1

FINAL REGULATION ORDER, PART 1

Note: Amendments to the regulations are shown with underline text for additions and 

strikeout text for deletions. Newly adopted regulations are shown without underline as 

permitted by California Code of Regulations, title 1, section 8. Subsection headings are 

shown in italics and should be italicized in Barclays California Code of Regulations. 

Amend California Code of Regulations, title 13, sections 2430, 2431, 2433, 2434, and 

2438 to read: 

Article 4.5. Off-Road Large Spark-Ignition Engines

§ 2430. Applicability. 

(a) (1) This article applies to large off-road spark-ignition engines 

25 horsepower and greater produced on or after January 1, 2001 and all equipment 

and vehicles produced on or after January 1, 2001 that use such engines. Beginning 

January 1, 2007, this article applies to large off-road spark-ignition engines above 19 

kilowatt (kW) and all equipment and vehicles that use such engines.

(2) Every new off-road large spark-ignition (LSI) engine that is 

manufactured for sale, sold, or offered for sale in California, or that is introduced, 

delivered or imported into California for introduction into commerce and that is subject 

to any of the standards prescribed in this article and documents incorporated by 

reference therein, must be certified for use and sale by the manufacturer through the 

Air Resources Board and covered by an Executive Order, issued pursuant to Chapter 9, 

Article 4.5, Section 2433. 

(3) This article does not apply to engines in vehicles that are subject to 

requirements of Title 13, California Code of Regulations, Chapter 9, Article 3, 

Off-Highway Recreational Vehicles and Engines, including any related provisions and 

guidelines that are applicable to Off-Highway Recreational Vehicles and Engines.

(b) Each part of this article is severable, and in the event that any part of this 

chapter or article is held to be invalid, the remainder of the article remains in full force 

and effect. 

(c) This article and documents incorporated by reference herein include 

provisions for emissions certification, labeling requirements, warranty, in-use 

compliance testing, and production line testing. 

NOTE: Authority cited: Sections 39600, 39601, 43013, 43018, 43101, 43102 and 43104, Health and 

Safety Code. Reference: Sections 43013, 43017, 43018, 43101, 43102, 43104, 43105, 43150, 43151, 

43152, 43153,- 43154, 43205.5, and 43210, 43210.5, 43211 and-43212, Health and Safety Code. 
 2

§ 2431. Definitions. 

DEFINITIONS 

(a) The definitions in Section 1900 (b), Chapter 1, Title 13 of the California Code 

of Regulations apply to this Article with the following additions: 

(1) to (18) [No Change] 

(19) “Family Emission Level or FEL” means an emission level that is 

declared by the manufacturer to serve for the averaging, banking, and trading program 

and in lieu of an emission standard for certification. The FEL serves as the engine 

family’s emission standard for emissions compliance efforts. If the manufacturer does 

not declare an FEL for an engine family, the applicable emissions standard must be 

treated as that engine family’s FEL for the purposes of any provision of this Article. The 

FEL must be expressed to the same number of decimal places as the applicable 

emission standard.

(1920) [No Change] 

(2021) [No Change] 

(2122) [No Change] 

(2223) [No Change] 

(2324) [No Change] 

(2425) [No Change] 

(2526) [No Change 

(2627) [No Change] 

(2728) “Off-Road Large Spark-ignition Engines” or “LSI Engines” means 

any engine that produces a gross horsepower 25 and greater horsepower or is 

designed (e.g., through fueling, engine calibrations, valve timing, engine speed 

modifications, etc.) to produce 25 and greater horsepower (greater than 19 kilowatts on 

or after January 1, 2007). If an engine family has models at or above 25 horsepower 

and models below 25 horsepower, only the models at or above 25 horsepower (greater 

than 19 kilowatts on or after January 1, 2007) would be considered LSI engines. The 

engine’s operating characteristics are significantly similar to the theoretical Otto 

combustion cycle with the engine’s primary means of controlling power output being to 

limit the amount of air that is throttled into the combustion chamber of the engine. LSI 

engines or alternate fuel powered LSI internal combustion engines are designed for 

powering, but not limited to powering, forklift trucks, sweepers, generators, and 
 3

industrial equipment and other miscellaneous applications. All engines and equipment 

that fall within the scope of the preemption of Section 209(e)(1)(A) of the Federal Clean 

Air Act, as amended, and as defined by regulation of the Environmental Protection 

Agency, are specifically excluded from this category. 

Specifically excluded from this category are: 1) engines operated on or in 

any device used exclusively upon stationary rails or tracks; 2) engines used to propel 

marine vessels; 3) internal combustion engines attached to a foundation at a location 

for at least 12 months; 4) off-road recreational vehicles and snowmobiles; and 5) 

stationary or transportable gas turbines for power generation. 

(2829) [No Change] 

(2930) [No Change] 

(3031) [No Change] 

(3132) [No Change] 

(3233) [No Change} 

(3334) [No Change] 

(3435) [No Change] 

(3536) [No Change] 

(3637) [No Change 

(3738) [No Change] 

(3839) [No Change] 

(3940) [No Change] 

(4041) [No Change] 

(4142) [No Change] 

(4243) [No Change] 

NOTE: Authority cited: Sections 39600, 39601, 43013, 43018, 43101, 43102 and 43104, Health and 

Safety Code. Reference: Sections 43013, 43017, 43018, 43101, 43102, 43104, 43105, 43150, 43151, 

43152, 43153,- 43154, 43205.5, and 43210, 43210.5, 43211 and-43212, Health and Safety Code. 
 4

§ 2433. Exhaust Emission Standards and Test Procedures - Off-Road Large 

Spark-Ignition Engines. 

(a) This section applies to new off-road large spark-ignition engines produced on 

or after January 1, 2001. For the purpose of this section, these engines are also 

referred to as “new off-road LSI engines.”.

(b) Standards.

 (1)(A) Exhaust Emission Standards. Exhaust emissions from off-road large 

spark-ignition engines manufactured for sale, sold, or offered for sale in California, or that 

are introduced, delivered or imported into California for introduction into commerce, must 

not exceed: 

Exhaust Emission Standards 

(grams per brake horsepower-hour) 

[grams per kilowatt-hour](1)

 

Model Year Engine 

Displacement 

Durability 

Period 

HC + NOx Carbon 

Monoxide 

2002 and 

subsequent ≤1.0 liter 

1,000 

hours or 2 

years 

9.0 

[12.0] 

410 

[549] 

2001 - 

2003(2),(3) > 1.0 liter N/A 3.0 [4.0] 

37.0 

[49.6] 

2004 - 

2006(4) > 1.0 liter 

3500 

hours or 5 

years 

3.0 

[4.0] 

37.0 

[49.6] 

2007 and 

subsequent

- 2009

> 1.0 liter 

5000 

hours or 7 

years 

3.0 2.0

[4.0] [2.7]

37.0 3.3

[49.6] [4.4]

2010 and 

subsequent(

5),(6)

> 1.0 liter

5000 

hours or 7 

years

0.6

[0.8]

15.4

[20.6]

Note: (1) For 2006 and previous model years, sStandards in grams per kilowatt-hour are given only 

as a reference. For 2007 and subsequent model years, pPollutant emissions reported to 

ARB by manufacturers must be in grams per kilowatt-hourbrake horsepower-hour. 

(2) Small volume manufacturers are not required to comply with these emission standards. 

(3) Manufacturers must show that at least 25 percent of its California engine sales comply 

with the standards in 2001, 50 percent in 2002, and 75 percent in 2003. 
 5

(4) The standards for in-use compliance for engine families certified to the standards in the 

row noted are 4.0 g/bhp-hr (5.4 g/kW-hr) hydrocarbon plus oxides of nitrogen and 50.0 

g/bhp-hr (67.0 g/kW-hr) carbon monoxide, with a useful life of 5000 hours or 7 years. Inuse averaging, banking, and trading credits may be generated for engines tested in 

compliance with these in-use compliance standards. If the in-use compliance level is 

above 3.0 but does not exceed 4.0 g/bhp-hr hydrocarbon plus oxides of nitrogen or is 

above 37.0 but does not exceed 50.0 g/bhp-hr carbon monoxide, and based on a review 

of information derived from a statistically valid and representative sample of engines, the 

Executive Officer determines that a substantial percentage of any class or category of 

such engines exhibits within the warranty periods noted in Section 2435, an identifiable, 

systematic defect in a component listed in that section, which causes a significant 

increase in emissions above those exhibited by engines free of such defects and of the 

same class or category and having the same period of use and hours, then the Executive 

Officer may invoke the enforcement authority under Section 2439, Title 13, California 

Code of regulations to require remedial action by the engine manufacturer. Such 

remedial action is limited to owner notification and repair or replacement of defective 

components, without regard to the requirements set forth in Section 2439(b)(5) or Section 

2439(c)(5)(B)(vi). As used in the section, the term “defect” does not include failures that 

are the result of abuse, neglect, or improper maintenance. 

(5) For severe-duty engines, the HC+NOx standard is 2.7 g/kW-hr and the CO standard is 

130.0 g/kW-hr. 

 (6) Small volume manufacturers are required to comply with these emission standards in 

2013.

 (B) For the 2007 through 2009 model years, you may 

alternatively certify your engines according to the following formula instead of the 

standards in paragraph (b)(1)(A) of this section: 

(HC+NOx) × CO0.784 ≤ 8.57.

Where: HC + NOx = hydrocarbon plus oxides of nitrogen family 

emissions level (FEL) in g/kW-hr

CO = carbon monoxide FEL in g/kW-hr

 

The HC+NOx and CO emission levels selected to satisfy this formula, 

rounded to the nearest 0.1 g/kW-hr, become the emission standards that apply 

for those engines. You may not select an HC+NOx FEL higher than 2.7 g/kW-hr 

or a CO FEL higher than 20.6 g/kW-hr.

(C) Field Testing Standards. The field testing standards for model 

year 2007 and subsequent off-road large spark-ignition engines are described in 

subpart F, Title 40 CFR Sections 1048.101(c), as adopted July 13, 2005.

 

(2)(A) Optional Exhaust Emission Standards. Manufacturers may certify off-road 

large spark-ignition engines manufactured for sale, sold, or offered for sale in California, 

or that are introduced, delivered or imported into California for introduction into 

commerce to the following optional low emission standards. 

 
 6

Optional Exhaust Emission Standards

(grams per brake horsepower-hour)

[grams per kilowatt-hour](1)

Model Year Engine 

Displacement

Durability 

Period

HC+NOx Carbon 

Monoxide

2007 -

2009 

> 1.0 liter 5000 

hours or 7 

years

1.5

[2.0]

4.8

[6.4]

2007 -

2009 

> 1.0 liter 5000 

hours or 7 

years

1.0

[1.3]

8.3

[11.1]

2007 -

2009 

> 1.0 liter 5000 

hours or 7 

years

0.6

[0.8]

15.4

[20.6]

2007 -

2009 

> 1.0 liter 5000 

hours or 7 

years

0.4

[0.5]

15.4

[20.6]

2007 -

2009 

> 1.0 liter 5000 

hours or 7 

years

0.2

[0.3]

15.4

[20.6]

2007 -

2009 

> 1.0 liter 5000 

hours or 7 

years

0.1

[0.1]

15.4

[20.6]

2010 and 

subsequent

> 1.0 liter 5000 

hours or 7 

years

0.4 

[0.5]

15.4

[20.6]

2010 and 

subsequent

> 1.0 liter 5000 

hours or 7 

years

0.2

[0.3]

15.4

[20.6]

2010 and 

subsequent

> 1.0 liter 5000 

hours or 7 

years

0.1

[0.1]

15.4

[20.6]

Note: (1) Pollutant emissions reported to ARB by manufacturers must be in grams per 

kilowatt-hour.
 7

(B) Field Testing Standards. The field testing standards for 

optional emission standard off-road large spark-ignition engines shall be 140 

percent of the corresponding OLES HC+NOx standard and 150 percent of the 

corresponding OLES CO standard, rounded to the nearest tenth of one gram, 

using the field testing procedures described in subpart F, Title 40 CFR Section 

1048.101(c), as adopted July 13, 2005.

(23) Crankcase Emissions. No crankcase emissions shall be discharged into the 

ambient atmosphere from any new 2001 or later model year off-road LSI engines. 

(4) Evaporative Emission Standards. Starting in the 2007 model year, engines 

over one liter that run on a volatile liquid fuel (such as gasoline), must meet the 

following evaporative emissions standards and requirements: 

 (A) Evaporative hydrocarbon emissions may not exceed 0.2 

grams per gallon of fuel tank capacity when measured with the test procedures 

for evaporative emissions as described in subpart F, Title 40 Code of Federal 

Regulations (CFR) Sec.1048, as adopted July 13, 2005. 

 (B) For nonmetallic fuel lines, you must specify and use 

products that meet the Category 1 specifications in SAE J2260 (issued 

November 1996). 

 (C) Liquid fuel in the fuel tank may not reach boiling during 

continuous engine operation in the final installation at an ambient 

temperature of 30o C. Note that gasoline with a Reid vapor pressure of 62 

kPa (9 psi) begins to boil at about 53o C. 

 (D) Design-based certification as described in subpart F, Title 

40 CFR Sections 1048.105 and 1048.245, as adopted July 13, 2005, may 

be used instead of generating new emission data. 

(c) Test Procedures. The test procedures for determining certification and 

compliance with the standards for exhaust emissions from new model year 2001 

through 2006 off-road LSI engines with engine displacement greater than 1.0 liter sold 

in the state are set forth in “California Exhaust Emission Standards and Test 

Procedures for New 2001 and Later through 2006 Off-Road Large Spark-ignition 

Engines, Parts I and II,” adopted September 1, 1999, and as last amended 

March 2, 2007. The test procedures for determining certification and compliance with 

the standards for exhaust and evaporative emissions from new model year 2007 

through 2009 off-road LSI engines with engine displacement greater than 1.0 liter sold 

in the state are set forth in “California Exhaust and Evaporative Emission Standards 

and Test Procedures for New 2007 through 2009 Off-Road Large Spark-ignition 

Engines (2007-2009 Test Procedure 1048),” adopted March 2, 2007. The test 

procedures for determining certification and compliance with the standards for exhaust 

and evaporative emissions from new model year 2010 and subsequent off-road LSI 

engines with engine displacement greater than 1.0 liter sold in the state are set forth in 

“California Exhaust and Evaporative Emission Standards and Test Procedures for New 

2010 and Later Off-Road Large Spark-ignition Engines (2010 and Later Test 
 8

Procedure 1048),” adopted March 2, 2007. The test procedures for determining 

compliance with the standards for exhaust and evaporative emissions for new model 

year 2007 and subsequent off-road LSI engines with engine displacement greater than 

1.0 liter sold in the state are set forth in the “California Exhaust and Evaporative 

Emission Standards and Test Procedures for New 2007 and Later Off-Road Large 

Spark-Ignition Engines (Test Procedures 1065 and 1068)”, adopted March 2, 2007. 

(d) The test procedures for determining certification and compliance with the 

standards for exhaust emissions from new off-road LSI engines with engine 

displacement equal to or less than 1.0 liter sold in the state are set forth in “California 

Exhaust Emission Standards and Test Procedures for 1995-2004 and Later Small OffRoad Engines,” as last amended March 23, 1999July 26, 2004 or “California Exhaust 

Emission Standards and Test Procedures for 2005 and Later Small Off-Road Engines,” 

adopted July 26, 2004.

 

(e) Replacement Engines Replacement Engines. 

 (1) [Reserved]

(2) (A) Beginning in 2004, a new off-road large spark-ignition engine 

intended solely to replace an engine in a piece of off-road equipment that was originally 

produced with an engine manufactured prior to the applicable implementation date as 

described in paragraph (b), shall not be subject to the emissions requirements of 

paragraph (b) provided that: 

(i) The engine manufacturer has ascertained that no engine 

produced by itself or the manufacturer of the engine that is being replaced, if different, 

and certified to the requirements of this article, is available with the appropriate physical 

or performance characteristics to repower the equipment; and 

(ii) Unless an alternative control mechanism is approved in 

advance by the Executive Officer, the engine manufacturer or its agent takes ownership 

and possession of the engine being replaced; and 

(iii) The replacement engine is clearly labeled with the 

following language, or similar alternate language approved in advance by the Executive 

Officer: 

THIS ENGINE DOES NOT COMPLY WITH CALIFORNIA OFF-ROAD OR 

ON-HIGHWAY EMISSION REQUIREMENTS. SALE OR INSTALLATION OF THIS 

ENGINE FOR ANY PURPOSE OTHER THAN AS A REPLACEMENT ENGINE IN AN 

OFF-ROAD VEHICLE OR PIECE OF OFF-ROAD EQUIPMENT WHOSE ORIGINAL 

ENGINE WAS NOT CERTIFIED IS A VIOLATION OF CALIFORNIA LAW SUBJECT 

TO CIVIL PENALTY. 

(B) At the beginning of each model year, the manufacturer of 

replacement engines must provide, by engine model, an estimate of the number of 

replacement engines it expects to produce for California for that model year. 
 9

(C) At the conclusion of the model year, the manufacturer must 

provide, by engine model, the actual number of replacement engines produced for 

California during the model year, and a description of the physical or performance 

characteristics of those models that indicate that certified replacement engine(s) were 

not available as per paragraph (A). 

NOTE: Authority cited: Sections 39600, 39601, 43013, 43018, 43101, 43102 and 43104, Health and 

Safety Code. Reference: Sections 43013, 43017, 43018, 43101, 43102, 43104, 43105, 43150, 43151, 

43152, 43153,- 43154, 43205.5, and 43210, 43210.5, 43211 and-43212, Health and Safety Code.

2434. Emission Control Labels - 2001 and Later Off-Road Large Spark-ignition 

Engines

(a) Purpose. Purpose. [No Change] 

(b) Applicability. Applicability. [No Change] 

(c) Label Content and Location. Label Content and Location.

(1) A tune-up label made of a permanent material must be welded, 

riveted or otherwise permanently attached to the engine block or other major 

component in such a way that it will be readily visible after installation of the engine in 

the equipment. If the equipment obscures the label on the engine, the equipment 

manufacturer must attach a supplemental label such that it is readily visible. 

(2) In selecting an acceptable location, the manufacturer must 

consider the possibility of accidental damage (e.g., possibility of tools or sharp 

instruments coming in contact with the label). Each label must be affixed in such a 

manner that it cannot be removed without destroying or defacing the label, and must 

not be affixed to any part which is likely to be replaced during the equipment’s useful 

life. The label(s) must not be affixed to any component which is easily detached from 

the engine. 

(3) In addition, an engine serial number and date of engine 

manufacture (month and year) must be stamped on the engine block or stamped on a 

metal label riveted or permanently attached to the engine block. Engine manufacturers 

must keep records such that the engine serial number can easily be used to determine 

if an engine was certified for the applicable model year. Alternative engine serial 

number identification methods or tracking number may be allowed with prior approval 

from the Executive Officer. 

(4) The label must be in the English language and use block letters 

and numerals which must be of a color that contrasts with the background of the label. 

(5) The label must contain the following information: 

(A) The label heading must read: 

“Important Engine Information.” 
 10

(B) Full corporate name and trademark of the manufacturer. 

(C) “THIS ENGINE IS CERTIFIED TO OPERATE ON (specify 

operating fuel(s)).” 

(D) Identification of the Exhaust Emission Control System. 

Abbreviations may be used and must conform to the nomenclature and abbreviations 

found in the Society of Automotive Engineers document J1930 which is incorporated by 

reference in Section 1977, Title 13, CCR, entitled “Electrical/Electronic Systems 

Diagnostic Terms, Definitions, Abbreviations, and Acronyms.” 

(E) The maintenance specifications and adjustments

recommended by the engine manufacturer, including, as applicable: spark plug gap 

width, valve lash, ignition timing, idle air/fuel mixture setting procedure and value (e.g., 

idle CO, idle speed drop), and high idle speed. These specifications must indicate the 

proper transmission position, (if applicable), during tune-up and what accessories, if 

any, should be in operation, and what systems, if any (e.g., vacuum advance, air 

pump), should be disconnected during the tune-up. If the manufacturer does not 

recommend adjustment of the foregoing specifications, the manufacturer must include 

in lieu of the “specifications” the single statement “No other adjustments needed.” For 

all engines, the instructions for tune-up adjustments must be sufficiently clear on the 

label to preclude the need for a mechanic or equipment owner to refer to another 

document in order to correctly perform the adjustments. 

(F) Any specific fuel or engine lubricant requirement (e.g., 

research octane number, engine lubricant type). 

(G) An unconditional statement of compliance with the 

appropriate model year (for 2001-2003) or (2004 and subsequent) California 

regulations; for example, “This engine conforms to 2002 California regulations for 

off-road large spark-ignition engines and is certified to 3.0 g/bhp-hr HC+NOx and 37 

g/bhp-hr CO.” or “This engine conforms to 20067 California regulations for off-road 

large spark-ignition engines and is certified to 0.8 g/kW-hr [0.6 g/bhp-hr] HC+NOx and 

20.6 g/kW-hr [15.4 g/bhp-hr] CO.” 

(H) Total engine displacement (in cubic inches and/or liters) of 

the engine upon which the engine label is attached.

(I) The engine family identification (i.e., engine family name and 

manufacturer’s own engine group/code). 

 (6) (A) The manufacturer of any engine certified with a clean fuel 

(i.e. natural gas) must at the time of engine manufacture, affix a permanent legible label 

specifying the appropriate operating fuel(s). 

(B) The label must be located immediately adjacent to each fuel 

tank filler inlet and outside of any filler inlet compartment. It must be located so that it is 

readily visible to any person introducing fuel to such filler inlet; provided, however, that 

the Executive Officer must upon application from an engine manufacturer, approve 

other label locations that achieve the purpose of this paragraph. If the engine is 

manufactured separately from the equipment, the label must be affixed to the engine 

and located so that it is readily visible. Such labels must be in English and in block 

letters which must be of a color that contrasts with their background. 
 11

(d) through (l) [No Change] 

NOTE: Authority cited: Sections 39600, 39601, 43013, 43018, 43101, 43102 and 43104, Health and 

Safety Code. Reference: Sections 43013, 43017, 43018, 43101, 43102, 43104, 43105, 43150, 43151, 

43152, 43153,- 43154, 43205.5, and 43210, 43210.5, 43211 and-43212, Health and Safety Code. 

§ 2438. In-Use Compliance Program 

 (a) through (d) [No Change] 

 (e)(1) through (e)(6) [No Change] 

 (e)(7) Credit Calculation. 

(A) For each participating engine family, emission credits (positive or 

negative) are to be calculated according to the following equation and rounded, in 

accordance with ASTM E29-93a, to the nearest gram. ASTM E29-93a has been 

incorporated by reference. Consistent units are to be used throughout the equation. 

The following equation is used to determine the credit status for an engine family 

whether generating positive or negative in-use emission credits: 

Credits (grams) = SALES × (STD - CL) × POWER ×AF × LF × UL 

Where: 

SALES = the number of eligible sales tracked to the point of first retail sale in the U.S. 

for the given engine family during the model year. 

STD = the emission standard or family emission level in g/bhp-hr or g/kW-hr, as 

appropriate and as noted in California Code of Regulations, Title 13, 

Section 2433. 

CL = compliance level of the in-use testing in g/bhp-hr or g/kW-hr, as appropriate 

and as approved by ARB. 

UL= useful life in hours (5000 hours for engines with displacement) greater than 

1.0 liter. 

Power = the average power of an engine family in bhp or kW (sales weighted). The 

power of each configuration is the rated output in horsepower as determined 

by SAE J1349 (June 1995) or J1995 (June 1995), as applicable. These 

procedures have been incorporated by reference. 

LF = Load factor; Fraction of rated engine power utilized in-use (0.32 for engines 

with displacement greater than 1.0 liter. 

AF = adjustment factor for the number of tests conducted, as determined from the 

following table, except that when a manufacturer concedes failure before 

completion of testing, the adjustment factor shall be 1.0: 
 12

Number of Engines 

Tested 

Adjustment Factor 

2*, 4 0.5 

6 0.75 

8 0.9 

10 1.0 

*Small volume manufacturer 

 (B) [No Change] 

 (e)(8) through (e)(10) [No Change] 

NOTE: Authority cited: Sections 39600, 39601, 43013, 43018, 43101, 43102 and 43104, Health and 

Safety Code. Reference: Sections 43013, 43017, 43018, 43101, 43102, 43104, 43105, 43150, 43151, 

43152, 43153,- 43154, 43205.5, and 43210, 43210.5, 43211 and-43212, Health and Safety Code. 
 13

Adopt Article 2, Large Sparks Ignition (LSI) Engine Fleet Requirements, within 

Chapter 15, Division 3, Title 13, California Code of Regulations, and new sections 

2775, 2775.1, and 2775.2 to read: 

Article 2. Large Spark-Ignition (LSI) Engine Fleet Requirements 

Section 2775. Applicability. 

(a) General Applicability. This article applies to operators of off-road large 

spark-ignition (LSI) engine forklifts, sweepers/scrubbers, industrial tow tractors or 

airport ground support equipment operated within the State of California in the 

conduct of business with: 

(1) 25 horsepower or more (greater than 19 kilowatts for 2005 and later model year 

engines), and 

(2) greater than 1.0 liter displacement. 

(b) Exemptions. 

(1) Small Fleets as defined in subsection (d). 

(2) Rental or leased equipment operated in California no more than 30 aggregated 

calendar days per year shall be exempt from the requirements of this article. 

(3) Off-road military tactical vehicles or equipment exempt from regulation under the 

federal national security exemption, 40 CFR, subpart J, section 90.908, are 

exempt from the requirements of this article. Vehicles and equipment covered 

by the definition of military tactical vehicle that are commercially available and for 

which a federal certificate of conformity has been issued under 40 CFR Part 90, 

subpart B, shall also be exempt from the requirements of this article. 

(4) Each part of this article is severable, and in the event that any part of this 

chapter or article is held to be invalid, the remainder of the article shall remain in 

full force and effect. 

(c) Definitions. The definitions in Section 1900 (b), Chapter 1, and Section 2431 (a), 

Chapter 9 of Title 13 of the California Code of Regulations apply to this article. 

In addition, the following definitions apply to this article: 

“Aggregated Operations” means all of an operator’s California facilities for which 

equipment purchasing decisions are centrally made. Facilities that budget and 

make equipment purchasing decisions independent of a government or 

corporate headquarters are assumed to be independent and therefore are not 

required to be aggregated for the purpose of determining fleet size. 
 14

“Agricultural Crop Preparation Services” means packinghouses, cotton gins, nut 

hullers and processors, dehydrators, feed and grain mills, and other related 

activities that fall within the United States Census Bureau NAICs (North 

American Industry Classification System) definition for Industry 115114 – 

“Postharvest Crop Activities,” as published in the North American Industry 

Classification System − United States, 2002.

“Airport Ground Support Equipment,” “Ground Service Equipment,” or “GSE” 

means any large spark-ignition engine or electric-powered equipment contained 

in the 24 categories of equipment included in section B.3. of Appendix 2 of the 

South Coast Ground Support Equipment Memorandum of Understanding, dated 

November 27, 2002. Specifically included in this definition are those categories 

of GSE equipment designed for on-road use, but not licensed for on-road use 

(“On-Road Equivalent” GSE).

“Baseline Inventory” means an inventory of equipment as defined in this 

subdivision that reflects all equipment owned at the time of the inventory. 

“Certification Standard” means the level to which an LSI engine is certified, in 

grams per kilowatt-hour of hydrocarbon and oxides of nitrogen, combined, as 

identified in an Executive Order (EO) issued by the Executive Officer of the 

California Air Resources Board. 

“Dehydrators" means sun drying of fruits, vegetables, tomatoes, dates, prunes, 

raisins and olives, or artificially drying and dehydrating fruits, vegetables, 

tomatoes, dates, prunes, raisins, grapes, and olives. 

“Emission Control System” means any device or system employed with a new or 

in-use off-road LSI-engine vehicle or piece of equipment that is intended to 

reduce emissions. Examples of LSI emission control systems include, but are 

not limited to, closed-loop fuel control systems, fuel injection systems, three-way 

catalysts, and combinations of the above. 

“Equipment” or “Pieces of Equipment” means one or more forklifts, industrial tow 

tractors, sweeper/scrubbers, or pieces of airport ground support equipment as 

defined in this section. 

“Executive Officer” means the Executive Officer of the California Air Resources 

Board, or his or her delegate. 

“Executive Order” means a document signed by the Executive Officer that 

specifies the standard to which a new LSI engine is certified or the level to which 

an LSI retrofit emission control system is verified. 

“Facility” means any structure, appurtenance, installation, and improvement on 

land that operates and/or garages one or more pieces of equipment. 
 15

“Facility Sample” means the selection of one or more individual facilities from an 

operator’s California facilities for comparison to the operator’s aggregate fleet 

inventory for fleet average calculation. 

“Fleet Average Emission Level” means the arithmetic mean of the combined 

hydrocarbon plus oxides of nitrogen emissions certification standard or 

verification absolute emissions level for each piece of applicable equipment 

comprising an operator’s fleet. For the purposes of calculating the fleet average, 

electric-powered equipment shall be considered to have combined hydrocarbon 

plus oxides of nitrogen emissions level of zero (0). Electric-powered equipment 

of less than 19 kilowatts shall be allowed to be included in the fleet average 

calculation provided that the operator can demonstrate that the equipment 

performs the work equivalent of an LSI engine-powered piece of equipment. For 

the purposes of calculating the fleet average for a non-forklift fleet, each piece of 

On-Road Equivalent GSE shall be considered to have a combined hydrocarbon 

plus oxides of nitrogen emissions level as follows: 1.1 g/bhp-hr (1.5 g/kW-hr) for 

purposes of determining compliance with the 1/1/2009 standard; 0.8 g/bhp-hr 

(1.1 g/kW-hr) for purposes of determining compliance with the 1/1/2011 

standard; and 0.7 g/bhp-hr (0.9 g/kW-hr) for purposes of determining compliance 

with the 1/1/2013 standard. For the purpose of calculating the fleet average, 

fleet operators shall be permitted to exclude at their discretion any electricpowered equipment that could otherwise be used to lower the LSI fleet’s average 

emission level. 

“Forklift” means an electric Class 1 or 2 rider truck or a large spark-ignition 

engine-powered Class 4 or 5 rider truck as defined by the Industrial Truck 

Association. Electric Class 3 trucks are not forklifts for the purposes of this 

regulation. 

“Industrial Tow Tractor” means an electric or large spark-ignition engine-powered 

Class 6 truck as defined by the Industrial Truck Association. Industrial tow 

tractors are designed primarily to push or pull non-powered trucks, trailers, or 

other mobile loads on roadways or improved surfaces. Industrial tow tractors are 

commonly referred to as tow motors or tugs. Industrial tow tractors are distinct 

from airport ground support equipment tugs for the purposes of this regulation. 

“Label” means a permanent material that is welded, riveted or otherwise 

permanently attached to the engine block or other major component in such a 

way that it will be readily visible after installation of the engine in the equipment. 

If the equipment obscures the label on the engine, the equipment manufacturer 

must attach a supplemental label such that it is readily visible. The label will 

state the emission standard or verification absolute emissions level to which the 

engine or equipment was certified or verified. 
 16

“Large Fleet” means an operator’s aggregated operations in California of 26 or 

more pieces of equipment. 

“Leased forklift” for use in agricultural crop preparation services means a forklift 

under a contract or agreement for a term or period of one year or more that may 

include an option to purchase the forklift. 

 “LSI Retrofit Emission Control System” means an emission control system 

employed exclusively with an in-use off-road LSI-engine vehicle or piece of 

equipment. 

“Manufacturer” means the manufacturer granted new engine certification or 

retrofit emission control system verification. 

“Medium Fleet” means an operator’s aggregated operations in California of 4 to 

25 pieces of equipment. 

“Memorandum of Understanding Signatories” or “MOU Signatories” means any 

of the airlines that entered into the South Coast Ground Support Equipment 

Memorandum of Understanding, dated November 27, 2002. 

“Military tactical vehicles or equipment” means vehicles or pieces of equipment 

that meet military specifications, are owned by the U.S. Department of Defense 

and/or the U.S. military services or its allies, and are used in combat, combat 

support, combat service support, tactical or relief operations, or training for such 

operations. 

[“Model Year” means the manufacturer's annual production period, which 

includes January 1 of a calendar year or, if the manufacturer has no annual 

production period, the calendar year.]1

[“New Engine” means an engine’s ownership has not been transferred to the 

ultimate consumer.] 

“Non-forklift fleet” means an operator’s aggregated operations in California of 

four (4) or more sweeper/scrubbers, industrial tow tractors, or pieces of airport 

ground support equipment, alone or in combination. 

"Nut hullers and processors" means facilities where nuts are received, hulled, 

aspirated, shelled, sized, stored, packaged and shipped. Facilities that blanch, 

slice, dice, roast, salt, or smoke nuts or nut meats are not included in the "nut 

hullers and processors" definition. 

 

1

 Bracketed definitions are replicated for ease of use and presentation clarity from Section 1900 (b), 

Chapter 1, or Section 2431 (a), Chapter 9, of Title 13 of the California Code of Regulations. 
 17

[“Off-Road Large Spark-ignition Engines” or “LSI Engines” means any engine 

that produces a gross horsepower of 25 horsepower or greater (greater than 

19 kilowatts for 2005 and later model years) or is designed (e.g., through fueling, 

engine calibrations, valve timing, engine speed modifications, etc.) to produce 

25 horsepower or greater (greater than 19 kilowatts for 2005 and later model 

years). If an engine family has models at or above 25 horsepower (greater than 

19 kilowatts) and models below 25 horsepower (at or below 19 kilowatts), only 

the models at or above 25 horsepower (above 19 kilowatts) would be considered 

LSI engines. The engine’s operating characteristics are significantly similar to 

the theoretical Otto combustion cycle with the engine’s primary means of 

controlling power output being to limit the amount of air that is throttled into the 

combustion chamber of the engine. LSI engines or alternate fuel-powered LSI 

internal combustion engines are designed for powering, but not limited to 

powering, forklift trucks, sweepers, generators, and industrial equipment and 

other miscellaneous applications. All engines and equipment that fall within the 

scope of the preemption of Section 209(e)(1)(A) of the Federal Clean Air Act, as 

amended, and as defined by regulation of the Environmental Protection Agency, 

are specifically excluded from this category. Specifically excluded from this 

category are: 1) engines operated on or in any device used exclusively upon 

stationary rails or tracks; 2) engines used to propel marine vessels; 3) internal 

combustion engines attached to a foundation at a location for at least 12 months; 

4) off-road recreational vehicles and snowmobiles; and 5) stationary or 

transportable gas turbines for power generation.] 

“Operator” means a person with legal right of possession and use of LSI engine 

equipment other than a person whose usual and customary business is the 

rental or leasing of LSI engine equipment. Operator includes a person whose 

usual and customary business is the rental or leasing of LSI engine equipment 

for any LSI engine equipment not solely possessed or used for rental or leasing. 

“Rental forklift” for use in agricultural crop preparation services means a forklift 

under a contract or agreement for a term or period of less than one year that 

may include an option to renew the contract or agreement. 

“Repower” means a new or remanufactured engine and parts offered by the 

OEM or by a non-OEM rebuilder that has been demonstrated to the ARB to be 

functionally equivalent from a durability standpoint to the OEM engine and 

components being replaced. 

“Retrofit” means the application of an emission control system to a non-new LSI 

engine. 

“Serial Number” means an engine serial number and date of engine manufacture 

(month and year) that are stamped on the engine block or stamped on a metal 

label riveted or permanently attached to the engine block. Engine manufacturers 
 18

must keep records such that the engine serial number can easily be used to 

determine if an engine was certified for the applicable model year, and beginning 

January 1, 2007, the standard to which the engine was certified. 

“Small Fleet” means an operator’s aggregated operations in California of 1 to 3 

forklifts and/or 1 to 3 pieces of non-forklift equipment. 

“Sweeper/scrubber” means an electric or large spark-ignition engine-powered 

piece of industrial floor cleaning equipment designed to brush and vacuum up 

small debris and litter or scrub and squeegee the floor, or both. 

“Specialty Equipment” means a piece of equipment with unique or specialized 

performance capabilities that allow it to perform prescribed tasks and as 

approved by the Executive Officer. 

[“Ultimate Purchaser” means the first person who in good faith purchases a new 

LSI engine or equipment using such engine for purposes other than resale.] 

“Uncontrolled LSI Engine” means pre-2001 uncertified engines and 2001-2003 

certified uncontrolled LSI engines. The default emission rate for an uncontrolled 

LSI engine is 16.0 grams per kilowatt-hour of hydrocarbon plus oxides of 

nitrogen. 

“Verification” means a determination by the Executive Officer that the LSI 

emission control system meets the requirements of this Procedure. This 

determination is based on both data submitted or otherwise known to the 

Executive Officer and engineering judgement. 

“Verification Level” means one of four emission reduction classifications that 

apply to the performance capability of retrofit emission control systems as 

described in Title 13, California Code of Regulations, Section 2782(f), Table 1, 

as set forth in Table 1: 
 19

Table 1. LSI Engine Retrofit System Verification Levels 

Classification Percentage Reduction 

(HC+NOx)

Absolute Emissions 

(HC+NOx) 

LSI Level 1 (1) > 25% (2) Not Applicable 

LSI Level 2 (1) > 75%(3) 3.0 g/bhp-hr (3) 

(4.0 g/kW-hr) 

LSI Level 3a (1) > 85% (4) 

0.5, 1.0, 1.5, 2.0, 2.5 g/bhp-hr 

(0.7, 1.3, 2.0, 2.7, 3.4 g/kWhr) 

LSI Level 3b (5) Not Applicable 0.5, 1.0, 1.5, 2.0 g/bhp-hr 

(0.7, 1.3, 2.0, 2.7 g/kW-hr) 

Notes: 

 (1) Applicable to uncontrolled engines only 

(2) The allowed verified emissions reduction is capped at 25% regardless of 

actual emission test values 

 (3) The allowed verified reduction for LSI Level 2 is capped at 75% or 

3.0 g/bhp-hr (4.0 g/kW-hr) regardless of actual emission test values 

(4) Verified in 5% increments, applicable to LSI Level 3a classifications only 

(5) Applicable to emission-controlled engines only 

NOTE: Authority cited: Sections 39600, 39601, 43013, and 43018, Health and Safety Code. 

Reference: Sections 43013, 43017 and 43018, Health and Safety Code. 

Section 2775.1. Standards. 

(a) Operators of forklift and/or non-forklift fleets shall first determine the size of their 

fleets, using the equipment definitions in Section 2775. Then, except as 

provided in subdivisions (c), (d), (e), and (f), operators of medium and large 

forklift fleets and operators of non-forklift fleets with more than three pieces of 

equipment shall comply with the fleet average emission level standards in 

Table 2 by the specified compliance dates. 
 20

Table 2: Fleet Average Emission Level Standards 

in grams per kilowatt-hour (brake-horsepower-hour) 

of hydrocarbons plus oxides of nitrogen 

Initial Compliance Date 

Fleet Type 1/1/2009 1/1/2011 1/1/2013 

Large Forklift Fleet 3.2 (2.4) 2.3 (1.7) 1.5 (1.1)

Medium Forklift Fleet 3.5 (2.6) 2.7 (2.0) 1.9 (1.4) 

Non-forklift Fleet 4.0 (3.0) 3.6 (2.7) 3.4 (2.5) 

 

(1) Fleet operators subject to the fleet average provisions shall include in their fleet 

average calculations any piece of equipment that the operator has rented or 

leased or reasonably expects to rent or lease for a period of one year or more. 

(2) Fleet operators may exclude from the fleet average calculation uncontrolled 2003 

and 2004 model year rental equipment (if the equipment is rented for a period of 

less than one year) until January 1, 2010. 

(3) In addition to the provisions of (a)(2) above, fleet operators may exclude from the 

fleet average calculation rental or leased equipment if: 

(A) the rental or lease is for a period of less than one year, and 

(B) the rental or lease component comprises no more than 20 percent of the 

operator’s equipment at any time, and 

(C) the equipment rented or leased during the period from January 1, 2009 

through December 31, 2010 is controlled to a 4.0 g/kW-hr (3.0 g/bhp-hr) 

standard or better and equipment rented or leased on or after 

January 1, 2011 is controlled to a 2.7 g/kW-hr (2.0 g/bhp-hr) standard or 

better. 

(4) Fleet operators shall comply with the applicable fleet average standard in 

Table 2 with the following exceptions: 

(A) if through business expansion, a fleet meets the definition of a larger size 

category, the fleet may continue to comply with the applicable fleet 
 21

standard for the initial size category until the subsequent compliance date, 

at which time the fleet must meet the applicable fleet standard for the new 

fleet size category, or 

(B) if through retirement or other fleet size reduction mechanism the fleet 

would otherwise be required to comply with a less stringent fleet standard, 

then the less stringent fleet standard becomes effective immediately. 

(b) Operators of mixed fleets comprised of forklifts and non-forklift equipment shall 

determine fleet size individually for forklift fleets and non-forklift fleets; a mixed 

fleet with three or fewer forklifts and three or fewer non-forklift pieces of 

equipment shall be considered to be a small fleet. 

(c) Except as provided in subdivisions (d), (e), and (f), each operator of a forklift fleet 

used in agricultural crop preparation services shall address emissions from their 

uncontrolled forklifts engines as follows: 

(1) by January 1, 2009, identify that portion of the owned 1990 and newer LSI forklift 

fleet for which retrofit emission control systems have been verified and control 

20 percent of that portion as prescribed in subdivision (d)(1)(D)(i) below; and 

(2) by January 1, 2012, control 100 percent of the owned 1990 and newer LSI forklift 

fleet for which retrofit emission control systems have been verified as prescribed 

in subdivision (d)(1)(D)(i) below. 

(3) Operators of fleets used in agricultural crop preparation services may exclude 

from their LSI forklift fleet: 

(A) leased forklifts provided the forklifts meet a 4.0 g/kW-hr (3.0 g/bhp-hr) 

standard or better. Forklifts under a lease agreement that was initiated 

prior to May 25, 2006 may also be excluded from the 4.0 g/kW-hr 

standard for the life of the lease, or until January 1, 2010, whichever is 

earlier, and 

(B) rental forklifts rented on or after January 1, 2009, provided the forklifts 

meet a 4.0 g/kW-hr standard or better. Forklifts with an uncontrolled 2003 

or 2004 model year engine may be excluded from the requirements of this 

subpart until January 1, 2010. 

(d) Limited Hours of Use Provisions.

(1) Forklift and non-forklift equipment in medium and large fleets shall be exempted 

from the provisions of subdivision (a) of this section provided that: 
 22

(A) the equipment is used, on average over any three year period, less than 

251 hours per year, and 

(B) the equipment is equipped with an operational hours of use meter, and 

(C) the operator maintains hours of use records for the piece of equipment at 

a facility, and 

(D) the operator addresses the emissions by January 1, 2011, through option 

(i) or (ii) below: 

(i) retrofit or repower the equipment to a Level 2 or Level 3 verification level 

as described in Title 13, California Code of Regulations, Section 2782 (f), 

or 

(ii) retire the equipment or replace the equipment with a new or used piece of 

equipment certified to a 4.0 g/kW-hr (3.0 g/bhp-hr) hydrocarbon plus 

oxides of nitrogen standard. 

(2) Forklifts used in agricultural crop preparation services fleets shall be exempted 

from the provisions of subdivision (c) of this section provided that they meet the 

requirements of subdivisions (d)(1)(A) through (d)(1)(C). 

(e) Specialty Equipment Exemption.

(1) Forklift and non-forklift specialty equipment shall be exempt from the 

requirements of subdivisions (a) through (c) of this section provided that: 

(A) the replacement cost exceeds the replacement cost of a “typical” piece of 

equipment from that category by 50 percent or the retrofit cost exceeds 

the “typical” retrofit cost of a piece of equipment from that category by 

100 percent, and 

(B) they meet the requirements of subdivisions (d)(1)(A) through (d)(1)(C), 

and 

(C) the Executive Officer approves the listing of the piece of equipment as 

specialty equipment. 

(f) Alternate Compliance Option for Operators of Fleets used in Agricultural Crop 

Preparation Services.

(1) Operators of forklift fleets used in agricultural crop preparation services shall be 

exempted from the provisions of subdivision (c) of this section provided that the 

forklift fleet complies with a 4.0 g/kW-hr (3.0 g/bhp-hr) fleet average emission 

level. 
 23

(g) Use of Experimental Emission Control Strategies. 

(1) An operator may use an experimental emission control strategy provided by or 

operated by the manufacturer in no more than ten percent of his total fleet for 

testing and evaluation purposes. The operator shall keep documentation of this 

use in records as specified in Section 2775.2(b). 

(h) Severability. If any provision of this section or the application thereof to any 

person or circumstance is held invalid, such invalidity shall not affect other 

provisions or applications of the section that can be given effect without the 

invalid provision or application, and to this end the provisions of this section are 

severable. 

NOTE: Authority cited: Sections 39600, 39601, 43013, and 43018, Health and Safety Code. Reference: 

Sections 43013, 43017 and 43018, Health and Safety Code. 

Section 2775.2. Compliance Requirements for Fleet Operators. 

(a) Fleet operators subject to the fleet average emission level requirements 

contained in Table 2 of section 2775.1(a) shall conduct a baseline inventory of 

their fleet within six months of [insert operative date of regulations after filing with 

Secretary of State] and shall maintain records at their facilities of their baseline 

inventory and subsequent inventories indicating accessions and retirements until 

June 30, 2016. 

(b) At a minimum, fleet operators subject to the fleet average emission level 

requirements contained in Table 2 of section 2775.1(a) shall record and maintain 

on file at their facilities, information on the equipment type, make, model, serial 

number, and emission certification standard or retrofit verification level. Fleet 

operators shall also maintain on file, for a period of three years, information on 

the quality of propane fuel they purchased for their fleet that includes a written 

statement, product delivery ticket, or receipt from the fuel supplier, if obtainable, 

that the fuel supplied to the operator meets all applicable state and federal laws 

for use in their engines. Operators that maintain multiple facilities may aggregate 

the records at a centralized facility or headquarters. Records for all equipment at 

all facilities shall be made available to the Air Resources Board within 30 

calendar days upon request. Compliance staff may then select a facility sample 

for inspection purposes. 

(c) Medium and large fleets shall be required to demonstrate at any time between 

January 1, 2009 and December 31, 2015, based on actual inventory, and 

reconciled against inventory records, that they meet the applicable fleet average 

emission level standard in Section 2775.1(a). 
 24

(d) Agricultural crop preparation services fleets shall be required to demonstrate at 

any time on or after January 1, 2009, based on actual inventory and reconciled 

against inventory records, that they have addressed their 1990 and newer 

uncontrolled LSI engines as prescribed in Section 2775.1(c). 

(e) Compliance Extensions. An operator may be granted an extension to a 

compliance deadline specified in Section 2775.1 for one of the following reasons: 

(1) Compliance Extension based on No Verified Retrofit Emission Control System. 

(A) If the Executive Officer has not verified a retrofit emission control system, 

or if one is not commercially available for a particular engine and 

equipment combination, the Executive Officer may grant a one-year 

extension in compliance if prior to each compliance deadline specified in 

subsections (a), (c), and (d), the Executive Officer finds that insufficient 

numbers of retrofit emission control systems are projected to be available. 

(2) Compliance Extensions for GSE. 

(A) Compliance Extension based on no Verified or Commercially Available 

Retrofit Emission Control Systems for GSE. GSE of model year 1990 or 

newer with an uncontrolled LSI engine for which there is no verified retrofit 

as of January 1, 2007, or for which such verified retrofits are not 

commercially available by that date, shall be excluded from the GSE fleet 

average emission level standards contained in section 2775.1(a) until 

January 1, 2011. GSE of model year 1990 or newer with an uncontrolled 

LSI engine for which there is still no verified retrofit as of January 1, 2009, 

or for which such verified retrofits are not commercially available by that 

date, shall be excluded from the GSE fleet average emission level 

standards contained in section 2775.1(a) until January 1, 2013. 

(B) Other Compliance Extensions for GSE. Operators may apply to the 

Executive Officer for an initial compliance extension of up to two years 

and one or more compliance extension renewals of up to one year in 

circumstances other than those addressed in subsection 2(A) above. The 

Executive Officer shall grant such applications if the applicant has made a 

good faith effort to comply with the fleet average emission level standards 

contained in section 2775.1(a) in advance of the compliance dates 

contained in the same section and documents either that it meets one of 

the following criteria independently, or that, when considering any 

combination of the criteria, the documentation justifies granting the 

application: 

(i) due to conditions beyond the reasonable control of the applicant, 

sufficient numbers of tested and reliable emission-controlled GSE 
 25

are not projected to be available at a commercially reasonable 

cost; 

(ii) due to conditions beyond the reasonable control of the applicant, 

use of available emission-controlled GSE would result in significant 

operational or safety issues; 

(iii) any other criterion that reasonably relates to whether the 

application should be granted. 

(C) Compliance extensions granted under subsections (e)(2)(A) and (e)(2)(B) 

shall not extend beyond January 1, 2013. After January 1, 2013, all 

uncontrolled GSE shall be included in calculations for determining 

compliance with the GSE fleet average emission level standards 

contained in section 2775.1(a). 

(3) If an extension to the compliance deadline is granted by the Executive Officer, 

the operator shall be deemed to be in compliance as specified by the Executive 

Officer’s authorization. 

(f) Continuous Compliance. An operator is required to keep his equipment in 

compliance with this regulation, once it is in compliance, so long as the operator 

is operating the equipment in California. 

(g) Severability. If any provision of this section or the application thereof to any 

person or circumstance is held invalid, such invalidity shall not affect other 

provisions or applications of the section that can be given effect without the 

invalid provision or application, and to this end the provisions of this section are 

severable. 

NOTE: Authority cited: Sections 39600, 39601, 43013, and 43018, Health and Safety Code. Reference: 

Sections 43013, 43017 and 43018, Health and Safety Code. 
 26

Adopt Article 3, Verification Procedure, Warranty, and In-Use Compliance 

Requirements for Retrofits to Control Emissions from Off-Road Large Spark-Ignition 

Engines, Chapter 15, Division 3, Title 13, California Code of Regulations, and new 

sections 2780 through 2789, to read as follows: 

Article 3. Verification Procedure, Warranty, and In-Use Compliance Requirements 

for Retrofits to Control Emissions from Off-Road Large Spark-Ignition Engines. 

§ 2780. Applicability and Purpose.

These procedures apply to LSI retrofit emission control systems, which, through the use 

of sound principles of science and engineering, control emissions of hydrocarbons (HC) 

and oxides of nitrogen (NOx) from off-road large spark-ignition (LSI) engines. These 

systems may include but are not limited to, closed-loop fuel control systems, fuel 

injection systems, and three-way catalysts. These procedures are not applicable to 

retrofit strategies that employ or make use of fuel additives. 

The use of LSI retrofit emission control systems verified in accordance with this article 

may be a means of complying with other state board regulations applicable to the use 

of LSI engines, to the extent provided for in those regulations. 

NOTE: Authority cited: Sections 39002, 39003, 39500, 39600, 39601, 39650-39675, 40000, 43000, 

43000.5, 43011, 43013, 43018, 43105, 43600 and 43700, Health and Safety Code. Reference: Sections 

39650-39675, 43000, 43009.5, 43013, 43018, 43101, 43104, 43105, 43106, 43107, and 43204-43205.5 

Health and Safety Code; Title 17 California Code of Regulations Section 93000. 

§ 2781. Definitions. 

(a) The definitions in Section 1900(b), Chapter 1, Title 13 of the California Code of 

Regulations are incorporated by reference herein. The following definitions shall 

govern the provisions of this chapter: 

(1) “Applicant” means the entity that has applied for or has been granted 

verification under this Procedure 

(2) “Average” means the arithmetic mean. 

(3) “Baseline” means: (i) for uncontrolled engines, the emission levels from 

the engine as tested without the LSI retrofit emission control system 

implemented using the test cycle specified in this verification procedure; 

and (ii) for certified engines, the emission standards to which the engine 

was certified. 

(4) “Certified engine” means an engine manufactured in compliance with ARB 

or EPA emission standards. 

(5) “Durability” means the ability of the applicant’s LSI retrofit emission 

control system to maintain a level of emissions at or below its verification 

emission level and maintain its physical integrity over the durability 
 27

periods specified in these regulations. The minimum durability 

demonstration periods contained herein are not necessarily meant to 

represent the entire useful life of the LSI retrofit emission control system 

in actual service. 

(6) “Emergency Engine Repair” means repair conducted outside of normal 

scheduled maintenance that is required for the safe operation of the 

equipment. 

(7) “Emission Control Group” means a set of LSI engines and applications 

determined by parameters that affect the performance of a particular LSI 

retrofit emission control system. The exact parameters depend on the 

nature of the LSI retrofit emission control system and may include, but are 

not limited to, baseline or certification levels of engine emissions, 

combustion cycle, displacement, aspiration, horsepower rating, duty cycle, 

exhaust temperature profile, and fuel composition. An applicant could 

specify an emission control group to be comprised of engines from 

several different engine families, applications and equipment 

manufacturers. Verification of an LSI retrofit emission control system and 

the extension of existing verifications is done on the basis of emission 

control groups. 

(8) “Executive Officer” means the Executive Officer of the Air Resources 

Board or the Executive Officer’s designee. 

(9) “Executive Order” means the document signed by the Executive Officer 

that specifies the verification level or percentage reduction of an LSI 

retrofit emission control system for an emission control group and includes 

any enforceable conditions and requirements necessary to support the 

designated verification. 

(10) “Hot Start” means the start of an engine within four hours after the engine 

is last turned off. 

(11) “LSI retrofit emission control system” means any device or system 

employed with an in-use off-road LSI-engine vehicle or piece of 

equipment that is intended to reduce emissions. Examples of LSI retrofit 

emission control systems include, but are not limited to, closed-loop fuel 

control system, fuel injection system, three-way catalysts, and 

combinations of the above. 

(12) “LSI Retrofit Emission Control Group Name.” See Section 2786(c)(2). 

(13) “Off-Road Large Spark-Ignition Engine” or “LSI Engine” means any spark

ignition engine that produces a gross power of greater than 19 kilowatts (25 

horsepower) or is designed (e.g., through fueling, engine calibrations, 

valve timing, engine speed modifications, etc.) to produce greater than 

19 kW (>25 hp), and is used in an off-road vehicle or equipment that is 

not excluded below. If an engine family has models at or below 19 kW 

(25 hp) and models above 19 kW (25 hp), only the models above 19 kW 

(25 hp) would be considered LSI engines. A spark ignition engine’s 

operating characteristics are significantly similar to the theoretical Otto 

combustion cycle with the engine’s primary means of controlling power 
 28

output being to limit the amount of air and fuel that is throttled into the 

combustion chamber of the engine. LSI engines are designed for 

powering equipment applications including, but not limited to, forklift 

trucks, sweepers, generators, and industrial equipment and other 

miscellaneous applications. Specifically excluded from this category are: 

i) engines operated on or in any device used exclusively upon stationary 

rails or tracks; ii) engines used to propel marine vessels; iii) internal 

combustion engines attached to a foundation at a location for at least 12 

months; iv) off-road recreational vehicles and snowmobiles; and v) 

stationary or transportable gas turbines for power generation. 

(14) “Off-Road Vehicle” or “Off-Road Equipment” means any non-stationary 

device, powered by an internal combustion engine or motor, used 

primarily off the highways to propel, move, or draw persons or property 

including any device propelled, moved, or drawn exclusively by human 

power. Examples include, but are not limited to, marine vessels, 

construction/farm equipment, industrial equipment, locomotives, small 

off-road engines, off-road motorcycles, and off-highway recreational 

vehicles. 

(15) “Otto Cycle Engine” means a type of engine with operating 

characteristics significantly similar to the theoretical Otto combustion 

cycle. The primary means of controlling power output in an Otto cycle 

engine is by limiting the amount of air and fuel that can enter the 

combustion chambers of the engine. As an example, gasoline-fueled and 

LPG engines are Otto cycle engines. 

(16) “Revoke” means to cancel the verification status of an LSI retrofit 

emission control system. If an LSI retrofit emission control system’s 

verification status is revoked by the Executive Officer, the applicant must 

immediately cease and desist selling the LSI retrofit emission control 

system to end-users. 

(17) “Verification” means that after the data submitted has been thoroughly 

evaluated and an engineering judgment has determined that an LSI 

Retrofit Emission Control System for installation on in-use equipment will 

meet the requirements of this procedure, an Executive Order is issued. 

This ensures the emissions reductions achieved by the control strategy 

are real and durable and production units in the field achieve reductions 

consistent with the verification procedure. 

NOTE: Authority cited: Sections 39002, 39003, 39500, 39600, 39601, 39650-39675, 40000, 43000, 

43000.5, 43011, 43013, 43018, 43105, 43600 and 43700, Health and Safety Code. Reference: Sections 

43000, 43009.5, 43013, 43018, 43101, 43104, 43105, 43106, 43107, 43204, 43205 and 43205.5; Health 

and Safety Code. 
 29

§ 2782. Application Process. 

(a) Overview. Before submitting a formal application for the verification of an LSI 

retrofit emission control system for use with an emission control group, the 

applicant must submit a letter of intent with a proposed verification plan to 

ARB (pursuant to Section 2782(b)). To obtain verification, the applicant must 

conduct emissions reduction testing (pursuant to Section 2783), a durability 

demonstration with testing (pursuant to Section 2784), and a field 

demonstration (pursuant to Section 2785), and must submit the results along 

with comments and other information (pursuant to Sections 2786 and 2787) 

in an application to the Executive Officer, in the format shown in 

Section 2782(d). If the Executive Officer grants a verification of an LSI retrofit 

emission control system, he or she will issue an Executive Order to the 

applicant identifying the verified emission reduction and any conditions that 

must be met for the LSI retrofit emission control system to function properly. 

After the Executive Officer grants verification of an LSI retrofit emission 

control system, the applicant must provide a warranty, conduct in-use 

compliance testing of the system after having sold or leased a specified 

number of units, and report the results to the Executive Officer (pursuant to 

Section 2789). An LSI retrofit emission control system that employs two or 

more individual sub-systems or components must be tested and submitted 

for evaluation as one system. 

(b) Proposed Verification Plan. Before formally submitting an application for the

verification of an LSI retrofit emission control system, the applicant must 

submit a proposed verification plan to ARB. The proposed verification plan 

should outline the applicant’s plans for meeting the testing and other 

requirements. The Executive Officer shall use the information in the 

proposed plan to help determine the need for additional analyses and the 

appropriateness of allowing alternatives to the prescribed requirements and 

in determining whether the control strategy relies on sound principles of 

science and engineering. The proposed plan should include the following 

information: 

(1) Identification of the contact persons, phone numbers, names and 

addresses of the responsible party proposing to submit an application. 

(2) Description of the LSI retrofit emission control system and principles of 

operation. A schematic depicting operation should be included as 

appropriate. It is the responsibility of the applicant to demonstrate that the 

product relies on sound principles of science and engineering to achieve 

emission reductions. The description of the LSI retrofit emission control 

system must include, at a minimum, the information described in section 

2782(d), items 2 and 3. 
 30

(A) If, after reviewing the description of the LSI retrofit emission control 

system, the Executive Officer determines that the applicant has not 

made a satisfactory demonstration that its product relies on sound 

principles of science and engineering to achieve emissions 

reductions, the Executive Officer shall notify the applicant of the 

determination in writing. The applicant may choose to withdraw from 

the verification process or submit additional materials and 

clarifications. The additional submittal must be received by the 

Executive Officer no later than 60 days from the date of the 

notification letter or the Executive Officer may suspend reviewing the 

proposed verification plan. 

(B) If, after reviewing the additional submittal, the Executive Officer 

determines that the applicant has not yet made a satisfactory 

demonstration that its product relies on sound principles of science 

and engineering to achieve emission reductions, the review shall be 

suspended. If the Executive Officer has suspended reviewing the 

proposed verification plan, it may only be reactivated at the discretion 

of the Executive Officer. 

(C) If at any time, the Executive Officer has reason to doubt the scientific 

or engineering soundness of a product, the Executive Officer may 

require the applicant to submit additional supporting materials and 

clarifications no later than 60 days from the date of the notification 

letter. If the additional submittal is not received by the Executive 

Officer by the deadline established in the notification letter, the review 

of the proposed verification plan may be suspended. In deciding 

whether to suspend reviewing the proposed verification plan the 

Executive Officer will review submittals as provided in subsection (B) 

above. 

(3) Preliminary parameters for defining emission control groups that are 

appropriate for the LSI retrofit emission control system. The Executive 

Officer will work with the applicant to determine appropriate emission 

control group parameters. 

(4) The applicant’s plan for meeting the requirements of Sections 2783-2786. 

 Existing test data may be submitted for the Executive Officer’s 

consideration. The proposed verification plan must focus on verification 

of the LSI retrofit emission control system for use with a single emission 

control group. 

(5) A brief statement that the applicant agrees to provide a warranty pursuant 

to the requirements of Section 2787. 

(c) Executive Officer Review. After an applicant submits a proposed verification 

plan, the Executive Officer shall determine whether the applicant has 

identified an appropriate testing procedure to support an application for 

verification and notify the applicant in writing that it may submit an application 

for verification. The Executive Officer may suggest modifications to the 
 31

proposed verification plan to facilitate verification of the LSI retrofit emission 

control system. All applications, correspondence, and reports must be 

submitted to: 

Air Resources Board 

9528 Telstar Avenue 

El Monte, CA 91731 

(d) Application Format. The application for verification of an LSI retrofit emission 

control system must follow the format shown below. If a section asks for 

information that is not applicable to the LSI retrofit emission control system, 

the applicant must indicate “not applicable.” If the Executive Officer concurs 

with the applicant’s judgment that a section is not applicable, the Executive 

Officer may waive the requirement to provide the information requested in 

that section. 

1. Identification 

1.1 Identification of applicant, manufacturer, and product 

1.2 Identification of contact names for engineering or technical information of 

product or system 

1.3 Identification and description of the emission control group (see 2781 

(a) (7) and 2783 (a)) 

1.4 Identification of level of verification being sought 

1.4.1 Emissions reduction claim 

2. LSI Retrofit Emission Control System Information

2.1 General description of the LSI retrofit emission control system 

2.1.1 Discussion of principles of operation and system design 

2.1.2 Schematics depicting operation (as appropriate) 

2.2 Favorable operating conditions 

2.3 Unfavorable operating conditions (e.g., inappropriate duty cycle or 

application, geographical limitations, etc.) and associated reductions in 

performance 

2.4 Fuel and lubrication oil requirements (e.g., fuel specifications) and 

misfueling considerations (see 2783(d)(2), 2784(c2), 2786 (a) and (e). 

2.5 Identification of failure modes and associated consequences 

2.6 Discussion of potential safety issues (e.g., lack of proper maintenance, 

unfavorable operating conditions, etc.) 

2.7 Installation requirements 

2.8 Maintenance requirements 

3. LSI Retrofit Emission Control System and Emission Control Group Compatibility 

3.1 Compatibility with the engine 

3.1.1 Discussion on calibrations and design features that may vary from 

engine to engine 

3.1.2 Effect on overall engine performance 

3.1.3 Effect on fuel consumption 

3.1.4 Engine oil consumption considerations 
 32

3.2 Compatibility with the equipment/application 

3.2.1 Dependence of calibration and other design features on application 

characteristics 

3.2.2 Comparison of field data with operating conditions of equipment 

applications suitable for the LSI retrofit emission control group. 

 

4. Testing Information 

4.1 Emission testing requirements 

4.1.1 Test facility identification 

4.1.2 Description of engine and equipment (make, model year, engine 

family name, etc.)

4.1.3 Test procedure description (-pre-conditioning period, test cycle, 

etc.)

4.1.4 Test fuel and lubrication oil (see 2783 (d) 

4.1.5 Test results and comments electronically submitted in 

comma-delimited columns in spreadsheet or text files 

4.2 Durability Demonstration requirements 

4.2.1 Test facility identification 

4.2.2 Description of field application (where applicable) 

4.2.3 Description of engine and equipment (make, model year, engine 

family name, etc.)

4.2.4 Test procedure description (field or bench, test cycle, etc.)

4.2.5 Test fuel and lubrication oil (see 2784 (c)) 

4.2.6 Test results and comments electronically submitted in 

comma-delimited columns in spreadsheet or text files 

4.2.7 Summary of evaluative comments from third-party for in-field 

durability demonstration (e.g., driver or fleet operator)

4.3 Field Demonstration requirements (where applicable) 

4.3.1 Field application identification 

4.3.2 Description of engine and equipment (make, model year, engine 

family name, etc.)

4.3.3 Summary of evaluative comments on retrofit compatibility of the 

LSI retrofit emission control system with the equipment from thirdparty (e.g., driver or fleet operator) 

4.4 Alternative In-Use Compliance Test Procedure (where applicable) 

4.4.1 Description of the proposed alternative in-use test procedure 

4.4.2 Description of test equipment, including measurement accuracy 

and precision 

4.4.3 Description of advantages and limitations of the proposed 

alternative in-use test procedure 

4.4.4 Description of the emission correlation of the proposed alternative 

in-use test procedure with emission results from engine 

dynamometer test conducted for verification of the LSI retrofit 

emission control system 
 33

4.4.5 Test results and comments 

5. References 

6. Appendices 

6.1 Laboratory test report information (for all tests)

6.1.1 Actual laboratory test data 

6.1.2 Quality assurance and quality control information 

6.2 Third-party letters or questionnaires describing in-field performance 

6.3 LSI retrofit emission control system label 

6.4 Owner’s manual (as described in Section 2786 (e)) 

6.5 Other supporting documentation 

(e) Within 30 days of receipt of the application, the Executive Officer shall notify 

the applicant whether the application is complete. 

(f) Within 60 days after an application has been deemed complete, the 

Executive Officer shall determine whether the LSI retrofit emission control 

system merits verification and shall classify it as shown in Table 1. The 

applicant and the Executive Officer may mutually agree to a longer time 

period for reaching a decision, and the applicant may submit additional 

supporting documentation before a decision has been reached. The 

Executive Officer shall notify the applicant of the decision in writing and 

specify the classification level and the percentage reduction or absolute 

emissions and identify any terms and conditions that are necessary to 

support the verification. 
 34

Table 1. LSI Engine Retrofit System Verification Levels 

Classification Percentage Reduction 

(HC+NOx)

Absolute Emissions 

(HC+NOx) 

LSI Level 1 (1) > 25% (2) Not Applicable 

LSI Level 2 (1) > 75%(3) 3.0 g/bhp-hr (3) 

LSI Level 3a (1) > 85% (4) 0.5, 1.0, 1.5, 2.0, 2.5 g/bhp-hr 

LSI Level 3b (5) Not Applicable 0.5, 1.0, 1.5, 2.0 g/bhp-hr 

Notes: 

 (1) Applicable to uncontrolled engines only 

(2) The allowed verified emissions reduction is capped at 25% regardless of 

actual emission test values 

 (3) The allowed verified reduction for LSI Level 2 is capped at 75% or 

3.0 g/bhp-hr regardless of actual emission test values 

(4) Verified in 5% increments, applicable to LSI Level 3a classifications only 

(5) Applicable to emission-controlled engines only 

(g) Extensions of an Existing Verification. If the applicant has verified an LSI 

retrofit emission control system with one emission control group and wishes 

to extend the verification to include additional engines or equipment into the 

existing emission control group, or it wishes to include additional emission 

control groups, it may apply to do so using the original test data, additional 

test data, engineering justification and analysis, and any other information 

deemed necessary by the Executive Officer to address the differences 

between the emission control group already verified and the additional 

emission control group(s). Processing time periods follow sections (e) and (f) 

above. 

(h) Design Modifications. If an applicant modifies the design of an LSI retrofit 

emission control system that has already been verified or is under 

consideration for verification by the Executive Officer, the modified version 

must be evaluated under this Procedure. The applicant must provide a 
 35

detailed description of the design modification along with an explanation of 

how the modification will change the operation and performance of the LSI 

retrofit emission control system. To support its claims, the applicant must 

submit additional test data, engineering justification and analysis, and any 

other information deemed necessary by the Executive Officer to address the 

differences between the modified and original designs. An applicant must 

have written approval from the Executive Officer prior to making any design 

modifications to an LSI retrofit emission control system that has already been 

verified or is under consideration for verification by the Executive Officer. 

Processing time periods follow sections (e) and (f) above. 

(i) Treatment of Confidential Information. Information submitted to the Executive 

Officer by an applicant may be claimed as confidential, and such information 

shall be handled in accordance with the procedures specified in Title 17, 

California Code of Regulations, Sections 91000-91022. The Executive 

Officer may consider such confidential information in reaching a decision on a 

verification application. 

(j) The Executive Officer may lower the verification level or revoke the verification 

status of a verified LSI retrofit emission control system later if there are 

serious errors, omissions or inaccurate information in the application for 

verification or supporting information which, if known at the time of 

verification, would have justified lowering the verification level or denying the 

application. 

NOTE: Authority cited: Sections 39002, 39003, 39500, 39600, 39601, 39650-39675, 40000, 43000, 

43000.5, 43011, 43013, 43018, 43105, 43600 and 43700, Health and Safety Code. Reference: Sections 

43000, 43009.5, 43013, 43018, 43101, 43104, 43105, 43106, 43107, 43204, 43205 and 43205.5; Health 

and Safety Code. 

§ 2783. Emissions Reduction Testing Requirements. 

(a) Emission Control Group. The applicant must identify the emission control 

group and test the LSI retrofit emission control system on representative 

engines from that emission control group. The applicant must identify the 

test engines, and equipment if applicable, by providing the engine family 

name, if available, make, model, and model year. The applicant must also 

describe equipment applications on which the LSI retrofit emission control 

system is intended to be used, by giving examples of in-use equipment, 

characterizing typical duty cycles, indicating any fuel requirements, and/or 

providing other application-related information. 

 

(b) Engine Pre-conditioning. All testing should be performed with the test engine 

in a proper state of maintenance. The applicant may tune-up or rebuild the 

test engine prior to, but not after, baseline testing, unless rebuilding the 
 36

engine is a part of the requirements for installation of the LSI retrofit emission 

control system. 

(c) LSI Retrofit System Pre-conditioning. The engine or equipment installed with 

an LSI retrofit emission control system must be operated for a break-in period 

of between 25 and 100 hours before emission testing. 

(d) Test Fuel. 

(1) The test fuel used shall be consistent with the fuel specifications as 

outlined in the "California Exhaust Emission Standards and Test 

Procedures for 2001 and Subsequent Model Passenger Cars, Light-Duty 

Trucks, and Medium- Duty Vehicles," as incorporated by reference in 

section 1961(d). If the engine is tested using the U.S. EPA test fuel, as 

outlined in 40 CFR Part 1065, the manufacturer shall demonstrate that the 

emission results are consistent with these Test Procedures. 

(2) During all engine tests, the engine shall employ lubricating oil consistent 

with the engine manufacturer's specifications for that particular engine. 

These specifications shall be recorded and declared in the verification 

application. 

(e) Test Cycle. 

(1) Systems verified prior to 2007. Any LSI retrofit emission control system 

verified before January 1, 2007 must be tested using the steady-state test 

procedure (C2) set forth in the, “California Exhaust Emission Standards 

and Test Procedures for New 2001 through 2006 Off-Road Large 

Spark-Ignition Engines” as incorporated by reference in section 2433(c), 

or the U.S. EPA transient test procedure as set forth in 40 CFR Part 1048, 

Subpart F, as adopted July 13, 2005. For off-road engines used in 

constant-speed operation, the applicant must use the steady-state test 

procedure (D2) set forth in the “California Exhaust Emission Standards 

and Test Procedures for New 2001 through 2006 Off-Road Large 

Spark-Ignition Engines” as incorporated by reference in section 2433(c), 

or the U.S. EPA transient test cycle as outlined in 40 CFR Part 1048, 

Subpart F, as adopted July 13, 2005. The required test cycles are 

summarized in Table 2, below. 
 37

Table 2. Test Cycles for Emissions Reduction Testing 

Test 

Type 

LSI Retrofit 

System 

Verification 

Date 

Off-Road (including 

portable engines) 

Off-Road (constant-speed 

operation) 

Engine Pre-2007 

Steady-state test cycle (C2) 

from ARB off-road 

regulations or 

U.S. EPA transient test cycle 

Steady-state test cycle (D2) 

from ARB off-road 

Regulations or 

U.S. EPA transient test cycle 

Engine 2007 and later U.S. EPA transient test cycle 

U.S. EPA transient test cycle 

(2) Systems verified in 2007 or later. Any LSI retrofit emission control system 

verified on or after January 1, 2007, must be tested using the U.S. EPA 

transient test procedure as set forth in 40 CFR Part 1048, Subpart F, as 

adopted July 13, 2005. 

(f) Alternative Test Cycles and Methods. The applicant may request the 

Executive Officer to approve an alternative test cycle or method in place of a 

required test cycle or method. In reviewing this request, the Executive Officer 

may consider all relevant information including, but not limited to, the 

following: 

(1) Similarity of characteristics to the specified test cycle or method and 

in-use duty cycle. 

(2) Body of existing test data generated using the alternative test cycle or 

method. 

(3) Technological necessity. 

(4) Technical ability to conduct the required test.

(g) Test runs to Verify HC, NOx, and CO Emissions Reductions. A minimum of 

three hot-start tests for the test cycle selected from Table 2, or an Executive 

Officer-approved alternative test cycle, must be run for baseline and control 

configurations. 

(h) Results. For all valid emission tests used to support emissions reduction 

claims, the applicant must report emissions of total hydrocarbons, oxides of 

nitrogen, and carbon monoxide in grams/brake horsepower-hour (g/bhp-hr). 

(i) Incomplete and Aborted Tests. The applicant must identify all incomplete and 

aborted tests and explain why those tests were incomplete or aborted. 
 38

(j) Additional Analyses. The Executive Officer may require the applicant to 

perform additional analyses if there is reason to believe that the use of an LSI 

retrofit emission control system may result in the increase of toxic air 

contaminants, or other harmful compounds. 

(1) In its determination, the Executive Officer may consider all relevant data, 

including but not limited to the following: 

(A) The addition of any substance to the fuel, intake air, or exhaust 

stream. 

(B) Whether a catalytic reaction is known or reasonably suspected to 

increase toxic air contaminants or ozone precursors. 

(C) Results from scientific literature. 

(D) Field experience. 

(E) Any additional data. 

(2) The Executive Officer will determine appropriate test methods for 

additional analyses in consultation with the applicant. 

(k) Quality Control of Test Data. The applicant must provide information on the 

test facility, test procedure, and equipment used in the emission testing, 

including evidence establishing that the test equipment used meets the 

specifications and calibrations given in 40 CFR Part 1065. 

(l) Testing or inspection. The Executive Officer may, with respect to any verified 

LSI retrofit emission control system sold, leased, offered for sale, or 

manufactured for sale in California, order the applicant to make available for 

testing and/or inspection a reasonable number of LSI retrofit emission control 

systems, and may direct that they be delivered at the applicant’s expense to 

the state board at the Haagen-Smit Laboratory, 9528 Telstar Avenue, El 

Monte, California or where specified by the Executive Officer. The Executive 

Officer may also, with respect to any verified LSI retrofit emission control 

system being sold, leased, offered for sale, or manufactured for sale in 

California, have an applicant test and/or inspect a reasonable number of units 

at the applicant or manufacturer's facility or at any test laboratory under the 

supervision of the Executive Officer. 

NOTE: Authority cited: Sections 39002, 39003, 39500, 39600, 39601, 39650-39675, 40000, 43000, 

43000.5, 43011, 43013, 43018, 43105, 43600 and 43700, Health and Safety Code. Reference: Sections 

43000, 43009.5, 43013, 43018, 43101, 43104, 43105, 43106, 43107, 43204, 43205 and 43205.5; Health 

and Safety Code.

§ 2784. Durability Demonstration Requirements. 

(a) The applicant must demonstrate, to the satisfaction of the Executive Officer, 

the durability of the applicant’s LSI retrofit emission control system through an 

actual field or laboratory-based demonstration test. If the applicant chooses 

a laboratory-based durability demonstration, an additional field demonstration 
 39

will be required to demonstrate in-field compatibility (pursuant to Section 

2785). If the applicant has demonstrated the durability of the identical system 

in a prior verification or OEM certification, or has demonstrated durability 

through field experience, the applicant may request that the Executive Officer 

accept the previous demonstration in fulfillment of this requirement. In 

evaluating such a request, the Executive Officer may consider all relevant 

information including, but not limited to, the similarity of baseline emissions 

and application duty cycles, the relationship between the emission control 

group or engine family(ies) used in previous testing and the current emission 

control group, the number of engines tested, evidence of successful 

operation and user acceptance, and published reports. 

(b) Engine Selection. Subject to the approval of the Executive Officer, the 

applicant may choose the engine to be used in the durability demonstration. 

The engine must be representative of the engines in the emission control 

group for which verification is sought. The selected engine need not be the 

same as the engine used for the emission testing (pursuant to Section 2783), 

but if the applicant does use the same engine, the emission testing results 

may also be used for the zero-hour durability tests. 

(c) Test Fuel. 

(1) The test fuel used shall be consistent with the fuel specifications as 

outlined in the "California Exhaust Emission Standards and Test 

Procedures for 2001 and Subsequent Model Passenger Cars, Light-Duty 

Trucks, and Medium- Duty Vehicles," as incorporated by reference in 

section 1961(d). If the engine is tested using the U.S. EPA test fuel, as 

outlined in 40 CFR Part 1065, the manufacturer shall demonstrate that the 

emission results are consistent with ARB Test Procedures. 

Manufacturers can use "commercially available fuels" to accumulate 

service hours but emission testing must be conducted using test fuel as 

specified in this section. 

(2) During all engine tests, the engine shall employ lubricating oil consistent 

with the engine manufacturer's specifications for that particular engine. 

These specifications shall be recorded and declared in the verification 

application. 

 

(d) Service Accumulation. The durability demonstration consists of an extended 

service accumulation period in which the LSI retrofit emission control system 

is used in the field or in a laboratory, with emissions reduction testing before 

and after the service accumulation. Service accumulation begins after the 

first emission test and concludes before the final emission test. The 

pre-conditioning period required in Section 2783 (c) cannot be used to meet 

the service accumulation requirements. 

(1) Minimum Durability Demonstration Periods. The minimum durability 

demonstration period is 1,000 hours if it can be correlated or 
 40

demonstrated to be equivalent to 2,500 hours in-use. The applicant must 

provide to the Executive Officer sufficient written documentation to justify 

the request for the minimum durability demonstration period. The 

applicant may propose a sampling scheme that could be used to support 

an accelerated durability schedule for approval by the Executive Officer. 

The sampling scheme may include, but is not limited to, logging only 

significant changes in a parameter, averages, or changes above some 

threshold value. Data must be submitted electronically in columns as a 

text file or another format approved by the Executive Officer. 

 (2) Fuel for Durability Demonstrations. The fuel used during durability 

demonstrations should be equivalent to the test fuel, or a fuel with 

properties less favorable to the durability of the retrofit emission control 

system. Durability demonstrations may, at the applicant's option and with 

the Executive Officer’s approval, include intentional use of 

out-of-specification fuels so that data on the effects of using 

out-of-specification fuels may be obtained. 

(e) Test Cycle. Testing requirements are summarized in Table 3. Note that the 

same cycle(s) must be used for both the initial (zero hour) and final 

(2,500 hour) tests as defined in Section 2783 (e). 

Table 3. Emission Tests Required for Durability Demonstrations 

Application LSI Retrofit 

 System 

Verification 

Date 

Test 

Type 

Zero-Hour Test (prior durability demonstration) 

2,500-Hour Test (after completion of 100% of the 

durability demonstration or the minimum 

durability demonstration) 

Off-Road and 

portable 

engines Pre-2007 Engine Steady-state test cycle from ARB off-road regulations 

or U.S. EPA transient test cycle or an alternative cycle 

Off-Road and 

portable 

engines 

2007 and 

later 

Engine U.S. EPA transient test cycle or an alternative cycle 

 

(f) Test Run. The number of tests to be conducted in accordance with the 

required test cycle shown in Table 3 is described below. 

(1) The LSI retrofit emission control system must undergo one set of 

emission tests: (3 hot starts each for baseline and with the retrofit 

emission control system) at the beginning (zero hour) and one set of 

emission tests (3 hot starts for baseline and with the emission control 
 41

system) after completion of the durability demonstration (2,500 hours) or 

the minimum durability demonstration period (1,000 hours). If there are 

substantial test data from previous field studies or field demonstrations, 

applicants may request that the Executive Officer consider these in place 

of the initial emission tests. 

(2) As an alternative to testing a single unit before and after the service 

accumulation period, the applicant may request that the Executive Officer 

consider the testing of two identical units, one that has been 

pre-conditioned and another that has completed the service accumulation 

period. In reviewing the request, the Executive Officer may consider all 

relevant information, including, but not limited to, the following: 

(A) The effect of the LSI retrofit emission control system on engine 

operation over time. Strategies that cause changes in engine 

operation are likely not to qualify for this testing option. 

(B) The quality of the evidence the applicant can provide to support that 

the two units are identical. 

(C) Previous experience with similar or related technologies. 

(g) Maintenance During Durability Demonstration. Except for emergency engine 

repair, only scheduled maintenance on the engine and LSI retrofit emission 

control system may be performed during the durability demonstration. If 

normal maintenance includes replacement of any component of the engine 

emission control system, the time (years or hours) between component 

change must be reported with the results of the demonstration. If emergency 

repair was conducted on an engine equipped with the LSI retrofit emission 

control system within the durability demonstration period, the applicant must, 

within 30 days of the repair, report to the Executive Officer on what repair 

was performed and what components were involved, and provide an 

explanation on the possible cause(s) for the engine’s and/or LSI retrofit 

emission control system’s malfunction. Based on the information provided by 

the applicant, the Executive Officer will decide whether to allow that engine to 

continue to be used in the durability demonstration program, or to start anew 

the durability demonstration period. 

(h) Performance Requirements. The LSI retrofit emission control system must 

meet the following requirements throughout the durability demonstration 

period: 

If the applicant claims a percent emissions reduction, the percent emissions 

reduction must meet or exceed the minimum percent emissions reduction 

associated with the LSI Level for which the applicant is seeking 

verification. 

If the applicant claims a reduced emission level, the reduced emission level 

must not exceed the emission level associated with the LSI Level for 

which the applicant is seeking verification. 
 42

The LSI retrofit emission control system must maintain its physical integrity. 

Its physical structure and all of its components not specified for regular 

replacement during the durability demonstration period must remain intact 

and fully functional. 

The LSI retrofit emission control system must not cause any damage to the 

engine, vehicle, or equipment. 

Except for emergency engine repair, no maintenance of the LSI retrofit 

emission control system beyond that specified in its owner’s manual will 

be allowed without prior Executive Officer approval. 

(i) Failure During the Durability Demonstration Period. If the LSI retrofit 

emission control system fails to maintain its initial verified percent emissions 

reduction or absolute emissions for any reason, the Executive Officer may 

downgrade the system to the verification level that corresponds to the lowest 

degraded performance observed in the durability demonstration period. If the 

LSI retrofit emission control system fails to maintain the emissions reduction 

performance pursuant to Sections 2784(h)(1) and 2784(h)(2), as 

demonstrated during the emission test pursuant to Section 2783, during the 

durability period, the LSI retrofit emission control system will not be verified. 

If the LSI retrofit emission control system fails in the course of the durability 

demonstration period, the applicant must submit a report explaining the 

circumstances of the failure within 90 days of the failure. The Executive 

Officer may then, as appropriate, determine whether to deny verification or 

allow the applicant to correct the failed LSI retrofit emission control system 

and either continue the durability demonstration or begin a new durability 

demonstration. 

NOTE: Authority cited: Sections 39002, 39003, 39500, 39600, 39601, 39650-39675, 40000, 43000, 

43000.5, 43011, 43013, 43018, 43105, 43600 and 43700, Health and Safety Code. Reference: Sections 

43000, 43009.5, 43013, 43018, 43101, 43104, 43105, 43106, 43107, 43204, 43205 and 43205.5; Health 

and Safety Code. 

§ 2785. Field Demonstration Requirements. 

(a) Compatibility. The applicant must demonstrate compatibility of its LSI retrofit 

emission control system in the field with at least one piece of equipment 

belonging to the emission control group for which it seeks verification. Note 

that if the durability demonstration selected by the applicant is in-field, it may 

be used to satisfy the field demonstration requirement for that emission 

control group. An applicant that elected to demonstrate durability in-field 

must still comply with the reporting requirements as specified in 2785(c). 

(1) Compatibility is determined by the Executive Officer based on the 

third-party statement (see section 2785 (c)) and any other data submitted. 

 An LSI retrofit emission control system is compatible with the chosen 

application if it: 
 43

(A) Does not cause damage to the engine or engine malfunction; 

(B) Does not hinder or detract from the vehicle or equipment’s ability to 

perform its normal functions; and 

(C) Is physically intact and well mounted with no signs of leakage or 

other visibly detectable problems. 

(2) To determine whether separate field demonstrations are required when 

applying to extend additional engine or equipment in an existing emission 

control group or when applying to verify additional emission control 

groups, the Executive Officer may consider all relevant information, 

including, but not limited to existing field experience and engineering 

justification and analysis. 

(b) Test Period. A piece of equipment must be operated with the LSI retrofit 

emission control system installed for a minimum period of 200 hours. 

(c) Reporting Requirements. The applicant must provide a written statement 

from a third party approved by the Executive Officer, such as the owner or 

operator of the equipment used in the field demonstration. The written 

statement must be provided at the end of the test period and must describe 

the following aspects of the field demonstration: overall performance of the 

test application and the LSI retrofit emission control system, maintenance 

performed, problems encountered, and any other relevant information. The 

results of a visual inspection conducted by the third party at the end of the 

demonstration period must also be described. The description should 

comment on whether the LSI retrofit emission control system is physically 

intact, securely mounted, or leaking any fluids, and should include any other 

evaluative observations. 

(d) Failure During the Field Demonstration. The LSI retrofit emission control 

system will be deemed to fail the field demonstration requirements if it could 

not comply with the criteria specified in Section 2785 (a)(1) during the test 

period. If the LSI retrofit emission control system fails in the course of the 

field demonstration, the applicant must notify ARB within 15 days of the 

failure, and submit a report explaining the circumstances of the failure within 

90 days of the failure. The Executive Officer may then determine whether to 

deny verification or allow the applicant to correct the failed LSI retrofit 

emission control system and either continue the field demonstration or begin 

a new field demonstration. 

NOTE: Authority cited: Sections 39002, 39003, 39500, 39600, 39601, 39650-39675, 40000, 43000, 

43000.5, 43011, 43013, 43018, 43105, 43600 and 43700, Health and Safety Code. Reference: Sections 

43000, 43009.5, 43013, 43018, 43101, 43104, 43105, 43106, 43107, 43204, 43205 and 43205.5; Health 

and Safety Code. 
 44

§ 2786. Other Requirements. 

(a) Fuel and Oil Requirements. The applicant must specify the fuel and 

lubricating oil requirements necessary for proper functioning of the LSI retrofit 

emission control system. The applicant must also specify any consequences 

that will result from failure to comply with these requirements, as well as 

methods for reversing any negative consequences. 

(b) Maintenance Requirements. The applicant must identify all normal 

maintenance requirements for the LSI retrofit emission control system and 

specify the recommended intervals for cleaning and/or replacing components. 

 Components to be replaced within the defects warranty period must be 

included with the original LSI retrofit emission control system package or 

provided free of charge to the customer at the appropriate maintenance 

intervals. Any normal maintenance items that the applicant does not intend 

to provide free of charge must be approved by the Executive Officer (the 

applicant is not required to submit cost information for these.) 

(c) System Labeling. 

(1) The applicant must either affix legible and durable labels, or provide such 

labels to the installer along with instructions on how to affix them, on both 

the retrofit emission control system and the engine on which the retrofit 

emission control system is installed, except as noted in (3) below. The 

required labels must identify the name, address, and phone number of the 

manufacturer, the LSI retrofit emission control group name (defined in (2) 

below), a unique serial number for the LSI retrofit emission control system 

and the month and year of manufacture. The month and year of 

manufacture are not required on the label if this information can be readily 

obtained from the applicant by reference to the serial number. A scale 

drawing of a sample label must be submitted with the verification 

application. Unless an alternative is approved by the Executive Officer, 

the label information must be in the following format: 

Name, Address, and Phone Number of Manufacturer 

LSI Retrofit Emission Control Group Name 

Product Serial Number 

ZZ-ZZ (Month and Year of manufacture, e.g., 11-05) 
 45

(2) LSI Retrofit Emission Control Group Name. Each LSI retrofit emission 

control system shall be assigned a name defined as below: 

CA/V/MMM/LL##/NHP## or NHL##/APP/XXXXX 

 Where: 

CA:

V: 

Designates an LSI retrofit emission control system verified in California 

Year of verification 

MMM: Manufacturer code (assigned by the Executive Officer) 

 LL##: Verified LSI Level (e.g., LL2 means the retrofit system was verified to the “LSI 

Level 2”, LL3a means the retrofit system was verified to “LSI Level 3a). 

 NHP##: Verified HC + NOx reduction percent (e.g., NH75 means HC + NOx reduction 

of 75 percent). 

NHL##: Verified HC + NOx absolute emissions in units of g/kW-hr, (e.g., NH4.0 means 

verified HC + NOx emission level of 4.0 g/kW-hr). 

APP: Verified application includes a combination of Off-road (OF),or Stationary (ST) 

XXXXX: Five alphanumeric character code issued by the Executive Officer 

(3) The applicant may request that the Executive Officer approve an 

alternative label. In reviewing this request, the Executive Officer may 

consider all relevant information including, but not limited to, the 

informational content of an alternative label as proposed by the applicant. 

(d) Additional Information. The Executive Officer may require the applicant to 

provide additional information about the LSI retrofit emission control system 

or its implementation when such information is needed to assess 

environmental impacts associated with its use. 

(e) Owner’s Manual. The applicant must provide a copy of the LSI retrofit 

emission control system owner’s manual, which must clearly specify at least 

the following information: 

Warranty statement including the warranty period over which the applicant is 

liable for any defects. 

Installation procedure and maintenance requirements for the LSI retrofit 

emission control system. 

Fuel consumption improvement or penalty, if any. 

Fuel requirements, if any. 

Requirements for lubrication oil quality and maximum lubrication oil 

consumption rate 

Contact information for replacement components and cleaning agents. 

Maintenance Requirements 

(f) Noise Level Control. Applicants must ensure that the LSI retrofit emission 

control system complies with all applicable local government requirements for 

noise control. 
 46

(g) Limit on CO. In order for an LSI retrofit emission control system to be verified, 

it must comply with one of the following two limits on CO: 

(1) For an LSI retrofit emission control system designed to be installed in a 

certified engine, the system must not increase the emissions of CO 

greater than the CO emission standards for new, emission-certified, 

off-road LSI engines adopted by the Air Resources Board and in effect for 

the model year in which the engine certification was issued; 

(2) For an LSI retrofit system designed to be installed in an engine that is not 

emission-certified, the system must not cause the CO emission level to 

exceed the greater of 37 g/bhp-hr or ten percent above the engine’s 

baseline CO emission level as determined in accordance with sections 

2783 and 2784. 

(h) Emission Sampling Ports. To facilitate in-field and normal maintenance 

diagnostic emission measurements, the applicant may choose to design the 

LSI retrofit emission control system to have a minimum of two sampling ports 

where emissions measurements could be made. Guideline suggestions for 

the sampling port criteria are presented here: 

(1) The sampling ports are to be designed to allow for measurements of 

uncontrolled, engine-out emissions and controlled, tailpipe emissions; 

(2) The sampling ports are to be 1⁄4 inch NPT half couplings, either welded to 

the exhaust system, or manufactured into the retrofit emission control 

device where possible; 

(3) The sampling port to be used for measuring uncontrolled, engine-out 

emissions is to be located in a straight section of the exhaust pipe 

upstream from the retrofit emission control device, after the turbocharger, 

if so equipped, with a minimum of one to two pipe diameters from any 

elbows upstream of the sampling port. It is acceptable to locate the 

sampling port adjacent to the oxygen sensor threaded port, if so 

equipped; 

(4) The sampling port to be used for measuring controlled, tailpipe emissions 

is to be placed on the muffler body, after the catalyst, if so equipped, or if 

in the exhaust pipe, should be located a minimum distance of 10 inches 

from the tailpipe opening, if feasible, otherwise, it should be located as far 

as possible from the tailpipe opening; 

(5) The locations of the sampling ports are to be designed to be accessible to 

test personnel without removing major engine or equipment components, 

such as the forklift counterweight, for example; 

(6) The sampling ports are to be equipped with threaded plugs. 

(7) If the sampling ports are designed to be installed by the retrofit system 

installer, the applicant must provide all necessary parts and complete 

instructions for proper installation; 

 

NOTE: Authority cited: Sections 39002, 39003, 39500, 39600, 39601, 39650-39675, 40000, 43000, 

43000.5, 43011, 43013, 43018, 43105, 43600 and 43700, Health and Safety Code. Reference: Sections 
 47

43000, 43009.5, 43013, 43018, 43101, 43104, 43105, 43106, 43107, 43204, 43205 and 43205.5; Health 

and Safety Code. 

§ 2787. Warranty Requirements. 

(a) (1) Product Warranty. 

(A) The applicant must provide a warranty to all owners, for ownership 

within the warranty period, and lessees, for lease contract within the 

warranty period, that its verified LSI retrofit emission control system is 

free from defects in design, materials, workmanship, or operation of 

the LSI retrofit emission control system which cause the LSI retrofit 

emission control system to fail to conform to at least 90 percent of the 

its verified level for the minimum warranty period of 3 years or 

2,500 hours, whichever occurs first, provided the operation of and 

conditions of use for the equipment, engine, and LSI retrofit emission 

control system conform with the operation and conditions specified in 

the ARB’s Executive Order and that the engine or equipment belongs 

to the emission control group as specified in the ARB’s Executive 

Order for that LSI retrofit emission control system. 

(B) In the absence of a device to measure hours of use, the LSI retrofit 

emission control system must be warranted for a period of three years. 

 If a device to measure hours is used, the engine must be warranted 

for 3 years or 2,500 hours, whichever occurs first. The warranty must 

cover the full repair or replacement cost of the LSI retrofit emission 

control system, including parts and labor. 

(C) The warranty must also cover the full repair or replacement cost of 

returning the engine components to the condition they were in prior to 

the failure, including parts and labor, for damage to the engine 

proximately caused by the verified LSI retrofit emission control system. 

 Repair or replacement of any warranted part, including the engine, 

must be performed at no charge to the equipment or engine owner. 

This includes only those relevant diagnostic expenses if a warranty 

claim is valid. The applicant may, at its option, instead pay the fair 

market value of the engine prior to the time the failure occurs. 

(D) The repair or replacement of any warranted part, otherwise eligible for 

warranty coverage, may be excluded from such warranty if the LSI 

retrofit emission control system or engine has been abused, neglected, 

or improperly maintained, and such abuse, neglect, or improper 

maintenance was the direct cause of the need for the repair or 

replacement of the part. 

(E) Failure of the equipment or engine owner to ensure scheduled 

maintenance or to keep maintenance records for the equipment, 

engine, or LSI retrofit emission control system may, but shall not per 

se, be grounds for disallowing a warranty claim. 
 48

(2) Installation Warranty

(A) A person or company that installs a verified LSI retrofit emission 

control system must warrant that the installation is free from defects in 

workmanship or materials which cause the LSI retrofit emission control 

system to fail to conform to at least 90 percent of its verified level for 

the minimum warranty period of 3 years or 2,500 hours, whichever 

occurs first, except as noted in 2787(a)(1)(B), or the other 

requirements as specified in sections 2786(c) and (e). 

(B) The extent of the warranty coverage provided by installers must be 

the same as the warranty provided by the applicant as established in 

subsection (a)(1) and the same exclusions must apply. 

 (b) (1) Product Warranty Statement. The applicant must furnish a copy of the 

following statement in the owner’s manual. The applicant may include 

descriptions of circumstances that may result in a denial of warranty 

coverage, but these descriptions shall not otherwise limit warranty coverage 

in any way. 

YOUR PRODUCT WARRANTY RIGHTS AND OBLIGATIONS 

(Applicant’s name) must warrant the LSI retrofit emission control system in 

the equipment for which it is sold or leased to be free from defects in design, 

materials, workmanship, or operation of the LSI retrofit emission control 

system which cause the LSI retrofit emission control system to fail to conform 

to the emission control performance level it was verified to, or to the 

requirements in the California Code of Regulations, Title 13, Chapter 9, 

Article 8, Sections 2780 to 2786, and 2789, for 3 years or 2,500 hours, 

whichever occurs first, pursuant to Section 2787(a)(1), provided there has 

been no abuse, neglect, or improper maintenance of your LSI retrofit 

emission control system, engine or equipment, as specified in the owner’s 

manuals. Where a warrantable condition exists, this warranty also covers the 

engine from damage caused by the LSI retrofit emission control system, 

subject to the same exclusions for abuse, neglect or improper maintenance. 

Please review your owner’s manual for other warranty information. Your LSI 

retrofit emission control system may include a core part (e.g., three-way 

catalyst, carburetor, mixer or regulator) as well as hoses, connectors, and 

other emission-related assemblies. Where a warrantable condition exists, 

(applicant’s name) will repair or replace your LSI retrofit emission control 

system at no cost to you including diagnosis, parts, and labor. 

WARRANTY COVERAGE: 

For a (engine size) engine used in a(n) (type of application) application, the 

warranty period will be 3 years or 2,500 hours of operation, whichever occurs 

first. If any emission-related part of your LSI retrofit emission control system 

is defective in design, materials, workmanship, or operation of the LSI retrofit 

emission control system thus causing the LSI retrofit emission control system 
 49

to fail to conform to the emission control performance level it was verified to, 

or to the requirements in the California Code of Regulations, Title 13, 

Chapter 9, Article 8, Sections 2780 to 2786, and 2789, within the warranty 

period, as defined above. (Applicant’s name) will repair or replace the LSI 

retrofit emission control system, including parts and labor. 

In addition, (applicant’s name) will replace or repair the engine components to 

the condition they were in prior to the failure, including parts and labor, for 

damage to the engine proximately caused by the verified LSI retrofit emission 

control system. This also includes those relevant diagnostic expenses in the 

case in which a warranty claim is valid. (Applicant ‘s name) may, at its option, 

instead pay the fair market value of the engine prior to the time the failure 

occurs. 

OWNER’S WARRANTY RESPONSIBILITY 

As the (engine, equipment) owner, you are responsible for performing the 

required maintenance described in your owner’s manual. (Applicant’s name) 

recommends that you retain all maintenance records and receipts for 

maintenance expenses for your engine or equipment, and LSI retrofit 

emission control system. If you do not keep your receipts or fail to perform all 

scheduled maintenance, (applicant’s name) may have grounds to deny 

warranty coverage. You are responsible for presenting your equipment or 

engine, and LSI retrofit emission control system to (applicant’s name) or a 

(applicant’s name) dealer as soon as a problem is detected. The warranty 

repair or replacement should be completed in a reasonable amount of time, 

not to exceed 30 days. If a replacement is needed, this may be extended to 

90 days should a replacement not be available, but must be performed as 

soon as a replacement becomes available. 

If you have questions regarding your warranty rights and responsibilities, you 

should contact (Insert chosen applicant’s contact) at 1-800-xxx-xxxx or the 

California Air Resources Board at 9528 Telstar Avenue, El Monte, CA 91731, 

or (800) 363-7664, or electronic mail: helpline@arb.ca.gov. 

(b)(2) Installation Warranty Statement. The installer must furnish the owner with 

a copy of the following statement. 

YOUR INSTALLATION WARRANTY RIGHTS AND OBLIGATIONS 

(Installer’s name) must warrant that the installation of an LSI retrofit emission 

control system is free from defects in workmanship or materials which cause 

the LSI retrofit emission control system to fail to conform to the emission 

control performance level it was verified to, or to the requirements in the 

California Code of Regulations, Title 13, Sections 2781 to 2786 and 2789. 

The warranty period and the extent of the warranty coverage provided by 

(installer’s name) must be the same as the warranty provided by the product 

manufacturer, and the same exclusions must apply. 
 50

OWNER’S WARRANTY RESPONSIBILITY 

As the engine or equipment owner, you are responsible for presenting your 

engine or equipment and LSI retrofit emission control system to (installer’s 

name) as soon as a problem with the installation is detected. 

If you have questions regarding your warranty rights and responsibilities, you 

should contact (Insert chosen installer’s contact) at 1-800-xxx-xxxx or the 

California Air Resources Board at 9528 Telstar Avenue, El Monte, CA 91731, 

or (800) 363-7664, or electronic mail: helpline@arb.ca.gov. 

(c) (1) Annual Warranty Report. The applicant must submit a warranty report to 

the Executive Officer by February 1 of each calendar year. The warranty 

report must include the following information: 

(A) Annual and cumulative sales, and annual and cumulative leases of 

equipment installed with LSI retrofit emission control systems—(California 

only). 

(B) Annual and cumulative production of LSI retrofit emission control systems 

(California only). 

(C) Annual summary of warranty claims (California only). The summary must 

include: 

i. A description of the nature of the claims and of the warranty 

replacements or repairs. The applicant must categorize warranty 

claims for each LSI retrofit emission control system group by the 

component(s) part number(s) replaced or repaired. 

ii. The number and percentage of LSI retrofit emission control systems of 

each model for which a warranty replacement or repair was identified. 

iii. A short description of the LSI retrofit emission control system 

component that was replaced or repaired under warranty and the most 

likely reason for its failure. 

(E) (D) Date the warranty claims were filed and the engine family and 

application the LSI retrofit emission control systems were used with. The 

reason(s) for any instances in which warranty service is not provided to 

end-users that file warranty claims. The applicant may also want to report 

instances where the applicant chose to honor warranty claims even 

though the applicant has determined that those warranty claims were 

invalid or that they were not required per Section 2787 of this regulation. 

(c) (2) Periodic Warranty Reports. 

(A) The applicant must submit a warranty report within 30 calendar days if 

there are three or more warranty claims for the same component or 

same part number repaired or replaced; or, if there are four or more 

total warranty claims, or four percent of the cumulative number of LSI 

retrofit systems subject to these warranty provisions, whichever is 

greater. The warranty report must include the following information: 
 51

i. A description of the nature of the claims and of the warranty 

replacements or repairs. The applicant must categorize warranty 

claims for each LSI retrofit emission control group by the component(s) 

part number(s) replaced or repaired. 

ii. The number and percentage of LSI retrofit emission control systems of 

each model for which a warranty replacement or repair was identified. 

iii. A short description of the LSI retrofit emission control system 

component that was replaced or repaired under warranty and the most 

likely reason for its failure. 

iv. Date the warranty claims were filed and the engine family and 

application the LSI retrofit emission control systems were used with. 

v. The reason(s) for any instances in which warranty service is not 

provided to end-users that file warranty claims. The applicant may 

also want to report instances where the applicant chose to honor 

warranty claims even though the applicant has determined that those 

warranty claims were invalid or that they were not required per Section 

2787 of this regulation. 

(B) The applicant must comply with the requirements specified pursuant to 

Section 2787(c)(2)(A), above, for warranty claims submitted to the 

applicant after the reporting dates of the periodic warranty report. 

NOTE: Authority cited: Sections 39002, 39003, 39500, 39600, 39601, 39650-39675, 40000, 43000, 

43000.5, 43011, 43013, 43018, 43105, 43600 and 43700, Health and Safety Code. Reference: Sections 

43000, 43009.5, 43013, 43018, 43101, 43104, 43105, 43106, 43107, 43204, 43205 and 43205.5; Health 

and Safety Code. 

§ 2788. Determination of Emissions Reduction. 

(a) Calculation of Emissions Reduction. The emissions reduction verified for an 

LSI retrofit emission control system is based on the average of all valid test 

results, as specified in Sections 2783(g) and 2784(f), before (baseline) and 

after (control) implementation of the LSI retrofit emission control system. 

Test results from both the emission testing and durability testing are to be 

included. If the applicant chooses to perform either the zero hour or the 

2500-hour durability baseline test, but not both, those results must be used to 

calculate the reductions obtained in both the zero hour and 2500-hour control 

tests. 

(1) Percentage Reduction. The percentage reduction for a given pair of 

baseline and control test sets (where a “set” consists of all test cycle 

repetitions) is the difference between the average baseline and average 

control emissions divided by the average baseline emissions, multiplied by 

100 percent. The average of all such reductions, as shown in the 

equation below, is used in the verification of an LSI retrofit emission 

control system. 

 
 52

Percentage Reduction = 100 x Σ [(baselineAVG – controlAVG)/baselineAVG]

 ________________________________________________________________________________ 

 Number of control test sets 

Where: 

 Σ = sum over all control test sets 

baselineAVG or controlAVG = average of emissions from all 

baseline or control test repetitions 

within a given set 

(2) Absolute Emission Level. The absolute emission level is the average 

control emission level, as defined in the following equation: 

Absolute Emission Level = Σ ( controlAVG)

 _________________________________________ 

 Number of control test sets 

 

(b) Categorization of the LSI Retrofit Emission Control System. The Executive 

Officer shall categorize an LSI retrofit emission control system to reduce HC 

and NOx emissions based on its verified emissions reductions. An LSI 

retrofit emission control system that reduces HC and NOx will be assigned its 

verified percentage reduction or verified emissions reduction level, pursuant 

to section 2782(f). 

The Executive Officer may lower the verification level or revoke the 

verification status of a verified LSI retrofit emission control group if the 

applicant fails to observe the requirements of Sections 2786 or 2787. The 

Executive Officer must allow the applicant an opportunity to address the 

possible lowering or revocation of the verification level in a corrective report to 

the Executive Officer and the Executive Officer may make this determination 

based on all relevant information. 

NOTE: Authority cited: Sections 39002, 39003, 39500, 39600, 39601, 39650-39675, 40000, 43000, 

43000.5, 43011, 43013, 43018, 43105, 43600 and 43700, Health and Safety Code. Reference: Sections 

39650-39675, 43000, 43009.5, 43013, 43018, 43101, 43104, 43105, 43106, 43107 and 43204-43205.5 

Health and Safety Code; Title 17 California Code of Regulations Section 93000. 

§ 2789. In-Use Compliance Requirements.

(a) Applicability. These in-use compliance requirements apply to all LSI retrofit 

emission control systems for off-road applications. It is the responsibility of 

the applicant to perform in-use compliance testing for each verified LSI 

retrofit emission control group. Testing is required when 50 units within a 

given LSI retrofit emission group have been sold or leased in the California 

market. 
 53

(b) Test Period. Applicants must obtain access to and test LSI retrofit emission 

control systems, as described below in (c), (d), and (e), once they have been 

operated between 1,500 and 2,000 hours or between 22 and 29 months, 

whichever comes first.

(c) Selection of LSI Retrofit Emission Control Systems for Testing. For each LSI 

retrofit emission control group, the Executive Officer will identify a 

representative sample of engines or equipment equipped with LSI retrofit 

emission control systems for in-use compliance testing. The engines or 

equipment with the selected LSI retrofit emission control systems installed 

must have good maintenance records and may receive a tune-up or normal 

maintenance prior to testing. The applicant must obtain information from the 

end users regarding the accumulated hours of usage, maintenance records 

(to the extent practicable), operating conditions and a description of any 

unscheduled maintenance that may affect the emission results. If the 

specified information is not available for the engine or equipment selected, 

the Executive Officer may select a different engine or equipment for testing. 

Upon notification that an engine or equipment has been selected, an 

applicant would have 6 months to provide an in-use compliance testing 

proposal for approval by the Executive Officer. Testing would begin when the 

engines had accumulated sufficient hours of service; testing must be 

completed within one year of notification. 

(d) Number of LSI Retrofit Emission Control Systems to be Tested. The number 

of LSI retrofit emission control systems an applicant must test will be 

determined as follows: 

(1) A minimum of four LSI retrofit emission control systems in each LSI 

retrofit emission control group must be tested. For every system tested 

that does not reduce emissions by at least 90 percent of the lower bound 

of its initial verification level, two more LSI retrofit emission control 

systems from the same group must be obtained and tested. The total 

number of systems tested shall not exceed ten per LSI retrofit emission 

control group. 

(2) At the discretion of the Executive Officer, applicants may begin by testing 

more than the minimum of four LSI retrofit emission control systems. 

Applicants may concede failure of an emission control system before 

testing a total of ten LSI retrofit emission control systems. 

(e) In-use Compliance Emission Testing. Applicant must measure emissions 

using one of the following test procedures for in-use compliance emission 

testing: 

(1) Laboratory Testing. Remove the selected engines or the retrofit emission 

control systems for testing in a laboratory. Applicants must follow the 

testing procedure used for initial emissions reduction verification as 

described in Section 2783. For engines originally verified to a percentage 
 54

reduction, both baseline and control tests are required; for engines 

originally verified to an absolute emission, only control tests are required. 

In addition, applicants must use the same test cycle(s) that they used to 

verify the LSI retrofit emission control system originally. 

(2) Testing Installed Engines. Test the selected engines while they remain 

installed in the equipment. Applicants must follow the U.S. EPA 

field-testing procedures as specified in 40 CFR part 1065, subpart J, as 

adopted July 13, 2005. The accuracy and precision of the measurement 

system used for in-use testing must be at least +/-5 percent or better. For 

engines originally verified to a percentage reduction, both baseline and 

control tests are required; for engines originally verified to an emission 

level, only control tests are required. 

(3) Alternative In-Use Testing. The Executive Officer may approve an 

alternative to the in-use testing described above, on a case-by-case basis. 

 The proposed alternative must use scientifically sound methodology and 

be designed to accurately determine whether the LSI retrofit emission 

control system is in compliance with the requirements that are specified in 

the verification Executive Order. If the applicant wants to use an 

alternative in-use test procedure, the applicant should submit the 

proposed alternative in-use test procedure at the same time the applicant 

submits the proposed verification testing procedure (pursuant to Section 

2782(b) for LSI retrofit control system verification. If the applicant 

proposes an alternative test to determine in- use emissions of the LSI 

retrofit system, the applicant must provide data to show that the emission 

test results from the proposed alternative test are consistent with the 

emission test results derived from engine dynamometer test for the test 

cycle(s) that was used in the initial verification of the LSI retrofit system. 

(f) If an LSI retrofit emission control system fails catastrophically during the 

in-use compliance testing, the applicant must provide an investigative report 

detailing the causes of the failure to the Executive Officer within 90 days of 

the failure. 

(g) The Executive Officer may, with respect to any LSI retrofit emission control 

system sold, leased, offered for sale, or manufactured for sale in California, 

order the applicant to make available for compliance testing and/or inspection 

a reasonable number of LSI retrofit emission control systems, and may direct 

that the retrofit emission control systems be delivered at the applicant’s 

expense to the state board at the Haagen-Smit Laboratory, 9528 Telstar 

Avenue, El Monte, California or where specified by the Executive Officer. 

The Executive Officer may also, with respect to any LSI retrofit emission 

control system being sold, leased, offered for sale, or manufactured for sale 

in California, have an applicant compliance test and/or inspect a reasonable 

number of units at the applicant or manufacturer's facility or at any test 

laboratory under the supervision of the ARB Executive Officer. 
 55

(h) In-Use Compliance Report. The applicant must submit an in-use compliance 

report to the Executive Officer within three months of completing testing. The 

following information must be reported for each of the minimum of four LSI 

retrofit emission control systems tested: 

(1) Parties involved in conducting the in-use compliance tests. 

(2) Quality control and quality assurance information for the test equipment. 

(3) LSI retrofit emission control group name and manufacture date. 

(4) Equipment and type of engine (engine family name, make, model year, 

model, displacement, etc.) the LSI retrofit emission control system was 

applied to. 

(5) Estimated hours the LSI retrofit emission control system was in use. 

(6) Results of all emission testing. 

(7) Summary of all maintenance, adjustments, modifications, and repairs 

performed on the LSI retrofit emission control system. 

(i) The Executive Officer may request the applicant to perform additional in-use 

testing if the warranty claims exceed the thresholds specified in 

section 2787(c)(2)(A) or based on other relevant information. As noted in 

section 2787(c)(2)(A), if warranty claims exceed the specified thresholds, the 

applicant must notify the Executive Officer and submit a warranty report 

within 30 calendar days of that time. 

(j) Conditions for Passing In-Use Compliance Testing. For an LSI retrofit 

emission control system to pass in-use compliance testing, emission test 

results must indicate that the retrofit system reduced emissions by at least 

90 percent of the lower bound of the emissions reduction level to which the 

Executive Officer originally verified it to. If the first four LSI retrofit emission 

control systems tested within an LSI retrofit emission control group meet this 

standard, the LSI retrofit emission control group passes in-use compliance 

testing. If any of the first four LSI retrofit emission control systems tested 

within an LSI retrofit emission control group fail to reduce emissions by at 

least 90 percent of the lower bound of the emissions reduction level to which 

the Executive Officer originally verified it to, and if more than four units are 

tested, at least 70 percent of all units tested must pass the 90 percent 

standard for the LSI retrofit emission control group to pass in-use compliance 

testing. For each failed test, for which the cause of failure can be attributed 

to the product and not to maintenance or other engine-related problems, two 

additional units must be tested, up to a total of ten units per LSI retrofit 

emission control group. 
 56

(k) Failure of In-use Compliance Testing – Remedial Action. If the LSI retrofit 

system from an emission control group does not meet the minimum 

requirements for in-use compliance testing, the applicant must submit a 

remedial report within 90 days after the in-use compliance report is 

submitted. The remedial report must include: 

(1) Summary of the in-use compliance report. 

(2) Detailed analysis of the failed LSI retrofit emission control systems and 

possible reasons for failure. 

(3) Remedial measures to correct or replace failed LSI retrofit emission 

control systems as well as the rest of the in-use LSI retrofit emission 

control systems. 

(l) The Executive Officer may evaluate the remedial report, annual warranty 

report, and all other relevant information to determine if the LSI retrofit 

emission control group passes in-use compliance testing. The Executive 

Officer may request more information from the applicant. Based on this 

review, the Executive Officer may lower the verification level or revoke the 

verification status of a verified LSI retrofit emission control group. The 

Executive Officer may also lower the verification level or revoke the 

verification status of a verified LSI retrofit emission control group, if the 

applicant does not conduct in-use compliance testing in accordance with this 

section, or if the Executive Officer conducts in-use compliance testing in 

accordance with this section (including alternative testing) and the LSI retrofit 

emission control group does not pass the standards in this section. The 

Executive Officer must allow the applicant an opportunity to address the 

possible lowering or revocation of the verification level in a remedial report to 

the Executive Officer prior to taking action lowering or revoking the 

verification level, and shall consider all relevant information. 

NOTE: Authority cited: Sections 39002, 39003, 39500, 39600, 39601, 39650-39675, 40000, 43000, 

43000.5, 43011, 43013, 43018, 43105, 43600 and 43700, Health and Safety Code. Reference: Sections 

43000, 43009.5, 43013, 43018, 43101, 43104, 43105, 43106, 43107, 43204, 43205 and 43205.5; Health 

and Safety Code.