

applicable NOx emission limits when operating under the AECP. 

8.6 For the purpose of determining the quantity of spark-ignited engines in compliance 

pursuant to Section 7.5, a spark-ignited engine in an AECP shall not be considered 

to be in compliance until all spark-ignited engines in the AECP that have been 

designated to meet more stringent NOx emission factors pursuant to Section 8.2 

are in compliance with the rule. 

9.0 Exhaust Control System Certification Requirements 

9.1 To be considered for APCO certification, the manufacturer or operator shall 

comply with all of the following requirements: 

9.1.1 Certification shall be based upon the emission source testing results of a 

specific exhaust control system, 

9.1.2 A source testing protocol shall be submitted in accordance with the 

provisions of Rule 1081 (Source Sampling) for approval by the APCO 

prior to conducting the source test. The source testing protocol approved 

by the APCO shall be strictly adhered to during certification source 

testing, 

9.1.3 Source testing shall be conducted over the range of operating parameters 

for which the unit(s) will be operated, 

9.1.4 The source testing results shall demonstrate compliance with the emission 

limits of this rule for each model of exhaust control system(s) to be 

certified, 

9.1.5 The source testing procedure and reports shall be prepared by an ARBapproved independent testing laboratory, and shall contain all the elements 

identified in the APCO-approved source testing protocol, 
SJVUAPCD 4702 - 41 8/18/11

9.1.6 Source testing shall be conducted no more than 90 days prior to the date 

of submission of request for certification by the APCO, and 

9.1.7 Any additional supporting information required by the APCO to address 

other performance parameters. 

9.2 The manufacturer or operator requesting certification shall submit to the APCO 

the following information: 

9.2.1 Copies of the source testing results conducted pursuant to the requirements 

of Section 9.1, and other pertinent technical data to demonstrate 

compliance with the emission limits of this rule, 

9.2.2 The applicant shall sign and date the statement attesting to the accuracy of 

all information in the statement, and 

9.2.3 Name and address of the exhaust control system manufacturer or operator, 

brand name of the exhaust control unit, model number, and description of 

model of system(s) being certified. 

9.3 The APCO will only approve an application for certification to the extent that the 

requirements of Sections 9.1 through 9.2 are met and the source testing results 

demonstrate that the emission limits of this rule are met. 

9.4 The APCO-approved certification is valid only for the range of operating 

parameters and conditions for which certification is issued. 

9.5 The APCO shall publish a list of certified exhaust control systems after the 

certification process is completed.