PART 7

FINAL REGULATION ORDER TEST PROCEDURES

Part I – D (Part 1039)

(2011 and Later Model Years)

Tier 4 Off-Road Compression-Ignition Engines
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FINAL REGULATION ORDER TEST PROCEDURES

Note: This appendix shows the entirety of regulatory amendments to the test 

procedures titled below, which were approved by the Air Resources Board on 

December 16, 2011, and refined via subsequent conforming modifications 

authorized under Resolution 11-41. The source for these test procedures is 

Part 1039 of the “California Exhaust Emission Standards and Test Procedures 

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

Part I-C” (Part I-C), adopted October 20, 2005. Part 1068 and Part 1065 of 

those test procedures have been updated in separate documents titled 

“California Exhaust Emission Standards and Test Procedures for New 2011 

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

and “California Exhaust Emission Standards and Test Procedures for New 

2011 and Later Tier 4 Off-Road Compression Ignition Engines, Part I-F” 

(Part I-F), respectively. The proposed modifications to this document are, in 

large part, incorporated directly or by reference from 40 Code of Federal 

Regulations (CFR) part 1039, subparts A, B, C, D, E, F, G, H, and I, including 

Appendix I, II, V, and VI to part 1039, last amended June 28, 2011, and the 

subparts of 40 CFR Part 60, 40 CFR Part 85, 40 CFR Part 86, 40 CFR Part 89, 

40 CFR Part 92, and 40 CFR Part 1033 that are internally referenced within 40 

CFR Part 1039. These test procedures are incorporated by reference in 

Title 13, California Code of Regulations, Section 2421(a)(4)(B). These 

amendments are formatted in a style to indicate changes from the existing test 

procedures. All existing language is indicated by plain type. All additions to the 

existing language are indicated by underlined type (except that some existing 

headings within the test procedures were underlined originally for emphasis, 

and remain so, and thus do not constitute new language). All deletions to the 

existing language are indicated by strikeout. Additionally, to facilitate lengthy 

and extensive revisions of the existing text, the terms “DELETE” and 

“REPLACE WITH” or “ADD” are used to denote changes from the existing test 

procedures and do not generally indicate the incorporation of federal provisions 

as this convention is normally used. Only those sections containing the 

modifications from the existing language are included. All other portions remain 

unchanged and are indicated by the notation [ * * * * * ] for reference. If there 

is any conflict between the provisions of this document and the California 

Health and Safety Code, Division 26, or Title 13 of the California Code of 

Regulations (CCR), the Health and Safety Code and Title 13 apply.
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State of California

AIR RESOURCES BOARD

California Exhaust Emission Standards and Test Procedures for New 2011 and 

Later Tier 4 Off-Road Compression-Ignition Engines

PART I-CD

Adopted: October 20, 2005

Amended: October 25, 2012
i

Table of Contents

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

COMPRESSION-IGNITION ENGINES..............................................................1

Subpart A – Overview and Applicability...........................................................................1

§ 1039.1 Does this part apply for my engines?....................................................1

§ 1039.2 Who is responsible for compliance?......................................................2

§ 1039.5 Which engines are excluded from this part’s requirements?.................2

§ 1039.10 How is this part organized?...................................................................3

§ 1039.15 Do any other regulation parts apply to me? ..........................................3

§ 1039.20 What requirements from this part apply to excluded stationary 

engines? ...............................................................................................4

§1039.30 Submission of information.....................................................................5

Subpart B – Emission Standards and Related Requirements .........................................5

§ 1039.101 What exhaust emission standards must my engines meet after the 

2014 model year? .................................................................................5

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

my engines in model year 2014 and earlier? ........................................5

§ 1039.104 Are there interim provisions that apply only for a limited time? .............6

§ 1039.105 What smoke standards must my engines meet?...................................7

§ 1039.107 What evaporative emission standards and requirements apply? ..........7

§ 1039.110 [Reserved].............................................................................................7

§ 1039.115 What other requirements apply? ...........................................................7

§ 1039.120 What emission-related warranty requirements apply to me? ................8

§ 1039.125 What maintenance instructions must I give to buyers? .........................8

§ 1039.130 What installation instructions must I give to equipment manufacturers?11

§ 1039.135 How must I label and identify the engines I produce?.........................11

§ 1039.140 What is my engine's maximum engine power? ...................................12

Subpart C – Certifying Engine Families.........................................................................12

§ 1039.201 What are the general requirements for obtaining an Executive Order?12

§ 1039.205 What must I include in my application?...............................................12

§ 1039.210 May I get preliminary approval before I complete my application?......14

§ 1039.220 How do I amend the maintenance instructions in my application?......14

§ 1039.225 How do I amend my application for certification?................................15

§ 1039.230 How do I select engine families?.........................................................17

§ 1039.235 What testing requirements apply for certification?...............................18

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

emission standards? ...........................................................................19

§ 1039.245 How do I determine deterioration factors from exhaust durability 

testing? ...............................................................................................20

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

Resources Board (ARB)?....................................................................20

§ 1039.255 What decisions may ARB make regarding my Executive Order?........21

Subpart D – [Reserved] .................................................................................................21

Subpart E – In-use Testing............................................................................................22

§ 1039.401 General Provisions..............................................................................22

Subpart F – Test Procedures.........................................................................................22

§ 1039.501 How do I run a valid emission test?.....................................................22

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

ramped-modal testing? .......................................................................22

§ 1039.510 Which duty cycles do I use for transient testing? ................................24

§ 1039.515 What are the test procedures related to not-to-exceed limits? ............25

§ 1039.520 What testing must I perform to establish deterioration factors? ..........25

§ 1039.525 How do I adjust emission levels to account for infrequently 

regenerating aftertreatment devices?..................................................25

Subpart G – Special Compliance Provisions .................................................................25

§ 1039.601 What compliance provisions apply to these engines?.........................25

§ 1039.615 What special provisions apply to engines using noncommercial fuels?25

§ 1039.620 What are the provisions for exempting engines used solely for 

competition?........................................................................................25

§ 1039.625 What requirements apply under the program for equipmentmanufacturer flexibility? ......................................................................25

§ 1039.626 What special provisions apply to equipment imported under the 

equipment-manufacturer flexibility program? ......................................28

§ 1039.627 What are the incentives for equipment manufacturers to use cleaner 

engines? .............................................................................................28

§ 1039.630 What are the economic hardship provisions for equipment 

manufacturers? ...................................................................................28

§ 1039.635 What are the hardship provisions for engine manufacturers?.............28

§ 1039.640 What special provisions apply to branded engines? ...........................28

§ 1039.645 What special provisions apply to engines used for transportation 

refrigeration units? ..............................................................................28

§ 1039.650 [Reserved]...........................................................................................28

§ 1039.660 What special provisions apply to Independent Commercial Importers?28

Subpart H – Averaging, Banking, and Trading for Certification .....................................29

§ 1039.701 General provisions. .............................................................................29

§ 1039.705 How do I generate and calculate emission credits? ............................29

§ 1039.710 How do I average emission credits? ...................................................30

§ 1039.715 How do I bank emission credits?.........................................................30

§ 1039.720 How do I trade emission credits? ........................................................30

§ 1039.725 What must I include in my application for certification?.......................30

§ 1039.730 What ABT reports must I send to ARB?..............................................31
iii

§ 1039.735 What records must I keep? .................................................................32

§ 1039.740 What restrictions apply for using emission credits?.............................33

§ 1039.745 What can happen if I do not comply with the provisions of this subpart?33

Subpart I – Definitions and Other Reference Information ..............................................33

§ 1039.801 What definitions apply to this part? .....................................................33

§ 1039.805 What symbols, acronyms, and abbreviations does this part use?.......38

§ 1039.810 DELETE. .............................................................................................38

§ 1039.815 What provisions apply to confidential information? .............................38

§ 1039.820 How do I request a hearing? ...............................................................38

§1039.825 What reporting and recordkeeping requirements apply under this part?39

Appendix I to Part 1039 – Reserved..............................................................................40

Appendix II to Part 1039 – Steady-state Duty Cycles ....................................................40

Appendix III to Part 1039 DELETE..............................................................................45

Appendix IV to Part 1039 DELETE..............................................................................45

Appendix V to Part 1039 – [Reserved] ..........................................................................45

Appendix VI to Part 1039 – Nonroad Compression-Ignition Composite Transient Cycle45
1

CALIFORNIA EXHAUST EMISSION STANDARDS AND TEST PROCEDURES FOR 

NEW 200811 AND LATER TIER 4 OFF-ROAD COMPRESSION-IGNITION ENGINES, 

Part I-D

The following provisions of Part 1039, Part 1065, and Part 1068, Title 40, Code of 

Federal Regulations (CFR), as proposed promulgated and last amended by the United 

States Environmental Protection Agency on the date listed June 28, 2011, are adopted 

and incorporated herein by this reference into the existing California test procedures for 

2008 model year and later off-road compression-ignition engines, hereafter known as 

the “California Exhaust Emission Standards and Test Procedures for New 200811 and 

Later Tier 4 Off-Road Compression-Ignition Engines, Part I-D,” except as altered or 

replaced by the provisions set forth below. All proposed changes indicated by the 

notation “ * * * * * ” or by strikeout/underline refer to the existing 2008 and Later 

California Test Procedures, Part I-C, as previously adopted by the Air Resources Board 

on October 20, 2005. References to other 40 CFR parts and sections refer to parts and 

sections incorporated in this or other ARB Test Procedures unless otherwise indicated. 

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

COMPRESSION-IGNITION ENGINES

SOURCE: California Exhaust Emission Standards and Test Procedures for New 2008 

and Later Tier 4 Off-Road Compression-Ignition Engines, Part I-C, Adopted October 20, 

2005, predicated upon the requirements of 69 FR 38957, June 29, 2004, amended July 

13, 2005, unless otherwise noted.

Subpart A – Overview and Applicability

§ 1039.1 Does this part apply for my engines?

* * * * *

(c) DELETE,

REPLACE WITH:

(c) The definitions of “off-road compression-ignition engine” in 13 CCR 2421(a)(38) and 

40 CFR 1068.30 exclude certain engines used in stationary applications. These 

engines may be required by 17 CCR 93115 or subpart IIII of 40 CFR part 60 to comply 

with some of the provisions of this part 1039; otherwise, these engines are not only

required to comply with this part, except for the requirements in §1039.20. In addition, if 

these engines are uncertified, the prohibitions in §1068.101 restrict their use as the use 

of stationary engines for nonstationary purposes unless they are certified under §1039, 

or under the provisions referenced in 13 CCR 2421(a)(3), or 40 CFR part 94, to the 

same standards that would apply to off-road compression-ignition engines for the same 

model year.
2

ADD:

§ 1039.2 Who is responsible for compliance?

The regulations in this part 1039 contain provisions that may affect engine or equipment 

manufacturers, or both, and others. However, the requirements of this part are 

generally addressed to the engine manufacturer. The term “you” generally means the 

engine manufacturer, as defined in §1039.801, especially for issues related to 

certification.

§ 1039.5 Which engines are excluded from this part’s requirements?

DELETE,

REPLACE WITH:

This part does not apply to the following off-road engines:

(a) Locomotive engines.

(1) The following locomotive engines are not subject to the provisions of this part 1039:

(i) Engines in locomotives subject to the standards of certified under 40 CFR part 92

1033.

(ii) Engines in locomotives that are exempt from the standards of 40 CFR part 92 or 

1033 pursuant to the provisions of 40 CFR part 1033 (except for the provisions of 40 

CFR 1033.150(e) or to §1068. (except for the provisions of 40 CFR 92.907). For 

example, an engine that is exempt under 40 CFR 92.906 because it is in a 

manufacturer-owned locomotive is not subject to the provisions of this part 1039.

1033.150(e)).

(2) The following locomotive engines are subject to the provisions of this part 1039:

(i) Engines in locomotives exempt from 40 CFR part 92 1033 pursuant to the provisions 

of 40 CFR 92.907 1033.150(e).

(ii) Locomotive engines excluded from the definition of locomotive in 40 CFR 92.2

1033.901.

(b) Marine engines. (1) The following marine engines are not subject to the provisions of 

this part 1039 or 13 CCR 2423:

(i) Engines subject to the standards of 40 CFR part 94.

(ii) Engines not subject to the standards of 40 CFR part 94 only because they were 

produced before the standards of 40 CFR part 94 started to apply.

(iii) Engines otherwise subject to the standards of 40 CFR Part 94 but that are exempt 

from the standards of 40 CFR part 94 pursuant to the provisions of 40 CFR part 94 
3

(except for the provisions of 40 CFR 94.907 or 94.912). For example, an engine that is 

exempt under 40 CFR 94.906 because it is a manufacturer-owned engine is not subject 

to the provisions of this part 1039.

(iv) Engines with rated power below 37 kW, except that such engines must continue to 

meet Tier 2 standards and other requirements as stated in the 2000 Plus Limited Test 

Procedures .

(v) Engines on foreign vessels.

(2) Marine engines are subject to the provisions of this part 1039 if they are otherwise 

subject to the standards of 40 CFR Part 94 but are exempted from 40 CFR part 94 

based on the engine-dressing provisions of 40 CFR 94.907 or the common-family 

provisions of 40 CFR 94.912. 

(c) Mining engines. Engines used in underground mining or in underground mining 

equipment and regulated by the Mining Safety and Health Administration in 30 CFR 

parts 7, 31, 32, 36, 56, 57, 70, and 75 are not subject to the provisions of this part 1039.

(d) Hobby engines. Engines with per-cylinder displacement below 50 cubic centimeters

installed in reduced-scale models of vehicles that are not capable of transporting a 

person are not subject to the provisions of this part 1039.

(e) Engines used in recreational vehicles. Engines certified to meet the requirements of 

13 CCR Chapter 9 Article 3 or otherwise subject to 13 CCR Chapter 9 Article 3 (for 

example, engines used in snowmobiles and all-terrain vehicles) are not subject to the 

provisions of this part 1039.

§ 1039.10 How is this part organized?

(Introduction) DELETE:

The regulations in this part 1039 contain provisions that may affect engine or equipment 

manufacturers, or both, and others. However, the requirements of this part are 

generally addressed to the engine manufacturer. The term “you” generally means the 

engine manufacturer, as defined in § 1039.801.

* * * * *

§ 1039.15 Do any other regulation parts apply to me?

(a) DELETE,

REPLACE WITH:

(a) Part 1065 of this chapter describes procedures and equipment specifications for 

testing engines to measure exhaust emissions. Subpart F of this part 1039 describes 

how to apply the provisions of part 1065 of this chapter to determine whether engines 

meet the exhaust emission standards in this part.
4

* * * * *

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

DELETE,

REPLACE WITH:

The provisions of this section apply for engines built on or after January 1, 2006.

(a) You must add a permanent label or tag to each new engine you produce or import 

that is excluded under §1039.1(c) as a stationary engine and is not required by 17 CCR 

93115 or CFR 40 part 60, subpart IIII, to meet:

1) the requirements of this Part 1039 or Title 13, CCR, Chapter 9, Article 4, or 

2) the requirements in 40 CFR part 94, that are equivalent to the requirements 

applicable to off-road or marine engines, respectively, for the same model year. 

To meet labeling requirements, you must do the following things:

(1) Attach the label or tag in one piece so no one can remove it without destroying or 

defacing it.

(2) Secure it to a part of the engine needed for normal operation and not normally 

requiring replacement.

(3) Make sure it is durable and readable for the engine’'s entire life.

(4) Write it in English.

(5) Follow the requirements in §1039.135(g) regarding duplicate labels if the engine 

label is obscured in the final installation.

(b) Engine labels or tags required under this section must have the following 

information:

(1) Include the heading “EMISSION CONTROL INFORMATION".”

(2) Include your full corporate name and trademark. You may instead include the full 

corporate name and trademark of another company you choose to designate.

(3) State the engine displacement (in liters) and maximum engine power (or in the case 

of fire pumps, NFPA nameplate engine power).

(4) State: “THIS ENGINE IS EXCLUDED EXEMPTED FROM THE REQUIREMENTS 

OF 13 CCR, CH 9, ARTICLE 4, AS A “STATIONARY ENGINE.” INSTALLING OR 

USING THIS ENGINE IN ANY OTHER APPLICATION MAY BE A VIOLATION OF 

CALIFORNIA LAW SUBJECT TO CIVIL PENALTY.” The referencing of similar federal 

requirements in combination with California references is permitted.
5

(c) Stationary engines required by 17 CCR 93115 or 40 CFR part 60, subpart IIII, to 

meet the requirements of this part 1039, or the requirements referenced at 13 CCR 

2421(a)(3), or in 40 CFR part 94, must meet the labeling requirements of 40 CFR 

60.4210.

ADD:

§1039.30 Submission of information.

(a) This part includes various requirements to record data or other information. Refer to 

§1039.825 and §1068.25 regarding recordkeeping requirements. Unless we specify 

otherwise, store these records in any format and on any media and keep them readily 

available for one year after you send an associated application for certification, or one 

year after you generate the data if they do not support an application for certification. 

You must promptly send us organized, written records in English if we ask for them. We 

may review them at any time.

(b) The regulations in §1039.255 and §1068.101 describe your obligation to report 

truthful and complete information and the consequences of failing to meet this 

obligation. This includes information not related to certification.

(c) Send all reports and requests for approval to the Executive Officer of the Air 

Resources Board (or the Executive Officer’s designee as notified by ARB).

(d) Any written information we require you to send to or receive from another company 

is deemed to be a required record under this section. Such records are also deemed to 

be submissions to the Air Resources Board. We may require you to send us these 

records whether or not you are a certificate holder.

Subpart B – Emission Standards and Related Requirements

§ 1039.101 What exhaust emission standards must my engines meet after the 2014 

model year?

* * * * *

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

engines in model year 2014 and earlier?

* * * * *

(e) Alternate NOx standards. DELETE,

REPLACE WITH:

(e) Alternate NOx standards. For engines in 56-560 kW power categories during the 

phase-in of Tier 4 standards, you may certify engine families to the alternate NOx or 

NOx+NMHC standards in this paragraph (e) instead of the phase-in and phase-out 

NOx+NMHC standards described in Tables 4 through 6 of this section. Engines 
6

certified to an alternate NOx standard under this section must be certified to an NMHC 

standard of 0.19 g/kW-hr. Do not include engine families certified under this paragraph 

(e) in determining whether you comply with the percentage phase-in requirements of 

paragraphs (c) and (d)(2) of this section. Except for the provisions for alternate FEL 

caps in §1039.104(g), the NOx and NOx+NMHC standards and FEL caps under this 

paragraph (e) are as follows:

* * * * *

ADD:

(e)(3) You may use NOx+NMHC emission credits to certify an engine family to the 

alternate NOx+NMHC standards in this paragraph (e)(3) instead of the otherwise 

applicable alternate NOx and NMHC standards. Calculate the alternate NOx+NMHC 

standard by adding 0.1 g/kW-hr to the numerical value of the applicable alternate NOx 

standard of paragraph (e)(1) or (2) of this section. Engines certified to the NOx+NMHC 

standards in Table 1b of 13 CCR 2423(b)(1)(A) using credits as permitted inof this 

paragraph (e)(3) may not generate emission credits. The FEL caps for engine families

certified under this paragraph (e)(3) are the previously applicable NOx+NMHC 

standards of 40 CFR 89.112 (generally the Tier 3 standards).

* * * * *

Table 8 Footnote 3 DELETE,

REPLACE WITH:

For manufacturers certifying engines to the standards of this part 1039 in 2012 under 

Option #2 of Table 3 of §1039.102, the FEL caps for 37-56 kW engines in the 19-56 kW 

category of Table 2 of §1039.101 apply for model year 2012 and later; see Title 13, 

CCR, §2423(b)(1)(A) for provisions that apply to earlier model years.

* * * * *

(g)(4) DELETE,

REPLACE WITH:

(g)(4) Special provisions for 37-56 kW engines. For engines at or above 37 kW and 

below 56 kW from model years 2008 through 2012, you must take the following 

additional steps:

(i) State the applicable PM standard on the emission control information label.

(ii) A add information to the emission-related installation instructions to clarify the 

equipment manufacturer’s obligations under §1039.104(f).

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

* * * * *
7

Table 1 of §1039.104 DELETE,

REPLACE WITH:

Table 1 of §1039.104 - Alternate FEL Caps

Maximum 

Engine Power

PM FEL Cap, 

g/kW-hr

Model Years for the 

Alternate PM FEL Cap

NOx FEL Cap,

g/kW-hr

Model Years for the 

Alternate NOx FEL 

Cap

19 ≤ kW < 56 0.30 2012-2015 1 - -

56 ≤ kW < 130 2 0.30 2012-2015 3 3.8 20142012-2015 3

130 ≤ kW ≤ 560 0.20 2011-2014 3.8 2011-2014 4

kW > 560 45 0.10 2015-2018 3.5 2015-2018

1 For manufacturers certifying engines under Option #1 of Table 3 of §1039.102, these alternate FEL caps apply to all 19-56 kW engines

for model years from 2013 through 2016 instead of in the years indicated in this table. For manufacturers certifying engines under 

Option #2 of Table 3 of §1039.102, these alternate FEL caps do not apply to 19-37 kW engines except in model years 2013 to 2015. 2 For engines below 75 kW, the FEL caps are 0.40 g/kW-hr for PM emissions and 4.4 g/kW-hr for NOx emissions. 3 For engines certified under the provisions of §1039.102(d)(2) or (e)(1)(ii), the alternate NOx FEL cap in the

table applies only for the 2015 model year manufacturers certifying engines in this power category using a percentage phase-in/phaseout approach instead of the alternate NOx standards of §1039.102(e)(1), the alternate NOx FEL cap in the table applies only in the 

2014-2015 model years if certifying under §1039.102(d)(1), and only in the 2015 model year if certifying under §1039.102(d)(2). 4 For manufacturers certifying engines in this power category using the percentage phase-in/phase-out approach instead of the alternate 

NOx standard of §1039.102(e)(2), the alternate NOx FEL cap in the table applies only for the 2014 model year. 45 For engines above 560 kW, the provision for alternate NOx FEL caps is limited to generator-set engines. For example, if you produce 

1,000 generator-set engines above 560 kW in 2015, up to 200 of them may be certified to the alternate NOx FEL caps.

ADD:

(g)(5) You may certify engines under this paragraph (g) without regard to whether or not 

the engine family's FEL is at or below the otherwise applicable FEL cap. For example, 

a 200 kW engine certified to the NOx+NMHC standard of §1039.102(e)(3) with an FEL 

equal to the FEL cap of 2.8 g/kW-hr may be certified under this paragraph (g) and count 

toward the sales limit specified in paragraph (g)(1) of this section.

§ 1039.105 What smoke standards must my engines meet?

* * * * *

§ 1039.107 What evaporative emission standards and requirements apply?

* * * * *

§ 1039.110 [Reserved]

* * * * *

§ 1039.115 What other requirements must my engines meetapply?

Introductory Text DELETE,

REPLACE WITH:

Engines subject to this part that are required to meet the emission standards of this part

must meet the following requirements, except as noted elsewhere in this part:

Introductory Text (a) DELETE,

REPLACE WITH:
8

(a) Crankcase emissions. Crankcase emissions may not be discharged directly into the 

ambient atmosphere from any engine throughout its useful life, except as follows:

* * * * *

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

* * * * *

(c) DELETE,

REPLACE WITH:

(c) Components covered. The emission-related warranty covers all components whose 

failure would increase an engine’s emissions of any regulated pollutant, including. This 

includes components listed in §1068, Appendix I, Title 13, CCR, § 2425(d), and 

components from any other system you developed to control emissions. The 

emission-related warranty covers these components even if another company produces 

the component. Your emission-related warranty does not need to cover components 

whose failure would not increase an engine’s emissions of any regulated pollutant.

* * * * *

§ 1039.125 What maintenance instructions must I give to buyers?

* * * * *

(a)(1)(iii) DELETE,

REPLACE WITH:

(a)(1)(iii) You provide the maintenance free of charge and clearly say so in your

maintenance instructions for the customer. 

* * * * *

(a)(2)(i) DELETE,

REPLACE WITH:

(a)(2)(i) For EGR-related filters and coolers, PCV valves, crankcase vent filters, and fuel 

injector tips (cleaning only), the minimum interval is 1,500 hours.

(a)(2)(ii) DELETE,

REPLACE WITH:

(a)(2)(ii) For the following components, including associated sensors and actuators, the 

minimum interval is 3000 hours: fuel injectors, turbochargers, catalytic converters, 

electronic control units, particulate traps, trap oxidizers, components related to 

particulate traps and trap oxidizers, EGR systems (including related components, but 

excluding filters and coolers), and other add-on components. For particulate traps, trap 

oxidizers, and components related to either of these, maintenance is limited to cleaning 

and repair only.
9

(a)(3) DELETE,

REPLACE WITH:

(a)(3) For engines at or above 130 kW, you may not schedule critical emission-related 

maintenance more frequently than the following minimum intervals, except as specified 

in paragraphs (a)(4), (b), and (c) of this section:

(i) For EGR-related filters and coolers, PCV valves, crankcase vent filters, and fuel 

injector tips (cleaning only), the minimum interval is 1,500 hours.

(ii) For the following components, including associated sensors and actuators, the 

minimum interval is 4500 hours: fuel injectors, turbochargers, catalytic converters, 

electronic control units, particulate traps, trap oxidizers, components related to 

particulate traps and trap oxidizers, EGR systems (including related components, but 

excluding filters and coolers), and other add-on components. For particulate traps, trap 

oxidizers, and components related to either of these, maintenance is limited to cleaning 

and repair only.

(a)(4) DELETE,

REPLACE WITH,

(a)(4) If your engine family has an alternate useful life under §1039.101(g) that is 

shorter than the period specified in paragraph (a)(2) or (a)(3) of this section, you may 

not schedule critical emission-related maintenance more frequently than the alternate 

useful life, except as specified in paragraph (c) of this section.For particulate traps, trap 

oxidizers, and components related to either of these, scheduled maintenance may 

include cleaning or repair at the intervals specified in paragraph (a)(2) or (3) of this 

section, as applicable. Scheduled maintenance may include a shorter interval for 

cleaning or repair and may also include adjustment or replacement, but only if we 

approve it. We will approve your request if you provide the maintenance free of charge,

and clearly state this in your maintenance instructions that the service is to be provided 

free of charge, and the Executive Officer or his/her designee determines there is a high 

likelihood that the maintenance will occur. The Executive Officer may request the 

submission of additional information to aid in making this determination.

ADD:

(a)(5) You may ask us to approve a maintenance interval shorter than that specified in 

paragraphs (a)(2) and (a)(3) of this section under §1039.210, including emission-related 

components that were not in widespread use with off-road compression-ignition engines 

before 2011. In your request you must describe the proposed maintenance step, 

recommend the maximum feasible interval for this maintenance, include your rationale 

with supporting evidence to support the need for the maintenance at the recommended 

interval, and demonstrate that the maintenance will be done at the recommended 

interval on in-use engines. In considering your request, we will evaluate the information 

you provide and any other available information to establish alternate specifications for 

maintenance intervals, if appropriate. We will announce any decision we make under 

this paragraph (a)(5) in an ARB manufacturers advisory correspondence or other 

suitable method of public communication. Anyone may request a hearing regarding 

such a decision (see §1039.820).
10

ADD:

(a)(6) If your engine family has an alternate useful life under §1039.101(g) that is 

shorter than the period specified in paragraph (a)(2) or (a)(3) of this section, you may 

not schedule critical emission-related maintenance more frequently than the alternate 

useful life, except as specified in paragraph (c) of this section.

* * * * *

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(c) Special maintenance. You may specify more frequent maintenance to address 

problems related to special situations, such as atypical engine operation. You must 

clearly state that this additional maintenance is associated with the special situation you 

are addressing. We may disapprove your maintenance instructions if we determine that 

you have specified special maintenance steps to address engine operation that is not 

atypical, or that the maintenance is unlikely to occur in use. If we determine that certain 

maintenance items do not qualify as special maintenance under this paragraph (c), you 

may identify this as recommended additional maintenance under paragraph (b) of this 

section.

(d) DELETE,

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(d) Noncritical emission-related maintenance. YSubject to the provisions of this 

paragraph (d), you may schedule any amount of emission-related inspection or 

maintenance that is not covered by paragraph (a) of this section, as long as you (that is, 

maintenance that is neither explicitly identified as critical emission-related maintenance, 

nor that we approve as critical emission-related maintenance). Noncritical emissionrelated maintenance generally includes maintenance on the components we specify in 

40 CFR part 1068, Appendix I, that is not covered in paragraph (a) of this section. You 

must state in the owner’s manual that these steps are not necessary to keep the 

emission-related warranty valid. If operators fail to do this maintenance, this does not 

allow you to disqualify those engines from in-use testing or deny a warranty claim. You 

may Do not take these inspection or maintenance steps during service accumulation on 

your emission-data engines.

* * * * *
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(f) DELETE,

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(f) Source of parts and repairs. State clearly on the first page of your written 

maintenance instructions that a repair shop or person of the owner’s choosing may 

maintain, replace, or repair emission-control devices and systems. Your instructions 

may not require components or service identified by brand, trade, or corporate name. 

Also, do not directly or indirectly condition your warranty on a requirement that the 

equipmentengine be serviced by your franchised dealers or any other service

establishments with which you have a commercial relationship. You may disregard the 

requirements in this paragraph (f) if you do one of two things:

(1) Provide a component or service without charge under the purchase agreement. 

(2) Get us to waive this prohibition in the public’s interest by convincing us the engine 

will work properly only with the identified component or service.

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(g) Payment for scheduled maintenance. Owners are responsible for properly 

maintaining their engines. This generally includes paying for scheduled maintenance. 

However, manufacturers must pay for scheduled maintenance during the useful life if 

the regulations require it or if it meets all the following criteria:

(1) Each affected component was not in general use on similar engines before the 

applicable dates shown in paragraph (6) of the definition of new off-road engine in

§1039.801.

(2) The primary function of each affected component is to reduce emissions.

(3) The cost of the scheduled maintenance is more than 2 percent of the price of the 

engine.

(4) Failure to perform the maintenance would not cause clear problems that would 

significantly degrade the engine’s performance.

* * * * *

§ 1039.130 What installation instructions must I give to equipment manufacturers?

* * * * *

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

* * * * *

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(c)(4) State the power category or subcategory from §1039.101 or §1039.102 that 

determines the applicable emission standards for the engine family. For engines at or 

above 37 kW and below 56 kW from model years 2008 through 2012, and for engines 

less than 8 kW utilizing the provision at §1039.101(c), you must state the applicable PM 

standard for the engine family.
12

* * * * *

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(c)(6) State the date of manufacture [MONTH and YEAR]. You may omit this from the 

label if you keep a record of the engine-manufacture dates and provide it to us upon 

request.

* * * * *

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(c)(8) Identify the emission-control system. Use terms and abbreviations consistent with 

SAE J1930 (incorporated by reference as described in §1039 40 CFR 1068.810)45. 

You may omit this information from the label if there is not enough room for it and you 

put it in the owners manual instead.

* * * * *

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(g) If you obscure the engine label while installing the engine in the equipment such that 

the label is no longer readily visible as described in 13 CCR 2424(e), you must place a 

duplicate label on the equipment. If others install your engine in their equipment in a 

way that obscures the engine label, we require them to add a duplicate label on the 

equipment (see 40 CFR 1068.105); in that case, give them the number of duplicate 

labels they request and keep the following records for at least five years:

(1) Written documentation of the request from the equipment manufacturer.

(2) The number of duplicate labels you send for each engine family and the date 

you sent them.

* * * * *

§ 1039.140 What is my engine's maximum engine power?

* * * * *

Subpart C – Certifying Engine Families

§ 1039.201 What are the general requirements for obtaining an Executive Order?

* * * * *

§ 1039.205 What must I include in my application?
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* * * * *

(o) DELETE,

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(o) Present emission data for hydrocarbons (such as NMHC or THCE, as applicable), 

NOx, PM, and CO on an emission--data engine to show your engines meet the 

applicable duty-cycle emission standards we specify in §1039.101. Show emission data

figures before and after applying adjustment factors for regeneration and deterioration 

factors for each engine. Include emission results for each mode if you do discretemode testing under §1039.505. Present emission data to show that you meet any 

applicable smoke standards we specify in §1039.105. If we specify more than one 

grade of any fuel type (for example, high-sulfur and low-sulfur diesel fuel), you need to 

submit test data only for one grade, unless the regulations of this part specify otherwise 

for your engine. Note that §1039.235 allows you to submit an application in certain 

cases without new emission data.

* * * * *

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(r) Report test results as follows:

(1) Report all test results, including those involving measurement of pollutants for which 

emission standards apply. Include test results from invalid tests or from any other tests, 

whether or not they were conducted according to the test procedures of subpart F of 

this part. If you measure CO2, report those emission levels. We may ask you to send 

other information to confirm that your tests were valid under the requirements of this 

part and 40 CFR part 1065.

(2) Report measured CO2, N2O, and CH4 as described in §1039.235. Small-volume 

engine manufacturers may omit reporting N2O and CH4.

* * * * *

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(v) State whether your certification is intended to include engines used in stationary 

applications. State whether your certification is limited for certain engines. If this is the 

case, describe how you will prevent use of these engines in applications for which they 

are not certified. This applies for engines such as the following:

(1) Constant-speed engines.

(2) Engines used for transportation refrigeration units that you certify under the 

provisions of §1039.645.
14

(3) Hand-startable engines certified under the provisions of §1039.101(c).

(4) Engines above 560 kKW that are not certified to emission standards for generatorset engines.

* * * * *

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(x) Include good-faith estimates of U.S.-directed production volumes and, if available, 

California-directed production volumes. Include a justification for the estimated 

production volumes if they are substantially different than actual production volumes in 

earlier years for similar models.

* * * * *

ADD:

(aa) Name an agent for service located in California, or if you have no California agent, 

in the United States. Service on this agent constitutes service on you or any of your 

officers or employees for any action by ARB or otherwise by the the State of California 

related to the requirements of this part.

§ 1039.210 May I get preliminary approval before I complete my application?

* * * * *

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

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You may amend your emission--related maintenance instructions after you submit your 

application for certification, as long as the amended instructions remain consistent with 

the provisions of §1039.125. You must send the Designated Compliance Officer

Executive Officer or his/her designee a written request to amend your application for 

certification for an engine family if you want to change the emission--related 

maintenance instructions in a way that could affect emissions. In your request, describe 

the proposed changes to the maintenance instructions. We will disapprove your 

request if we determine that the amended instructions are inconsistent with 

maintenance you performed on emission-data engines. If operators follow the original 

maintenance instructions rather than the newly specified maintenance, this does not 

allow you to disqualify those engines from in-use testing or deny a warranty claim.

(a) If you are decreasing the or eliminating any specified maintenance, you may 

distribute the new maintenance instructions to your customers 30 days after we receive 

your request, unless we disapprove your request. This would generally include 

replacing one maintenance step with another. We may approve a shorter time or waive 

this requirement.
15

(b) If your requested change would not decrease the specified maintenance, you may 

distribute the new maintenance instructions any time after you send your request. For 

example, this paragraph (b) would cover adding instructions to increase the frequency 

of a maintenance step filter changes for engines in severe-duty applications. 

(c) You need not request approval if you are making only minor corrections (such as 

correcting typographical mistakes), clarifying your maintenance instructions, or 

changing instructions for maintenance unrelated to emission control. We may ask you 

to send us copies of maintenance instructions revised under this paragraph (c).

§ 1039.225 How do I amend my application for certification to include new or modified 

engines or to change an FEL?

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Before we issue you a certificate of conformity an Executive Order, you may amend 

your application to include new or modified engine configurations, subject to the 

provisions of this section. After we have issued your certificate of conformity Executive 

Order, you may send us an amended application requesting that we include new or 

modified engine configurations within the scope of the certificate Order, subject to the 

provisions of this section. You must amend your application if any changes occur with 

respect to any information that is included or should be included in your application.

(a) You must amend your application before you take either any of the following actions:

(1) Add an engine (that is, an additional engine configuration) to an engine family. In 

this case, the engine configuration added must be consistent with other engines engine 

configurations in the engine family with respect to the criteria listed in §1039.230.

(2) Change an engine configuration already included in an engine family in a way that 

may affect emissions, or change any of the components you described in your 

application for certification. This includes production and design changes that may 

affect emissions any time during the engine’s lifetime.

(3) Modify an FEL for an engine family, as described in paragraph (f) of this section.

(b) To amend your application for certification, send the following relevant information, 

as applicable, to the Designated Compliance Officer Executive Officer or his/her 

designee the following information:

(1) Describe in detail the addition or change in the engine model or configuration you 

intend to make.

(2) Include engineering evaluations or data showing that the amended engine family 

complies with all applicable requirements. You may do this by showing that the original 

emission-data engine is still appropriate with respect to for showing compliance of that

the amended family complies with all applicable requirements.
16

(3) If the original emission-data engine for the engine family is not appropriate to show 

compliance for the new or modified off-road engine configuration, include new test data 

showing that the new or modified off-road engine configuration meets the requirements 

of this part.

(c) We may ask for more test data or engineering evaluations. You must give us these 

within 30 days after we request them. 

(d) For engine families already covered by a certificate of conformity an Executive 

Order, we will determine whether the existing certificate of conformity covers your new

newly added or modified off-road engine. You may ask for a hearing if we deny your 

request (see §1039.820).

(e) For engine families already covered by a certificate of conformity an Executive 

Order, you may start producing the new or modified off-road engine configuration any

time after you send us your amended application, and before we make a decision under 

paragraph (d) of this section. However, if we determine that the affected engines do not 

meet applicable requirements, we will notify you to cease production of the engines and 

may require you to recall the engines at no expense to the owner. Choosing to produce 

engines under this paragraph (e) is deemed to be consent to recall all engines that we 

determine do not meet applicable emission standards or other requirements and to 

remedy the nonconformity at no expense to the owner. If you do not provide 

information required under paragraph (c) of this section within 30 days after we request 

it, you must stop producing the new or modified off-road engines.

(f) You may ask us to approve a change to your FEL in the following certain cases:

(1) You may ask to raise your FEL after the start of production. YouThe changed FEL

may not apply the higher FEL to engines you have already introduced into commerce. 

Use the appropriate FELs with corresponding sales volumes to calculate your average 

emission level, U.S. commerce, except as described in subpart H of this part. In your 

request, you must demonstrate that you will still be able to comply with the applicable 

average emission standards as specified in subparts B and H of this part.

(2) You may ask to lower the FEL for your engine family this paragraph (f). If we 

approve a changed FEL after the start of production only when you have test data from 

production engines indicating that your engines comply with the lower FEL. You may 

create a separate subfamily with the lower FEL. Otherwise, you must use the higher 

FEL for the family to calculate your average emission level under subpart H of this part.

(3) If you change the FEL during production, you must include the new FEL on the 

emission control information label for all engines produced after the change. You may 

ask us to approve a change to your FEL in the following cases:

(1) You may ask to raise your FEL for your engine family at any time. In your request, 

you must show that you will still be able to meet the emission standards as specified in 

subparts B and H of this part. If you amend your application by submitting new test data 

to include a newly added or modified engine, as described in paragraph (b)(3) of this 
17

section, use the appropriate FELs with corresponding production volumes to calculate 

emission credits for the model year, as described in subpart H of this part. In all other 

circumstances, you must use the higher FEL for the entire engine family to calculate 

emission credits under subpart H of this part.

(2) You may ask to lower the FEL for your engine family only if you have test data from 

production engines showing that emissions are below the proposed lower FEL. The 

lower FEL applies only to engines you produce after we approve the new FEL. Use the 

appropriate FELs with corresponding production volumes to calculate emission credits 

for the model year, as described in subpart H of this part.

§ 1039.230 How do I select engine families?

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(a) DFor purposes of certification, divide your product line into families of engines that 

are expected to have similar emission characteristics throughout the useful life as 

described in this section. Your engine family is limited to a single model year.

(b) Group engines in the same engine family if they are the same in all the following 

aspects:

(1) The combustion cycle and fuel.

(2) The cooling system (water-cooled vs. air-cooled).

(3) Method of air aspiration.

(4) Method of exhaust aftertreatment (for example, catalytic converter or particulate 

trap).

(5) Combustion chamber design.

(6) Bore and stroke.

(7) Number of cylinders (Cylinder arrangement (such as in-line vs. vee configurations). 

This applies for engines with aftertreatment devices only).

(8) Cylinder arrangement (for engines with aftertreatment devices only).

(98) Method of control for engine operation other than governing (i.e., mechanical or 

electronic).

(109) Power category.
18

(1110) Numerical level of the emission standards that apply to the engine.

(c) You may subdivide a group of engines that is identical under paragraph (b) of this 

section into different engine families if you show the expected emission characteristics 

are different during the useful life.

(d) YIn unusual circumstances, you may group engines that are not identical with 

respect to the things listed in paragraph (b) of this section in the same engine family if 

you show that their emission characteristics during the useful life will be similar.

(e) If you combine engines from different power categories into a single engine family 

under paragraph (d) of this section, you must certify the engine family to the more 

stringent set of standards from the two power categories in that model year.

§ 1039.235 What emission testing must I perform for my application for an Executive 

Order testing requirements apply for certification?

* * * * *

(c) DELETE,

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(c) We may measure emissions from any of your test emission-data engines or other 

engines from the engine family, as follows:

(1) We may decide to do the testing at your plant or any other facility. If we do this, you 

must deliver the test engine to a test facility we designate. The test engine you provide 

must include appropriate manifolds, aftertreatment devices, electronic control units, and 

other emission-related components not normally attached directly to the engine block. If 

we do the testing at your plant, you must schedule it as soon as possible and make 

available the instruments, personnel, and equipment we need.

(2) If we measure emissions on one of your test engines, the results of that testing

become the official emission results for the engine. Unless we later invalidate these 

data, we may decide not to consider your data in determining if your engine family 

meets applicable requirements.

(3) Before we test one of your engines, we may set its adjustable parameters to any 

point within the physically adjustable ranges (see §1039.115(e)).

(4) Before we test one of your engines, we may calibrate it within normal production 

tolerances for anything we do not consider an adjustable parameter. For example, this 

would apply for an engine parameter that is subject to production variability because it is 

adjustable during production, but is not considered an adjustable parameter (as defined 

in §1039.801) because it is permanently sealed.

(d) DELETE,
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(d) You may ask to use carryover emission data from a previous model year instead of 

doing new tests, but only if all the following are true:

(1) The engine family from the previous model year differs from the current engine 

family only with respect to model year or other characteristics unrelated to emissions.

* * * * *

ADD:

(g) Measure CO2 and CH4 with each low-hour certification test using the procedures 

specified in 40 CFR part 1065 in the 2011 and 2012 model years, respectively. Also 

measure N2O with each low-hour certification test using the procedures specified in part 

1065 of these Test Procedures starting in the 2013 model year for any engine family 

that depends on NOx aftertreatment to meet emission standards. Small-volume engine 

manufacturers may omit measurement of N2O and CH4. Additionally, manufacturers 

may omit direct measurement of N2O and CH4 for engines not subject to N2O and CH4 

standards according to the provisions in 1065.5(a)(3). These measurements are not 

required for NTE testing. Use the same units and modal calculations as for your other 

results to report a single weighted value for each constituent. Round the final values as 

follows:

(1) Round CO2 to the nearest 1 g/kW-hr.

(2) Round N2O to the nearest 0.001 g/kW-hr.

(3) Round CH4 to the nearest 0.001g/kW-hr.

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

emission standards?

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(a) For purposes of certification, your engine family is considered in compliance with the 

applicable numerical emission standards in §1039.101(a) and (b), §1039.102(a) and (b), 

§1039.104, and §1039.105 if all emission-data engines representing that family have 

test results showing official emission results and deteriorated emission levels at or 

below these standards. (Note: if you participate in the ABT program in subpart H of this 

part, This also applies for all test points for emission-data engines within the family 

used to establish deterioration factors. Note that your FELs are considered to be the 

applicable emission standards with which you must comply if you participate in the ABT 

program in subpart H of this part.)
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(b) DELETE,

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(b) Your engine family is deemed not to comply if any emission-data engine

representing that family has test results showing an official emission result or a 

deteriorated emission level for any pollutant that is above an applicable FEL or emission 

standard. Similarly, your engine family is deemed not to comply if any emission-data 

engine representing that family has test results showing any emission level above the 

applicable not-to-exceed emission standard from §1039.101, §1039.102, §1039.104, or 

§1039.105 for any pollutant. This also applies for all test points for emission-data 

engines within the family used to establish deterioration factors.

* * * * *

(c)(1) DELETE,

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(c)(1) Additive deterioration factor for exhaust emissions. Except as specified in 

paragraph (c)(2) of this section, use an additive deterioration factor for exhaust 

emissions. An additive deterioration factor for a pollutant is the difference between 

exhaust emissions at the end of the useful life and exhaust emissions at the low-hour 

test point. In these cases, adjust the official emission results for each tested engine at 

the selected test point by adding the factor to the measured emissions. If the factor is 

less than zero, use zero. Additive deterioration factors must be specified to one more 

decimal place than the applicable standard.

* * * * *

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

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Establish deterioration factors to determine whether your engines will meet emission 

standards for each pollutant throughout the useful life, as described in §§1039.101 and 

1039.240. This section describes how to determine deterioration factors, either with an 

engineering analysis, with pre-existing test data, or with new emission measurements. 

If you are required to perform durability testing, see §1039.125 for limitations on the 

maintenance that you may perform on your emission-data engine. Apply these 

deterioration factors to determine whether your engines will meet the duty-cycle 

emission standards as described in §1039.240 throughout the engines’ useful lives.

* * * * *

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

Resources Board (ARB)?
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(a) DELETE,

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(a) Within 3045 days after the end of the model year, send the Executive Officer or 

his/her designee a report describing the following information about engines you 

produced during thate model year:

* * * * *

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(c) Keep data from routine emission tests (such as test-cell temperatures and relative 

humidity readings) for one year after we issue the associated Executive Order. Keep all 

other information specified in paragraph (a) of this section for eight years after we issue 

your Executive Order.

* * * * *

(e) DELETE.

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

* * * * *

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(b) We may deny your application for certification if we determine that your engine 

family fails to comply with emission standards or other requirements of this part or the

Act. Our decision may be based on a review of all information available to California 

Health and Safety Code, Division 26, and corresponding regulations. We will base our 

decision on all available information. If we deny your application, we will explain why in 

writing.

* * * * *

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(d) We may void your Executive Order if you do not keep the records we require or do 

not give us information when we ask for it required under this part or the California 

Health and Safety Code, Division 26, and corresponding regulations.

* * * * *

Subpart D – [Reserved]

* * * * *
22

Subpart E – In-use Testing

§ 1039.401 General Provisions.

* * * * *

Subpart F – Test Procedures

§ 1039.501 How do I run a valid emission test?

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(a) Use the equipment and procedures for compression-ignition engines in 40 CFR part 

1065 to determine whether engines meet the duty-cycle emission standards in subpart 

B of this part.101(a) and (b). Measure the emissions of all the pollutants we regulate in 

§1039.101exhaust constituents subject to emission standards as specified in 40 CFR 

part 1065 exhaust constituents subject to emission standards as specified in 40 CFR 

part 1065. Measure CO2, N2O, and CH4 as described in §1039.235. Use the

applicable duty cycles specified in §§1039.505 and 1039.510.

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(b) Section 1039.515 describes the supplemental procedures for evaluating whether 

engines meet the not-to-exceed emission limits in §1039.101(e) subpart B of this part.

* * * * *

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

ramped-modal testing?

* * * * *

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(a)(1) For discrete-mode testing, sample emissions separately for each mode, then 

calculate an average emission level for the whole cycle using the weighting factors 

specified for each mode. Calculate cycle statistics for the sequence of modes and 

compare with the established criteria as specified values in §1065.514 to confirm that 

the test is valid. Operate the engine and sampling system as follows:

(i) Engines with NOx aftertreatment. For engines that depend on aftertreatment to meet 

the NOx emission standard, operate the engine for 5-6 minutes, then sample emissions 

for 1-3 minutes in each mode. You may extend the sampling time to improve 

measurement accuracy of PM emissions, using good engineering judgment. If you 

have a longer sampling time for PM emissions, calculate and validate cycle statistics 

separately for the gaseous and PM sampling periods.
23

(ii) Engines without NOx aftertreatment. For other engines, operate the engine for at 

least 5 minutes, then sample emissions for at least 1 minute in each mode. Calculate 

cycle statistics for the sequence of modes and compare with the specified values in 

§1065 to confirm that the test is valid.

* * * * *

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(b) Measure emissions by testing the engine on a dynamometer with one of the 

following duty cycles to determine whether it meets the steady-state emission standards 

in § 1039.101(b):

(1) Use the 5-mode duty cycle or the corresponding ramped-modal cycle described in 

paragraph (a) of Appendix II of this part for constant-speed engines. Note that these 

cycles do not apply to all engines used in constant-speed applications, as described in 

§1039.801.

(2) Use the 6-mode duty cycle or the corresponding ramped-modal cycle described in 

paragraph (b) of Appendix III of this part for variable-speed engines below 19 kW. You 

may instead use the 8-mode duty cycle or the corresponding ramped-modal cycle 

described in paragraph (c) of Appendix IIV of this part if some engines from your engine 

family will be used in applications that do not involve governing to maintain engine 

operation around rated speed.

(3) Use the 8-mode duty cycle or the corresponding ramped-modal cycle described in 

paragraph (c) of Appendix IIV of this part for variable-speed engines at or above 19 kW.

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(c) During idle mode, operate the engine at its warm idle speed as described in §1065.

with the following parameters:

(1) Hold the speed within your specifications.

(2) Set the engine to operate at its minimum fueling rate.

(3) Keep engine torque under 5 percent of maximum test torque.

(d) DELETE,

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(d) For full-load operating modes, operate the engine at its maximum fueling rate. 

However, for constant-speed For constant-speed engines whose design prevents 

full-load operation for extended periods, you may ask for approval under §1065.10(c) to 
24

replace full-load operation with the maximum load for which the engine is designed to 

operate for extended periods.

* * * * *

ADD:

(g) To allow non-motoring dynamometers on cycles with idle, you may omit additional 

points from the duty-cycle regression as follows:

(1) For variable-speed engines with low-speed governors, you may omit speed, torque, 

and power points from the duty-cycle regression statistics if the following are met:

(i) The engine operator demand is at its minimum.

(ii) The dynamometer demand is at its minimum.

(iii) It is an idle point fnref = 0 % (idle) and Tref = 0 % (idle).

(iv) Tref < T < 5 % · Tmax mapped.

(2) For variable-speed engines without low-speed governors, you may omit torque and 

power points from the duty-cycle regression statistics if the following are met:

(i) The dynamometer demand is at its minimum.

(ii) It is an idle point fnref = 0 % (idle) and Tref = 0 % (idle).

(iii) fnref - (2 % · fntest) < fn < fnref + (2 % · fntest).

(iv) Tref < T < 5 % · Tmax mapped.

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

* * * * *

(b) DELETE,

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(b) The transient test sequence consists of an initial run through the transient duty cycle 

from a cold start, 20 minutes with no engine operation, then a final run through the 

same transient duty cycle. Start sampling emissions immediately after you start the 

engine. Calculate the official transient emission result from the following equation:

Official transient emission result = 0.05 × cold-start emission rate + 0.95 × hot-start 

emission rate.
25

(c) DELETE,

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(c) Cool the engine down between tests as described in 40 CFR 86.1335-90. Calculate 

cycle statistics and compare with the established criteria as specified in §1065.514 to 

confirm that the test is valid.

(d) DELETE:

(d) For validating cycle statistics, you may delete from your regression analysis speed, 

torque, and power points for the first 23 seconds and the last 25 seconds of the 

transient duty cycle.

§ 1039.515 What are the test procedures related to not-to-exceed limits?

* * * * *

§ 1039.520 What testing must I perform to establish deterioration factors?

* * * * *

§ 1039.525 How do I adjust emission levels to account for infrequently regenerating

aftertreatment devices?

* * * * *

Subpart G – Special Compliance Provisions

§ 1039.601 What compliance provisions apply to these engines?

* * * * *

§ 1039.615 What special provisions apply to engines using noncommercial fuels?

* * * * *

§ 1039.620 What are the provisions for exempting engines used solely for 

competition?

* * * * *

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

flexibility?

* * * * *
26

(e) Introductory Text DELETE,

REPLACE WITH:

Standards. If you produce equipment with exempted engines under this section, the 

engines must meet emission standards at least as stringent as the following: specified 

in this paragraph (e). Note that we consider engines to be meeting emission standards 

even if they are certified with a family emission limit that is higher than the emission 

standard that would otherwise apply.

* * * * *

(e)(1) DELETE,

REPLACE WITH:

(e)(1) Equipment manufacturers using the provisions of paragraph (d)(4) of this section, 

must use engines that, at a minimum, meet the applicable Tier 1 or Tier 2 emission 

standards in Title 13, CCR, § 2423(b)(1)(a).

* * * * *

(e)(3) DELETE,

REPLACE WITH:

(e)(3) In all other cases, engines at or above 37 56 kW and at or below 560 kW must 

meet the appropriate Tier 3 standards described in Title 13, CCR, § 2423(b)(1)(a). 

Engines below 37 56 kW and engines above 560 kW must meet the appropriate Tier 2 

standards described in Title 13, CCR, § 2423(b)(1)(a).

* * * * *

(f)(4) DELETE,

REPLACE WITH:

(f)(4) The name, An e-mail address, and phone number of a person to contact for 

further information, or a website that includes this contact information.

* * * * *

(g)(1) DELETE,

REPLACE WITH:

(g)(1) Before January 1 of the first year you intend to use the provisions of this section, 

send the Executive Officer or his/her designee a written notice of your intent, including:

* * * * *

(ii) Whom The name, phone number and e-mail address of a person to contact for more 

information.

* * * * *
27

(iv) The name and address of the each company that produces the you expect to 

produce engines you will be using for the equipment exempted you manufacture under 

this section.

* * * * *

(g)(2) DELETE,

REPLACE WITH:

(g)(2) For each year that an equipment manufacturer uses the provisions of this section, 

the manufacturer must send the Executive Officer a written report by March 31 of the 

following year. In Tthe report, the manufacturer shall include identify the total number

count of engines units sold by the manufacturer in the preceding year for each power 

category, based on actual U.S.-directed production volume and, if available, 

California-directed production volume. Also, tThe manufacturer must shall also identify

in the report the percentages of U.S.-directed production volumes and, if available, 

California-directed production volumes, that correspond to the number of units in each 

power category and the cumulative numbers and percentages of units for all the units 

sold by the manufacturer under this section for each power category. The percentage 

figures may be omitted if the manufacturer states in the report that it will not be using 

the percent-of-production allowances in paragraph (b)(1) of this section. If the 

manufacturer(s) of the engine installed in the equipment has not already been identified 

as required in §1039.625(g)(1)(iv), the equipment manufacturer shall identify the name 

and address of this engine manufacturer(s) in the report.

* * * * *

(h)(1) DELETE,

REPLACE WITH:

(h)(1) The model number, serial number, engine family name, and the date of 

manufacture for each engine and piece of equipment.

(j)(2) DELETE,

REPLACE WITH:

(j)(2) Engine labeling. Engine manufacturers shall meet the labeling requirements 

provided in §1039.135 for all engines produced under the allowances of this section, 

except that manufacturers may omit the family emission limits from the label only if the 

limits are more stringent than the emissions standards. However Additionally, the 

following statement must be substituted for the statement of compliance required under 

§1039.135(12):

“THIS ENGINE COMPLIES WITH CALIFORNIA EMISSION REQUIREMENTS

UNDER 13 CCR 2423(d). SELLING OR INSTALLING THIS ENGINE FOR ANY 

PURPOSE OTHER THAN FOR THE EQUIPMENT FLEXIBILITY PROVISIONS 

CITED MAY BE A VIOLATION OF STATE LAW SUBJECT TO CIVIL PENALTY.” 

[Insert Engine Family Name]
28

The referencing of similar federal requirements in combination with California 

references under this provision is permitted. Furthermore, the Executive Officer may, 

upon request, approve alternate labeling specifications provided that they meet the 

intent of this requirement.

§ 1039.626 What special provisions apply to equipment imported under the 

equipment-manufacturer flexibility program?

* * * * *

(b)(1) DELETE,

REPLACE WITH:

(b)(1) Before January 1 of the first year you intend to use the provisions of this section, 

send the Executive Officer of the Air Resources Board, or his/her designee, a written 

notice of your intent, including:

* * * * *

§ 1039.627 What are the incentives for equipment manufacturers to use cleaner 

engines?

* * * * *

§ 1039.630 What are the economic hardship provisions for equipment manufacturers?

* * * * *

§ 1039.635 What are the hardship provisions for engine manufacturers?

* * * * *

§ 1039.640 What special provisions apply to branded engines?

* * * * *

§ 1039.645 What special provisions apply to engines used for transportation

refrigeration units?

* * * * *

§ 1039.650 [Reserved]

* * * * *

§ 1039.660 What special provisions apply to Independent Commercial Importers?
29

* * * * *

Subpart H – Averaging, Banking, and Trading for Certification

§ 1039.701 General provisions.

* * * * *

§ 1039.705 How do I generate and calculate emission credits?

* * * * *

(a) DELETE,

REPLACE WITH:

(a) Calculate positive emission credits for an engine family that has an FEL below the 

otherwise applicable standard. Calculate negative emission credits for an engine family 

that has an FEL above the otherwise applicable standard. [Reserved]

(b) DELETE,

REPLACE WITH:

(b) For each participating engine family, calculate positive or negative emission credits 

relative to the otherwise applicable emission standard. Round calculated Calculate 

positive emission credits for a family that has an FEL below the standard. Calculate 

negative emission credits for a family that has an FEL above the standard. Sum your 

positive and negative credits for the model year before rounding. Round the sum of 

emission credits to the nearest kilogram (kg), using consistent units throughout the 

following equation:

Emission credits (kg) = (Std - FEL) × (Volume) × (AvgPR) × (UL) × (10-3)

Where: 

Std = the emission standard, in grams per kilowatt-hour, that applies under subpart B of 

this part for engines not participating in the ABT program of this subpart (the 

“otherwise applicable standard”).

FEL = the family emission limit for the engine family, in grams per kilowatt-hour.

Volume = the number of engines eligible to participate in the averaging, banking, and 

trading program within the given engine family during the model year, as 

described in paragraph (c) of this section.

AvgPR = the average maximum engine power of all the engine configurations within an 

engine family, calculated on a sales-weighted basis, in kilowatts.

UL = the useful life for the given engine family, in hours.
30

* * * * *

§ 1039.710 How do I average emission credits?

* * * * *

§ 1039.715 How do I bank emission credits?

DELETE,

REPLACE WITH:

(a) Banking is the retention of emission credits by the manufacturer generating the 

emission credits for use in future model years for averaging or trading in future model 

years. You may use banked emission credits only within the averaging set in which 

they were generated.

(b) In your application for certification, You may designate any emission credits you

intend plan to bank. These emission credits will be considered in the reports you submit 

under §1039.730 as reserved credits. During the model year and before the due date 

for the final report, you may redesignate these designate your reserved emission credits 

for averaging or trading.

(c) You may use banked Reserved credits become actual emission credits from the 

previous model year for averaging or trading before we verify them, but when you 

submit your final report. However, we may revoke these emission credits if we are 

unable to verify them after reviewing your reports or auditing your records.

(d) Reserved credits become actual emission credits only when we verify them in 

reviewing your final report.

§ 1039.720 How do I trade emission credits?

* * * * *

(b) DELETE,

REPLACE WITH:

(b) You may trade actual emission credits as described in this subpart. You may also 

trade reserved emission credits, but we may revoke these emission credits based on 

our review of your records or reports or those of the company with which you traded 

emission credits. You may trade banked credits within an averaging set to any 

certifying manufacturer.

* * * * *

§ 1039.725 What must I include in my application for certification?
31

* * * * *

(b)(2) DELETE,

REPLACE WITH:

(b)(2) Detailed calculations of projected emission credits (positive or negative) based on 

projected production volumes. If your engine family will generate positive emission 

credits, state specifically where the emission credits will be applied (for example, to 

which engine family they will be applied in averaging, whether they will be traded, or 

whether they will be reserved for banking). If you have projected We may require you to 

include similar calculations from your other engine families to demonstrate that you will 

be able to avoid a negative credit balance for the model year. If you project negative

emission credits for an engine a family, state the source of positive emission credits you 

expect to use to offset the negative emission credits. Describe whether the emission 

credits are actual or reserved and whether they will come from averaging, banking, 

trading, or a combination of these. Identify from which of your engine families or from 

which manufacturer the emission credits will come.

§ 1039.730 What ABT reports must I send to ARB?

* * * * *

(b)(3) DELETE,

REPLACE WITH:

(b)(3) The FEL for each pollutant. If you changed an FEL during the model year change 

the FEL after the start of production, identify the date that you started using the new 

FEL and/or give the engine identification number for the first engine covered by the new 

FEL. In this case, identify each applicable FEL you used and calculate the positive or 

negative emission credits under each FEL. Also, describe how the applicable FEL can 

be identified for each engine you produced. For example, you might keep a list of 

engine identification numbers that correspond with certain FEL values as specified in 

§1039.225.

(b)(4) DELETE,

REPLACE WITH:

(b)(4) The projected and actual U.S.-directed production volumes, and California 

production volumes if available, for the model year with a point of retail sale in the 

United States. If you changed an FEL during the model year, identify the actual 

production volume associated with each FEL.

(b)(5) DELETE,

REPLACE WITH:

(b)(5) Maximum engine power for each engine configuration, and the sales-weighted

average engine power weighted by U.S.-directed production volumes, and California 

production volumes if available, for the engine family.

* * * * *
32

(c)(1) DELETE,

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(c)(1) Show that your net balance of emission credits from all your participating engine 

families in each averaging set in the applicable model year is not negative.

* * * * *

(f)(2) DELETE,

REPLACE WITH:

(f)(2) If you or we determine within 270 days after the end of the model year that errors 

mistakenly decreased your balance of emission credits, you may correct the errors and 

recalculate the balance of emission credits. You may not make these corrections for 

errors that are determined more than 270 days after the end of the model year. If you 

report a negative balance of emission credits, we may disallow corrections under this 

paragraph (f)(2).

* * * * *

§ 1039.735 What records must I keep?

* * * * *

(b) DELETE,

REPLACE WITH:

(b) Keep the records required by this section for at least eight years after the due date 

for the end-of-year report. You may use any appropriate storage formats or media, 

including paper, microfilm, or computer diskettes not use emission credits for any 

engines if you do not keep all the records required under this section. You must 

therefore keep these records to continue to bank valid credits. Store these records in 

any format and on any media, as long as you can promptly send us organized, written 

records in English if we ask for them. You must keep these records readily available. 

We may review them at any time.

* * * * *

(d)(6) DELETE,

REPLACE WITH:

(d)(6) Purchaser. You must also identify the purchaser and destination for each engine 

you produce to the extent this information is available.

(e) We may require you to keep additional records or to send us relevant information not 

required by this section in accordance with the California Health and Safety Code, 

Division 26, and corresponding regulations.
33

§ 1039.740 What restrictions apply for using emission credits?

* * * * *

§ 1039.745 What can happen if I do not comply with the provisions of this subpart?

* * * * *

Subpart I – Definitions and Other Reference Information

§ 1039.801 What definitions apply to this part?

* * * * *

ADD:

40 CFR part 1039 or Part 1039 means Part 1039 and applicable subparts of the 

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

Tier 4 Off-Road Compression-Ignition Engines, PART I-D, when referenced in 

unrevised (i.e., “ * * * * * ” ) sections. When referenced in revised sections, the term 

40 CFR part 1039 refers to the federal regulations of the same title, last amended on 

June 28, 2011.

40 CFR part 1065 DELETE,

REPLACE WITH:

40 CFR part 1065 or Part 1065 means Part 1065 and applicable subparts of these 2008 

and Later Test procedures of the California Exhaust Emission Standards and Test 

Procedures for New 2011 and Later Tier 4 Off-Road Compression-Ignition Engines, 

PART I-E, when referenced in unrevised (i.e., “ * * * * * ” ) sections. When referenced in 

revised sections, the term 40 CFR part 1065 refers to the federal regulations of the 

same title, last amended on June 28, 2011.

40 CFR part 1068 DELETE,

REPLACE WITH:

40 CFR part 1068 or Part 1068 means Part 1068 and applicable subparts of these 2008 

and Later Test procedures of the California Exhaust Emission Standards and Test 

Procedures for New 2011 and Later Tier 4 Off-Road Compression-Ignition Engines, 

PART I-F, when referenced in unrevised (i.e., “ * * * * * ” ) sections. When referenced in 

revised sections, the term 40 CFR part 1068 refers to the federal regulations of the 

same title, last amended on June 28, 2011.
34

* * * * *

ADD:

Alcohol-fueled engine means an engine that is designed to run using an alcohol fuel. 

For purposes of this definition, alcohol fuels do not include fuels with a nominal alcohol 

content below 25 percent by volume.

* * * * *

ADD:

Carryover means relating to certification based on emission data generated from an 

earlier model year as described in §1039.235(d).

Certification DELETE,

REPLACE WITH:

Certification means relating to the process of obtaining an executive order for an engine 

family complying with the off-road compression-ignition engine emission standards and 

requirements specified in Title 13, CCR, Chapter 9, §§ 2420-2427.

* * * * *

Constant Speed Operation DELETE,

REPLACE WITH:

Constant-speed operation means engine operation with a governor that controls the 

operator input to maintain an engine at a reference speed, even under changing load. 

For example, an isochronous governor 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 decrease 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 has the meaning given in §1065.1001.

* * * * *

ADD:

Date of manufacture has the meaning given in §1068.30.

* * * * *

Emission-control system DELETE,

REPLACE WITH:
35

Emission-control system means any device, system, or element of design that controls 

or reduces the emissions of regulated emissions pollutants from an engine.

* * * * *

Engine configuration DELETE,

REPLACE WITH:

Engine configuration means a unique combination of engine hardware and calibration 

within an engine family. Engines within a single engine configuration differ only with 

respect to normal production variability or factors unrelated to emissions.

* * * * *

Intermediate test speed DELETE,

REPLACE WITH:

Intermediate test speed has the meaning we given in §1065.5151001.

Model year (2) DELETE,

REPLACE WITH:

(2) For an engine that is converted to an off-road engine after being placed into service 

as a motor-vehicle engine or a stationary engine, or being certified and placed into 

service as a vehicle engine, model year means the calendar year in which the engine 

was originally produced. For a vehicle that is converted to be an off-road engine without 

having been certified, model year means the calendar year in which the engine 

becomes a new off-road engine. (see definition of “new off-road engine,” paragraph 

(2).).

* * * * *

ADD:

Model year (5)(iii) For imported engines described in paragraph (5)(iii) of the definition 

of "new off-road engine," model year means the calendar year in which the engine is 

first assembled in its imported configuration, unless specified otherwise in this part or in 

§1068.

* * * * *

New nonroad engine DELETE,

REPLACE WITH:

New nonoff-road engine means any of the following things: 

(1) A freshly manufactured off-road engine for which the ultimate purchaser has never 

received the equitable or legal title. This kind of engine might commonly be thought of 

as "brand new." In the case of this paragraph (1), the engine becomes is new when it is 

fully assembled for the first time. The engine is no longer new when from the time it is 
36

produced until the ultimate purchaser receives the title or the product is placed into 

service, whichever comes first.

(2) An engine originally manufactured as a motor vehicle engine or a stationary engine 

that is later used or intended to be used in a piece of off-road equipment. In this case, 

the engine is no longer a motor vehicle or stationary engine and becomes a "new 

off-road engine." The engine is no longer new when it is placed into off-road service. 

This paragraph (2) applies if a vehicle or a stationary engine is installed in off-road 

equipment, or if a vehicle or a piece of stationary equipment is modified (or moved) to 

become off-road equipment.

(3) An off-road engine that has been previously placed into service in an application we 

exclude under §1039.5, wheren that engine is installed in a piece of equipment that is 

covered by this part 1039. The engine is no longer new when it is placed into off-road

service covered by this part 1039. For example, this would apply to a marine diesel 

engine that is no longer used in a marine vessel but is instead installed in a piece of 

off-road equipment subject to the provisions of this part.

(4) An engine not covered by paragraphs (1) through (3) of this definition that is 

intended to be installed in new off-road equipment. This generally includes installation 

of used engines in new equipment. The engine is no longer new when the ultimate 

purchaser receives a title for the equipment or the product is placed into service, 

whichever comes first. This generally includes installation of used engines in new 

equipment.

(5) An imported off-road engine, subject to the following provisions: 

(i) An imported off-road engine covered by a certificate of conformity issued under this 

part that meets the criteria of one or more of paragraphs (1) through (4) of this 

definition, where the original engine manufacturer holds the certificate, is new as 

defined by those applicable paragraphs.

(ii) An imported nonroad engine covered by a certificate of conformity issued under this 

part, where someone other than the original engine manufacturer holds the certificate 

(such as when the engine is modified after its initial assembly), becomes is a new

off-road engine when it is imported. It is no longer new when the ultimate purchaser 

receives a title for the engine or it is placed into service, whichever comes first.

(iii) An imported off-road engine that is not covered by a certificate of conformity issued 

under this part at the time of importation is new, but only if it was produced on or after 

the dates shown in the following table. This addresses uncertified engines and 

equipment initially placed into service that someone seeks to import into the United 

States. Importation of this kind of new nonroad engine (or equipment containing such 

an engine) is generally prohibited by §1068. However, the importation of such an 

engine is not prohibited if the engine has an earlier model year than that identified in the 

following table:
37

* * * * *

Nonmethane hydrocarbon DELETE,

REPLACE WITH:

Nonmethane hydrocarbons (NMHC) means the sum of all hydrocarbon species except 

methane. Refer to §1065.660 for NMHC determination. means the difference between 

the emitted mass of total hydrocarbons and the emitted mass of methane.

* * * * *

ADD:

Owners manual means a document or collection of documents prepared by the engine 

manufacturer for the owner or operator to describe appropriate engine maintenance, 

applicable warranties, and any other information related to operating or keeping the 

engine. The owners manual is typically provided to the ultimate purchaser at the time of 

sale.

Oxides of Nitrogen DELETE,

REPLACE WITH:

Oxides of nitrogen has the meaning we given in §1065.1001.

* * * * *

Power Category (5) Round DELETE,

REPLACE WITH:

(5) Round means to round numbers according to NIST Special Publication 

811(incorporated by reference in §1039.810), unless otherwise specified has the 

meaning given in §1065.1001.

* * * * *

Steady-state DELETE,

REPLACE WITH:

Steady-state means relating to emission tests in which engine speed and load are held 

at a finite set of essentially constant values. Steady-state tests are either discrete-mode 

tests or ramped-modal tests has the meaning given in §1065.1001.

* * * * *
38

Total hydrocarbon DELETE,

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Total hydrocarbon has the meaning given in 40 CFR 1065.1001. This generally means 

the combined mass of organic compounds measured by the specified procedure for 

measuring total hydrocarbon, expressed as a hydrocarbon with aan atomic hydrogento-carbon mass ratio of 1.85:1. 

Total hydrocarbon equivalent DELETE,

REPLACE WITH:

Total hydrocarbon equivalent has the meaning given in 40 CFR 1065.1001. This 

generally means the sum of the carbon mass contributions of non-oxygenated 

hydrocarbons, alcohols and aldehydes, or other organic compounds that are measured 

separately as contained in a gas sample, expressed as exhaust hydrocarbon from 

petroleum--fueled engines. The atomic hydrogen-to-carbon ratio of the equivalent 

hydrocarbon is 1.85:1.

* * * * *

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

* * * * *

ADD:

CH4 methane

* * * * *

ADD:

N2O nitrous oxide

* * * * *

§ 1039.810 DELETE.

§ 1039.815 What provisions apply to confidential information?

* * * * *

§ 1039.820 How do I request a hearing?

* * * * *
39

ADD:

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

Under the Paperwork Reduction Act (44 U.S.C. 3501 et seq), the Office of Management 

and Budget approves the reporting and recordkeeping specified in the applicable 

regulations. The following items illustrate the kind of reporting and recordkeeping we 

require for engines and equipment regulated under this part:

(a) We specify the following requirements related to engine certification in this §1039:

(1) In §1039.20 we require engine manufacturers to label stationary engines that do not 

meet the standards in this part.

(2) In §1039.135 we require engine manufacturers to keep certain records related to 

duplicate labels sent to equipment manufacturers.

(3) [Reserved]

(4) In subpart C of this part we identify a wide range of information required to certify 

engines.

(5) [Reserved]

(6) [Reserved]

(7) In subpart G of this part we identify several reporting and recordkeeping items for 

making demonstrations and getting approval related to various special compliance 

provisions. For example, equipment manufacturers must submit reports and keep 

records related to the flexibility provisions in §1039.625.

(8) In §1039.725, 1039.730, and 1039.735 we specify certain records related to 

averaging, banking, and trading.

(b) We specify the following requirements related to testing in §1065:

(1) In §1065.2 we give an overview of principles for reporting information.

(2) In §1065.10 and 1065.12 we specify information needs for establishing various 

changes to published test procedures.

(3) In §1065.25 we establish basic guidelines for storing test information.

(4) In §1065.695 we identify data that may be appropriate for collecting during testing of 

in-use engines using portable analyzers.
40

(c) We specify the following requirements related to the general compliance provisions 

in §1068:

(1) In §1068.5 we establish a process for evaluating good engineering judgment related 

to testing and certification.

(2) In §1068.25 we describe general provisions related to sending and keeping 

information.

(3) In §1068.27 we require manufacturers to make engines available for our testing or 

inspection if we make such a request.

(4) In §1068.105 we require equipment manufacturers to keep certain records related to 

duplicate labels from engine manufacturers.

(5) In §1068.120 we specify recordkeeping related to rebuilding engines.

(6) In §1068, subpart C, we identify several reporting and recordkeeping items for 

making demonstrations and getting approval related to various exemptions.

(7) In §1068, subpart D, we identify several reporting and recordkeeping items for

making demonstrations and getting approval related to importing engines.

(8) In §1068.450 and 1068.455 we specify certain records related to testing productionline engines in a selective enforcement audit.

(9) In §1068.501 we specify certain records related to investigating and reporting 

emission-related defects.

(10) In §1068.525 and 1068.530 we specify certain records related to recalling 

nonconforming engines. 

Appendix I to Part 1039 – Reserved

* * * * *

Appendix II to Part 1039 DELETE,

REPLACE WITH:

Appendix II to Part 1039 – Steady-state Duty Cycles for Constant-Speed Engines

(a) The following duty cycles appliesy for discrete-mode testing of constant-speed 

engines:

(1) The following duty cycle applies for discrete-mode testing:
41

D2 mode number Engine

speed 1

Torque 

(percent) 21

Weighting 

factors

1

Maximum Test 

SpeedEngine 

governed

100 0.05

2

Maximum Test 

SpeedEngine 

governed

75 0.25

3

Maximum Test 

SpeedEngine 

governed

50 0.30

4

Maximum Test 

SpeedEngine 

governed

25 0.30

5

Maximum Test 

SpeedEngine 

governed

10 0.10

1 Maximum test speed is defined in §1065.

2 Except as noted in §1039.505, t The percent torque is relative to maximum test torque.
42

(b)(2) The following duty cycle applies for ramped-modal testing of constant speed 

engines:

RMC mode Time in mode

(seconds) Engine speed Torque (percent) 

1,2

1a Steady-state 53 Engine Governed 100

1b Transition 20 Engine Governed Linear transition

2a Steady-state 101 Engine Governed 10

2b Transition 20 Engine Governed Linear transition

3a Steady-state 277 Engine Governed 75

3b Transition 20 Engine Governed Linear transition

4a Steady-state 339 Engine Governed 25

4b Transition 20 Engine Governed Linear transition

5 Steady-state 350 Engine Governed 50

1 The percent torque is relative to maximum test torque. 2 Advance from one mode to the next within a 20-second transition phase. During the transition phase, 

command a linear progression from the torque setting of the current mode to the torque setting of the next 

mode.

(b) The following duty cycles apply for variable-speed engines with maximum engine 

power below 19 kW:

(1) The following duty cycle applies for discrete-mode testing:

G2 mode number Engine speed 1 Observed Torque 

(percent) 2

Weighting 

factors

1 Maximum test speed 100 0.09

2 Maximum test speed 75 0.20

3 Maximum test speed 50 0.29

4 Maximum test speed 25 0.30

5 Maximum test speed 10 0.07

6 Warm idle 0 0.05 1 Speed terms are defined in §1065. 2 Except as noted in §1039.505, tThe percent torque is relative to the maximum test torque at the commanded test speed.
43

(2) The following duty cycle applies for ramped-modal testing:

RMC mode Time in mode

(seconds) Engine speed 1,3 Torque(percent) 2,3

1a Steady-state 41 Warm Idle 0

1b Transition 20 Linear transition Linear transition

2a Steady-state 135 Maximum Test Speed 100

2b Transition 20 Maximum Test Speed Linear transition

3a Steady-state 112 Maximum Test Speed 10

3b Transition 20 Maximum Test Speed Linear transition

4a Steady-state 337 Maximum Test Speed 75

4b Transition 20 Maximum Test Speed Linear transition

5a Steady-state 518 Maximum Test Speed 25

5b Transition 20 Maximum Test Speed Linear transition

6a Steady-state 494 Maximum Test Speed 50

6b Transition 20 Linear transition Linear transition

7 Steady-state 43 Warm Idle 0

1 Speed terms are defined in §1065. 2 The percent torque is relative to the maximum torque at the commanded engine speed.

3 Advance from one mode to the next within a 20-second transition phase. During the transition phase, 

command a linear progression from the torque setting of the current mode to the torque setting of the next 

mode, and simultaneously command a similar linear progression for engine speed if there is a change in speed 

setting.
44

(c) The following duty cycles apply for variable-speed engines with maximum engine 

power at or above 19 kW:

(1) The following duty cycle applies for discrete-mode testing:

C1 mode number Engine speed 1

Observed 

tTorque 

(percent) 2

Weighting 

factors

1 Maximum test speed 100 0.15

2 Maximum test speed 75 0.15

3 Maximum test speed 50 0.15

4 Maximum test speed 10 0.10

5 Intermediate test 

d

100 0.10

6 Intermediate test 

d

75 0.10

7 Intermediate test 

d

50 0.10

8 Warm Idle 0 0.15 1 Speed terms are defined in §1065. 2 The percent torque is relative to the maximum torque at the commanded test speed.
45

(2) The following duty cycle applies for ramped-modal testing:

RMC mode Time in mode

(seconds) Engine speed 1,3 Torque(percent) 2,3

1a Steady-state 126 Warm Idle 0

1b Transition 20 Linear Transition 2 Linear Transition

2a Steady-state 159 Intermediate Speed 100

2b Transition 20 Intermediate Speed Linear Transition

3a Steady-state 160 Intermediate Speed 50

3b Transition 20 Intermediate Speed Linear Transition

4a Steady-state 162 Intermediate Speed 75

4b Transition 20 Linear Transition Linear Transition

5a Steady-state 246 Maximum Test Speed 100

5b Transition 20 Maximum Test Speed Linear Transition

6a Steady-state 164 Maximum Test Speed 10

6b Transition 20 Maximum Test Speed Linear Transition

7a Steady-state 248 Maximum Test Speed 75

7b Transition 20 Maximum Test Speed Linear Transition

8a Steady-state 247 Maximum Test Speed 50

8b Transition 20 Linear Transition Linear Transition

9 Steady-state 128 Warm Idle 0 1 Speed terms are defined in 40 CFR part 1065.

2 The percent torque is relative to the maximum torque at the commanded engine speed.

3 Advance from one mode to the next within a 20-second transition phase. During the transition phase, command a 

linear progression from the torque setting of the current mode to the torque setting of the next mode, and 

simultaneously command a similar linear progression for engine speed if there is a change in speed setting.

Appendix III to Part 1039 DELETE.

Appendix IV to Part 1039 DELETE.

Appendix V to Part 1039 – [Reserved]

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Appendix VI to Part 1039 – Nonroad Compression-Ignition Composite Transient Cycle

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