FINAL REGULATION ORDER

Note: This document is printed in a style to indica te changes from the existing provisions. All existing language is indicated by plain type. All additions to language are indicated by underlined text. All deletions to language are indicated by strikeout . Only those portions containing the suggested modifications from the existing provisions are incl uded. All other portions remain unchanged and are indicated by the symbol “* * * * *” for reference.

Amend Article 4, Chapter 9, Division 3, Title 13, C alifornia Code of Regulations (CCR), including recently adopted section 2425.1, to read as follows:

Chapter 9. Off-Road Vehicles and Engines Pollution Control Devices

Article 4. Heavy

- Duty Off-Road Compression-Ignition Diesel Cycle Engines and Equipment

§ 2420. Applicability.

(a)(1) This article shall be applicable to new heav y-duty off-road compression-ignition engines, including all heavy-d uty off-road alternate-fueled compression-ignition engines, including those engin es derived from existing diesel cycle engines (hereinafter all such engines shall be refe rred to as compression-ignition engines), produced on or after January 1, 1996, and all other new 2000 model year and later off-road compression-ignition engines, with t he exception of all engines and equipment that fall within the scope of the preempt ion of Section 209(e)(1) (A) of the Federal Clean Air Act (42 U.S.C. 7543(e)(1) (A) ) and as defined by regulation of the U.S. Environmental Protection Agency.

(2) For any engine that is not a distinctly compres sion-ignition engine nor derived from such, the Executive Officer shall determine wh ether the engine shall be subject to these regulations, taking into consideration the re lative similarity of the engine’s torque-speed characteristics with those of compress ion-ignition engines.

(3) Every new off-road compression-ignition engine that is manufactured for sale, sold, offered for sale, introduced or delivered for introduction into commerce, or imported into California and that is subject to any of the standards prescribed in this article and documents incorporated by reference the rein, is required to be certified for2

use and sale by the manufacturer through the Air Re sources Board and covered by an Executive Order, issued pursuant to Chapter 9, Arti cle 4, Section 2423.

(b) Each part of this article shall be deemed sever able, and in the event that any part of this chapter or article is held to be inval id, the remainder shall continue in full

force and effect.

(c) This article and documents incorporated by refe rence herein, include provisions for certification, labeling requirements , warranty, in-use compliance testing, quality-audit testing, and certification testing.

(d)(1) For purposes of this article, military tacti cal vehicles or equipment means vehicles or equipment owned by the U.S. Department of Defense and/or the U.S. military services and used in combat, combat suppor t, combat service support, tactical or relief operations, or training for such operatio ns.

(2) This article shall not apply to engines used in off-road military tactical vehicles or equipment which have been exempted from regulati ons under the federal national security exemption, 40 CFR, Subpart J, Section 89.9 08. It shall also not apply to those vehicles and equipment covered by the definition of military tactical vehicle that are commercially available and for which a federal cert ificate of conformity has been issued under 40 CFR Part 89, subpart B.

(3) On January 1, 1997, the U.S. Department of Defe nse shall submit to the ARB a list of all vehicle and equipment types that are exempted under the above provisions

and which are located in the State of California. If any additional vehicle and equipment types are added to the list during the previous 12 months, the U.S. Department of Defense shall update the list and submit it to the ARB by January 1 of the following

year.

NOTE: Authority cited: Sections 39600, 39601, 43013 , 43018, 43101, 43102, 43104 and 43105, Health and Safety Code. Reference: Sect ions 43013, 43017, 43018,
43101, 43102, 43104, 43105, 43150-43154, 43205.5, a nd 43210-43212, Health and Safety Code.3

§ 2421. Definitions.

(a) The definitions in Section 1900(b), Chapter 3, Title 13 of the California Code of Regulations, shall apply with the following addi tions:

(1) “1996-1999 Heavy-Duty Test Procedures” means th e document en titled

“California Exhaust Emission Standards and Test Pro cedures for New 1996-1999 Heavy-Duty Off-Road Compression-Ignition Engines, P art I-A,” which includes the standards and test procedures applicable to 1996-19 99 heavy-duty off-road compression-ignition engines, as adopted May 12, 19 93, and as amended January 28, 2000. This document is incorporated by reference h erein.

(2) “1996-1999 Smoke Test Procedures” means the doc ument en titled “California

Smoke Test Procedures for New 1996-1999 Off-Road Co mpression-Ignition Engines, Part III,” which includes the standards and test pr ocedures applicable to 1996-1999 heavy-duty off-road compression-ignition engines, a s adopted May 12, 1993, and as amended January 28, 2000. This document is incorpo rated by reference herein.

(3) “2000 and Later Plus Limited Test Procedures” means the document en titled

“California Exhaust Emission Standards and Test Pro cedures for New 2000 and Later Tier 1, Tier 2, and Tier 3 Off-Road Compression-Ignition Engines, Part I-B,” w hich includes the standards and test procedures applicab le to 2000 and later off-road compression-ignition engines, as adopted January 28 , 2000 , and as amended October
20, 2005

. This document is incorporated by reference herein

.

(4) “2008 and Later Test Procedures” means the docu ment titled “California

Exhaust Emission Standards and Test Procedures for New 2008 and Later Tier 4 Off-Road Compression-Ignition Engines,” which inclu des the standards and test procedures applicable to 2008 and later off-road co mpression-ignition engines, as adopted October 20, 2005 . This document is incorporated by reference herei n.

(5) “Adjustable parameter” means any device, system , or element of design that is capable of being adjusted manually (even if diff icult to access), and which may affect emissions or engine performance during emission tes ting or normal in-use operation. This includes, but is not limited to, parameters re lated to injection timing and fueling rate. A parameter that is difficult to access may be excluded upon request to the Executive Officer if the parameter cannot be adjust ed to a degree that affects emissions without significantly degrading engine performance, or if demonstrated that it will not be adjusted in a way that affects emissions during in- use operation.

( 4 6 ) “Alternate fuel” means any fuel that will reduce non-methane hydrocarbons (on a reactivity-adjusted basis), NOx, CO, and the potential risk associated with toxic air contaminants as compared to gasoline or diesel fuel and would not result in increased deterioration of the engine. Alternate fuels inclu de, but are not limited to, methanol, ethanol, liquefied petroleum gas, compressed natura l gas, and electricity.4

( 5 7 ) “ARB Enforcement Officer” means any officer or em ployee of the Air Resources Board so designated in writing by the Exe cutive Officer (or by his designee).

( 6 8 ) “Assembly-line tests” are those tests or inspecti ons that are performed on or at the end of the assembly line.

(9) “Auxiliary emission-control device” means any e lement of design that senses temperature, motive speed, engine speed, transmissi on gear, or any other parameter for the purpose of activating, modulating, delaying , or deactivating the operation of any part of the emission-control system.

( 7 10 ) “Blue Sky Series engine” means an off-road compre ssion-ignition engine meeting the requirements of Section 2423(b)(4).

( 8 11 ) “Calendar year” is defined as the twelve-month pe riod commencing on January 1 through December 31.

( 9 12 ) “Certification” means, with respect to new off-ro ad compression-ignition engines, the obtaining of an Executive Order for an engine family complying with the offroad compression-ignition engine emission standards and requirements specified in this

article.

(13) “Certified configuration” or “certified emissi ons configuration” means the assembled state of an engine that is equipped with a complete set of emission-related components and systems that are equivalent from an emissions standpoint (i.e., tolerances, calibrations, and specifications) to th ose components and systems that (A) were originally installed on the engine when it was issued an Executive Order, (B) have been approved by the engine manufacturer t o supersede any of the original emission-related components and systems for that en gine, or (C) are direct replacement parts equaling or exceeding the emissions-related p erformance of the original or superseded components and systems.

(10) (14) “Compression-ignition engine” means a type of engi ne with operating characteristics significantly similar to the theore tical Diesel combustion cycle. The nonuse of a throttle to regulate intake flow for contr olling power during normal operation is indicative of a compression-ignition engine. A com pression-ignition engine may be petroleum-fueled (i.e., diesel-fueled) or alternate -fueled. All engines and equipment that fall within the scope of the preemption of Section 209(e)(1) (A) of the Federal Clean Air Act (42 U.S.C. 7543(e)(1) ) (A) and as defined by regulation of the Environmental Protection Agency, are specifically not included wi thin this category.

(11) (15) “Constant-speed engine” means (A) for engines subject to the 2000 and
Later Plus Limited Test Procedures, an off-road compression-ignition engine that is governed to operate only at rated speed , or (B) for engines subject to the 2008 and Later Test Procedures, an off-road compression-igni tion engine certified to operate only at constant speed. Constant-speed operation means engine operation with a governor5

that controls the operator input to maintain an eng ine at a reference speed, even under changing load. For example, an isochronous governo r changes reference speed temporarily during a load change, then returns the engine to its original reference speed after the engine stabilizes. Isochronous governors typically allow speed changes up to 1.0 %. Another example is a speed-droop governor, which has a fixed reference speed at zero load and allows the reference speed to decr ease as load increases. With speed-droop governors, speed typically decreases (3 to 10) % below the reference speed at zero load, such that the minimum reference speed occurs near the engine’s point of maximum power

.

(12) (16) “Crankcase emissions” means airborne substances em itted into the atmosphere from any portion of the engine crankcase ventilation or lubrication system.

(13) (17) “Compliance testing” means ARB directed emissions tests and inspections of a reasonable number of production en gines and/or vehicles that are offered for sale, or manufactured for sale, in Cali fornia in order to verify compliance with the applicable certification emission standards. T he emissions tests may be conducted

at ARB or contracted out facilities or at the manuf acturer’s facility. The testing will be done at the expense of the manufacturer.

(14) (18) “Confirmatory testing” means ARB directed emission s tests and inspections of the test engines and/or test vehicle s used by the manufacturer to obtain test data for submittal with the certification appl ication. The emissions tests may be

conducted at ARB or contracted out facilities or at the manufacturer’s facility. The testing will be done at the expense of the manufact urer.

(15) (19) “Dealer” means that person or entity engaged in th e selling of new offroad compression-ignition engines, vehicles or equi pment to ultimate purchasers.

(20) “Deterioration factor” means the relationship between emissions at the end of useful life and emissions at the low-hour test p oint, expressed in one of the following ways, whichever is applicable: (A) For multiplicati ve deterioration factors, the ratio of

emissions at the end of useful life to emissions at the low-hour test point; (B) For additive deterioration factors, the difference betw een emissions at the end of useful life and emissions at the low-hour test point.

(16) (21) “Diesel cycle engine” means a type of engine with operating characteristics significantly similar to the theore tical diesel combustion cycle. The primary means of controlling power output in a dies el cycle engine is by limiting the amount of fuel that is injected into the combustion chambers of the engine. A diesel cycle engine may be petroleum-fueled (i.e., diesel- fueled) or alternate-fueled.

(17) (22) “Emission control system” includes any component, group of components, or engine modification that controls or causes the reduction of substances emitted from an engine.6

(18) (23) “End of assembly line” is defined as that place wh ere the final inspection test or quality-audit test is performed.

(19) (24) “Engine manufacturer” or “manufacturer” means any person who is engaged in the manufacturing or assembling of new o ff-road engines or the importing of new off-road engines for resale and who has been gr anted certification, or any person

who acts for and is under the control of a manufact urer in connection with the distribution of new off-road engines. “Engine manu facturer” or “manufacturer” does not include a dealer who receives new off-road engines for sale in commerce.

(20) (25) “Exhaust emissions” means substances emitted into the atmosphere from any opening downstream from the exhaust port o f an off-highway engine.

(21) (26) “Family emission limit” (FEL) means an emission le vel that is declared by the manufacturer to serve in lieu of an emission standard for certification purposes and for the averaging, banking, and trading program , as defined in Title 13, California Code of Regulations, Section 2423. A FEL must be e xpressed to the same number of decimal places as the applicable emission standard.

(22) (27) “Final calendar quarter production” is defined as the calendar quarter in which the production of an engine family ends.

(23) (28) “First calendar quarter production” is defined as the calendar quarter in which the production of an engine family begins.

(24) (29) “Fuel system” means the combination of any of the following components: fuel tank, fuel pump, fuel lines, oil i njection metering system, carburetor or fuel injection components, or all fuel system vents

.

(25) (30) “Gross engine malfunction” is defined as one yield ing an emission value greater than the sum of the mean plus three (3) tim es the standard deviation. This definition shall apply only for determination of co ntrol limits.

(26) (31) “Heavy-duty off-road compression-ignition engines” or “engines” are identified as: 1996 through 1999 model year diesel or alternate fuel powered diesel cycle internal combustion engines 175 horsepower an d greater, operated on or in any device by which any person or property may be prope lled, moved or drawn upon a highway, but are primarily used off a highway. The engines are designed for powering construction, farm, mining, forestry and industrial implements and equipment. They are designed to be used in, but are not limited to use in, the following applications: agricultural tractors, backhoes, excavators, dozers , log skidders, trenchers, motor graders, portable generators and compressors and ot her miscellaneous applications.

Specifically excluded from this category are: ( 1 A ) engines operated on or in any device used exclusively upon stationary rails or tr acks; ( 2 B ) marine diesel engines used to propel marine vessels ; ( 3 C ) internal combustion engines attached to a foundat ion at7

a location; ( 4 D ) transportable engines subject to District permitt ing rules which have been operated at a location for a period of one yea r or more on January 1, 1997; and ( 5 E ) stationary or transportable gas turbines for powe r generation.

(27) (32) “Identification number” means a specification (for example, model, number/serial number combination) that allows a par ticular off-road compressionignition to be distinguished from other similar eng ines.

(28) (33) “Marine diesel engine” means a compression-ignitio n engine that is

installed or intended to be installed on a vessel. There are two types of Marine Diesel Engines: (A) Propulsion marine compression-ignitio n engines, which are those that move or are intended to move a vessel through water or direct the movement of a vessel, and (B) Auxiliary marine diesel engines, wh ich are integral to the vessel, but which do not propel the vessel. This definition in cludes portable auxiliary marine engines or generators only if their fueling, coolin g, or exhaust systems are an integral part of the vessel.

(33) (34) “Maximum Engine Power” means the maximum brake power point on the nominal power curve for a specific engine confi guration, rounded to the nearest whole kilowatt. The “nominal power curve” of an en gine configuration means the relationship between maximum available engine brake power and engine speed for a specific engine configuration, as determined using the mapping procedures specified in Part 1065 of the 2008 and Later Test Procedures, ba sed on the manufacturer’s design and production specifications for that engine. Thi s relationship may also be expressed by a torque curve that relates maximum available en gine torque with engine speed. The nominal power curve shall be within the normal production variability of actual power curves for production engines of the same eng ine configuration. This definition of Maximum Engine Power shall be applicable for all references to a specific power value or range of power values with respect to engi nes subject to the 2008 and Later Test Procedures, except as otherwise noted or permi tted by the Executive Officer. Maximum Engine Power shall be used as the basis for categorizing engine families into appropriate Tier 4 power categories.

(29) (35) “Maximum Rated Power” means the maximum brake kilo watt output of an engine at rated speed as stated by the manufacturer in the manufacturer’s sales and service literature and in the application for certi fication. Maximum Rated Power shall be used as the basis for categorizing engine families into appropriate Tier 1, Tier 2, and Tier 3 power categories, except as otherwise noted or permitted by the Executive

Officer.

(35) (36) “Maximum Test Speed” has the same meaning as d efined in

Part 1065.1001 of the 2008 and Later Test Procedure s.

(30) (37) “Model year” means the manufacturer’s annual produ ction period which includes January 1 of a calendar year or, if the ma nufacturer has no annual production period, the calendar year.8

(31) (38) “Off-road compression-ignition engine”:

(A) Except as specified in paragraph (B) of this de finition, an off-road compression-ignition engine is any internal combust ion engine: 1. in or on a piece of equipment that is self-prope lled or serves as a dual purpose by both propelling itself and performi ng another function and is primarily used off the highways (su ch as garden tractors, off-highway mobile cranes and bulldozers) ; or 2. in or on a piece of equipment that is intended t o be propelled while performing its function (such as lawnmowers and str ing trimmers);

or 3. that, by itself or in or on a piece of equipment , is portable or transportable, meaning designed to be and capable o f being carried

or moved from one location to another. Indicia of transportability include, but are not limited to wheels, skids, carr ying handles, dolly, trailer, or platform.

(B) An internal combustion engine is not an off-roa d compression-ignition engine if: 1. the engine is used to propel a vehicle subject t o the emission standards contained in Title 13, California Code of Regulations, Sections 1950 - 1978, or a vehicle used solely for competition, or is subject to standards promulgated under s S ection 202 of the federal Clean Air Act (42 U.S.C. 7521); or 2. the engine is regulated by a federal New Source Performance Standard promulgated under s S ection 111 of the federal Clean Air Act (42 U.S.C. 7511); or 3. the engine otherwise included in paragraph (A)(3 .) of this definition

remains or will remain at a location for more than 12 consecutive months or a shorter time for an engine located at a seasonal source. A location is any single site at a buildin g, structure, facility, or installation. Any engine (or engines) that repl aces an engine at a location and that is intended to perform the same o r similar function as the engine replaced will be included in calculat ing the consecutive period. An engine located at a seasona l source is an engine that remains at a seasonal source during the full operating period of the seasonal source. A seasonal source i s a stationary source that remains in a single location on a perma nent basis (i.e., at least two years) and that operates at a single l ocation approximately three months (or more) each year. Th is paragraph does not apply to an engine after the engine is rem oved from the

location.

(32) (39) “Off-road vehicle” or “Off-road equipment” means a vehicle or equipment that is powered by an off-road compression-ignition engine.9

(33) (40) “Off-road vehicle manufacturer” or “Off-road equip ment manufacturer” means any person engaging in the manufacturing or a ssembling of new off-road vehicles or equipment, or importing of new off-road vehicles or equipment for resale, or acting for and under the control of any person in c onnection with distributing new offroad vehicles and equipment. An off-road vehicle m anufacturer or off-road equipment manufacturer does not include a dealer, nor any per son engaging in the manufacturing or assembling of new off-road engines or equipment who does not install an engine as part of that manufacturing or assembling process. All off-road vehicle or equipment manufacturing entities that are under the control o f the same person are considered to be a single off-road vehicle manufacturer or off-ro ad equipment manufacturer.

(34) (41) “Opacity” means the fraction of a beam of light, e xpressed in percent, which fails to penetrate a plume of smoke.

(35) (42) “Otto cycle engine” means a type of engine with op erating characteristics significantly similar to the theore tical Otto combustion cycle. The primary means of controlling power output in an Otto cycle engine is by limiting the amount of air

and fuel that can enter the combustion chambers of the engine. Gasoline-fueled engines are Otto cycle engines.

(36) (43) “PM and Test Cycle Limited Procedures” means the document en titled

“California Exhaust Emission Standards and Test Pro cedures for New 1996 and Later Tier 1, Tier 2, and Tier 3 Off-Road Compression-Ignition Engines, Part II,” wh ich includes the standards and test procedures applicab le for 1996 and later heavy-duty offroad compression-ignition engines, as adopted May 1 2, 1993, and as amended January
28, 2000 October 20, 2005 . This document is incorporated by reference herei n.

(37) (44) “Post-manufacture marinizer” means a person who pr oduces a marine compression-ignition engine by substantially modify ing a certified or uncertified complete or partially complete engine, and is not c ontrolled by the manufacturer of the base engine or by an entity that also controls the manufacturer of the base engine. For the purpose of this definition, “substantially modi fy” means changing an engine in a way that could change engine emission characteristics.

(44) (45) “Power category” means a specific range of max imum power that defines the applicability of standards. For exampl e, references to the 56-130 kW power category and 56 ≤ kW < 130 include all engines with maximum power at or above

56 kW but below 130 kW. Also references to 56-560 kW power categories or

56 ≤ kW ≤ 560 include all engines with maximum power at or a bove 56 kW, but at or below 560 kW, even though these engines span multip le power categories. Note that in some cases, FEL caps are based on a subset of a pow er category. The Tier 4 applicable power categories are defined as follows:

(A) Engines with maximum engine power below 19 kW. (B) Engines with maximum engine power at or above 1 9 kW but below 56 kW.10

(C) Engines with maximum engine power at or above 5 6 kW but below 130 kW. (D) Engines with maximum engine power at or above 1 30 kW but at or below 560 kW. (E) Engines with maximum engine power above 560 kW.

(3 8) (46) “Propulsion marine compression-ignition engine” me ans a marine compression-ignition engine that is intended to mov e a vessel through water or direct

the movement of a vessel.

(39) (47) “Quality-audit test” is defined as the test perfor med on a sample of production engines produced for sale in California.

(40) (48) “Rated speed” is the maximum full load governed sp eed for governed engines and the speed of maximum horsepower for ung overned engines.

(41) (49) “Representative engine sample” means that the samp le is typical of the engine family or engine family group as a whole (as defined in applicable test procedures). Except as provided in Section 2427, a representative sample would not include a low-volume subgroup of the engine family or engine family group.

(42) (50) “Scheduled maintenance” means any adjustment, repa ir, removal, disassembly, cleaning, or replacement of components or systems required by the manufacturer that is performed on a periodic basis to prevent part failure or equipment or engine malfunction, or anticipated as necessary to correct an overt indication of malfunction or failure for which periodic maintenan ce is not appropriate.

(43) (51) “Small off-road engine” has the meaning specified in Title 13, California Code of Regulations, Section 2401.

(51) (52) “Small-volume engine manufacturer” means a sma ll business engine manufacturer that had engine families certified to meet the requirements of 40 CFR part 89 before 2003, had annual U.S.-directed produ ction of no more than 2,500 units in 2002 and all earlier calendar years, and has 1000 o r fewer employees. For manufacturers owned by a parent company, the produc tion limit applies to the production of the parent company and all its subsid iaries and the employee limit applies to the total number of employees of the parent comp any and all its subsidiaries.

(44) (53) “Tier 1 engine” means an engine subject to the Tie r 1 emission standards listed in Section 2423(b)(1) (A) of this article.

(45) (54) “Tier 2 engine” means an engine subject to the Tie r 2 emission standards listed in Section 2423(b)(1) (A) of this article.

(46) (55) “Tier 3 engine” means an engine subject to the Tie r 3 emission standards listed in Section 2423(b)(1) (A) of this article.11

(55) (56) “Tier 4 engine” means an engine subject to the Tier 4 emission standards listed in Section 2423(b)(1)(B) of this a rticle.

(47) (57) “Ultimate purchaser” means the first person who in good faith purchases a new engine or equipment for purposes other than r esale.

(48) (58) “Unscheduled maintenance” means any inspection, ad justment, repair, removal, disassembly, cleaning, or replacement of c omponents or systems that is performed to correct or diagnose a part failure whi ch was not anticipated.

(49) (59) “Useful life” means: (A) For all engines rated under 19 kilowatts, and f or constant-speed engines rated under 37 kilowatts with rated speeds greater than or equal to 3,000 revolutions per minute, a period of use of five years or 3,000 hours of operation, whichever first occurs. (B) For all other engines rated at or above 19 kilo watts and under 37 kilowatts, a period of use of seven years or 5,000 hours of operation,

whichever first occurs. (C) For all engines rated at or above 37 kilowatts, a period of use of ten years or 8,000 hours, whichever first occurs.

(50) (60) “Vessel” has the meaning specified in Section 9840 of the California

Vehicle Code.

(51) (61) “Warrantable condition” means any condition of an engine that triggers the responsibility of the manufacturer to take corr ective action pursuant to Section 2425.

(52) (62) “Warranted part” means any emissions-related part installed on an engine by the equipment manufacturer, or installed in a warranty repair, which is listed on the warranty parts list.

(53) (63) “Warranty period” means the period of time, either in years or hours of operation, that the engine or part is covered by th e warranty provisions.

(54) (64) “Warranty station” means a service facility author ized by the equipment or engine manufacturer to perform warranty repairs. This shall include all manufacturer

distribution centers that are franchised to service the subject equipment or engines.

NOTE: Authority cited: Sections 39600, 39601, 43013 , 43018, 43101, 43102 and 43104, Health and Safety Code. Reference: Sections 43013, 43018, 43101, 43102, 43104, 43105, 43150-43154, 43205.5 and 43210-43212, Health and Safety Code.12

§ 2423. Exhaust Emission Standards and Test Proced ures – Off-Road Compression-Ignition Engines.

(a) This section shall be applicable to new heavy-d uty off-road compressionignition engines, produced on or after January 1, 1 996, and all other new 2000 and later model year off-road compression-ignition engines. For the purposes of this section, these engines shall be called “compression-ignition engines.”

(b)(1) (A) Exhaust emissions from new off-road compression-ig nition engines, as sold in this state and as appropriate based on model year and maximum rated power

, shall not exceed the levels contained in Table 1 a with respect to steady-state testing

. Table 1 a follows:13 Table 1 a . – Tier 1, Tier 2, and Tier 3 Exhaust Emission Standards

(grams per kilowatt-hour)

Maximum Rated Power (kW) 1 Tier Model Year NO

x 2 HC 3 NMHC+

NO

x 4 CO 5 PM 6

Tier 1 2000-2004 — — 10.5 8.0 1.0 kW<8

Tier 2 2005 and

later -2007 7 — — 7.5 8.0 0.80

Tier 1 2000-2004 — — 9.5 6.6 0.80 8 ≤ kW<19

Tier 2 2005 and

later -2007 7 — — 7.5 6.6 0.80

Tier 1 2000-2003 — — 9.5 5.5 0.80 19 ≤ kW<37

Tier 2 2004 and

later -2007 7 — — 7.5 5.5 0.60

Tier 1 2000-2003 9.2 — — — —

Tier 2 2004-2007 — — 7.5 5.0 0.40 37 ≤ kW< 75 56

Tier 3 8 2008 and

later -2011 — — 4.7 5.0

— 0.40

Tier 1 2000-2003 9.2 — — — — Tier 2 2004-2007 — — 7.5 5.0 0.40 56 ≤ kW<75

Tier 3 2008-2011 — — 4.7 5.0 0.40

Tier 1 2000-2002 9.2 — — — —

Tier 2 2003-2006 — — 6.6 5.0 0.30 75 ≤ kW<130

Tier 3 2007 and

later -2011 — — 4.0 5.0

— 0.30

Tier 1 1996-2002 9.2 1.3 — 11.4 0.54

Tier 2 2003-2005 — — 6.6 3.5 0.20 130 ≤ kW<225

Tier 3 2006 and

later -2010 — — 4.0 3.5

— 0.20

Tier 1 1996-2000 9.2 1.3 — 11.4 0.54

Tier 2 2001-2005 — — 6.4 3.5 0.20 225 ≤ kW<450

Tier 3 2006 a nd

later -2010 — — 4.0 3.5

— 0.20

Tier 1 1996-2001 9.2 1.3 — 11.4 0.54

Tier 2 2002-2005 — — 6.4 3.5 0.20 450 ≤ kW ≤ 560

Tier 3 2006 and

later -2010 — — 4.0 3.5

— 0.20

Tier 1 2000-2005 9.2 1.3 — 11.4 0.54 kW>560

Tier 2 2006 and

later -2010 — — 6.4 3.5 0.20

1. kW means kilowatts.

2. NO

x means Oxides of Nitrogen. 3. HC means Hydrocarbons.

4. NMHC+NO

x means Non-Methane Hydrocarbons plus Oxides of Nitr ogen. 5. CO means Carbon Monoxide.

6. PM means Particulate Matter. 7. Tier 2 standards for propulsion marine compressi on-ignition engines below 37 kW remain in effect be yond the 2007 end date.14

8. Manufacturers may optionally certify engine fami lies to the interim Tier 4 standards in Table 1b fo r this power category through

2012.

(B) Exhaust emissions from new off-road compression -ignition engines, as sold in this state and as appropriate based on model yea r and maximum engine power, shall not exceed the levels contained in Table 1b, with r espect to steady-state testing, transient testing, and, after application of the cr iteria in Table 1c, not-to-exceed testing, as applicable. Other compliance options are permis sible as provided in the 2008 and

Later Test Procedures.15 Table 1b. – Tier 4 Exhaust Emission Standards

(grams per kilowatt-hour)

PM NMHC+

NOX NMHC NOX CO MAXIMUM

ENGINE POWER MODEL YEAR TYPE
grams per kilowatt-hour

kW<8 1 8.0

8 ≤ kW<19 1 2008 and later FINAL 0.40 2 7.5 - - 6.6

2008-2012 INTERIM 0.30 7.5 19 ≤ kW<37 1

2013 and later FINAL 0.03 4.7 - - 5.5

2008-2012 INTERIM 0.30 37 ≤ kW<56 3

2013 and later FINAL 0.03 4.7 - - 5.0

PHASE-IN - 0.19 0.40

PHASE-OUT 4.7 - - 2012-2014 4

or/ ALT NOX 3.4 5 56 ≤ kW<75

2015 and later FINAL 0.02

- 0.19 0.40 5.0

PHASE-IN - 0.19 0.40

PHASE-OUT 4.0 - - 2012-2014 4

or/ ALT NOX 3.4 5 75 ≤ kW<130

2015 and later FINAL 0.02

- 0.19 0.40 5.0

PHASE-IN - 0.19 0.40

PHASE-OUT 4.0 - - 2011-2013

or/ ALT NOX 2.0 130 ≤ kW ≤ 560

2014 and later FINAL 0.02

- 0.19 0.40 3.5

2011-2014 INTERIM 0.10 0.40 3.5 560 kW<GEN 6 ≤ 900 kW 2015 and later FINAL 0.03 - 0.19 0.67 3.5

2011-2014 INTERIM 0.10 0.40 GEN>900 kW 2015 and later FINAL 0.03 - 0.19 0.67 3.5

2011-2014 INTERIM 0.10 0.40 ELSE 7 >560 kW 2015 and later FINAL 0.04 - 0.19 3.5 3.5

Notes: 1 Propulsion marine compression-ignition engine s below 37 kW are not subject to Tier 4 standards o r requirements. All previously adopted requirements remain applicable for these engines. 2 The Tier 4 PM standard for hand-start, air co oled, direct injection engines below 8 kW is 0.60 g /kW-hr, but is not required until 2010. 3 Engine families in this power category may al ternately meet Tier 3 PM standards from 2008-2011 i n exchange for introducing final PM

standards in 2012. 4 Manufacturers have the option of complying wi th the Tier 4 standards over a two year period at 5 0% per year using banked Tier 2 credits or over a three year period at 25% per year without the use of Tier 2 credits. The three year phase-i n period is shown. The 2014 model year cannot extend beyond December 30, 2014, when t he 3 year phase-in option is used. 5 Manufacturers may comply with the standards d uring the transitional implementation years using e ither a phase-in / phase-out approach or by using the Alternate NOx approach. The three year 25% alternate NOx standard is shown in the tab le. The two year 50% phase-in NOx standard would be 2.3 g/kW-hr. 6 “GEN” refers to generator engines only. 7 “ELSE” refers to all mobile machinery excludi ng generator engines.16 Table 1c. – Criteria for Determining NTE Limits 1

Pollutant Apply NTE Multiplier of 1.25 when ... Apply NTE Multiplier of 1.50 when ...

NOx NOx Standard or FEL ≥ 2.5 g/kW-hr NOx Standard 2 or FEL< 2.5 g/kW-hr

NMHC NOx Standard or FEL ≥ 2.5 g/kW-hr NOx Standard 2 or FEL< 2.5 g/kW-hr

NMHC+NOx NMHC+NOx Standard or FEL ≥ 2.7 g/kW-hr NMHC+NOx Standard 2 or FEL< 2.7 g/kW-hr

PM PM Standard or FEL ≥ 0.07 g/kW-hr PM 2 Standard or FEL 3 < 0.07 g/kW-hr

CO Always Never

Notes: 1 Other provisions described in the 2008 and La ter Test Procedures may affect the calculation of N TE limits. 2 Engines must be certified to these standards without the use of ABT credits. 3 For engines certified to a PM FEL less than o r equal to 0.01 g/kW-hr, the PM NTE limit shall be 0.02 g/kW-hr.

(2) Manufacturers may elect to include engine famil ies in the one of two averaging, banking, and trading (ABT) program s

, corresponding to the engine family’s model year and emissions categorization. t T he provisions of which these separate ABT

programs are specified in Part 89, Subpart C of the 2000 Plus an d Later Limited Test

Procedures and Part 1039, Subpart H of the 2008 and Later Tes t Procedures

.

(A) For engine families subject to the 2000 Plus Li mited Test Procedures, T t he manufacturer must set a family emission limit (FEL) not to exceed the levels contained

in Table 2 a . The FEL established by the manufacturer serves a s the emission standard for that engine family. Table 2 a follows:17

Table 2 a – Upper Limit for Tier 1, Tier 2, and Tier 3 Family Emission Limits (FEL) (grams per kilowatt-hour)

Maximum Rated Power (kW) Tier Model Year NO

x NMHC+NO

x PM FEL

Tier 1 2000-2004 16.0 1.2 kW<8

Tier 2 2005 and later

2007 10.5 1.0

Tier 1 2000-2004 16.0 1.2 8 ≤ kW<19

Tier 2 2005 and later

2007 9.5 0.80

Tier 1 2000-2003 16.0 1.2 19 ≤ kW<37

Tier 2 2004 and lat er

2007 9.5 0.80

Tier 1 2000-2003 14.6

Tier 2 2004-2007 11.5 1.2 37 ≤ kW< 75 56

Tier 3 1 2008 and later

2011 7.5 1.2

Tier 1 2000-2003 14.6

Tier 2 2004-2007 11.5 1.2 56 ≤ kW<75

Tier 3 2008-2011 7.5 1.2

Tier 1 2000-2002 14.6

Tier 2 2003-2006 11.5 1.2 75 ≤ kW<130

Tier 3 2007 and later

2011 6.6 1.2

Tier 1 2000-2002 14.6

Tier 2 2003-2005 10.5 0.54 130 ≤ kW<225

Tier 3 2006 and later

2010 6.6 0.54

Tier 1 2000 14.6

Tier 2 2001-2005 10.5 0.54 225 ≤ kW<450

Tier 3 2006 and later

2010 6.4 0.54

Tier 1 2000-2001 14.6

Tier 2 2002-2005 10.5 0.54 450 ≤ kW ≤ 560

Tier 3 2006 and later

2010 6.4 0.54

Tier 1 2000-2005 14.6 kW>560

Tier 2 2006 and later

2010 10.5 0.54

1. Manufacturers may optionally certify engine fami lies to the interim Tier 4 FEL caps in Table 2b for this power category through

2012.18

(B) For engine families subject to the 2008 and Lat er Test Procedures, the manufacturer must set a family emission limit (FEL) not to exceed, as applicable, the

levels contained in Table 2b. Three distinct FEL t ypes (primary, interim, and alternate) are available conditionally. Primary FEL types are applicable to all power categories indefinitely, whereas interim and alternate FEL typ es are of variable duration and may be selectively applied to total or partial engine f amily production volumes as described

in the 2008 and Later Test Procedures. The FEL est ablished by the manufacturer serves as the emission standard for that engine fam ily, and is used for determining NTE limits in conjunction with the criteria in Table 1c . Temporary compliance adjustment factors, as explained in the 2008 and Later Test Pr ocedures, shall be applied by the manufacturer to compensate for the use of transitio nal alternate FELs (Type ALT 20% in Table 2b) when calculating emission credits. Ta ble 2b follows:19

Table 2b – Upper Limit for Tier 4 Family Emission L imits (FELs) and Alternate Allowances

Part 1

PM NOX NMHC+

NOX MAXIMUM

ENGINE POWER FEL TYPE MODEL YEAR

grams per kilowatt-hour

kW<8 Primary 2008 and later 0.80 - 10.5

8 ≤ kW<19 Primary 2008 and later 0.80 - 9.5

Interim 2008-2012 0.60 - 9.5

Primary 2013 and later 0.05 - 7.5

ALT 20% 1 2013-2016 19 ≤ kW<37

ALT 5% 2 2017 and later 0.30 - 7.5

Interim 2008-2012 3 0.40 - 7.5

Primary 2013 and later 3 0.05 - 7.5

ALT 20% 2013-2016 3 37 ≤ kW<56

ALT 5% 2017 and later 3 0.30 - 7.5

Phase-in 0.80 -

Phase-out 2012-2013 0.04

- 7.5

2012-2013 3.0 7
Alternate NOx Std 4

2012-2014 0.04 4.4 -

Primary 2014/2015 5 and later 0.04 0.80 -

ALT 20% PM 2012-2015 0.40 -

ALT 20% NOX 2014-2015 6 4.4 - 56 ≤ kW<75

ALT 5% 2016 and later 0.40 4.4 -

Notes: 1 This alternate FEL option is transitional for the four years specified and applies to at most 20 % of a manufacturer’s U.S. directed population of engine families per year. 2 This alternate FEL option is available indefi nitely, but only applies to 5% of a manufacturer’s U.S. directed population of engine families per year. 3 These dates correspond to the compliance opti on of meeting interim standards in 2008; else the p rimary and alternate FEL caps would begin and end one year earlier, and 2008-2011 engines would not be eligible for participation in the Tier 4 ABT program. 4 Two alternate NOx standards and corresponding FEL caps are available for this category with corr esponding alternate phase-in options. 5 The effective date of the primary FEL cap fol lows the phase-in period of the selected NOx FEL ca p. 6 If interim Tier 4 standards are not met in 20 08, the alternate NOx FEL would only be available f or 2015. 7 If neither the alternate phase-in option nor banked Tier 2 credits are used, either NOx standard and corresponding FEL may be applied for this category.20

Table 2b – Upper Limit for Tier 4 Family Emission L imits (FELs) and Alternate Allowances

Part 2

PM NOX NMHC+

NOX MAXIMUM

ENGINE POWER FEL TYPE MODEL YEAR

grams per kilowatt-hour

Phase-in 0.80 -

Phase-out 2012-2013

- 6.6

2012-2013 3.0 7

- Alternate NOx Std 4

2012-2014 3.8 -
Primary 2014/2015 5 and later 0.04

0.80 -

ALT 20% PM 2012-2015 0.30 -

ALT 20% NOX 2014-2015 6 3.8 - 75 ≤ kW<130

ALT 5% 2016 and later 0.30 3.8 -

Phase-in 0.80 -

Phase-out 2011-2013

- 6.6/6.4 8

Alternate NOx Std 2011-2013 2.7 -
Primary 2014 and later 0.04

0.80 -

ALT 20% PM 2011-2014 0.20 -

ALT 20% NOX 2014 3.8 - 130 ≤ kW ≤ 560

ALT 5% 2015 and later 0.20 3.8 -

Interim 2011-2014 0.20 6.2 -
Primary 2015 and later 0.05 1.07 -

ALT 20% 2015-2018

- GEN>560kW

ALT 5% 2019 and later 0.10 3.5

-

Interim 2011-2014 0.20 -
Primary 2015 and later 0.07 -

ALT 20% 2015-2018

- ELSE>560kW

ALT 5% 2019 and later 0.10 6.2

-

Notes: 4 Two alternate NOx standards and corresponding FEL caps are available for this category with corr esponding alternate phase-in options. 5 The effective date of the primary FEL cap fol lows the phase-in period of the selected NOx FEL ca p. 6 If interim Tier 4 standards are not met in 20 08, the alternate NOx FEL would only be available f or 2015. 7 If neither the alternate phase-in option nor banked Tier 2 credits are used, either NOx standard and corresponding FEL may be applied for this category. 8 The phase-out NMHC+NOX FEL cap is 6.6 g/kW-hr for engines < 225 kW, and 6.4 g/kW-hr for engines ≥ 225 kW in this category.

(C) Split family provision . For generating or using credits in the 56 ≤ kW ≤ 560 power categories during the phase-in of Tier 4 stan dards, engine manufacturers may elect to split an engine family into two subfamilie s (e.g., one which uses credits and one which generates credits for the same pollutant). Th e engine manufacturer must indicate in the application for certification that the engin e family is to be split, and may calculate21

emission credits relative to different emission sta ndards (i.e., phase-in and phase-out standards) for different sets of engines within the engine family, but must certify the engine family to a single set of standards and FELs . The engine manufacturer shall calculate NMHC+NOx emission credits by adding the N Ox FEL to the NMHC phase-in standard for comparison with the applicable NMHC+NO x phase-out standard. Any engine family certified under the provisions of thi s paragraph (C) must meet the applicable phase-in standard for NMHC. The engine manufacturer shall be responsible for assigning the number and configurations of engi nes within the respective subfamilies before the due date of the final report required in Part 1039, Subpart H of the 2008 and Later Test Procedures. The same label must be appl ied to each engine in the family, and must include the NOx FEL to which the engine is certified.

(3)(A) The opacity of smoke emissions from new 1996 through 1999 model year heavy-duty off-road compression-ignition engines 17 5 to 750 horsepower, inclusive, or from all new 2000 and later model year compression- ignition engines sold in this state,

shall not exceed , based on the applicable measurement techniques sp ecified in Part 89, Subpart B of the 2000 Plus Limited Test Procedures and Part 1039, Subpart B of the 2008 and Later Test Procedures, the following :

1. 20 percent during the engine acceleration mode. 2. 15 percent during the engine lugging mode. 3. 50 percent during the peaks in either mode.

(B) The following engines are exempt from the requi rements of this

s ection paragraph (3) :

1. Single-cylinder engines. 2. Propulsion marine compression-ignition engines. 3. Constant-speed engines.

4. Engines certified to a PM emission standard or FEL of 0.07 grams per kilowatt-hour or lower

(4) Low-emitting Blue Sky Series engines requiremen ts.

(A) Voluntary standards. Engines subject to the standards in (b)(1)(A) may be designated “Blue Sky Series” engines through the 2004 model year by meeting the voluntary standards contained in Table 3, which app ly to all certification and in-use testing. Blue Sky Series engines shall not be incl uded in the Averaging, Banking, and Trading program. Table 3 follows:22 Table 3. – Voluntary Emission Standards (grams per kilowatt-hour)

Maximum Rated Power (kW) NMHC+NO

x PM

KW<8 4.6 0.48

8 ≤ kW<19 4.5 0.48

19 ≤ kW<37 4.5 0.36

37 ≤ kW<75 4.7 0.24

75 ≤ kW<130 4.0 0.18

130 ≤ kW ≤ 560 4.0 0.12

KW>560 3.8 0.12

(B) Additional standards. Blue Sky Series engines are subject to all provis ions that would otherwise apply under this part, except as specified in (C) of this section.

(C) Test Procedures. NO

x , NMHC, and PM emissions are measured using the procedures set forth in 40 CFR part 86, subpart N ( July 1, 1999), which is incorporated by reference, in lieu of the procedures set forth i n subpart E of the 2000 and Later Plus

Limited Test Procedures. CO emissions may be measured usin g procedures set forth in 40 CFR part 86, subpart N (July 1, 1999), or in subpart E of the 2000 and Later Test Procedures. Manufacturers may use an alternate pro cedure to demonstrate the desired level of control if approved in advance by the Exec utive Officer. Engines meeting the requirements to qualify as Blue Sky Series engines must be capable of maintaining a comparable level of emission control when tested us ing the procedures set forth in both Section 89.112(c) and subpart E of the 2000 and Lat er Test Procedures. The numerical emission levels measured using the procedures from subpart E of the 2000 and

Later Plus Limited Test Procedures may be up to 20 percent higher tha n those measured using procedures from 40 CFR part 86, subp art N (July 1, 1999), and still be considered comparable.

(5) (A) No crankcase emissions shall be discharged into th e ambient atmosphere from any new 1996-1999 model year heavy-duty off-ro ad compression-ignition engine or any Tier 2 or later off-road compression-ignitio n engine subject to the 2000 Plus

Limited Test Procedures . This provision does not apply to petroleum-fuele d diesel cycle engines using turbochargers, pumps, blowers, or sup erchargers for air induction.

(B) For off-road compression-ignition engines subje ct to the 2008 and Later Test Procedures, no crankcase emissions shall be dischar ged directly into the ambient atmosphere from any engine, unless the sum of those discharged emissions are added to the exhaust emissions (either physically or math ematically) during all emission testing. To be eligible for this option, a manufac turer must design its engines so that all crankcase emissions can be routed into the applicab le sampling systems specified in the 2008 and Later Test Procedures, and must accoun t for deterioration in crankcase emissions when determining exhaust deterioration fa ctors. Crankcase emissions that23

are routed to the exhaust upstream of exhaust after treatment during all operation are not considered to be discharged directly into the a mbient atmosphere. Furthermore, engines using charge-air compression that are certi fied to a transitional alternate FEL (Type ALT 20% in Table 2b) during the first four ye ars of the Tier 4 standards for the applicable power category are exempt from this subs ection, but must instead comply with the requirements in Section 2423(b)(5)(A).

(6) Engine manufacturers that voluntarily certify e ngines to the Tier 4 standards in Table 1b earlier than required under this article m ay, according to the provisions in the 2008 and Later Test Procedures, generate additional ABT credits, or as an alternative, offset future Tier 4 compliance requirements should the equipment manufacturer that was provided the engine decline to use its early in troduction incentives according to the provisions in Section 2423(d)(9). Table 4, as foll ows, summarizes the incentives for the early introduction of Tier 4 engines and some of th e conditions that determine eligibility.

Table 4.

– Early Introduction Incentives for Engine Manufactu rers

EARLY

INTRODUCTION POWER

CATEGORY QUALIFYING STANDARDS 1

grams per kilowatt-hour PER-ENGINE

INCENTIVE

19 ≤ kW < 56 0.03 PM Final Tier 4 PM-Only 2

56 ≤ kW < 560 0.02 PM 3 for 2 PM-Only

19 ≤ kW < 56 0.03 PM / 4.7 NMHC+NOx

56 ≤ kW ≤ 560 0.02 PM / 0.40 NOx / 0.19 NMHC

GEN > 560 0.03 PM / 0.67 NOx / 0.19 NMHC Final Tier 4 ALL

ELSE > 560 0.04 PM / 3.5 NOx / 0.19 NMHC 3 for 2

Ultra Low NOx kW ≥ 19 Final Tier 4 PM & NMHC / 0.20 NOx 2 for 1

Notes: 1 All engines must meet the Tier 4 crankcase e missions requirements. Engines must certify using all test and other requirements otherwise required for final Tier 4 st andards such as for transient and not-to-exceed lim its. 2 Offsets must be earned prior to the start of phase-in requirements (prior to 2013 for 19 ≤ kW < 56 engines, prior to

2012 for 56 ≤ kW < 130 engines, prior to 2011 for 130 ≤ kW ≤ 560 engines, prior to 2015 for > 560 kW engines)

(7) Provisions for small-volume manufacturers . Small-volume engine manufacturers are entitled to special compliance pr ovisions under this paragraph, but must notify the Executive Officer in writing before January 1, 2008, of the intent to use the provisions.

(A) Small-volume engine manufacturers may delay com plying with certain otherwise applicable Tier 4 emission standards and requirements as described in the following table:24 Table 5. – Small-Volume Engine Manufacturer Provisi ons

Maximum Engine Power Temporary Relief

Replacement Standards Delay End Date ( Model Year )

kW < 19 Tier 2 2011

19 ≤ kW < 37 Interim Tier 4 2016

37 ≤ kW < 56 See paragraph (7)(B) of this section for special pr ovisions

that apply for engines in this power range.

56 ≤ kW < 130 Tier 3 2015

(B) The provisions of this paragraph (7) for engine s 37 ≤ kW < 56 are applicable per one of the following options:

1. Manufacturers that comply with the 0.30 g/kW-hr PM standard in all model years from 2008 through 2012 without using PM credi ts may continue meeting that standard through 2015.

2. Manufacturers that choose not to comply with par agraph (7)(B)1. of this section may continue to comply with the standards a nd requirements in the 2000 Plus Limited Test Procedures for model years through 201 2, but must begin complying in 2013 with the Tier 4 standards and requirements spe cified in Table 1b for model years

2013 and later.

(C) After the period of relief indicated in paragra phs (7)(A) and (B) of this section has expired, small-volume engine manufacturers must comply with the same Tier 4 standards and requirements as all other manufacture rs.

(D) For engines not in the 19 ≤ kW < 56 power range, small-volume engine manufacturers must meet the following conditions fo r the model years in which compliance with the otherwise applicable standards under this paragraph (7) is delayed:

1. Produce engines that meet all the emission stand ards and other requirements under the 2000 Plus Limited Test Procedures applica ble for that model year, except as noted in this paragraph (7).

2. Meet the labeling requirements in the 2000 Plus Limited Test Procedures, but must use the following in place of the otherwise re quired statement of compliance in Section 2424(c)(2): "THIS ENGINE COMPLIES WITH CALI FORNIA REGULATIONS FOR [CURRENT MODEL YEAR] OFF-ROAD COMPRESSION-IGNIT ION ENGINES UNDER 13 CCR 2423(b)(7)." The referencing of simil ar federal requirements under this provision is permitted.25

3. Small-volume engine manufacturers must notify th e equipment manufacturer that the engines produced under this section are ex cluded from the production volumes associated with the equipment manufacturer flexibil ity program in Section 2423(d).

(E) For engines in the 19 ≤ kW < 56 power range, small-volume engine manufacturers must meet the following conditions fo r the model years in which compliance with the otherwise applicable standards under this paragraph (7) is delayed:

1. Produce engines in those model years that meet a ll the emission standards and other requirements that applied for model year 2008 engines in the same power
category.

2. Meet the labeling requirements in Section 2424(c )(3), but use the following compliance statement instead of the compliance stat ement in Section 2423(c)(3): "THIS ENGINE COMPLIES WITH CALIFORNIA REGULATIONS FOR [CU RRENT MODEL YEAR] OFF-ROAD COMPRESSION-IGNITION ENGINES UNDER 1 3 CCR 2423(b)(7)." The referencing of similar federal re quirements under this provision is permitted.

3. Notify the equipment manufacturer that engines p roduced under this section are excluded from the production volumes associated with the equipment-manufacturer allowance program in Section 2423(d).

(F) The provisions of this paragraph (7) may not be used to circumvent the requirements of this article.

(8) Useful life . For purposes of certification, a manufacturer mu st demonstrate compliance with the standards set forth in this par agraph (b) over the full useful life of the engine, as defined in the applicable test proce dures.

(9) NTE deficiencies . A manufacturer may petition the Executive Office r to accept an off-road compression-ignition engine as c ompliant with the NTE requirements specified in the 2008 and Later Test Procedures eve n though specific elements of those requirements may not be fully met. Such grants of compliance, otherwise known as deficiencies, shall be limited to engines that have functioning emission-control hardware capable of allowing the engine to comply with the N TE limits. Deficiencies shall be granted by the Executive Officer according to the f ollowing stipulations:

(A) A manufacturer must apply for specific deficien cies at the time of, or prior to, submitting its application for certification. Defi ciencies shall be assigned for an engine model within an engine family. The Executive Offic er shall not approve deficiencies that are requested retroactively to cover engines alread y certified. The scope of each deficiency must be clearly identified in the certif ication application, and any auxiliary emission control device(s) used to control emission s to the lowest practical level must be identified with respect to each deficiency that is being requested.26

(B) Deficiencies shall only be approved if complian ce would be infeasible or unreasonable considering factors such as the techni cal feasibility of the given hardware, the availability of lead time, production cycles in cluding the phase-in or phase-out of engines or vehicle designs, and planned computers u pgrades. Other relevant factors may be considered.

(C) Deficiencies shall expire after a single model year and may be limited to specific engine configurations. The Executive Offi cer may approve a manufacturer’s request for the same deficiency in the following mo del year if correcting the deficiency would require extreme hardware or software modifica tions and the manufacturer has demonstrated an acceptable level of effort toward c omplying.

(D) The number of deficiencies available to a manuf acturer shall not be limited during the first three model years in which NTE lim its apply to the manufacturer’s engines. For the next four model years, up to thre e deficiencies per engine family shall

be available to a manufacturer. Deficiencies of th e same type that apply similarly to different power ratings within a family shall count as one deficiency per family. The Executive Officer may conditionally approve additio nal deficiencies during these four years, but may impose stipulations on their applica bility as appropriate. Deficiencies shall not be approved beyond the seven-year period specified in this paragraph (8).

(10) Adjustable parameters . Manufacturers that design engines with adjustabl e parameters must meet all the requirements of this p aragraph (b) for any adjustment in the physically adjustable range. An operating para meter is not considered adjustable if it is permanently sealed or if it is not normally a ccessible using ordinary tools. The Executive Officer may require that the adjustable p arameters be set to any specification within the adjustable range during any testing, inc luding certification testing, selective enforcement auditing, or in-use testing.

(11) Prohibited controls . A manufacturer shall not design engines with emi ssion control devices, systems, or elements of design tha t cause or contribute to an unreasonable risk to public health, welfare, or saf ety while operating.

(12 ) Defeat devices . Engines equipped with a defeat device shall not be certified for sale in California. A defeat device is a compo nent or system that reduces the

effectiveness of emission controls under conditions that the engine may reasonably be expected to encounter during normal operation and u se. This prohibition does not apply to auxiliary-emission control devices identified in the certification application if one of more of the following is true:

(A) The operating conditions where the auxiliary-em ission control device is active were substantially encountered during all testing r equirements as described in Part 1039, Subpart F of the 2008 and Later Test Procedur es.

(B) The design of the auxiliary-emission control de vice is shown to be necessary for preventing engine (or equipment) damage or acci dents.27

(C) The auxiliary-emission control device only redu ces the effectiveness of emissions control during engine starting.

(c)(1) The test procedures for determining certific ation and compliance with the standards for gaseous exhaust emissions from new 19 96-1999 heavy-duty off-road compression-ignition engines sold in the state are set forth in the 1996-1999 HeavyDuty Test Procedures.

(2) (A) The test procedures for determining certification and compliance with the standards for gaseous exhaust emissions and the sta ndards for opacity of smoke emissions from new 2000 model year and later off-ro ad compression-ignition engines for which the standards in paragraph (b)(1)(A) are applicable, and sold in the state

, are set forth in the 2000 and Later Plus Limited Test Procedures.

(B) The test procedures for determining certificati on and compliance with the standards for gaseous exhaust emissions, particulat e exhaust emissions, opacity of smoke emissions, and not-to-exceed emissions from n ew 2008 model year and later off-road compression-ignition engines for which the limits in paragraph (b)(1)(B) are applicable, and sold in the state, are set forth in the 2008 and Later Test Procedures.

(3) The test procedures for determining certificati on and compliance with the standards for particulate exhaust emissions from ne w 1996 and later off-road compression-ignition engines for which the standards in paragraph (b)(1)(A) are applicable, and sold in the state

, are set forth in the PM and Test Cycle Limited Test

Procedures.

(4) The test procedures for determining certificati on and compliance with the standards for the opacity of smoke emissions from n ew 1996-1999 off-road compression-ignition engines sold in the state are set forth in the 1996-1999 Smoke

Test Procedures.

(d) Implementation flexibility for equipment and vehicle manufacturers and postmanufacture marinizers. For a limited time, O o ff-road equipment and vehicle manufacturers and post-manufacture marinizers may take any of the otherwise prohibited actions identified in the 2000 and Later Test Procedures (Section 89.1003(a)(1)) with respect to produce equipment with engines that are subject to less stringent emission standards than required by Table s 1a and 1b for new 2000 model year and later off-road equipment and vehicles and marine compression-ignition engines, subject to the requirements of paragraph ( e) of this section. Separate provisions are provided for equipment with engines subject to the 2000 Plus Limited Test Procedures versus equipment with engines subje ct to the 2008 and Later Test Procedures, and are identified accordingly in the f ollowing subsections. Only manufacturers that have primary responsibility for designing and manufacturing equipment, and have manufacturing procedures for in stalling engines in equipment, are eligible to participate in the equipment manufactur er flexibility program provided by the28

2008 and Later Test Procedures. Equipment manufact urers participating in this flexibility program must comply with the notificati on and reporting requirements specified in Section 2423(d)(7). Engines produced for this f lexibility program using FELs greater than the applicable standards must be offset with s ufficient ABT credits. The following allowances apply separately to each engine power ca tegory subject to standards under Section 2423(b)(1):

(1) Percent-of-production allowances.

(A) Equipment rated at or above 37kW and subject to the 2000 Plus Limited Test

Procedures

. For off

- road equipment and vehicles with engines rated at o r above 37kW,

a A manufacturer may take any of the actions identified in the 2000 and Later Test

Proced ures (Section 89.1003(a)(1)) produce equipment and vehicles with engines rated at, or above, 37kW that are exempted from meeting c urrent model year emission

standards for a portion of its California-directed production volume of such equipment

and vehicles during . These percent-of-production flexibility allowanc es must be used

within the seven years immediately following the date on w hich Tier 2 engine standards first apply to engines used in such equipment and v ehicles, provided that the seven-year sum of the U.S.-directed portion s in each year of the manufacturer’s percent-of-production flexibility allowances

, as expressed as a percentage for each

year, does not exceed 80 percent

, expressed in cumulative yearly percentage increments, and provided that all such equipment and vehicles or equipment contain only Tier 1 engines that have been certified to the Tier 1 or Tier 2 standards ;

(B) Equipment rated under 37kW and subject to the 2000 Plus Limited Test

Procedures

. For off

- road equipment and vehicles and marine diesel engines with engines rated under 37kW, a A manufacturer or post-manufacture marinizer may take any of the actions identified in the 2000 and Later Test Procedures (Section 89.1003(a)(1)) produce equipment and vehicles and marine engines w ith engines rated under 37kW that are exempt from meeting current mod el year emission standards for a portion of its California-directed production volum e of such equipment and vehicles during . These percent-of-production flexibility allowanc es must be used within the seven years immediately following the date on which Tier 1 engine standards first apply to engines used in such equipment and vehicles and marine engines , provided that the seven-year sum of the U.S.-directed portion s in each year of the manufacturer’s percent-of-production flexibility allowances , as expressed as a percentage for each

year, does not exceed 80 percent, expressed in cumulative yearly percentage

increments

. ;

(C) Equipment subject to the 2008 and Later Test proced ures. A manufacturer may produce equipment and vehicles with engines tha t are exempt from meeting current model year emission standards for a portion of its California-directed production volume. These percent-of-production flexibility al lowances must be used within one of the seven-year flexibility usage periods specified in Table 6 for each applicable power category, provided that the seven-year sum of the U .S.-directed portion of the manufacturer’s percent-of-production flexibility al lowances does not exceed 80 percent,29

expressed in cumulative yearly percentage increment s, except as provided for in paragraph (d)(6) or (f). Equipment used as percent -of-production flexibility allowances must contain only engines that have been certified to, at least, the standards listed in Table 6, corresponding to the flexibility usage per iod selected by the manufacturer. All flexibility allowances for a power category must be used within the same flexibility usage period.

Table 6. – Tier 4 Flexibility Allowance Options

Power Category 7 Year Usage Period Flexibility Standard

< 19 kW 2008 – 2014 Tier 2

2008 – 2014 1 Tier 3 2

19 ≤ kW < 56 2012 - 2018 2008 Interim Tier 4

2012 - 2018 Tier 3 56 ≤ kW < 130 2014 - 2020 2012 Interim Tier 4

2011 - 2017 Tier 3 130 ≤ kW ≤ 560 2014 - 2020 2011 Interim Tier 4

2011 - 2017 Tier 2 > 560 kW 2015 - 2021 2011 Interim Tier 4

Notes: 1 This usage period is not available for allowa nces greater than or equal to 37 kW unless interim Tier 4 standards have been met starting in 2008. 2 Flexibility allowances under 37kW may contain engines certified to the Tier 2 standards.

(2) (A) Small volume allowances subject to the 2000 Plus Limited Test

Procedures

. An off-road equipment or vehicle manufacturer or post-manufacture r marinizer may exceed the production percentages in paragraph s (d)(1) (A) and (B) of this section for a portion of its California-direct ed production, provided that in each regulated power category the manufacturer’s total number of U.S.-directed excepted off-road equipment and vehicles and marine diesel engines applications that contain engines which are exempt from meeting current model year emission standards over the years in which the percent-of-production allowa nce applies:

(A) 1. does not exceed 100 units times the number of year s in which the percentof-production allowance applies, and

(B ) 2. does not exceed 200 units in any year, and

(C) 3. does not use engines from more than one engine fam ily , or, for excepted equipment, vehicles, and marine diesel engines usin g engines not belonging to any engine family, from more than one engine manufa c turer

.30

(B) Small volume allowances subject to the 2008 and Lat er Test Procedures. As an alternative to the percent-of-production allowan ce in Section 2423(d)(1)(C), an off-road equipment or vehicle manufacturer may prod uce equipment with engines that are exempt from meeting current model year emission standards for a portion of its California-directed production volume, provided tha t the exempt equipment is a subset of the manufacturer’s U.S.-directed volume of exemp t equipment and the manufacturer is in compliance with the following provisions:

1. Single engine family provision . A manufacturer may claim up to 700 U.S.-directed flexibility allowances within a power category during one of the seven-year flexibility usage periods specified in Table 6, but no more than 200 allowances in a single year within a power category, except as prov ided for in paragraph(d)(6) or (f). Engines within a power category that are used in th ese flexibility allowances must be from a single engine family within a given year.

2.a. Multiple engine family provision for flexibility al lowances below 130 kW . A manufacturer may claim up to 525 U.S.-directed flex ibility allowances within a power category during one of the seven-year flexibility u sage periods specified in Table 6, but no more than 150 allowances in a single year within a power category, except as provided for in paragraph (d)(6) or (f). Engines w ithin a power category that are used in these flexibility allowances may be from multiple e ngine families within a given year.

b. Multiple engine family provision for flexibility al lowances at or above 130 kW

. A manufacturer may produce up to 350 U.S.-directed flexibility allowances within a power category during one of the seven-year flexibi lity usage periods specified in Table 6, but no more than 100 allowances in a single year within a power category, except as provided for in paragraph (d)(6) of (f). Engines w ithin a power category that are used in these flexibility allowances may be from multiple e ngine families within a given year.

(3) (A) Inclusion of previous-tier engines. Off-road equipment and vehicles and marine diesel engines built with previous tier or n oncertified engines under the existing inventory provisions of the 2000 and Later Plus Limited Test Procedures (40 CFR Section 89.1003(b)(4)) need not be included in dete rmining compliance with paragraphs (d)(1) (A) and (B) and (d)(2) (A) of this section.

(B) Inclusion of engines not subject to Tier 4 requirem ents . Off-road equipment and vehicles built with engines otherwise exempt fr om the requirements of the 2008 and Later Test Procedures are not required to be counte d toward the percentage, or number, of claimed flexibility allowances under the provisions in Subsections (d)(1)(C) and (d)(2)(B). Such exempted engines include unuse d inventories produced prior to the effective date of the Tier 4 standards, excluding s tockpiled engines, and hand-startable, air cooled, direct-injection engines below 8 kW in 2008 and 2009 that do not meet the Tier 4 PM standard. Nonetheless, manufacturers may choose to include these engines in the count of total equipment produced from which the percentage of flexibility allowances in Subsection (d)(1)(C) is derived.31

(4) Early-use of flexibility allowances . Manufacturers may start using a portion of the flexibility allowances in Subsections (d)(1)(C) and (d)(2)(B) for equipment and vehicles containing engines not yet subject to the Tier 4 standards, provided that the seven-year period for using flexibility allowances under the 2000 Plus Limited Test Procedures flexibility program has expired. All eq uipment and vehicles claimed as flexibility allowances under this early-use provisi on must contain engines that have been certified to, at least, the Tier 1 standards. Manu facturers must count these Tier 2 or Tier 3 equipment and vehicles toward the total perc entage, or number, of flexibility allowances permitted under the provisions of Sectio ns (d)(1)(C) and (d)(2)(B). The maximum cumulative early-use allowance is 10 percen t under the percent-of-production provision in Section (d)(1)(C), or 100 units under the small volume provision in Section (d)(2)(B). Table 7 shows the applicable ye ars for using early-use flexibility

allowances. Table 7 follows:

Table 7. – Years for Early-Use Flexibility Allowanc es

Maximum Engine Power Calendar Years

kW < 19 2007

19 ≤ kW < 37 2006 - 2011

37 ≤ kW < 56 2011

56 ≤ kW < 75 2011

75 ≤ kW < 130 2010 - 2011

130 ≤ kW < 225 2010

225 ≤ kW < 450 2008 - 2010

450 ≤ kW ≤ 560 2009 - 2010

> 560 kW -

(5) Labeling requirements. Allowances claimed under the Tier 2/3 or Tier 4 equipment flexibility programs must be labeled, as appropriate, per the following:

(A) Engine labeling . Except for engines used in flexibility allowance s prior to January 1, 2007, engine manufacturers shall meet th e labeling requirements provided in Section 2424 with the following substitutions:

For flexibility engines meeting previous year emiss ion requirements, the engine manufacturer shall substitute the following for the statement of compliance required in Sections 2424(c)(1)(E)6 and 2424(c)(2):

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

CITED MAY BE A VIOLATION OF STATE LAW SUBJECT TO CI VIL PENALTY.” [Insert Engine Family Name]32

For flexibility engines less than 37 kW and not sub ject to emission requirements under the Tier 2/3 program, the engine manufacturer shall substitute the following for the statement of compliance required in Section 242 4(c)(1)(E)6:

“THIS ENGINE QUALIFIES FOR USE IN EQUIPMENT RATED B ELOW 37 KW BY PROVISION OF 13 CCR 2423(d). SELLING OR INSTALL ING THIS ENGINE
FOR ANY PURPOSE OTHER THAN FOR THE EQUIPMENT FLEXIB ILITY

PROVISIONS CITED MAY BE A VIOLATION OF CALIFORNIA L AW SUBJECT

TO CIVIL PENALTY.”

As an alternative for flexibility engines produced under the Tier 2/3 program, and for which the engine manufacturer offers proof to the E xecutive Officer that the otherwise required statements of compliance in this subsectio n would be unduly burdensome or costly to implement, engine manufacturers may inste ad use the following:

“THIS ENGINE CONFORMS TO CALIFORNIA OFF-ROAD COMPRE SSIONIGNITION ENGINE REGULATIONS UNDER 13 CCR 2423(d).” [Insert Engine Family Name if Certified]

These revised statements of compliance do not precl ude the referencing of similar federal requirements that would be satisfied simult aneously by meeting the provisions of Section 2423(d). Furthermore, the Executive Office r may, upon request, approve alternate labeling specifications that are equivale nt to the specifications in this

subsection.

(B) Equipment Labeling . For all allowances claimed under the Tier 4 flex ibility program, equipment manufacturers shall affix a perm anent label to the engine, or to a readily visible section of the equipment that canno t be easily removed. The label shall be in the English language, shall supplement the ma nufacturer’s emission control information label, and shall include the following information:

1. The label heading “EMISSION CONTROL INFORMATION”

. 2. The equipment manufacturer’s corporate name and trademark. 3. The calendar year in which the equipment is manu factured. 4. The name, e-mail address, and phone number of a person to contact for

further information. 5. The following statement: “THIS EQUIPMENT [or identify the type of equipment] HAS AN ENGINE

THAT MEETS CALIFORNIA EMISSION STANDARDS UNDER 13 C CR 2423(d).”

This label content does not preclude the referencin g of similar federal requirements that would be satisfied simultaneously by meeting the pr ovisions of Section 2423(d).

(6) Technical hardship allowances . Equipment manufacturers may apply for additional flexibility allowances should extreme an d unusual circumstances occur33

leading to technical obstacles in complying with th e Tier 4 requirements. A manufacturer may request additional allowances for power categories 19 ≤ kW ≤ 560 if it claims allowances under the provisions of Sectio n 2423(d)(1)(C), but may only request additional allowances for power categories 19 ≤ kW < 56 if it claims allowances under the provisions of Section 2423(d)(2)(B). Add itional flexibility allowances shall not be provided when the engine and equipment are produ ced by the same manufacturer,

or affiliate. The Executive Officer shall review r equests for additional flexibility allowances according to the following stipulations:

(A) The manufacturer requesting additional allowanc es must demonstrate that the circumstances necessitating them were outside t he control of the manufacturer and

could not have been avoided with reasonable discret ion. The manufacturer must also demonstrate that it has exercised prudent planning and has taken reasonable steps to minimize the scope of the request.

(B) Manufacturers applying for additional flexibili ty allowances must do so in writing to the Chief of the Mobile Source Operation s Division, or designee, prior to the earliest date in which the applying manufacturer wo uld be in violation of Section 2423(b)(1). All applications shall provide , at a minimum, the following

information:

1. A description of the manufacturer’s equipment de sign process.

2. A description of the relationship with the engin e supplier regarding product design.

3. An explanation of the technical hardship leading to this request, why it cannot be addressed without additional flexibility allowan ces, and an explanation of the circumstances behind the technical hardship and why it was unavoidable.

4. A description of the information and products pr ovided by the engine supplier related to equipment design, including specificatio ns, performance data, prototypes, and the dates of delivery.

5. A comparison of the design processes of the equi pment model(s) for which

additional allowances are needed versus those of ot her models that do not need additional allowances, and an explanation of how th e technical differences between the models justify the request for addition al allowances.

6. A description of all efforts to find and use oth er compliant engines, or otherwise an explanation why none are available.

7. A description of the steps taken to minimize the scope of the manufacturer’s request, and any other relevant information.34

8. An estimation of the number of additional allowa nces needed for each equipment model covered by the request, subject to Sections 2423(d)(6)(C) and (d)(6)(D) below.

Notwithstanding, the Executive Officer may require additional information as deemed necessary before making a determination for relief.

(C) The following limits shall apply for additional flexibility allowances granted in connection to the percent-of-production provisions in Section 2423(d)(1)(C):

1. A manufacturer’s California-directed share of ad ditional flexibility allowances for each power category shall be a subset of its U. S.-directed allowances for the same power category, provided that the additional U .S.-directed allowances do not exceed 70 percent of the U.S.-directed volume o f production for the power category for one year.

2. All primary percent-of-production allowances mus t be completely used up prior to the use of any additional flexibility allowances

.

3. All additional allowances shall expire 24 months after the start of the applicable flexibility usage period for each power category, a s specified in Table 6. These allowances shall only be used for the specific equi pment models covered in the manufacturer’s written application for relief.

(D) The following limits shall apply for additional flexibility allowances granted in connection to the small volume provisions in Sectio n 2423(d)(2)(B):

1. Only small equipment manufacturers, as defined b elow, that have not been granted additional flexibility allowances for the 1 9 ≤ kW < 56 power category under Section 2423(d)(6)(C), are eligible to reques t additional flexibility allowance under this provision.

“Small equipment manufacturer,” for the purpose of this provision, means a federally defined small-business equipment manufact urer that had an annual U.S.-directed production volume of equipment using off-road diesel engines

19 ≤ kW < 56 of no more than 3,000 units in 2002 and al l earlier calendar years, and has 750 or fewer employees (500 or fewer employ ees for nonroad equipment manufacturers that produce no constructio n equipment or industrial trucks). For manufacturers owned by a parent compa ny, the production limit applies to the production of the parent company and all its subsidiaries and the employee limit applies to the total number of emplo yees of the parent company

and all its subsidiaries.

2. All primary small volume allowances for the 19 ≤ kW < 56 power category must be completely used up for a given year prior to the use of additional flexibility

allowances.35

3. Additional allowances shall only be used for equ ipment with engines rated

19 ≤ kW < 37.

4. A manufacturer’s California-directed share of ad ditional flexibility allowances under this provision shall be a subset of its U.S.- directed allowances, which shall not exceed 1,100.

5. All additional allowances shall expire 36 months after the start of the applicable flexibility usage period for each power category, a s specified in Table 6. The allowances shall only be used for the specific equi pment models covered in the manufacturer’s written application for relief. The additional allowances are not subject to small volume annual limits.

(7) Notification and reporting requirements for using T ier 4 flexibility allowances

. As a prerequisite to using any Tier 4 flexibility a llowances, the equipment manufacturer shall notify the ARB of its intent to use such allo wances. The manufacturer shall also send an annual report after each year that flexibil ity allowances have been used to verify that the allowances claimed do not exceed th e number of allowances permitted.

(A) Before January 1 of the first year that flexibi lity provisions will be used, a written notice informing ARB of the manufacturer’s intent to use flexibility allowances must be sent to the Chief of the Mobile Source Oper ations Division, or designee, containing the following information:

1. The equipment manufacturer’s name and address, a nd the name and address of the parent company, if applicable.

2. The name and telephone number of a person to con tact for more information.

3. The calendar years for which the Tier 4 flexibil ity provisions shall apply.

4. The engine manufacturer’s name and address that produces the engines which will be used in the equipment claimed as flex ibility allowances.

5. An accurate estimate of the number of flexibilit y allowances in each power category that will be produced under the percent-of -production provisions in Section 2423(d)(1)(C), or the small volume provisio ns in Section 2423(d)(2)(B).

6. A tabulation of U.S.-directed flexibility allowa nces in each power category that have been sold in previous calendar years under the provisions of Section 2423(d) and 40 CFR 89.102(d).

(B) For each year that Tier 4 flexibility allowance s are used, the equipment manufacturer shall submit, by March 31 of the follo wing year, a written report to the Chief of the Mobile Source Operations Division, or designee, documenting the utilization36

of those allowances. This report shall include the total number of equipment sold by the manufacturer during the preceding year for each pow er category, based on actual U.S.-directed production information, and shall ide ntify the flexibility allowances in each power category by reporting the percentages of U.S. -directed flexibility production corresponding to the number of equipment in each po wer category. The report shall also identify the cumulative yearly totals and perc entages for all flexibility allowances sold for each power category. Alternatively, the p ercentage figures may be omitted from the report if the report states that percent-of-pro duction allowances were not used. If available, end of year percentage figures for Calif ornia-directed sales shall also be included in this report.

(8) Import restrictions on the use of Tier 4 flexibilit y allowances . Foreign equipment manufacturers may only import equipment w ith exempted flexibility engines into California according to the stipulations in Se ction 1039.626 of the 2008 and Later Test Procedures. These stipulations address the po tential for abuse whereby individual importers could collectively import more flexibilit y allowances than permitted based on the foreign equipment manufacturer’s total producti on for the United States market. The stipulations include acceptance by the foreign equi pment manufacturer of random audits by the ARB or its representatives, and the posting of a monetary bond for each imported engine to cover the cost of any potential enforceme nt actions. Foreign equipment manufacturers who comply with the stipulations will be eligible to receive the same flexibility allowances as domestic manufacturers.

(9) Early introduction incentives for equipment manufac turers . In addition to the equipment flexibility allowances provided in Subsec tions (d)(1)(C) and (d)(2)(B), equipment manufacturers, as provided in the 2008 an d Later Test Procedures, may earn additional allowances for the early introducti on of equipment with engines meeting the Tier 4 standards in Table 1b. Equipment manufa cturers installing engines at or above 19 kW that comply with the final Tier 4 PM an d NOx standards could earn one flexibility allowance for each early Tier 4 complia nt engine used in its equipment. Equipment manufacturers installing engines 56 ≤ kW ≤ 560 that comply with the final

Tier 4 PM standard and the alternative NOx standard could earn one-half of a flexibility allowance for each early Tier 4 engine used in its equipment. Table 8, below, summarizes the incentives for the early introductio n of Tier 4 compliant equipment and some of the conditions that determine eligibility. Should an equipment manufacturer decline flexibility allowances earned with this pro vision, the allowances would then be available to the engine manufacturer that had suppl ied the early introduction engine, subject to the provisions in Section 2423(b)(6).37 Table 8. – Early Introduction Incentives for Equipm ent Manufacturers

POWER

CATEGORY QUALIFYING STANDARDS (g/kW-hr) INSTALLATION

DEADLINE FLEXIBILITY

ALLOWANCE

19 ≤ kW < 56 0.03 PM / 4.7 NMHC+NOx December 31, 2012 1 1 for 1

0.02 PM / 0.40 NOx / 0.19 NMHC 1 for 1

56 ≤ kW ≤ 130

0.02 PM / 3.4 NOx / 0.19 NMHC 2 December 31, 2011

1 for 2

0.02 PM / 0.40 NOx / 0.19 NMHC 1 for 1

130 ≤ kW ≤ 560
0.02 PM / 2.0 NOx / 0.19 NMHC 2 December 31, 2010

1 for 2

GEN > 560 0.03 PM / 0.67 NOx / 0.19 NMHC

ELSE > 560 0.04 PM / 3.5 NOx / 0.19 NMHC December 31, 2014 1 for 1

Notes:

1 The installation date for 37 ≤ kW ≤ 56 engines purchased from manufacturers choosing t o opt out of the 2008 model year Tier 4 standards and instead comply with the Tier 4 standa rds beginning in 2012 would be December 31, 2011. 2 To be eligible, engines must meet the 0.02 g/ kW-hr PM standard and the alternative NOx standards

.

(e) Recordkeeping and calculation to verify compliance. The following shall apply to off-road equipment or vehicle manufacturer s and post-manufacture marinizers who produce excepted flexibility equipment or vehicles or marine diesel engines unde r both the Tier 2/3 and Tier 4 flexibility provisions of paragraph (d) of this section , except

as otherwise noted :

(1) For each power category in which excepted off-r oad equipment or vehicles or marine diesel engines are produced, a calculation t o verify compliance with the requirements of paragraph (d) of this section shall be made by the off-road equipment or vehicle manufacturer or post-manufacture r marinizer. This calculation shall be made for flexibility allowances under the Tier 2/3 progr am no later than December 31 of the year following the last year in which allowances ar e used, and as indicated in Subsection (d)(7)(B) for flexibility allowances und er the Tier 4 program. The calculation shall be based on actual national production inform ation from the subject years. If both the percent-of-production and small volume allowanc es have been exceeded, then the manufacturer is in violation of Section 2420(a)(3), except as provided under Subsection (d)(6) and paragraph s (f) and (h) of this section.

(2) An off-road equipment or vehicle manufacturer o r post-manufacture r marinizer shall keep records of all off-road equipm ent and vehicles and marine diesel engines sold in California and excepted under the provisions of paragraph (d) of this section, for each power category in which exceptions are taken flexibility allowances are

claimed . These records shall include equipment and engine model numbers, serial numbers, and dates of manufacture, and engine rated power for Tier 2/3 flexibility engines, and maximum engine power for Tier 4 flexib ility engines . In addition, the manufacturer shall keep records sufficient to demon strate the verifications of38

compliance required in paragraph (e)(1) of this sec tion and the notifications and reports specified in Section 2423(d)(7), as applicable . All records shall be kept until at least two full years for flexibility allowances under the Tier 2/3 progr am and five full years for flexibility allowances under the Tier 4 program after the final year in which allowances are available for each power category, and shall be made available to the Executive Officer upon request.

(f) Economic H

h ardship relief. Off-road equipment and vehicle manufacturers and post-manufacture marinizers may t ake any of the otherwise prohibited actions identified in Section 89.1003(b)(4) of the 2000 and Later Test Procedures, if approved by the request relief from the Executive Officer

, or designee, and subject to the following requirements:

(1) The application for relief must be submitted fo r approval to the Chief of the Mobile Source Operations Division , or designee, in writing prior to the earliest date in which the applying manufacturer would be in violati on of Section 2423(b)(1). The off-road equipment or vehicle manufacturer applying for hardship relief must submit evidence for approval, showing that the following r equirements have been met:

(A) The off-road equipment or vehicle manufacturer applying for hardship relief must not be the manufacturer of the engines used in the equipment for which relief is sought. This requirement does not apply to post-manufacture r marinizers.

(B) The conditions causing the impending violation must not be substantially the fault of the applying manufacturer.

(C) The conditions causing the impending violation must be such that the off-road equipment or vehicle manufacturer applying for hard ship relief will experience serious economic hardship if relief is n ot granted.

(D) The off-road equipment or vehicle manufacturer applying for hardship relief must demonstrate that no allowances under paragraph (d) of this section will be available to avoid the impending violation.

(2) Any relief granted must begin within one year a fter the implementation date of the standard applying to the engines being used in the equipment, or to the marine diesel engines, for which relief is requested, and may not exceed one year 12 months (24 months for small volume manufacturers) in duration.

(3) The Executive Officer may impose other conditio ns on the granting of relief, including provisions to recover the lost environmen tal benefit. The labeling requirements in the 2008 and Later Test Procedures apply.

(g) Alternative Flexibility for Post-Manufacture Marini zers. Post-manufacture marinizers may elect to delay the effective date of the Tier 1 standards for marine39

propulsion diesel engines rated under 37kW by one y ear, instead of using the provisions of paragraphs (d) and (f) of this sectio n. Post-manufacture marinizers wishing to take advantage of this provision must in form the Executive Officer of their intent to do so in writing before the date that the standards would otherwise take effect.

(h) Allowance for the production of engines. Engine manufacturers may take any of the otherwise proh ibited actions identified in the 2000 and Later Tes t Procedures (Section 89.1003(a)(1)) with regard to uncertified engines or Tier 1 engines, as appropriate, if the engine is required t T o meet the demand for engines created under paragraph (d), (f), or (g) of this section , engine manufacturers may produce engines that do not meet current year emission requirements. Ho wever, engine manufacturers must receive written assurance from each equipment manuf acturer, prior to production, that a certain number of these engines are needed for the equipment manufacturer’s Tier 4 equipment flexibility allowances. Engine M m anufacturers shall provide to the Executive Officer annually, as part of the certification appl ication, a list of the equipment manufacturers requesting such engines for their Tier 2/3 and Tier 4 equipment flexibilit y allowances . The list shall include the equipment manufacture rs’ names, engine models,

and estimated national production volumes. A copy of the original correspondence from the equipment manufacturer requesting the productio n of flexibility engines shall be kept on file by the engine manufacturer in addition to, and in accordance with, the provisions of § 1039.250 of the 2008 and Later Test Procedures, and shall be made available without delay to the Executive Officer upon request . Furthermore, all engines produced

for sale in California under either of the transiti onal flexibility provisions for equipment manufacturers, must be covered by an Executive Orde r starting January 1, 2007. To obtain an Executive Order for these engines, the en gine manufacturer shall comply with the following:

(1) Prior to the start of production, submit a lett er to the Chief of the Mobile Source Operations Division, or designee, requesting certification for flexibility engines intended for sale in California, and

(2) Provide written assurance that the flexibility engines to be produced will be identical in all material respects to those for whi ch a valid Executive Order has been issued in a previous model year. The engi ne family name of the previously certified engine family must be included in the manufacturer’s request for certification.

Upon determination that the conditions in paragraph s (1) and (2) have been satisfied, the Executive Officer shall provide the engine manu facturer with an Executive Order covering the requested flexibility engine families for the current model year. The engine family names included in the Executive Order shall either be the same as, or a subset of the previously certified engine family names, and s hall remain the same for as long as the engines continue to qualify as flexibility allo wances regardless of model year. These engine family names shall be used by the engi ne manufacturer to comply with the labeling requirements of 2423(d)(5)(A).40

(i) [Reserved]

(j)(1) A new compression-ignition off-road engine i ntended solely to replace an engine in a piece of off-road equipment that was or iginally produced with an engine manufactured prior to the applicable implementation date as specified in Section 2423, shall not be subject to the emission requirements o f Section 2423 provided that:

(A) the engine manufacturer has ascertained that no engine produced by itself or the manufacturer of the engine that is being replac ed, if different, and certified to the requirements of this article, is available with the appropriate physical or performance characteristics to repower the equipmen t; and

(B) unless an alternative control mechanism is appr oved in advanced by the Executive Officer, the engine manufacturer or its a gent takes ownership and possession of the engine being replaced; and

(C) the engine manufacturer does not use the replac ement-engine exemption to circumvent the regulations; and

( C D ) the replacement engine is clearly labeled with th e following language, or similar alternate language approved in advance by t he Executive Officer:

“ THIS ENGINE DOES NOT COMPLY WITH CALIFORNIA AND FED ERAL OFF-ROAD
OR ON-HIGHWAY EMISSION REQUIREMENTS. SALE OR INSTA LLATION OF THIS

ENGINE FOR ANY PURPOSE OTHER THAN AS A REPLACEMENT ENGINE FOR AN ENGINE MANUFACTURED PRIOR TO JANUARY 1 [INSERT A PPROPRIATE YEAR] IS A VIOLATION OF CALIFORNIA AND FEDERAL LAW SUBJECT TO CIVIL

PENALTY. ”

2) At the conclusion of each of the 2000

- 2004 and later model years, the manufacturer must provide, by engine model, the act ual number of replacement engines produced for California during the model ye ar, and a description of the physical or performance characteristics of those models that indicate certified replacement engine(s) were not available as per paragraph (1).

(k) Any new engine certified to comply with Califor nia emission standards and test procedures for on-road applications may, upon approval by the Executive Officer, be considered to be in compliance with these regula tions.

(l) Practices and labeling requirements for rebuilt en gines. This subsection shall apply as provided in paragraph (1) below to all off -road compression-ignition engines subject to the requirements of Section 2423 that ar e rebuilt after December 31, 2006, including those engines that were originally manufa ctured on, or prior to, December 31,

2006.41

(1) Practices . The rebuilding practices described in Part 89.13 0 of the incorporated 2000 Plus Limited Test Procedures, inc luding the exemption for engines equal to or greater than 37 kW that meet the Tier 1 standard, and Part 1068.120 of the 2008 and Later Test Procedures shall apply. These practices are summarized in paragraphs (1)(A) and (1)(B) below, which are provi ded as respective references for the labeling requirements in paragraphs (2)(A) and (2)( B) of this subsection.

(A) Any person who rebuilds an engine that either r emains installed in a piece of equipment during the rebuilding process or will be reinstalled after the rebuilding process has been completed shall rebuild the engine to the same certified configuration or the certified configuration of a later model yea r engine. For the purposes of this section, these engines shall be referred to as “reb uilt original engines.”

(B) Any person who replaces the engine in a piece o f equipment with a rebuilt engine (this includes engines that have been substa ntially assembled from parts originally belonging to one or more other engines) shall use a replacement engine with a certified configuration that is at least equivale nt, from an emissions standpoint, to that of the engine being replaced. For the purposes of this section, these engines shall be referred to as “rebuilt replacement engines.”

(2) Labeling Requirements

.

(A) Rebuilt Original Engines. Any person who rebui lds engines for which the practices in paragraph (1)(A) of this subsection ap ply shall ensure that the rebuilt engines are labeled as follows:

1. An original engine that is rebuilt to the same e missions configuration employed by the engine at the time it was issued an Executiv e Order shall retain the emissions

control label described in Section 2424. The rebui lder shall not remove or deface in any manner the original label and must take care to pro tect it from the effects of sandblasting, acid dipping, or any other restorativ e processes. Notwithstanding the preceding requirements and prohibitions of this par agraph (2)(A)1., the rebuilder shall substitute a new permanent label containing the tex t in paragraph (2)(A)2. below for the original emission control label if the rebuilder de termines that the label has been irreparably corrupted due to extreme and unintentio nal circumstances (e.g., fire or collision). The rebuilder shall provide to the Exe cutive Officer annually a list of all rebuilt engines for which original labels have been removed under this provision no later than two months after the end of each calendar year. Th e rebuilder shall retain all removed labels, or otherwise document the degree to which t he labels were damaged or missing (e.g., photographic proof of the corruption), for a period of no less than eight years following the date of renovation, and shall make th ese available to the Executive Officer upon request. The rebuilder shall be subject to ci vil penalty under State law should the Executive Officer determine that the original emiss ion control label did not warrant replacement or that the rebuilder is abusing this p rovision;42

2. An original engine that is rebuilt to a more str ingent emissions configuration shall be permanently re-labeled using the following text:

“THIS ENGINE HAS BEEN REBUILT UNDER 13 CCR 2423(l) USING

MATCHED COMPONENTS OF THE SAME SPECIFICATIONS AND CALIBRATIONS AS THOSE OF A CERTIFIED TIER [ insert the numerical tier designation of the rebuilt engine ] OFF-ROAD COMPRESSION-IGNITION

ENGINE. IF PLACED INTO SERVICE IN AN OFF-ROAD APPL ICATION, THIS
ENGINE MUST BE INSTALLED IN EQUIPMENT ORIGINALLY SO LD WITH A TIER [ insert the numerical tier designation of the rebuil t engine ] OR EARLIER ENGINE. [ insert the engine family name of the reference engi ne ].”

For the purpose of this label, “MATCHED” means a co mplete set of components corresponding to the certified emissions configurat ion being referenced (see the definition of “certified emissions configuration” i n Section 2421(a)(13)). The reference engine is the engine family name corresponding to t he certified emissions configuration to which the engine has been rebuilt. The label sh all conform to the provisions of Section 2424 regarding location and visibility.

(B) Rebuilt Replacement Engines. Any person who re builds engines for which the practices in paragraph (1)(B) of this subsectio n apply shall ensure that the rebuilt engines are labeled as follows:

1. A replacement engine that is rebuilt to the same California emissions configuration employed by the engine at the time it was issued an Executive Order shall

either retain the emission control label described in Section 2424 or be permanently re-labeled using the text in paragraph (2)(A)2 of t his subsection. A replacement engine that is rebuilt to the same emissions configuration employed by the engine at the time it was issued a federal Certificate of Conformity, and for which no Executive Order exists, shall be permanently re-labeled using the text in p aragraph (2)(A)2 of this subsection. prior to being installed in equipment that was orig inally sold with a California certified engine;

2. A replacement engine that is rebuilt to a more s tringent emissions configuration shall be permanently re-labeled using the text in paragraph (2)(A)2.
above;

3. An incomplete rebuilt replacement engine shall b e permanently re-labeled using the text specified below. For the purposes o f this subsection, “incomplete rebuilt replacement engine” means a rebuilt replacement eng ine that is sold or offered for sale in California without all the necessary components to enable engine operation including, but not necessarily limited to, the fuel system and the air system:

“THIS ENGINE HAS BEEN REBUILT UNDER 13 CCR 2423(l) AS AN

INCOMPLETE ENGINE USING ONLY MATCHED COMPONENTS OF THE

SAME SPECIFICATIONS AND CALIBRATIONS AS THOSE FOUND IN43

OFF-ROAD COMPRESSION-IGNITION ENGINES CERTIFIED TO THE [ insert

the numerical tier or multiple tiers designation of the rebuilt engine ].”

Any person who completes an incomplete rebuilt repl acement engine with components that are not matched components, and the resulting engine is placed into service in California, is in violation of the rebui lding practices referenced under paragraph (1) of this subsection and subject to civ il penalty under State law.

(C) Supplemental Labeling Requirements. Except as noted below, any person who sells or offers for sale any rebuilt engine sub ject to the provisions of subsection (l) shall affix a supplemental label to the rebuilt eng ine that:

1. states the name of the rebuilder, year of rebui ld, and other pertinent information as determined by the rebuilder or speci fied by the Executive Officer; and

2. is clearly visible without the need to remove a ny engine components; and

3. does not obscure in any way the visibility of t he original emission control label or the labels required under paragraphs (2)(A)2. or (2)(B)3. of this subsection; and

4. does not state or imply that the rebuilt engine is “new” or that it belongs to an engine family other than the one to which it was or iginally certified; and

5. has sufficient durability to remain intact and legible throughout all mandatory record keeping periods for rebuilt engines.

The requirement for a supplemental label shall be w aived in cases where the rebuilder alternately chooses to incorporate the in formation in (C)1. above into the new permanent label specified in subsection (2)(A)2. or (2)(B)3.

(D) Rebuilt New Engines. Notwithstanding any other requirement of this subsection (l), any person who rebuilds an engine t o comply with current-year emission requirements (including, but not limited to, durabi lity and warranty), with the intent to sell or offer for sale the rebuilt engine as “new” under the coverage of a new and unique Executive Order, shall replace the original emissio n control label on that engine with one identifying the engine as belonging to a family mee ting current-year emission requirements in accordance with the provisions of S ection 2424. If desired, the rebuilder of a such an engine may optionally affix to it a supplemental label, but such a label would be required to comply with the same req uirements specified in paragraph (C) of this subsection for any other rebuilt engine

.

NOTE: Authority cited: Sections 39600, 39601, 43013 , 43018, 43101 and 43104, Health and Safety Code. Reference: Sections 43013, 43017, 43018, 43101, 43104 and 43211-43212, Health and Safety Code.44

§ 2424. Emission Control Labels — 1996 and Later O ff-Road CompressionIgnition Engines

(a) Purpose. The Air Resources Board recognizes that certain e missions-critical or emissions-related parts must be properly identif ied and maintained in order for engines to meet the applicable emission standards. The purpose of these specifications is to require engine manufacturers t o affix a label (or labels) on each production engine (or equipment) to provide the eng ine or equipment owner and service mechanic with information necessary for the proper maintenance of these parts in

customer use.

(b) Applicability.

(1) These specifications shall apply to 1996-1999 m odel year heavy-duty off-road compression-ignition engines, which have been certi fied to the applicable emission standards pursuant to Health and Safety Code Sectio n 43013.

(2) These specifications shall apply to 2000 and la ter model year compressionignition engines, which have been certified to the applicable emission standards pursuant to Health and Safety Code Section 43013.

(3) Engine manufacturers who have certified such en gines shall be responsible for complying with these specifications.

(c) Label Content and Location.

(1) For 1996-1999 heavy-duty off-road compression-i gnition engines:

(A) A tune-up label shall be permanently attached t o the engine block or other major component in such a way that it will be readily visible after installation of the engine in the equipment. If the equipment obscures the label on the engine, the equipment manufacturer shall attach a supplemental label such that it is readily visible.

(B) In selecting an acceptable location, the manufa cturer shall consider the possibility of accidental damage (e.g., possibi lity of tools or sharp instruments coming in contact with the label). Each label shal l be affixed in such a manner that it cannot be removed without destroying or defacing th e label, and shall not be affixed to any part which is likely to be replaced during the equipment’s useful life. The label(s) shall not be affixed to any component which is easi ly detached from the engine.

(C) In addition, an engine serial number shall be s tamped on the engine block or stamped on a metal label riveted to the en gine block. Engine manufacturers shall keep records such that the engine serial numb er can easily be used to determine if an engine was certified for the applicable model ye ar.45 (D) The label shall be in the English language and use block letters and

numerals which shall be of a color that contrasts w ith the background of the label.

(E) The label shall contain the following informati on:

1. The label heading shall read:

“Important Engine Information.”

2. Full corporate name and trademark of the manufac turer.

3. “This (specify equipment or engine, as applicabl e) is certified to operate on (specify operating fuel(s)).”

4. Identification of the Exhaust Emission Control Syst em . Abbreviations may be used and shall conform to the nomenclature a nd abbreviations found in the Society of Automotive Engineers document J1930 whic h is incorporated by reference herein [in Section 1977, Title 13, CCR], en titled “Diagnostic Acronyms, Terms, and Definitions for Electrical/Electronic Systems.”

5. The specifications and adjustments recommended b y the manufacturer, including, if applicable: initial injection timing, and fuel rate (in mm 3 /stroke) at advertised horsepower. These specifications shall indicate th e proper transmission position, (if applicable), during tune-up and what accessories, i f any, should be in operation, and what systems, if any (e.g., vacuum advance, air pum p), should be disconnected during the tune-up. If the manufacturer does not recommen d adjustment of the foregoing specifications, the manufacturer shall include in l ieu of the “specifications” the single statement “No other adjustments needed.” For all e ngines, the instructions for tune-up adjustments shall be sufficiently clear on the labe l to preclude the need for a mechanic or equipment owner to refer to another document in order to correctly perform the adjustments.

6. An unconditional statement of compliance with th e appropriate model year California regulations; for example, “This eng ine conforms to 1996 California regulations for heavy-duty off-road diesel cycle en gines as applicable."

7. Total engine displacement (in cubic centimeters, liters, or cubic inches) and engine family identification.

(F)1. The manufacturer of any engine certified with a clean fuel (i.e., lowsulfur diesel fuel) shall at the time of engine man ufacture, affix a permanent legible label specifying the appropriate operating fuel(s).

2. The label shall be located immediately adjacent to each fuel tank filler inlet and outside of any filler inlet compartment. It shall be located so that it is readily visible to any person introducing fuel to such fill er inlet; Provided, however, that the46

Executive Officer shall upon application from an en gine manufacturer, approve other label locations that achieve the purpose of this pa ragraph. If the engine is manufactured separately from the equipment, the lab el shall be affixed to the engine and located so that it is readily visible. Such la bels shall be in English and in block letters, which shall be of a color that contrasts w ith their background.

(2) For 2000 and later Tier 1, Tier 2, and Tier 3 off-road compression-ignition engines, the label content and location must comply with the requirements in

Section 89.110 of the 2000 and Later Test Procedure s.

(3) For 2008 and Later Tier 4 off-road compression- ignition engines, the label content and location must comply with the requireme nts in Section 1039.135 of the

2008 and Later test Procedures.

(d) The provisions of these specifications shall no t prevent a manufacturer from also stating on the label that such engine or equip ment conforms to any applicable federal emission standards for new engines, or any other information that such manufacturer deems necessary for, or useful to, the proper operation and satisfactory maintenance of the equipment or engine.

(e) As used in these specifications, readily visibl e to the average person shall

mean that the label shall be readable from a distan ce of eighteen inches (46 centimeters) without any obstructions from equipmen t or engine parts (including all manufacturer available optional equipment) except f or flexible parts (e.g., vacuum hoses, ignition wires) that can be moved out of the way without disconnection. Alternatively, information required by these specif ications to be printed on the label shall be no smaller than 8 point type size provided that no equipment or engine parts (including all manufacturer available optional equi pment), except for flexible parts,

obstruct the label.

(f) The labels and any adhesives used shall be desi gned to withstand, for the engine’s or equipment’s total expected life, typica l equipment environmental conditions in the area where the label is attached. Typical e quipment environmental conditions shall include, but are not limited to, exposure to engine fuels, lubricants and coolants (e.g., diesel fuel, motor oil, water, ethylene glyc ol). The manufacturer shall submit, with its certification application, a statement attestin g that its labels comply with these requirements.

(g) The manufacturer shall obtain approval from the Executive Officer for all label formats and locations prior to use. Approval of th e specific maintenance settings is not required; however, the format for all such settings and tolerances, if any, is subject to

review. If the Executive Officer finds that the in formation on the label is vague or subject to misinterpretation, or that the location does not comply with these specifications, he or she may require that the labe l or its location be modified accordingly.47

(h) Samples of all actual labels used within an eng ine family shall be submitted to the Executive Officer within thirty days after the start of production.

(i) The Executive Officer may approve alternate lab el locations or may, upon request, waive or modify the label content requirem ents provided that the intent of these specifications is met.

(j) The manufacturer of any engine shall furnish to the Executive Officer, at the beginning of the model year, any engine identificat ion number coding system which identifies whether such engine(s) are covered by an Executive Order.

(k) If the Executive Officer finds any engine (or e quipment) manufacturer using labels which are different from those approved or w hich do not substantially comply with the readability or durability requirements set fort h in these specifications, the manufacturer shall be subject to being enjoined fro m any further sales of such products in the State of California pursuant to Section 4301 7 of the Health and Safety Code. Prior to seeking to enjoin a manufacturer, the Exec utive Officer shall consider any information provided by the manufacturer.

NOTE: Authority cited: Sections 39600, 39601, 43013 , 43018, 43101, 43102 and 43104, Health and Safety Code. Reference: Sections 43013, 43017, 43018, 43101, 43102, 43104 and 43105, Health and Safety Code.48

§ 2425. Defects Warranty Requirements for 1996 and Later Off-Road Compression-Ignition Engines.

(a) Applicability. This section shall apply to new 1996-1999 model y ear heavyduty off-road compression-ignition engines and new 2000 and later model year compression-ignition engines. The warranty period shall begin on the date the engine or equipment is delivered to an ultimate purchaser. The use of alternative fuels shall not void the warranties on any engine certified to use such fuel.

(b) General Emissions Warranty Coverage . The manufacturer of each off-road compression-ignition engine shall warrant to the ul timate purchaser and each subsequent purchaser that the engine is:

(1) Designed, built, and equipped so as to conform with all applicable regulations adopted by the Air Resources Board pursuant to its authority in Chapters 1 and 2, Part 5, Division 26 of the Health and Safety Code; and

(2) Free from defects in materials and workmanship which cause the failure of a warranted part to be identical in all material resp ects to the part as described in the engine manufacturer’s application for certification for a period of five years or 3,000 hours of operation, whichever occurs first, for all engines rated at 19kW and greater, except as noted below. In the absence of a device to measure hours of use, the engine shall be warranted for a period of five years. For all engines rated less than 19kW, and for constant-speed engines rated under 37kW with ra ted speeds higher than or equal to 3,000 rpm, the period of two years or 1,500 hours o f operation, whichever occurs first, shall apply. In the absence of a device to measure hours of use, the engine shall be warranted for a period of two years.

(c) The warranty on emissions-related parts shall b e interpreted as follows:

(1) Any warranted part which is not scheduled for r eplacement as required maintenance in the written instructions required by Subsection (e) shall be warranted for the warranty period defined in Subsection (b)(2). If any such part fails during the period of warranty coverage, it shall be repaired or repla ced by the engine manufacturer according to Subsection (4) below. Any such part r epaired or replaced under the warranty shall be warranted for the remaining warra nty period.

(2) Any warranted part which is scheduled only for regular inspection in the written instructions required by Subsection (e) sha ll be warranted for the warranty period defined in Subsection (b)(2). A statement i n such written instructions to the effect of “repair or replace as necessary” shall no t reduce the period of warranty coverage. Any such part repaired or replaced under warranty shall be warranted for the remaining warranty period.

(3) Any warranted part which is scheduled for repla cement as required maintenance in the written instructions required in Subsection (e) shall be warranted for49

the period of time prior to the first scheduled rep lacement point for that part. If the part fails prior to the first scheduled replacement, the part shall be repaired or replaced by the engine manufacturer according to Subsection (4) below. Any such part repaired or replaced under warranty shall be warranted for the remainder of the period prior to the first scheduled replacement point for the part.

(4) Repair or replacement of any warranted part und er the warranty provisions of this article shall be performed at no charge to the owner at a warranty station.

(5) Notwithstanding the provisions of Subsection (4 ) above, warranty services or repairs shall be provided at all manufacturer distr ibution centers that are franchised to service the subject engines.

(6) The owner shall not be charged for diagnostic l abor that leads to the determination that a warranted part is in fact defe ctive, provided that such diagnostic work is performed at a warranty station.

(7) The engine manufacturer shall be liable for dam ages to other engine components proximately caused by a failure under wa rranty of any warranted part.

(8) Throughout the engine’s warranty period defined in Subsection (b)(2), the engine manufacturer shall maintain a supply of warr anted parts sufficient to meet the expected demand for such parts.

(9) Any replacement part, as defined in Section 190 0(b)(13), Title 13, may be used in the performance of any maintenance or repai rs and must be provided without charge to the owner. It is not necessary for repla cement parts to be the same brand or by the same manufacturer as the original part sold with the engine. Such use shall not reduce the warranty obligations of the engine manuf acturer.

(10) Add-on or modified parts, as defined in Sectio n 1900(b)(1) and (b)(10), Title 13, that are not exempted by the Air Resource s Board may not be used. The use of any non-exempted add-on or modified parts shall be grounds for disallowing a warranty claim made in accordance with this article . The engine manufacturer shall not

be liable under this article to warrant failures of warranted parts caused by the use of a non-exempted add-on or modified part.

(11) The Executive Officer may request and, in such case, the engine manufacturer shall provide, any documents which des cribe that manufacturer’s warranty procedures or policies.

(d) Each manufacturer shall include a copy of the f ollowing emission warranty parts list with each new engine, using those portio ns of the list applicable to the engine.

(1) Fuel Metering System (A) Fuel injection system.50 (B) Air/fuel ratio feedback and control system. (C) Cold start enrichment system. (2) Air Induction System (A) Controlled hot air intake system. (B) Intake manifold. (C) Heat Riser Valve and Assembly. (D) Turbocharger

/Supercharger

Systems. (E) Charge Air Cooling Systems. (3) Exhaust Gas Recirculation (EGR) System (A) EGR valve body, and carburetor spacer if applic able. (B) EGR rate feedback and control system. (4) Air injection System (A) Air pump or pulse valve. (B) Valves affecting distribution of flow. (C) Distribution manifold. (5) Catalyst or Thermal Reactor System (A) Catalytic converter. (B) Thermal reactor. (C) Exhaust manifold. (6) Particulate Controls (A) Traps, filters, precipitators, and any other de vice used to capture particulate emissions. (B) Regenerators, oxidizers, fuel additive devices, and any other device used to regenerate or aid in the regeneratio n of the particulate control device. (C) Control Device Enclosures and Manifolding. (D) Smoke Puff Limiters. (7) Advanced Oxides of Nitrogen (NOx) Controls (A) NOx Adsorbers (B) Lean NOx Catalysts (C) Selective Catalyst Reduction (D) Reductant (urea/fuel) containers/dispensing sy stems ( 7 8 ) Positive Crankcase Ventilation (PCV) System. (A) PCV Valve. (B) Oil Filler Cap. ( 8 9 ) Miscellaneous items Used in Above Systems (A) Vacuum, temperature, and time sensitive valves and

switches. (B) Electronic control unit s , sensors, solenoids, and wiring

harnesses

. (C) Hoses, belts, connectors, assemblies, clamps, f ittings, tubing, sealing gaskets or devices, and mounting ha rdware. (D) Pulleys, belts and idlers. (E) Emission Control Information Labels.51 (F) Any other part with the primary purpose of redu cing emissions or that can increase emissions during fai lure without significantly degrading engine performance.

(e) Each manufacturer shall furnish with each new e ngine written instructions for the maintenance and use of the engine by the owner. The instructions shall be consistent with this article and applicable regulat ions contained herein.

(f) Each manufacturer shall submit the documents re quired by Subsections (d) and (e) with the manufacturer’s preliminary applica tion for engine certification for approval by the Executive Officer. Approval by the Executive Officer of the documents required by Subsections (d) and (e) shall be a cond ition of certification. The Executive Officer shall approve or disapprove the documents r equired by Subsections (d) and (e) within 90 days of the date such documents are recei ved from the manufacturer. (Title 17, California Code of Regulations (CCR), S s ection 60030.) Any disapproval shall be accompanied by a statement of the reasons theref or e . In the event of disapproval, the manufacturer may file for an adjudicative heari ng pursuant to Title 17, California Code of Regulations Division 3, Chapter 1, Subchapt er 1.25, Articles 1 and 2, to review

the decision of the Executive Officer.

(g) In the application, each manufacturer shall inc lude a statement concerning proper maintenance of the engine to maximize emissi ons performance. The statement shall include, but not be limited to, information o n air filter care and replacement schedule, proper fueling and fuel mixing, engine ma intenance, and a maintenance

schedule to ensure that the owner returns to a serv icing center to check for deposits, debris build-up, etc.

NOTE: Authority cited: Sections 39600, 39601, 43013 , 43018, 43101, 43102 43104 and 43105, Health and Safety Code. Reference: Sections 43013, 43017, 43018, 43101, 43102 and 43205.5, Health and Safety Code.52

§ 2425.1 Defect Investigation and Reporting Require ments.

(a) Applicability. This section shall apply to new off-road compress ion-ignition engines subject to the standards in Section 2423 (b )(1)(B) and the incorporated 2008 and Later Test Procedures, and shall address defect s for any of the emission-related components, or systems containing the components li sted in Section 2425(d)(1).

(b) General requirements . Engine manufacturers shall investigate their eng ines

that have been introduced into commerce in Californ ia for incorrect, improperly installed, or otherwise defective emission-related components or systems, and shall submit a report to the ARB based on federal triggering thres holds documenting these activities, as required, and their findings. If available, Cal ifornia-specific incidence rates shall also be included in this report.

(c) Investigation and reporting procedures . Engine manufacturers shall perform the investigation and reporting procedures specifie d in Part 1068, Subpart F of the 2008

and Later Test Procedures.

NOTE: Authority cited: Sections 39600, 39601, 43013 , 43018, 43101, 43102 43104 and 43105, Health and Safety Code. Reference: Sections 43013, 43017, 43018, 43101, 43102 and 43205.5, Health and Safety Code.53

§ 2426. Emission Control System Warranty Statement

.

(a) Each manufacturer shall furnish a copy of the f ollowing statement with each new 1996-1999 heavy-duty off-road compression-ignit ion engine, using those portions of the statement applicable to the engine.

CALIFORNIA EMISSION CONTROL WARRANTY STATEMENT

YOUR WARRANTY RIGHTS AND OBLIGATIONS

The California Air Resources Board (and manufacturer’s name, optional) is pleased to explain the emission control system warranty on your (year) engine. In California, new heavy-duty off-road engines must be designed, b uilt, and equipped to meet the State’s stringent anti-smog standards. (Manufactur er’s name) must warrant the emission control system on your engine for the peri ods of time listed below provided there has been no abuse, neglect or improper mainte nance of your engine.

Your emission control system may include parts such as the fuel-injection system and the air induction system. Also included may be hos es, belts, connectors and other

emission-related assemblies.

Where a warrantable condition exists, (manufacturer ’s name) will repair your heavy-duty off-road engine at no cost to you including diagnos is, parts, and labor.

MANUFACTURER’S WARRANTY COVERAGE:

The (year) and later heavy-duty off-road engines are warrante d for (warranty period) . If any emission-related part on your engine is d efective, the part will be repaired or replaced by (manufacturer’s name).

OWNER’S WARRANTY RESPONSIBILITIES:

— As the heavy-duty off-road engine owner, you are r esponsible for the performance of the required maintenance listed in your owner’s manual

. (Manufacturer’s name) recommends that you retain al l receipts covering maintenance on your heavy-duty off-road engine, but (manufacturer’s name) cannot deny warranty solely for the lack of receipt s or for your failure to ensure the performance of all scheduled maintenance.

— As the heavy-duty off-road engine owner, you shoul d however be aware that (manufacturer’s name) may deny you warranty coverag e if your heavy-duty offroad engine or a part has failed due to abuse, negl ect, improper maintenance or unapproved modifications.54

— Your engine is designed to operate on (fuel) only. Use of any other fuel may result in your engine no longer operating in compli ance with California’s emissions requirements.

— You are responsible for initiating the warranty pr ocess. The ARB suggests that you present your heavy-duty off-road engine to a (m anufacturer’s name) dealer as soon as a problem exists. The warranty repairs should be completed by the dealer as expeditiously as possible.

If you have any questions regarding your warranty r ights and responsibilities, you should contact (Insert chosen manufacturer’s contac t) at 1-XXX-XXX-XXXX

.

(b) For 1996-1999 model year heavy-duty off-road co mpression-ignition engines, each manufacturer shall furnish with each new engin e a warranty statement which generally describes the obligations and rights of t he engine manufacturer and owner under this article. Engine manufacturers shall als o include in the warranty statement a phone number the customer may use to obtain their n earest franchised service center.

(c) Each manufacturer shall submit the documents re quired by Subsections (a) and (b) with the manufacturer’s preliminary applica tion for new engine certification for approval by the Executive Officer. The Executive O fficer may reject or require

modification of the documents to the extent the sub mitted documents do not satisfy the requirements of Subsections (a) and (b). Approval by the Executive Officer of the documents required by Subsections (a) and (b) shall be a condition of certification. The Executive Officer shall approve or disapprove the d ocuments required by Subsections (a) and (b) within 90 days of the date such documen ts are received from the manufacturer. Any disapproval shall be accompanied by a statement of the reasons

therefor e . In the event of disapproval, the manufacturer ma y petition the Board to

review the decision of the Executive Officer.

NOTE: Authority cited: Sections 39600, 39601, 43013 , 43018, 43101, 43102 and 43104, Health and Safety Code. Reference: Sections 43013, 43017, 43018, 43101, 43102 and 43205.5, Health and Safety Code.55

§ 2427. Production Engine Testing, Selection, Eval uation, and Enforcement

Action.

(a) Compliance Test Procedures

.

(1) These procedures are applicable to the 1996-199 9 model year heavy-duty off-road compression-ignition engine family groups (as defined in Sections 3 and 11 of the 1996-1999 Heavy-Duty Test Procedures) or any su bgroups within an engine family group selected for compliance testing pursuant to t his section.

(2) The Executive Officer may, with respect to any new engine family group or subgroup being sold, offered for sale, or manufactu red for sale in California, order an engine manufacturer to make available for complianc e testing and/or inspection a reasonable number of engines, and may direct that t he engines be delivered to the state board at the Haagen-Smit Laboratory, 9528 Telstar A venue, El Monte, California or where specified by the Executive Officer. The Exec utive Officer may also, with respect to any new engine family group or subgroup being so ld, offered for sale, or manufactured for sale in California, have a manufac turer compliance test and/or inspect a reasonable number of engines at the manufacturer’ s facility under the supervision of an ARB Enforcement Officer. Engines shall be repre sentatively selected from sources specified by the Executive Officer according to a m ethod approved by him/her, which insofar as practical shall exclude engines which wo uld result in an unreasonable disruption of the manufacturer’s distribution syste m. To the extent practical, the Executive Officer shall test a representative confi guration (as defined in the 1996-1999 Heavy-Duty Test Procedures) from the engine family group in order to minimize manufacturers’ expense and inconvenience in testing different engine configurations.

A subgroup of an engine family group may be selecte d for compliance testing only if the Executive Officer has reason to believe that the emissions characteristics of that subgroup are substantially in excess of the ev aluation of the emissions of the engine family group as a whole.

(3) For all 1996-1999 heavy-duty off-road compressi on-ignition engines selected for compliance testing, the selection and testing o f engines and the evaluation of data shall be made in accordance with the procedures set forth herein.

(4) For manufacturers that have more than one engin e family group, the Air Resources Board or its designated laboratory shall procure and test at the manufacturer’s expense no more than one engine fami ly group per year, if compliance testing is required.

Notwithstanding the above, if a manufacturer fails to demonstrate compliance with the emission standards after one engine family group has been tested, the ARB or its designated laboratory may test additional engin e family groups at the manufacturer’s expense, until compliance is demonstrated on one en gine family group or all of a manufacturer’s engine family groups have been teste d. However, the ARB may56

conduct engine enforcement testing pursuant to the engine test procedures specified in Section 2423, at its own expense. In such an insta nce, the Executive Officer shall order testing only in those cases where evidence such as quality audit test data or in-use test data indicate that engines may not be in compliance

.

(5) All testing shall be conducted in accordance wi th the applicable model year certification emission test procedures. Break-in b efore testing may be performed on test engines to the same extent it is performed on assembly-line quality audit testing engines (See s S ubsection (b)). No break-in or modifications, adju stments, or special preparation or maintenance will be allowed on engin es chosen for compliance testing

without the written consent of the Executive Office r. Such consent shall not be unreasonably withheld where such adjustment or alte ration is required to render the engine testable and reasonably operative.

(6) If the manufacturer elects to specify a differe nt break-in or adjustments, they will be performed by the manufacturer under the sup ervision of ARB personnel.

(7) Correction of damage or maladjustment which may reasonably be found to have resulted from shipment of the engine is permit ted only after testing the engine, except where 100 percent of the manufacturer’s prod uction is given that inspection or maintenance by the manufacturer’s own personnel. E xceptions are allowed in the cases where the damage results in the engine being unsafe to operate, inoperable, or unable to complete the emission test. Additionally , an exception is allowed if the damage results in engine performance deficiencies w hich would be obvious in customer

service and which would cause the customer to seek repair of the engine. The manufacturer may request that the engine be repaire d from shipping damage, and be retested. If the Executive Officer concurs, the en gine may be retested, and the original test results may be replaced by the after-repair te st results.

(8) Engines shall be representatively chosen from t he selected engine family group or subgroup. Manufacturers shall indicate wh ich sampling plan (as described in paragraphs (9) and (10), below) they prefer to use prior to the start of testing. Once testing has begun, manufacturers may not switch to the other sampling plan; the generated test results will be final. Each chosen engine shall be tested according to the 1996-1999 Heavy-Duty Test Procedures to determine i ts emissions. Unique specialty hardware and personnel normally necessary to prepar e the engine for the performance of the test as set forth in the applicable test pro cedures shall be supplied by the manufacturer within seven days after request. Fail ure to supply this unique specialty hardware or personnel may not be used by the manufa cturer as a cause for invalidation of the subsequent tests.

(9) Primary Sampling Plan

.

(A) Engines shall be tested in groups of five until a “Pass” or “Fail” decision is reached for each pollutant independently for the en gine family group or subgroup in accordance with the following table:57

Number of Engines Tested Decide “Fail” If “U” is greater than or equal to Decide “Pass”

If “U” is less than or equal to

5 2.18 -0.13

10 2.11 0.51

15 2.18 0.88

20 2.29 1.16

where:

n 3 (x i - Φ 0 )

i=1

U = ________________________________

n ( 3 (x i - Φ 0 2 ) ) 0.5

i=1

x i = the projected emissions of one pollutant for the i th engine tested.

Φ 0 = the applicable model year emission standard for that pollutant.

n = the number of engines tested.

(B) The Executive Officer shall find that a group o f engines has failed the compliance testing pursuant to the above table if h e or she finds that the average emissions of the engines within the selected engine family group or subgroup exceed the applicable model year new engine emission stand ard for at least one pollutant.

(C) If no decision can be reached after 20 engines have been tested, the

Executive Officer shall not make a “Fail” decision for the selected engine family group or subgroup on the basis of these 20 tests alone. Und er these circumstances the

Executive Officer shall elect to test 10 additional engines. If the average emissions from the 30 engines tested exceed any one of the exhaust emission standards for which a “Pass” decision has not been previously made, the E xecutive Officer shall render a

“Fail” decision.

(10) Alternate Sampling Plan for Low Volume Engine Famil y Groups

.

Any manufacturer subject to new engine compliance t esting on an engine family group with a sales volume of less than 2000 engines per year may use the alternative sampling and testing schedule below.58

Number of Engines Tested Decide “Fail”

If number of failed engines is greater than or equal to Decide “Pass”

If number of failed engines is less than or equal to

1 No Failure Decision No Passing Decision

2 No Failure Decision 0

3 3 0

4 4 1

5 4 1

6 5 2

7 5 2

8 6 3

9 6 4

10 6 5

(11) If the Executive Officer determines, in accord ance with the procedures set forth herein, that an engine family group, engine f amily, or any subgroup within an engine family exceeds the emission standards for on e or more pollutants, the manufacturer may be subject to being enjoined from any further sales of such products in the State of California pursuant to Section 4301 7 of the Health and Safety Code. Prior to seeking to enjoin a manufacturer, the Exec utive Officer shall consider quality audit test results, if any, and any additional test data or other information provided by

the manufacturers.

(12) Engines selected for inspection shall be check ed to verify the presence of those emissions-related components specified in the manufacturer’s application for certification, and for the accuracy of any adjustme nts, part numbers and labels specified in that application. If any engine selected for in spection fails to conform to any applicable law in Part 5 (commencing with Section 4 3000) of Division 26 of the Health and Safety Code, or any regulation adopted by the s tate board pursuant thereto, other than an emissions standard applied to new engines t o determine “certification” as specified in Chapter 9, the Executive Officer shall notify the manufacturer and may seek to enjoin the manufacturer from any further sales o f such products in the State of California pursuant to Section 43017 of the Health and Safety Code. Prior to seeking to enjoin a manufacturer, the Executive Officer shall consider any information provided by

the manufacturer.

(b) Quality-Audit Test Procedures

.

(1) The 1996-1999 model year heavy-duty off-road co mpression-ignition engines certified for sale in California shall be subject t o the Quality-Audit requirements specified herein. Each manufacturer shall use the quality-au dit test procedures specified herein.

(2) These procedures specify the quality-audit test procedures in conjunction with the 1996-1999 Heavy-Duty Test Procedures. An engin e is in compliance with these59

quality-audit standards and test procedures only wh en all portions of these quality-audit test procedures are fulfilled.

(3) Air Resources Board (ARB) personnel and mobile laboratories shall have access to engine or equipment assembly plants, dist ribution facilities, and test facilities for the purpose of engine selection, testing, and o bservation. Scheduling of access shall be arranged with the designated manufacturer’ s representative and shall not unreasonably disturb normal operations (See Section 6 of the 1996-1999 Heavy-Duty Test Procedures).

(4) Applicability

.

These procedures shall apply to all certified 1996- 1999 model year heavy-duty off-road compression-ignition engine family groups.

If a manufacturer cannot provide actual California sales data, it shall provide its total production and an estimate of California sale s. The manufacturer shall also provide supporting material for its estimate.

(5) Engine Sample Selection

.

For each family group with California sales volumes of 150 units or more per year, the manufacturer shall select for quality aud it testing a representative sample of three engines or one percent of production, whichev er is greater, from the highest sales volume engine family within the entire engine famil y group. For engine family groups

with California sales volumes of less than 150 unit s per year, no testing shall be required unless requested by the Executive Officer based upon information and belief that such engine family groups are in noncompliance with applicable regulations. Each selected engine for quality-audit testing must pass the inspection test, by being equipped with the appropriate emission control syst ems certified by the ARB. The procedure for selecting engines must be submitted t o the Chief, Mobile Source Division, 9528 Telstar Avenue, El Monte, CA, 91731, prior to the start of production for the 1996 model year.

(6) Engine Preparation and Preconditioning

.

(A) The engine shall be tested after the manufactur er has determined that the emissions have stabilized. Engine manufacturers sh all report the break-in schedule used on each test engine.

The manufacturer shall submit to the Executive Offi cer the schedule for hours of use accumulation or engine run-in and any changes t o the schedule with each quarterly
report.

(B) If an engine is shipped to a remote facility fo r quality-audit testing, and adjustment or repair is necessary because of such s hipment, the manufacturer shall60

perform the necessary adjustments or repairs only a fter the initial test of the engine. Exceptions are allowed in the cases where the damag e results in the engine being unsafe to operate, inoperable, or unable to complet e the emission test. Additionally, an exception is allowed if the damage results in engin e performance deficiencies which

would be obvious in customer service and which woul d cause the customer to seek repair of the engine.

Manufacturers shall report to the Executive Officer in the quarterly report, all adjustments or repairs performed on engines prior t o each test. In the event a retest is performed, an application may be made to the Execut ive Officer, within ten days of the emission test, for permission to substitute the aft er-repair test results for the original test results. When requested by the manufacturer, the E xecutive Officer will either affirm or deny the application within ten working days from r eceipt of the request.

(C) If a manufacturer determines that the emission test results of an engine are invalid, the engine must be retested. Emission res ults from all tests shall be reported. The manufacturer shall include a detailed report on the reasons for each invalidated test in the quarterly report.

(7) Quality-Audit Engine Selection Criteria

.

(A) Engines shall be representatively selected.

(B) At the end of each calendar quarter, all of the data accumulated during the quarter shall be reported to the Executive Officer. Upon accumulation of sufficient data, the compliance of the engine family group with the emission standards is determined.

(8) Standards and Test Procedures; Evaluation.

The exhaust sampling and analytical procedures shal l be those described in the 1996-1999 Heavy-Duty Test Procedures. An engine fa mily group is considered to have failed the quality audit test if the average emissi ons do not comply with the applicable certification standards. Any corrective action to bring the engines into compliance with the standards must be applied to all engines in the engine family group reasonably expected to be in noncompliance based on the audit data and other relevant

information.

(9) Reports

.

Each engine manufacturer shall submit a report to t he ARB within 45 calendar days of the end of each calendar quarter and of the model year. More frequent reports may be required if the Executive Officer invokes th is section at the end of each month. Each engine manufacturer shall review the test resu lts of each engine family group at

the end of each month.

The quarterly report shall include the following:61

(A) The total production and sample size for each e ngine family group.

(B) A description of each test engine (i.e., date o f test, engine family group, engine size, engine identification number, fuel sys tem, engine code or calibration number, and test location).

(C) The break-in schedule used on each test engine.

(D) The exhaust emission data for HC, CO, NO

x and PM for each test engine.

The data reported shall be rounded to one significa nt figure beyond the number of significant figures in the applicable standard a s follows for all engines:

HC CO NO

x PM

.XX .XX .XX .XXX

(E) The retest emissions data, as described in para graph (b)(6)(C) above for any engine failing the initial test, and description of the corrective measures taken, including specific components replaced or adjusted.

(F) A statistical analysis of the quality-audit tes t results stating:

1. Number of engines tested. 2. Average emissions and standard deviations of the sample for HC, CO, NO

x , and PM.

(G) All aborted test data and reasons for any abort ed tests.

(10) When assembly-line engines exceed an emission standard, as set forth herein, or when data submitted by the manufacturer indicates that assembly-line qualityaudit testing is being improperly performed, the ma nufacturer may be subject to being enjoined from any further sales of such products in the State of California pursuant to Section 43017 of the Health and Safety Code. Prior to seeking to enjoin a manufacturer, the Executive Officer shall consider any information provided by the manufacturer, including any corrective action to th e noncomplying engine family group. Enforcement penalties shall be imposed only for egr egious violations (e.g., those situations where emissions from a few engines signi ficantly exceed emission standards, or where the number of engines exceeding the emissi on standards are significant).

(c) Selective Enforcement Audit

.

(1) (A) The 2000 and later model year Tier 1, Tier 2, and Tier 3 off-road compression-ignition engines certified for sale in California shall be subject to the Selective Enforcement Audit requirements specified in Subpart F of the 2000 and

Later Plus Limited Test Procedures.62

(B) The 2008 and later model year Tier 4 off-road c ompression-ignition engines certified for sale in California shall be subject t o the Selective Enforcement Audit requirements specified in Subpart E of Part 1068 of the 2008 and Later Test

Procedures.

(2) These procedures specify the Selective Enforcem ent Audit test procedures in conjunction with the 2000 and Later Plus Limited Test Procedures and the 2000 and

Later Test Procedures . An engine is in compliance with these Selective Enforcement Audit standards and test procedures only when all p ortions of these Selective Enforcement Audit test procedures are fulfilled.

(3) Air Resources Board (ARB) personnel and mobile laboratories shall have access to engine or equipment assembly plants, dist ribution facilities, and test facilities for the purpose of engine selection, testing, and o bservation. Scheduling of access shall be arranged with the designated manufacturer’ s representative and shall not unreasonably disturb normal operations.

(d) Any manufacturer obtaining certification under this part shall supply to the Executive Officer, upon request, a reasonable numbe r of production engines selected by the Executive Officer which are representative o f the engines, emission control systems, fuel systems, and transmissions offered an d typical of production models

available for sale under the certificate. These en gines shall be supplied for testing at such time and place and for such reasonable periods as the Executive Officer may require. Heavy-duty engines supplied under this pa ragraph may be required to be mounted in chassis and appropriately equipped for o peration on a chassis dynamometer.

NOTE: Authority cited: Sections 39600, 39601, 43013 , 43018, 43101, 43102, 43104 and 43105, Health and Safety Code. Reference: Sect ions 43013, 43017, 43018, 43101, 43102, 43104 and 43210-43212, Health and Saf ety Code.