PART 5

FINAL REGULATION ORDER

Tier 4 Off-Road Compression-Ignition Engines

Title 13

California Code of Regulations

Sections 2421, 2423, 2424, 2425, 2425.1, 2426, 2427
This Page Left Intentionally Blank
1

FINAL REGULATION ORDER

Note: This document is written in a style to indicate changes from the existing 

provisions. All existing regulatory language is indicated by plain type. All 

additions to the regulatory language are indicated by underlined type. All 

deletions to the regulatory language are indicated by strikeout. Only those 

portions containing modifications from existing provisions are included. All 

other portions remain unchanged and are indicated by the symbol [ * * * * * ] for 

reference.

Article 4. Off-Road Compression-Ignition Engines and Equipment

Amend §§ 2421, 2423, 2424, 2425, 2425.1, 2426, and 2427, title 13, California Code of 

Regulations, to read as follows:

§ 2421. Definitions.

(a) The definitions in Section 1900(b), Chapter 3, Title 13 of the California Code 

of Regulations, shall apply with the following additions:

(1) “1996-1999 Heavy-Duty Test Procedures” means the document entitled 

“California Exhaust Emission Standards and Test Procedures for New 1996-1999 

Heavy-Duty Off-Road Compression-Ignition Engines, Part I-A,” which includes the 

standards and test procedures applicable to 1996-1999 heavy-duty off-road 

compression-ignition engines, as adopted May 12, 1993, and as amended 

January 28, 2000. This document is incorporated by reference herein.

(2) “1996-1999 Smoke Test Procedures” means the document entitled “California 

Smoke Test Procedures for New 1996-1999 Off-Road Compression-Ignition Engines, 

Part III,” which includes the standards and test procedures applicable to 1996-1999 

heavy-duty off-road compression-ignition engines, as adopted May 12, 1993, and as 

amended January 28, 2000. This document is incorporated by reference herein.

(3) “2000 Plus Limited Test Procedures” means the document titled “California 

Exhaust Emission Standards and Test Procedures for New 2000 and Later Tier 1, 

Tier 2, and Tier 3 Off-Road Compression-Ignition Engines, Part I-B,” which includes the 

standards and test procedures applicable to 2000 and later model year off-road 

compression-ignition engines, as adopted January 28, 2000, and as amended 

October 20, 2005. This document is incorporated by reference herein.

(4)(A) “2008-2010 and Later Test Procedures” means the document titled 

“California Exhaust Emission Standards and Test Procedures for New 

2008-2010 and Later Tier 4 Off-Road Compression-Ignition Engines,” which 
2

includes the standards and test procedures applicable to 2008-2010 and later

model year off-road compression-ignition engines, as adopted 

October 20, 2005, and as last amended October 25, 2012. This document is 

incorporated by reference herein.

(B) “2011 and Later Test Procedures” means the collection of documents titled 

“California Exhaust Emission Standards and Test Procedures for New 2011 

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

I-F,” which include, respectively, the emission standards, general compliance 

provisions, and engine testing procedures applicable to 2011 model year and 

later off-road compression engines, as adopted October 25, 2012. These 

documents are incorporated by reference herein. 

* * * * *

(15) “Constant-speed engine” means

(A) for engines subject to the 2000 and Later Plus Limited Test Procedures, an

off-road compression-ignition engine that is governed to operate only at rated 

speed, or

(B) for engines subject to the 2008-2010 and Later Test Procedures, an off-road 

compression-ignition engine certified to operate only at constant speed., 

where Cconstant-speed operation means engine operation with a governor 

that controls the operator input to maintain an engine at a reference speed, 

even under changing load. For example, an isochronous governor changes 

reference speed temporarily during a load change, then returns the engine to 

its original reference speed after the engine stabilizes. Isochronous 

governors typically allow speed changes up to 1.0 %. Another example is a 

speed-droop governor, which has a fixed reference speed at zero load and 

allows the reference speed to decrease as load increases. With speed-droop 

governors, speed typically decreases (3 to 10) % below the reference speed 

at zero load, such that the minimum reference speed occurs near the 

engine’s point of maximum power, or

(C) for engines subject to the 2011 and Later Test Procedures, an off-road 

compression-ignition engine certified to operate only at constant speed, 

where constant-speed operation means engine operation with a governor that 

automatically controls the operator demand to maintain engine speed, even 

under changing load. Governors do not always maintain speed exactly 

constant. Typically speed can decrease (0.1 to 10) % below the speed at 

zero load, such that the minimum speed occurs near the engine’s point of 

maximum power.

* * * * *
3

(19) “Date of manufacture” or “Build date” means one of the following:

(A) For engines, the date on which the crankshaft is installed in an engine block, 

with the following exceptions:

1. Reserved.

2. Manufacturers may assign a date of manufacture at a point in the 

assembly process later than the date otherwise specified under this 

definition. For example, a manufacturer may use the build date printed on 

the label or stamped on the engine as the date of manufacture.

(B) For equipment, the date on which the engine is installed, unless otherwise 

specified in this Article 4. Manufacturers may alternatively assign a date of 

manufacture later in the assembly process.

[NO CHANGES TO DEFINITIONS (19) – (33) EXCEPT TO RENUMBER TO (20)-(34)]

(3435) “Maximum Engine Power” means the maximum brake power point on the 

nominal power curve for a specific engine configuration, rounded to the nearest whole 

kilowatt. The “nominal power curve” of an engine configuration means the relationship 

between maximum available engine brake power and engine speed for a specific 

engine configuration, as determined using the mapping procedures specified in 

Part 1065 of the 2008-2010 and Later Test Procedures or Part I-F of the 2011 and Later

Test Procedures as applicable, based on the manufacturer’s design and production 

specifications for that engine. This relationship may also be expressed by a torque 

curve that relates maximum available engine torque with engine speed. The nominal 

power curve shall be within the normal production variability of actual power curves for 

production engines of the same engine configuration. This definition of Maximum 

Engine Power shall be applicable for all references to a specific power value or range of 

power values with respect to engines subject to the 2008-2010 or 2011 and Later Test 

Procedures as applicable, except as otherwise noted or permitted by the Executive 

Officer. Maximum Engine Power shall be used as the basis for categorizing engine 

families into appropriate Tier 4 power categories.

(3536) “Maximum Rated Power” means the maximum brake kilowatt output of an 

engine at rated speed as stated by the manufacturer in the manufacturer’s sales and 

service literature and in the application for certification. Maximum Rated Power shall be 

used as the basis for categorizing engine families into appropriate Tier 1, Tier 2, and 

Tier 3 power categories, except as otherwise noted or permitted by the Executive 

Officer.

(3637) “Maximum Test Speed” has the same meaning as defined in 

Part 1065.1001 of the 2008-2010 and 2011 and Later Test Procedures.
4

(3738) “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. Other examples for the determination of model year are 

identified in §1039.801 of the 2008-2010 and the 2011 and Later Test Procedures, as 

applicable.

[NO CHANGES TO DEFINITIONS (38) – (64) EXCEPT TO RENUMBER TO (39)-(65)]

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

Safety Code. Reference: Sections 43013, 43018, 43101, 43102, 43104, 43105, 43150-43154, 

43205.5 and 43210-43212, Health and Safety Code.
5

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

Compression-Ignition Engines.

(a) This section shall be applicable to new heavy-duty off-road compressionignition engines, produced on or after January 1, 1996, and all other new 2000 and later 

model year off-road compression-ignition engines. For the purposes of this section, 

these engines shall be called “compression-ignition engines.”

(b)(1)(A) Exhaust emissions from new off-road compression-ignition engines, as 

sold in this state and as appropriate based on model year and maximum rated power, 

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

Table 1a follows:
6

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

(grams per kilowatt-hour)

Maximum Rated 

Power (kW)1

Tier Model Year NOx

2 HC3 NMHC+

NOx

4

CO5 PM6

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

Tier 2 2005-20077 — — 7.5 8.0 0.80

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

Tier 2 2005-20077 — — 7.5 6.6 0.80

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

Tier 2 2004-20077 — — 7.5 5.5 0.60

37≤kW<56 Tier 1 2000-2003 9.2 — — — —

Tier 2 2004-2007 — — 7.5 5.0 0.40

Tier 38 2008-2011 — — 4.7 5.0 0.40

56≤kW<75 Tier 1 2000-2003 9.2 — — — —

Tier 2 2004-2007 — — 7.5 5.0 0.40

Tier 3 2008-2011 — — 4.7 5.0 0.40

75≤kW<130 Tier 1 2000-20032 9.2 — — — —

Tier 2 2003-2006 — — 6.6 5.0 0.30

Tier 3 2007-2011 — — 4.0 5.0 0.30

130≤kW<225 Tier 1 1996-2002 9.2 1.3 — 11.4 0.54

Tier 2 2003-2005 — — 6.6 3.5 0.20

Tier 3 2006-2010 — — 4.0 3.5 0.20

225≤kW<450 Tier 1 1996-2000 9.2 1.3 — 11.4 0.54

Tier 2 2001-2005 — — 6.4 3.5 0.20

Tier 3 2006-2010 — — 4.0 3.5 0.20

450≤kW≤560 Tier 1 1996-2001 9.2 1.3 — 11.4 0.54

Tier 2 2002-2005 — — 6.4 3.5 0.20

Tier 3 2006-2010 — — 4.0 3.5 0.20

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

Tier 2 2006-2010 — — 6.4 3.5 0.20

1. kW means kilowatts.

2. NOx means Oxides of Nitrogen.

3. HC means Hydrocarbons.

4. NMHC+NOx means Non-Methane Hydrocarbons plus Oxides of Nitrogen.

5. CO means Carbon Monoxide.

6. PM means Particulate Matter.

7. Tier 2 standards for propulsion marine compression-ignition engines below 37 kW remain in effect beyond the 2007 end date.

8. Manufacturers may optionally certify engine families to the interim Tier 4 standards in Table 1b for this power category through 

2012.

(B) Exhaust emissions from new off-road compression-ignition engines, as sold 

in this state and as appropriate based on model year and maximum engine power, shall 

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

transient testing, and, after application of the criteria in Table 1c, not-to-exceed testing, 

as applicable. Other compliance options are permissible as provided in the 2008-2010 

or 2011 and Later Test Procedures as applicable.
7

Table 1b. – Tier 4 Exhaust Emission Standards

(grams per kilowatt-hour)

Maximum

Engine Power Model Year Type PM NMHC+

NOXX NMHC NOXx CO

grams per kilowatt-hour

kW<81

2008 and later Final 0.402 7.5 - - 8.0

8≤kW<191 6.6

19≤kW<371 2008-2012 Interim 0.30 7.5 - - 5.5 2013 and later Final 0.03 4.7

37≤kW<563 2008-2012 Interim 0.304.7 - - 5.0 2013 and later Final 0.03

56≤kW<75 2012-20144

Phase-In

0.02

- 0.19 0.40

5.0

Phase-Out 4.7 - -

or/ Alt NOXX - 0.19 3.45

or/ Alt NOx+NMHC8 3.55 - -

2015 and later Final - 0.19 0.40

75≤kW<130 2012-20144

Phase-In

0.02

- 0.19 0.40

5.0

Phase-Out 4.0 - -

or/ Alt NOXX - 0.19 3.45

or/ Alt NOx+NMHC8 3.55 - -

2015 and later Final - 0.19 0.40

130≤kW≤560 2011-2013

Phase-In

0.02

- 0.19 0.40

3.5

Phase-Out 4.0 - -

or/ Alt NOXX - 0.19 2.0

or/ Alt NOx+NMHC8 2.1 - -

2014 and later Final - 0.19 0.40

560 kW<GEN6≤900 kW 2011-2014 Interim 0.10 - 0.40 3.53.5 2015 and later Final 0.03 0.19 0.67

GEN>900 kW 2011-2014 Interim 0.10 - 0.400.67 3.5 2015 and later Final 0.03 0.19

ELSE7>560 kW 2011-2014 Interim 0.10 - 0.403.5 3.5 2015 and later Final 0.04 0.19

Notes:

1 Propulsion marine compression-ignition engines below 37 kW are not subject to Tier 4 standards or requirements. All previously adopted 

requirements remain applicable for these engines.

2 The Tier 4 PM standard for hand-start, air cooled, direct injection engines below 8 kW is 0.60 g/kW-hr, but is not required until 2010.

3 Engine families in this power category may alternately meet Tier 3 PM standards from 2008-2011 in exchange for introducing final PM standards 

in 2012.

4 Manufacturers have the option of complying with the Tier 4 standards over a two year period at 50% per year using banked Tier 2 credits or over a 

three year period at 25% per year without the use of Tier 2 credits. The three year phase-in period is shown. The 2014 model year cannot extend 

beyond December 30, 2014, when the 3 year phase-in option is used.

5 Manufacturers may comply with the standards during the transitional implementation years using either a phase-in / phase-out approach or by 

using the Alternate NOx approach. The three year 25% alternate NOx standard and alternate NOx + NMHC standards isare shown in the table. 

The two year 50% phase-in alternate NOx standard would be 2.3 g/kW-hr. The two year 50% alternate NOx + NMHC standard would be 2.4 g/kWhr.

6 “GEN” refers to generator engines only.

7 “ELSE” refers to all mobile machinery excluding generator engines.

8 An ALT NOx+NMHC standard equal to 0.5 g/kW-hr is available for one additional model year following the last model year of the ALT NOx+NMHC 

phase-in shown in the table.
8

Table 1c. – Criteria for Determining NTE Limits1

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

NOx NOx Standard or FEL ≥ 2.5 g/kW-hr NOx Standard2 or FEL< 2.5 g/kW-hr

NMHC NOx Standard or FEL ≥ 2.5 g/kW-hr NOx Standard2 or FEL< 2.5 g/kW-hr

NMHC+NOx NMHC+NOx Standard or FEL ≥ 2.7 g/kW-hr NMHC+NOx Standard2 or FEL< 2.7 g/kW-hr

PM PM Standard or FEL ≥ 0.07 g/kW-hr PM2 Standard or FEL3< 0.07 g/kW-hr

CO Always Never

Notes:

1 Other provisions described in the 2008-2010 or 2011 and Later Test Procedures may affect the calculation of NTE limits.

2 Engines must be certified to these standards without the use of ABT credits.

3 For engines certified to a PM FEL less than or equal to 0.01 g/kW-hr, the PM NTE limit shall be 0.02 g/kW-hr.

(2) Manufacturers may elect to include engine families in one of two averaging, 

banking, and trading (ABT) programs, corresponding to the engine family’s model year 

and emissions categorization. The provisions of these separate ABT programs are 

specified in Part 89, Subpart C of the 2000 Plus Limited Test Procedures and Part 

1039, Subpart H of the 2008-2010 or Part I-D of the 2011 and Later Test Procedures as 

applicable.

(A) For engine families subject to the 2000 Plus Limited Test Procedures, the 

manufacturer must set a family emission limit (FEL) not to exceed the levels contained 

in Table 2a. The FEL established by the manufacturer serves as the emission standard 

for that engine family. Table 2a follows:
9

Table 2a – Upper Limit for Tier 1, Tier 2, and Tier 3 Family Emission Limits (FEL)

(grams per kilowatt-hour)

Maximum Rated 

Power (kW)

Tier Model Year NOx NMHC+NOx PM FEL

kW<8 Tier 1 2000-2004 16.0 1.2

Tier 2 2005-2007 10.5 1.0

8≤kW<19 Tier 1 2000-2004 16.0 1.2

Tier 2 2005-2007 9.5 0.80

19≤kW<37 Tier 1 2000-2003 16.0 1.2

Tier 2 2004-2007 9.5 0.80

37≤kW<56 Tier 1 2000-2003 14.6

Tier 2 2004-2007 11.5 1.2

Tier 31 2008-2011 7.5 1.2

56≤kW<75 Tier 1 2000-2003 14.6

Tier 2 2004-2007 11.5 1.2

Tier 3 2008-2011 7.5 1.2

75≤kW<130 Tier 1 2000-2002 14.6

Tier 2 2003-2006 11.5 1.2

Tier 3 2007-2011 6.6 1.2

130≤kW<225 Tier 1 2000-2002 14.6

Tier 2 2003-2005 10.5 0.54

Tier 3 2006-2010 6.6 0.54

225≤kW<450 Tier 1 2000 14.6

Tier 2 2001-2005 10.5 0.54

Tier 3 2006-2010 6.4 0.54

450≤kW≤560 Tier 1 2000-2001 14.6

Tier 2 2002-2005 10.5 0.54

Tier 3 2006-2010 6.4 0.54

kW>560 Tier 1 2000-2005 14.6

Tier 2 2006-2010 10.5 0.54

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

2012.

(B) For engine families subject to the 2008-2010 or 2011 and Later Test 

Procedures, the manufacturer must set a family emission limit (FEL) not to exceed, as 

applicable, the levels contained in Table 2b. Three distinct FEL types (primary, interim, 

and alternate) are available conditionally. Primary FEL types are applicable to all power 

categories indefinitely, whereas interim and alternate FEL types are of variable duration 
10

and may be selectively applied as applicable to total or partial engine family production 

volumes as described in the 2008-2010 or 2011 and Later Test Procedures. The FEL 

established by the manufacturer serves as the emission standard for that engine family, 

and is used for determining NTE limits in conjunction with the criteria in Table 1c. 

Temporary compliance adjustment factors, as explained in the 2008-2010 and 2011 and 

Later Test Procedures as applicable, shall be applied by the manufacturer to 

compensate for the use of transitional alternate FELs (Type ALT 20% in Table 2b) when 

calculating emission credits. Table 2b follows:
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Table 2b – Upper Limit for Tier 4 Family Emission Limits (FELs) and Alternate Allowances

Part 1

Maximum

Engine Power FEL Type Model Year PM NOXX

NMHC+

NOXX

grams per kilowatt-hour

kW<8 Primary 2008 and later 0.80 - 10.5

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

19<≤kW<37

Interim 2008-2012 0.60 - 9.5

Primary 2013 and later 0.05 - 7.5

ALT 20%1 2013-20163

0.30 - 7.5

ALT 5%2 2017 and later3

37≤kW<56

Interim 2008-20123 0.40 - 7.5

Primary 2013 and later3 0.05 - 7.5

ALT 20% 2013-20163

0.30 - 7.5

ALT 5% 2017 and later3

56≤kW<75

Phase-in

2012-2013/20145 0.04

0.80 -

Phase-out - 7.5

AlternateALT NOx Std4 2012-2013

0.04

3.07

- 2012-2014 4.4

ALT NOx+NMHC Std4 2012-2013/20145 0.04 - 4.77

Primary 2014/20155 and later 0.04 0.80 -

ALT 20% PM 2012-2015 0.40 -

ALT 20% NOXX 201412-20156 4.4 -

ALT 20% NOx+NMHC Std 2012-20156 - - 4.7

ALT 5% 2016 and later 0.40 4.4 -

Notes:

1 This alternate FEL option is transitional for the four years specified and applies to at most 20% of a manufacturer’s U.S. directed population 

of engine families per year.

2 This alternate FEL option is available indefinitely, but only applies to 5% of a manufacturer’s U.S. directed population of engine families per 

year.

3 These dates correspond to the compliance option of meeting interim standards in 2008; else the primary and alternate FEL caps would 

begin and/or end one year earlier, and 2008-2011 engines would not be eligible for participation in the Tier 4 ABT program.

4 Two alternate NOx standards and corresponding FEL caps are available for this category with corresponding alternate phase-in options. 

Two alternate NOx+NMHC standards are also available; the FEL caps are the previously applicable NOx+NMHC standards from Table 1a 

of this section.

5 The effective date of the primary FEL cap follows the phase-in period and use of banked Tier 2 NOx credits of the selected NOx FEL cap.

6 If interim Tier 4 standards are not met in 2008, the alternate NOx FEL would only be available for 2015For manufacturers certifying engines 

in this power category using a percentage phase-in/phase-out approach instead of the ALT NOx or ALT NOx+NMHC standards in Table 1b 

of §2423(b)(1)(B), the alternate NOx and NOx+NMHC FEL caps in the table apply only in the 2014-2015 model years if certifying in 

accordance with the provisions in §1039.102(d)(1) of the 2011 and Later Test Procedures, and only in the 2015 model year if certifying 

under §1039.102(d)(2) of the 2011 and Later Test Procedures.

7 If neither the alternate phase-in option nor banked Tier 2 credits are used, either NOx standard, or the NOx+NMHC standard, and 

corresponding FEL may be applied for this category.
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Table 2b – Upper Limit for Tier 4 Family Emission Limits (FELs) and Alternate Allowances

Part 2

Maximum

Engine Power FEL Type Model Year

PM NOXX NMHC+

NOXX

grams per kilowatt-hour

75≤kW<130

Phase-in

2012-2013/20145

0.04

0.80 -

Phase-out - 6.6

AlternateALT NOxx Std4 2012-2013 3.07 -

2012-2014 3.8 -

ALT NOx+NMHC Std4 2012-2013/20145 - 4.07

Primary 2014/20155 and later 0.80 -

ALT 20% PM 2012-2015 0.30 -

ALT 20% NOXX 201412-20156 3.8 -

ALT 20% NOx+NMHC Std4 2012-20156 - - 4.0

ALT 5% 2016 and later 0.30 3.8 -

130≤kW≤560

Phase-in

2011-2013

0.04

0.80 -

Phase-out - 6.6/6.48

AlternateALT NOxx Std 2011-2013 2.7 -

ALT NOx+NMHC Std 2011-2013 - 4.0

Primary 2014 and later 0.80 -

ALT 20% PM 2011-2014 0.20 -

ALT 20% NOXX 2011-20149 3.8 -

ALT 20% NOx+NMHC Std 2011-20149 - - 4.0

ALT 5% 2015 and later 0.20 3.8 -

GEN>560kW

Interim 2011-2014 0.20 6.2 -

Primary 2015 and later 0.05 1.07 -

ALT 20% 2015-2018

0.10 3.5 -

ALT 5% 2019 and later -

ELSE>560kW

Interim 2011-2014 0.20

6.2

-

Primary 2015 and later 0.07 -

ALT 20% 2015-2018

0.10 -

ALT 5% 2019 and later -

Notes:

4 Two alternate NOx standards and corresponding FEL caps are available for this category with corresponding alternate phase-in options. Two 

alternate NOx+NMHC standards are also available; the FEL caps are the previously applicable NOx+NMHC standards from Table 1a of this section. 

5 The effective date of the primary FEL cap follows the phase-in period and use of banked Tier 2 NOx credits of the selected NOx FEL cap.

6 If interim Tier 4 standards are not met in 2008, the alternate NOx FEL would only be available for 2015For manufacturers certifying engines in this 

power category using a percentage phase-in/phase-out approach instead of the ALT NOx or ALT NOx+NMHC standards in Table 1b of 

§2423(b)(1)(B), the ALT NOx and ALT NOx+NMHC FEL caps in the table apply only in the 2014-2015 model years if certifying in accordance with the 

provisions in §1039.102(d)(1) of the 2011 and Later Test Procedures, and only in the 2015 model year if certifying under §1039.102(d)(2) of the 2011 

and Later Test Procedures.

7 If neither the alternate phase-in option nor banked Tier 2 credits are used, either NOx standard, or the NOx+NMHC standard, and corresponding FEL 

may be applied for this category.

8 The phase-out NMHC+NOX FEL cap is 6.6 g/kW-hr for engines < 225 kW, and 6.4 g/kW-hr for engines ≥ 225 kW in this category.

9 For manufacturers certifying engines in this power category using the percentage phase-in/phase-out approach instead of the ALT NOx standard or 

the ALT NOx+NMHC standard in Table 1b of §2423(b)(1)(B), the ALT NOx and ALT NOx+NMHC FEL caps in the table apply only for the 2014 model 

year.
13

(C) Split family provision Split family provision. For generating or using credits in 

the 56 ≤ kW ≤ 560 power categories during the phase-in of Tier 4 standards, engine 

manufacturers may elect to split an engine family into two subfamilies (e.g., one which 

uses credits and one which generates credits for the same pollutant). The engine 

manufacturer must indicate in the application for certification that the engine family is to 

be split, and may calculate emission credits relative to different emission standards (i.e., 

phase-in and phase-out standards) for different sets of engines within the engine family, 

but must certify the engine family to a single set of standards and FELs. The engine 

manufacturer shall calculate NMHC+NOx emission credits by adding the NOx FEL to 

the NMHC phase-in standard for comparison with the applicable NMHC+NOx phase-out 

standard. Any engine family certified under the provisions of this paragraph (C) must 

meet the applicable phase-in standard for NMHC. The engine manufacturer shall be 

responsible for assigning the number and configurations of engines within the 

respective subfamilies before the due date of the final report required in Part 1039, 

Subpart H of the 2008-2010 Test Procedures or Part I-D of the 2011 and Later Test 

Procedures, as applicable. The same label must be applied to each engine in the 

family, and must include the NOx FEL to which the engine is certified.

(3)(A) The opacity of smoke emissions from new 1996 through 1999 model year 

heavy-duty off-road compression-ignition engines 175 to 750 horsepower, inclusive, or 

from all new 2000 and later model year compression-ignition engines sold in this sState, 

shall not exceed, based on the applicable measurement techniques specified in Part 89, 

Subpart B of the 2000 Plus Limited Test Procedures and Part 1039, Subpart B of the 

2008-2010 Test Procedures or Part I-D of the 2011 and Later Test Procedures as 

applicable, the following:

1. 20 percent during the engine acceleration mode.

2. 15 percent during the engine lugging mode.

3. 50 percent during the peaks in either mode.

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

paragraph (3):

1. Single-cylinder engines.

2. Propulsion marine compression-ignition engines.

3. Constant-speed engines.

4. Engines certified to a PM emission standard or FEL of 

0.07 grams per kilowatt-hour or lower.

(4) Low-emitting Blue Sky Series engines requirements.

(A) Voluntary standards Voluntary standards. Engines subject to the standards 

in (b)(1)(A) may be designated “Blue Sky Series” engines by meeting the voluntary 

standards contained in Table 3, which apply to all certification and in-use testing. Blue 
14

Sky Series engines shall not be included in the Averaging, Banking, and Trading 

program. Table 3 follows:

Table 3. – Voluntary Emission Standards

(grams per kilowatt-hour)

Maximum Rated 

Power (kW)

NMHC+NOx PM

KW<8 4.6 0.48

8≤kW<19 4.5 0.48

19≤kW<37 4.5 0.36

37≤kW<75 4.7 0.24

75≤kW<130 4.0 0.18

130≤kW≤560 4.0 0.12

KW>560 3.8 0.12

(B) Additional standards Additional standards. Blue Sky Series engines are 

subject to all provisions that would otherwise apply under this part, except as specified 

in (b)(4)(C) of this section.

(C) Test Procedures Test Procedures. NOx, NMHC, and PM emissions are 

measured using the procedures set forth in 40 CFR part 86, subpart N (July 1, 1999), 

which is incorporated by reference, in lieu of the procedures set forth in subpart E of the 

2000 Plus Limited Test Procedures. CO emissions may be measured using procedures 

set forth in 40 CFR part 86, subpart N (July 1, 1999), or in subpart E of the 2000 and 

Later Test Procedures. Manufacturers may use an alternate procedure to demonstrate 

the desired level of control if approved in advance by the Executive Officer. Engines 

meeting the requirements to qualify as Blue Sky Series engines must be capable of 

maintaining a comparable level of emission control when tested using the procedures 

set forth in both Section 89.112(c) and subpart E of the 2000 and Later Test 

Procedures. The numerical emission levels measured using the procedures from 

subpart E of the 2000 Plus Limited Test Procedures may be up to 20 percent higher 

than those measured using procedures from 40 CFR part 86, subpart N (July 1, 1999), 

and still be considered comparable.

(5)(A) No crankcase emissions shall be discharged into the ambient atmosphere 

from any new 1996-1999 model year heavy-duty off-road compression-ignition engine 

or any Tier 2 or later off-road compression-ignition engine subject to the 2000 Plus 

Limited Test Procedures. This provision does not apply to petroleum-fueled diesel cycle 

engines using turbochargers, pumps, blowers, or superchargers for air induction.

(B) For off-road compression-ignition engines subject to the 2008-2010 or 2011

and Later Test Procedures, no crankcase emissions shall be discharged directly into the 

ambient atmosphere from any engine, unless the sum of those discharged emissions 

are added to the exhaust emissions (either physically or mathematically) during all 
15

emission testing. To be eligible for this option, a manufacturer must design its engines 

so that all crankcase emissions can be routed into the applicable sampling systems 

specified in the 2008-2010 or 2011 and Later Test Procedures as applicable, and must 

account for deterioration in crankcase emissions when determining exhaust 

deterioration factors. Crankcase emissions that are routed to the exhaust upstream of 

exhaust aftertreatment during all operation are not considered to be discharged directly 

into the ambient atmosphere. Furthermore, engines using charge-air compression that 

are certified to a transitional alternate FEL (Type ALT 20% in Table 2b) during the first 

four years of the Tier 4 standards for the applicable power category are exempt from 

this subsection, but must instead comply with the requirements in Section 

2423(b)(5)(A).

(6) Engine manufacturers that voluntarily certify engines to the Tier 4 standards 

in Table 1b earlier than required under this article may, according to the provisions in 

the 2008-2010 or 2011 and Later Test Procedures as applicable, generate additional 

ABT credits, or as an alternative, offset future Tier 4 compliance requirements should 

the equipment manufacturer that was provided the engine decline to use its early 

introduction incentives according to the provisions in Section 2423(d)(9). Table 4, as 

follows, summarizes the incentives for the early introduction of Tier 4 engines and some 

of the conditions that determine eligibility.

Table 4. – Early Introduction Incentives for Engine Manufacturers

Early

Introduction

Power

Category

Qualifying Standards 1

grams per kilowatt-hour

Per-Engine

Incentive

Final Tier 4 PM-Only 2 19 ≤ kW < 56 0.03 PM3 for 2 PM-Only 56 ≤ kW < 560 0.02 PM

Final Tier 4 All

19 ≤ kW < 56 0.03 PM / 4.7 NMHC+NOx

3 for 2

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

GEN > 560 0.03 PM / 0.67 NOx / 0.19 NMHC

ELSE ≥> 560 0.04 PM / 3.5 NOx / 0.19 NMHC

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

Notes:

1 All engines must meet the Tier 4 crankcase emissions requirements. Engines must certify using all test and other 

requirements otherwise required for final Tier 4 standards such as for transient and not-to-exceed limits.

2 Offsets must be earned prior to the start of phase-in requirements (prior to 2013 for 19 ≤ kW < 56 engines, prior to 

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

(7) Provisions for small-volume manufacturers Provisions for small-volume 

manufacturers. Small-volume engine manufacturers are entitled to special compliance 

provisions under this paragraph, but must notify the Executive Officer in writing before 

January 1, 2008, of the intent to use the provisions.
16

(A) Small-volume engine manufacturers may delay complying with certain 

otherwise applicable Tier 4 emission standards and requirements as described in the 

following table:

Table 5. – Small-Volume Engine Manufacturer Provisions 

Maximum

Engine Power

Temporary Relief 

Replacement Standards

Delay End Date

(Model Year)

kW < 19 Tier 2 2011

19 ≤ kW < 37 Interim Tier 4 2016

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

that apply for engines in this power range.

56 ≤ kW < 130 Tier 3 2015

(B) The provisions of this paragraph (7) for engines 37 ≤ kW < 56 are applicable 

per one of the following options:

1. Manufacturers that comply with the 0.30 g/kW-hr PM standard in all model 

years from 2008 through 2012 without using PM credits may continue meeting that 

standard through 2015.

2. Manufacturers that choose not to comply with paragraph (7)(B)1. of this 

section may continue to comply with the standards and requirements in the 2000 Plus 

Limited Test Procedures for model years through 2012, but must begin complying in 

2013 with the Tier 4 standards and requirements specified in Table 1b for model years 

2013 and later.

(C) After the period of relief indicated in paragraphs (7)(A) and (B) of this section 

has expired, small-volume engine manufacturers must comply with the same Tier 4 

standards and requirements as all other manufacturers.

(D) For engines not in the 19 ≤ kW < 56 power range, small-volume engine 

manufacturers must meet the following conditions for the model years in which 

compliance with the otherwise applicable standards under this paragraph (7) is delayed:

1. Produce engines that meet all the emission standards and other requirements 

under the 2000 Plus Limited Test Procedures applicable for that model year, except as 

noted in this paragraph (7).

2. Meet the labeling requirements in the 2000 Plus Limited Test Procedures, but 

must use the following in place of the otherwise required statement of compliance in 
17

Section 2424(c)(2): "THIS ENGINE COMPLIES WITH CALIFORNIA REGULATIONS 

FOR [CURRENT MODEL YEAR] OFF-ROAD COMPRESSION-IGNITION ENGINES 

UNDER 13 CCR 2423(b)(7)." The referencing of similar federal requirements under this 

provision is permitted.

3. Small-volume engine manufacturers must notify the equipment manufacturer 

that the engines produced under this section are excluded from the production volumes 

associated with the equipment manufacturer flexibility program in Section 2423(d).

(E) For engines in the 19 ≤ kW < 56 power range, small-volume engine 

manufacturers must meet the following conditions for the model years in which 

compliance with the otherwise applicable standards under this paragraph (7) is delayed:

1. Produce engines in those model years that meet all the emission standards 

and other requirements that applied for model year 2008 engines in the same power 

category.

2. Meet the labeling requirements in Section 2424(c)(3), but use the following 

compliance statement instead of the compliance statement in Section 2423(c)(3): "THIS 

ENGINE COMPLIES WITH CALIFORNIA REGULATIONS FOR [CURRENT MODEL 

YEAR] OFF-ROAD COMPRESSION-IGNITION ENGINES UNDER 13 CCR 

2423(b)(7)." The referencing of similar federal requirements under this provision is 

permitted.

3. Notify the equipment manufacturer that engines produced under this section 

are excluded from the production volumes associated with the equipment-manufacturer 

allowance program in Section 2423(d).

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

requirements of this article.

(8) Useful life Useful life. For purposes of certification, a manufacturer must 

demonstrate compliance with the standards set forth in this paragraph (b) over the full 

useful life of the engine, as defined in the applicable test procedures.

(9) NTE deficiencies NTE deficiencies. A manufacturer may petition the 

Executive Officer to accept an off-road compression-ignition engine as compliant with 

the NTE requirements specified in the 2008-2010 or 2011 and Later Test Procedures as 

applicable even though specific elements of those requirements may not be fully met. 

Such grants of compliance, otherwise known as deficiencies, shall be limited to engines 

that have functioning emission-control hardware capable of allowing the engine to 

comply with the NTE limits. Deficiencies shall be granted by the Executive Officer 

according to the following stipulations:
18

(A) A manufacturer must apply for specific deficiencies at the time of, or prior to,

submitting its application for certification. Deficiencies shall be assigned for an engine 

model within an engine family. The Executive Officer shall not approve deficiencies that 

are requested retroactively to cover engines already certified. The scope of each 

deficiency must be clearly identified in the certification application, and any auxiliary 

emission control device(s) used to control emissions to the lowest practical level must 

be identified with respect to each deficiency that is being requested.

(B) Deficiencies shall only be approved if compliance would be infeasible or 

unreasonable considering factors such as the technical feasibility of the given hardware, 

the availability of lead time, production cycles including the phase-in or phase-out of 

engines or vehicle designs, and planned computers upgrades. Other relevant factors 

may be considered.

(C) Deficiencies shall expire after a single model year and may be limited to 

specific engine configurations. The Executive Officer may approve a manufacturer’s 

request for the same deficiency in the following model year if correcting the deficiency 

would require extreme hardware or software modifications and the manufacturer has 

demonstrated an acceptable level of effort toward complying.

(D) The number of deficiencies available to a manufacturer shall not be limited 

during the first three model years in which NTE limits apply to the manufacturer’s 

engines. For the next four model years, up to three deficiencies per engine family shall 

be available to a manufacturer. Deficiencies of the same type that apply similarly to 

different power ratings within a family shall count as one deficiency per family. The 

Executive Officer may conditionally approve additional deficiencies during these four 

years, but may impose stipulations on their applicability as appropriate. Deficiencies 

shall not be approved beyond the seven-year period specified in this paragraph (8).

(10) Adjustable parameters Adjustable parameters. Manufacturers that design 

engines with adjustable parameters must meet all the requirements of this paragraph 

(b) for any adjustment in the physically adjustable range. An operating parameter is not 

considered adjustable if it is permanently sealed or if it is not normally accessible using 

ordinary tools. The Executive Officer may require that the adjustable parameters be set 

to any specification within the adjustable range during any testing, including certification 

testing, selective enforcement auditing, or in-use testing.

(11) Prohibited controls Prohibited controls. A manufacturer shall not design 

engines with emission control devices, systems, or elements of design that cause or 

contribute to an unreasonable risk to public health, welfare, or safety while operating.

(12) Defeat devices Defeat devices. Engines equipped with a defeat device shall 

not be certified for sale in California. A defeat device is a component or system that 

reduces the effectiveness of emission controls under conditions that the engine may 

reasonably be expected to encounter during normal operation and use. This prohibition 
19

does not apply to auxiliary-emission control devices identified in the certification 

application if one of more of the following is true:

(A) The operating conditions where the auxiliary-emission control device is active 

were substantially encountered during all testing requirements as described in Part 

1039, Subpart F of the 2008-2010 Test Procedures or Part I-D of the 2011 and Later 

Test Procedures as applicable.

(B) The design of the auxiliary-emission control device is shown to be necessary 

for preventing engine (or equipment) damage or accidents.

(C) The auxiliary-emission control device only reduces the effectiveness of 

emissions control during engine starting.

(c)(1) The test procedures for determining certification and compliance with the 

standards for gaseous exhaust emissions from new 1996-1999 heavy-duty off-road 

compression-ignition engines sold in the state are set forth in the 1996-1999 HeavyDuty Test Procedures.

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

standards for gaseous exhaust emissions and the standards for opacity of smoke 

emissions from new 2000 model year and later off-road compression-ignition engines 

for which the standards in paragraph (b)(1)(A) are applicable, and sold in the state, are 

set forth in the 2000 Plus Limited Test Procedures.

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

standards for gaseous exhaust emissions, particulate exhaust emissions, opacity of 

smoke emissions, and not-to-exceed emissions from new 2008 model year and later 

off-road compression-ignition engines for which the limits in paragraph (b)(1)(B) are 

applicable, and sold in the sState, are set forth in the 2008-2010 or 2011 and Later Test 

Procedures as applicable.

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

standards for particulate exhaust emissions from new 1996 and later off-road 

compression-ignition engines for which the standards in paragraph (b)(1)(A) are 

applicable, and sold in the state, are set forth in the PM and Test Cycle Limited Test 

Procedures.

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

standards for the opacity of smoke emissions from new 1996-1999 off-road 

compression-ignition engines sold in the state are set forth in the 1996-1999 Smoke 

Test Procedures.
20

(d) Implementation flexibility for equipment and vehicle manufacturers and postmanufacture marinizers Implementation flexibility for equipment and vehicle 

manufacturers and post-manufacture marinizers. For a limited time, off-road equipment 

and vehicle manufacturers and post-manufacture marinizers may produce equipment 

with engines that are subject to less stringent emission standards than required by 

Tables 1a and 1b for new 2000 model year and later off-road equipment and vehicles 

and marine compression-ignition engines, subject to the requirements of paragraph (e) 

of this section. Separate provisions are provided for equipment with engines subject to 

the 2000 Plus Limited Test Procedures versus equipment with engines subject to the 

2008-2010 or 2011 and Later Test Procedures as applicable, and are identified 

accordingly in the following subsections. Only manufacturers that have primary 

responsibility for designing and manufacturing equipment, and have manufacturing 

procedures for installing engines in equipment, are eligible to participate in the 

equipment manufacturer flexibility program provided by the 2008-2010 or 2011 and 

Later Test Procedures as applicable. Equipment manufacturers participating in this 

flexibility program must comply with the notification and reporting requirements specified 

in Section 2423(d)(7). Engines produced for this flexibility program using FELs greater 

than the applicable standards must be offset with sufficient ABT credits. The following 

allowances apply separately to each engine power category subject to standards under 

Section 2423(b)(1):

(1) Percent-of-production allowances Percent-of-production allowances.

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

Procedures Equipment rated at or above 37kW and subject to the 2000 Plus Limited 

Test Procedures. A manufacturer may produce equipment and vehicles with engines

rated at, or above, 37kW that are exempted from meeting current model year emission 

standards for a portion of its California-directed production volume. These 

percent-of-production flexibility allowances must be used within the seven years 

immediately following the date on which Tier 2 engine standards first apply to engines 

used in such equipment and vehicles, provided that the seven-year sum of the 

U.S.-directed portion of the manufacturer’s percent-of-production flexibility allowances 

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

and provided that all such equipment and vehicles contain only engines that have been 

certified to the Tier 1 or Tier 2 standards;

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

Procedures Equipment rated under 37kW and subject to the 2000 Plus Limited Test 

Procedures. A manufacturer or post-manufacture marinizer may produce equipment 

and vehicles and marine engines with engines rated under 37kW that are exempt from 

meeting current model year emission standards for a portion of its California-directed 

production volume. These percent-of-production flexibility allowances must be used 

within the seven years immediately following the date on which Tier 1 engine standards 

first apply to engines used in such equipment and vehicles and marine engines, 

provided that the seven-year sum of the U.S.-directed portion of the manufacturer’s 
21

percent-of-production flexibility allowances does not exceed 80 percent, expressed in 

cumulative yearly percentage increments.;

(C) Equipment subject to the 2008 and Later Test procedures Equipment subject 

to the 2008-2010 or 2011 and Later Test procedures. A manufacturer may produce 

equipment and vehicles with engines that are exempt from meeting current model year 

emission standards for a portion of its California-directed production volume. These 

percent-of-production flexibility allowances must be used within one of the seven-year 

flexibility usage periods specified in Table 6 for each applicable power category, 

provided that the seven-year sum of the U.S.-directed portion of the manufacturer’s 

percent-of-production flexibility allowances does not exceed 80 percent, expressed in 

cumulative yearly percentage increments, except as provided for in paragraph (d)(6) or 

(f). Equipment used as percent-of-production flexibility allowances must contain only 

engines that have been certified to, at least, the standards listed in Table 6, 

corresponding to the flexibility usage period selected by the manufacturer. All flexibility 

allowances for a power category must be used within the same flexibility usage period.

Table 6. – Tier 4 Flexibility Allowance Options

Power Category 7 Year Usage Period Flexibility Standard1

< 19 kW 2008 – 2014 Tier 2

19 ≤ kW < 56

2008 – 201412 Tier 32Tier 2

2012 - 2018 2008 Interim Tier 4 

56 ≤ kW < 130

2012 - 2018 Tier 3

2014 - 2020 2012 Interim Tier 4 

130 ≤ kW ≤ 560

2011 - 2017 Tier 3

2014 - 2020 2011 Interim Tier 4 

> 560 kW

2011 - 2017 Tier 2

2015 - 2021 2011 Interim Tier 4 

Notes:

1 Engines certified to FELs for the flexibility standards indicated still comply with the 

emission Tier requirements; however, engines using FELs greater than the applicable 

standards must be off-set with sufficient ABT credits.

12 This usage period is not available for allowances greater than or equal to 37 kW unless 

interim Tier 4 standards have been met starting in 2008.

2 Flexibility allowances under 37kW may contain engines certified to the Tier 2 standards.

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

Procedures Small volume allowances subject to the 2000 Plus Limited Test Procedures. 

An off-road equipment or vehicle manufacturer or post-manufacture marinizer may 

exceed the production percentages in paragraphs (d)(1)(A) and (B) of this section for a 

portion of its California-directed production, provided that in each regulated power 

category the manufacturer’s total number of U.S.-directed off-road equipment and 
22

vehicles and marine diesel applications that contain engines which are exempt from 

meeting current model year emission standards over the years in which the percent-ofproduction allowance applies:

1. does not exceed 100 units times the number of years in which the percent-ofproduction allowance applies, and

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

3. does not use engines from more than one engine family.

(B) Small volume allowances subject to the 2008 and Later Test Procedures. 

Small volume allowances subject to the 2008-2010 or 2011 and Later Test Procedures 

as applicable. As an alternative to the percent-of-production allowance in Section 

2423(d)(1)(C), an off-road equipment or vehicle manufacturer may produce equipment 

with engines that are exempt from meeting current model year emission standards for a 

portion of its California-directed production volume, provided that the exempt equipment 

is a subset of the manufacturer’s U.S.-directed volume of exempt equipment and the 

manufacturer is in compliance with the following provisions:

1. Single engine family provision Single engine family provision. A manufacturer 

may claim up to 700 U.S.-directed flexibility allowances within a power category during 

one of the seven-year flexibility usage periods specified in Table 6, but no more than 

200 allowances in a single year within a power category, except as provided for in 

paragraph(d)(6) or (f). Engines within a power category that are used in these flexibility 

allowances must be from a single engine family within a given year.

2.a. Multiple engine family provision for flexibility allowances below 130 kW

Multiple engine family provision for flexibility allowances below 130 kW. A manufacturer 

may claim up to 525 U.S.-directed flexibility allowances within a power category during 

one of the seven-year flexibility usage periods specified in Table 6, but no more than 

150 allowances in a single year within a power category, except as provided for in 

paragraph (d)(6) or (f). Engines within a power category that are used in these flexibility 

allowances may be from multiple engine families within a given year.

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

Multiple engine family provision for flexibility allowances below 130 kW. A manufacturer 

may produce up to 350 U.S.-directed flexibility allowances within a power category 

during one of the seven-year flexibility usage periods specified in Table 6, but no more 

than 100 allowances in a single year within a power category, except as provided for in 

paragraph (d)(6) of (f). Engines within a power category that are used in these flexibility 

allowances may be from multiple engine families within a given year.

(3)(A) Inclusion of previous-tier engines Inclusion of previous-tier engines. Offroad equipment and vehicles and marine diesel engines built with previous tier or 

noncertified engines under the existing inventory provisions of the 2000 Plus Limited 
23

Test Procedures (40 CFR Section 89.1003(b)(4)) need not be included in determining 

compliance with paragraphs (d)(1)(A) and (B) and (d)(2)(A) of this section.

(B) Inclusion of engines not subject to Tier 4 requirements Inclusion of engines 

not subject to Tier 4 requirements. Off-road equipment and vehicles built with engines 

otherwise exempt from the requirements of the 2008-2010 or 2011 and Later Test 

Procedures as applicable are not required to be counted toward the percentage, or 

number, of claimed flexibility allowances under the provisions in Subsections (d)(1)(C) 

and (d)(2)(B). Such exempted engines include unused inventories produced prior to the 

effective date of the Tier 4 standards, excluding stockpiled engines, and hand-startable, 

air cooled, direct-injection engines below 8 kW in 2008 and 2009 that do not meet the 

Tier 4 PM standard. Nonetheless, manufacturers may choose to include these engines 

in the count of total equipment produced from which the percentage of flexibility 

allowances in Subsection (d)(1)(C) is derived.

(4) Early-use of flexibility allowances Early-use of flexibility allowances. 

Manufacturers may start using a portion of the flexibility allowances in Subsections 

(d)(1)(C) and (d)(2)(B) for equipment and vehicles containing engines not yet subject to 

the Tier 4 standards, provided that the seven-year period for using flexibility allowances 

under the 2000 Plus Limited Test Procedures flexibility program has expired. All 

equipment and vehicles claimed as flexibility allowances under this early-use provision 

must contain engines that have been certified to, at least, the Tier 1 or Tier 2 standards. 

Manufacturers must count these Tier 2 or Tier 3 equipment and vehicles toward the 

total percentage, or number, of flexibility allowances permitted under the provisions of 

Sections (d)(1)(C) and (d)(2)(B). The maximum cumulative early-use allowance is 10 

percent under the percent-of-production provision in Section (d)(1)(C), or 100 units 

under the small volume provision in Section (d)(2)(B). Table 7 shows the applicable 

years for using early-use flexibility allowances. Table 7 follows:

Table 7. – Years for Early-Use Flexibility Allowances

Maximum Engine Power Calendar Years

kW < 19 2007

19 ≤ kW < 37 2006 - 2011

37 ≤ kW < 56 2011

56 ≤ kW < 75 2011

75 ≤ kW < 130 2010 - 2011

130 ≤ kW < 225 2010

225 ≤ kW < 450 2008 - 2010

450 ≤ kW ≤ 560 2009 - 2010

> 560 kW -
24

(5) Labeling requirements Labeling requirements. Allowances claimed under the 

Tier 2/3 or Tier 4 equipment flexibility programs must be labeled, as appropriate, per the 

following:

(A) Engine labeling Engine labeling. Except for engines used in flexibility 

allowances prior to January 1, 2007, engine manufacturers shall meet the labeling 

requirements provided in Section 2424, except that manufacturers may omit the family 

emission limits from the label only if the limits are more stringent than the emissions 

standards, with the following substitutions:

For flexibility engines meeting previous year emission requirements, the engine 

manufacturer shall substitute the following for the statement of compliance required in 

Sections 2424(c)(1)(E)6 and 2424(c)(2):

“THIS ENGINE COMPLIES WITH CALIFORNIA EMISSION REQUIREMENTS 

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

PURPOSE OTHER THAN FOR THE EQUIPMENT FLEXIBILITY PROVISIONS 

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

[Insert Engine Family Name]

For flexibility engines less than 37 kW and not subject to emission requirements 

under the Tier 2/3 program, the engine manufacturer shall substitute the following for 

the statement of compliance required in Section 2424(c)(1)(E)6:

“THIS ENGINE QUALIFIES FOR USE IN EQUIPMENT RATED BELOW 37 KW 

BY PROVISION OF 13 CCR 2423(d). SELLING OR INSTALLING THIS 

ENGINE FOR ANY PURPOSE OTHER THAN FOR THE EQUIPMENT 

FLEXIBILITY PROVISIONS CITED MAY BE A VIOLATION OF CALIFORNIA 

LAW SUBJECT TO CIVIL PENALTY.”

As an alternative for flexibility engines produced under the Tier 2/3 program, and for 

which the engine manufacturer offers proof to the Executive Officer that the otherwise 

required statements of compliance in this subsection would be unduly burdensome or 

costly to implement, engine manufacturers may instead use the following:

“THIS ENGINE CONFORMS TO CALIFORNIA OFF-ROAD COMPRESSIONIGNITION ENGINE REGULATIONS UNDER 13 CCR 2423(d).” [Insert Engine 

Family Name if Certified]

These revised statements of compliance do not preclude the referencing of similar 

federal requirements that would be satisfied simultaneously by meeting the provisions of 

Section 2423(d). Furthermore, the Executive Officer may, upon request, approve 

alternate labeling specifications that are equivalent to the specifications in this 

subsection.
25

(B) Equipment Labeling Equipment Labeling. For all allowances claimed under 

the Tier 4 flexibility program, equipment manufacturers shall affix a permanent label to 

the engine, or to a readily visible section of the equipment that cannot be easily 

removed. The label shall be in the English language, shall supplement the 

manufacturer’s emission control information label, and shall include the following 

information:

1. The label heading “EMISSION CONTROL INFORMATION”.

2. The equipment manufacturer’s corporate name and trademark.

3. The calendar year in which the equipment is manufactured.

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

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

5. The following statement:

“THIS EQUIPMENT [or identify the type of equipment] HAS AN ENGINE 

THAT MEETS CALIFORNIA EMISSION STANDARDS UNDER 13 CCR 

2423(d).”

This label content does not preclude the referencing of similar federal requirements that 

would be satisfied simultaneously by meeting the provisions of Section 2423(d).

(6) Technical hardship allowances Technical hardship allowances. Equipment 

manufacturers may apply for additional flexibility allowances should extreme and 

unusual circumstances occur leading to technical obstacles in complying with the Tier 4 

requirements. A manufacturer may request additional allowances for power categories 

19 ≤ kW ≤ 560 if it claims allowances under the provisions of Section 2423(d)(1)(C), but 

may only request additional allowances for power categories 19 ≤ kW < 56 if it claims 

allowances under the provisions of Section 2423(d)(2)(B). Additional flexibility 

allowances shall not be provided when the engine and equipment are produced by the 

same manufacturer, or affiliate. The Executive Officer shall review requests for 

additional flexibility allowances according to the following stipulations: 

* * * * *

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

Notification and reporting requirements for using Tier 4 flexibility allowances. As a 

prerequisite to using any Tier 4 flexibility allowances, the equipment manufacturer shall 

notify the ARB of its intent to use such allowances. The manufacturer shall also send 

an annual report after each year that flexibility allowances have been used to verify that 

the allowances claimed do not exceed the number of allowances permitted.

(A) Before January 1 of the first year that flexibility provisions will be used, a 

written notice informing ARB of the manufacturer’s intent to use flexibility allowances 

must be sent to the Chief of the Mobile Source Operations Division, or designee, 

containing the following information:
26

1. The equipment manufacturer’s name and address, and the name and address 

of the parent company, if applicable.

2. The name, and telephone number, and e-mail address of a person to contact 

for more information.

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

4. TheEach engine manufacturer’s name and address that expected to produces

the engines which will be used in the equipment claimed as flexibility allowances.

5. An accurate estimate of the number of flexibility allowances in each power 

category that will be produced under the percent-of-production provisions in 

Section 2423(d)(1)(C), or the small volume provisions in Section 2423(d)(2)(B).

6. A tabulation of U.S.-directed flexibility allowances in each power category that 

have been sold in previous calendar years under the provisions of Section 

2423(d) and 40 CFR 89.102(d).

(B) For each year that Tier 4 flexibility allowances are used, the equipment 

manufacturer shall submit, by March 31 of the following year, a written report to the 

Chief of the Mobile Source Operations Division, or designee, documenting the utilization 

of those allowances. In Thisthe report, the manufacturer shall include identify the total 

numbercount of equipment sold by the manufacturer during the preceding year for each 

power category, based on actual U.S.-directed production information, and shall identify 

the flexibility allowances in each power category by reporting the percentages of U.S.-

directed flexibility production, and, if available, California-directed production volumes,

corresponding to the number of equipment in each power category. If the 

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

as required in §2423(d)(7)(A)4., the equipment manufacturer shall identify the name and 

address of this engine manufacturer(s) in the report. The report shall also identify the 

cumulative yearly totals and percentages for all flexibility allowances sold for each 

power category. Alternatively, the percentage figures may be omitted from the report if 

the report states that percent-of-production allowances were not used. If available, end 

of year percentage figures for California-directed sales shall also be included in this 

report.

(8) Import restrictions on the use of Tier 4 flexibility allowances Import restrictions 

on the use of Tier 4 flexibility allowances. Foreign equipment manufacturers may only 

import equipment with exempted flexibility engines into California according to the 

stipulations in Section 1039.626 of the 2008-2010 Test Procedures or Part I-D of the 

2011 and Later Test Procedures as applicable. These stipulations address the potential 

for abuse whereby individual importers could collectively import more flexibility 

allowances than permitted based on the foreign equipment manufacturer’s total 
27

production for the United States market. The stipulations include acceptance by the 

foreign equipment manufacturer of random audits by the ARB or its representatives, 

and the posting of a monetary bond for each imported engine to cover the cost of any 

potential enforcement actions. Foreign equipment manufacturers who comply with the 

stipulations will be eligible to receive the same flexibility allowances as domestic 

manufacturers.

(9) Early introduction incentives for equipment manufacturers Early introduction 

incentives for equipment manufacturers. In addition to the equipment flexibility 

allowances provided in Subsections (d)(1)(C) and (d)(2)(B), equipment manufacturers, 

as provided in the 2008-2010 or 2011 and Later Test Procedures, as applicable, may 

earn additional allowances for the early introduction of equipment with engines meeting 

the Tier 4 standards in Table 1b. Equipment manufacturers installing engines at or 

above 19 kW that comply with the final Tier 4 PM and NOx standards could earn one 

flexibility allowance for each early Tier 4 compliant engine used in its equipment. 

Equipment manufacturers installing engines 56 ≤ kW ≤ 560 that comply with the final 

Tier 4 PM standard and the alternative NOx standard could earn one-half of a flexibility 

allowance for each early Tier 4 engine used in its equipment. Table 8, below, 

summarizes the incentives for the early introduction of Tier 4 compliant equipment and 

some of the conditions that determine eligibility. Should an equipment manufacturer 

decline flexibility allowances earned with this provision, the allowances would then be 

available to the engine manufacturer that had supplied the early introduction engine, 

subject to the provisions in Section 2423(b)(6).

Table 8. – Early Introduction Incentives for Equipment Manufacturers

POWER

CATEGORY

QUALIFYING STANDARDS

(g/kW-hr)

INSTALLATION

DEADLINE

FLEXIBILITY

ALLOWANCE

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

56 ≤ kW ≤ 130

0.02 PM / 0.40 NOx / 0.19 NMHC

December 31, 2011

1 for 1

0.02 PM / 3.4 NOx / 0.19 NMHC 2 1 for 2

130 ≤ kW ≤ 560

0.02 PM / 0.40 NOx / 0.19 NMHC

December 31, 2010

1 for 1

0.02 PM / 2.0 NOx / 0.19 NMHC 2 1 for 2

GEN > 560 0.03 PM / 0.67 NOx / 0.19 NMHC

December 31, 2014 1 for 1

ELSE > 560 0.04 PM / 3.5 NOx / 0.19 NMHC

Notes:

1 The installation date for 37 ≤ kW ≤ 56 engines purchased from manufacturers choosing to opt out of the 2008 model year Tier 4 

standards and instead comply with the Tier 4 standards beginning in 2012 would be December 31, 2011.

2 To be eligible, engines must meet the 0.02 g/kW-hr PM standard and the alternative NOx standards.
28

(e) Recordkeeping and calculation to verify compliance Recordkeeping and 

calculation to verify compliance. The following shall apply to off-road equipment or 

vehicle manufacturers and post-manufacture marinizers who produce flexibility 

equipment or vehicles or marine diesel engines under both the Tier 2/3 and Tier 4 

flexibility provisions of paragraph (d) of this section, except as otherwise noted: 

* * * * *

(2) An off-road equipment or vehicle manufacturer or post-manufacture marinizer 

shall keep records of all off-road equipment and vehicles and marine diesel engines 

sold in California under the provisions of paragraph (d) of this section, for each power 

category in which flexibility allowances are claimed. These records shall include 

equipment and engine model numbers, serial numbers, engine family name, and dates 

of manufacture, engine rated power for Tier 2/3 flexibility engines, and maximum engine 

power for Tier 4 flexibility engines. In addition, the manufacturer shall keep records 

sufficient to demonstrate the verifications of compliance required in paragraph (e)(1) of 

this section and the notifications and reports specified in Section 2423(d)(7), as 

applicable. All records shall be kept until at least two full years for flexibility allowances 

under the Tier 2/3 program and five full years for flexibility allowances under the Tier 4 

program after the final year in which allowances are available for each power category, 

and shall be made available to the Executive Officer upon request.

(f) Economic hardship relief Economic hardship relief. Off-road equipment and 

vehicle manufacturers and post-manufacture marinizers may request relief from the 

Executive Officer, or designee, subject to the following requirements:

* * * * *

(3) The Executive Officer may impose other conditions on the granting of relief, 

including provisions to recover the lost environmental benefit. The labeling 

requirements in the 2008-2010 and 2011 and Later Test Procedures apply as 

applicable.

(g) Alternative Flexibility for Post-Manufacture Marinizers Alternative Flexibility for 

Post-Manufacture Marinizers. Post-manufacture marinizers may elect to delay the 

effective date of the Tier 1 standards for marine propulsion diesel engines rated under 

37kW by one year, instead of using the provisions of paragraphs (d) and (f) of this 

section. Post-manufacture marinizers wishing to take advantage of this provision must 

inform the Executive Officer of their intent to do so in writing before the date that the 

standards would otherwise take effect.
29

(h) Allowance for the production of engines Allowance for the production of 

engines. To meet the demand for engines created under paragraph (d), (f), or (g) of this 

section, engine manufacturers may produce engines that do not meet current year 

emission requirements. However, engine manufacturers must receive written 

assurance from each equipment manufacturer, prior to production, that a certain 

number of these engines are needed for the equipment manufacturer’s Tier 4 

equipment flexibility allowances. Engine manufacturers shall provide to the Executive 

Officer annually, as part of the certification application, a list of the equipment 

manufacturers requesting such engines for their Tier 2/3 and Tier 4 equipment flexibility 

allowances. The list shall include the equipment manufacturers’ names, engine models, 

and estimated national production volumes. A copy of the original correspondence from 

the equipment manufacturer requesting the production of flexibility engines shall be kept 

on file by the engine manufacturer in addition to, and in accordance with, the provisions 

of §1039.250 of the 2008-2010 Test Procedures or Part I-D of the 2011 and Later Test 

Procedures, as applicable, and shall be made available without delay to the Executive 

Officer upon request. Furthermore, all engines produced for sale in California under 

either of the transitional flexibility provisions for equipment manufacturers, must be 

covered by an Executive Order starting January 1, 2007. To obtain an Executive Order 

for these engines, the engine manufacturer shall comply with the following:

* * * * *

(j)(1) A new compression-ignition off-road 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 specified in Section 2423, 

shall not be subject to the emission requirements of Section 2423 provided that:

(A) the engine manufacturer has ascertained that no engine produced by itself or 

the manufacturer of the engine that is being 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

(B) unless an alternative control mechanism is approved in advanced by the 

Executive Officer, the engine manufacturer or its agent takes ownership and 

possession of the engine being replaced; and

(C) the engine manufacturer does not use the replacement-engine exemption to 

circumvent the regulations; and
30

(D) the replacement engine is clearly labeled with the following language in either 

(j)(1)(D)1., or (j)(1)(D)2. below, or similar alternate language approved in 

advance by the Executive Officer:

1. If the replacement engine is built to a configuration that was not subject to any 

emission standards under this Article 4, add a permanent label with your 

corporate name and trademark and the following language:

“THIS ENGINE DOES NOT COMPLY WITH CALIFORNIA AND FEDERAL

OFF-ROAD OR ON-HIGHWAY EMISSION REQUIREMENTS. SALE OR 

INSTALLATION OF THIS ENGINE FOR ANY PURPOSE OTHER THAN AS A 

REPLACEMENT ENGINE FOR AN ENGINE MANUFACTURED PRIOR TO 

JANUARY 1 [INSERT APPROPRIATE YEARInsert appropriate year reflecting 

when the earliest tier of emission standards began to apply to engines of that 

size and type] IS MAY BE A VIOLATION OF CALIFORNIA AND FEDERAL LAW 

SUBJECT TO CIVIL PENALTY.”

Beginning January 1, 2013, the following additional information shall also be 

included on the emission control label:

ENGINE POWER: {insert the advertised power of the specific 

engine configuration or the applicable power 

category for the engine family in kilowatts}

DATE OF MANUFACTURE: {insert the engine build date}”

In lieu of including “Engine Power” or “Date of Manufacture” on the emissions 

control label, manufacturers may provide this information on a supplemental label 

attached to the engine in accordance with the provisions of §2424.

2. If the replacement engine is built to a configuration that was subject to emission 

standards under this Article 4, add a permanent label with your corporate name 

and trademark and the following language:

“THIS ENGINE COMPLIES WITH CALIFORNIA OFF-ROAD EMISSION 

REQUIREMENTS FOR [Identify the appropriate emission standards (by model 

year, tier, or emission levels) for the replaced engine] ENGINES UNDER 13 CCR 

2423(j). SELLING OR INSTALLING THIS ENGINE FOR ANY PURPOSE 

OTHER THAN TO REPLACE A [Identify the appropriate emission standards (by 

model year, tier, or emission levels) for the replaced engine] OFF-ROAD 

ENGINE MAY BE A VIOLATION OF CALIFORNIA LAW SUBJECT TO CIVIL 

PENALTY.

Beginning January 1, 2013, the following additional information shall also be 

included on the emission control label:
31

ENGINE POWER: {insert the certified power in kilowatts of the 

specific engine configuration, if applicable, 

otherwise insert advertised power in kilowatts}

REFERENCE FAMILY NAME: {insert the engine family name of the 

replacement engine as recorded in the 

Executive Order for the engine family to which 

the replacement engine was originally certified}

DATE OF MANUFACTURE: {insert the engine build date}”

3. In lieu of including “Engine Power,” Reference Family Name,” or “Date of 

Manufacture” on the emissions control label, manufacturers may provide this 

information on a supplemental label attached to the engine in accordance with 

the provisions of §2424. Manufacturers may alternately state the applicable 

power category in kilowatts for the certified engine family on the emission control 

or supplemental label when indicating “Engine Power.” Additionally, 

manufacturers may indicate the “Emissions Tier” of the replacement engine on 

the emissions control or supplemental label instead of the “Reference Family 

Name.” For the purpose of this section, “Emissions Tier” is the emissions 

standard designation (e.g., Tier 1, Tier 2, Tier 3, Tier 4i, Tier 4f) of the engine 

recorded in the Executive Order for the engine family to which the replacement 

engine was originally certified. Certified power means the configuration-specific 

power of the replacement engine as originally identified in the application for 

certification of the reference engine family (see §1039.205(a)). Advertised power 

means engine power as stated by the manufacturer in sales literature.

2) At the conclusion of each of the 2000 and later model years, 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 certified replacement engine(s) were not 

available as per paragraph (1).

(k) Any new engine certified to comply with California emission standards and 

test procedures for on-road applications may, upon approval by the Executive Officer, 

be considered to be in compliance with these regulations.

(l) Practices and labeling requirements for rebuilt engines Practices and labeling 

requirements for rebuilt engines. This subsection shall apply as provided in paragraph 

(1) below to all off-road compression-ignition engines subject to the requirements of 

Section 2423 that are rebuilt after December 31, 2006, including those engines that 

were originally manufactured on, or prior to, December 31, 2006.
32

(1) Practices Practices. The rebuilding practices described in Part 89.130 of the 

incorporated 2000 Plus Limited Test Procedures, including the exemption for engines 

equal to or greater than 37 kW that meet the Tier 1 standard, and Part 1068.120 of the 

2008-2010 Test Procedures or Part I-F of the 2011 and Later Test Procedures as 

applicable shall apply. These practices are summarized in paragraphs (1)(A) and (1)(B) 

below, which are provided as respective references for the labeling requirements in 

paragraphs (2)(A) and (2)(B) of this subsection.

* * * * *

(m) Stockpiling prohibition. Manufacturers may not circumvent the provisions of 

this article by stockpiling engines with a date of manufacture preceding new or changed 

emission standards by deviating from normal production and inventory practices. For 

purposes of this paragraph (m), normal production and inventory practices means those 

practices typically employed for similar engine families in years in which emission 

standards do not change. The Executive Officer may request the submission of routine 

production and inventory records from manufacturers that document normal practices 

for up to eight years to aid in determining whether or not a violation of this section has 

occurred. Other stockpiling prohibitions in §1068.103 and §1068.105 of the 2011 and 

Later Test Procedures, Part I-E, apply.

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

Code. Reference: Sections 43013, 43017, 43018, 43101, 43104 and 43211-43212, Health and 

Safety Code.
33

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

(a) Purpose Purpose. The Air Resources Board recognizes that certain 

emissions-critical or emissions-related parts must be properly identified and maintained 

in order for engines to meet the applicable emission standards. The purpose of these 

specifications is to require engine manufacturers to affix a label (or labels) on each 

production engine (or equipment) to provide the engine or equipment owner and service 

mechanic with information necessary for the proper maintenance of these parts in 

customer use.

(b) Applicability Applicability.

(1) These specifications shall apply to 1996-1999 model year heavy-duty off-road 

compression-ignition engines, which have been certified to the applicable emission 

standards pursuant to Health and Safety Code Section 43013.

(2) These specifications shall apply to 2000 and later model year compressionignition engines, which have been certified to the applicable emission standards 

pursuant to Health and Safety Code Section 43013.

(3) Engine manufacturers who have certified such engines shall be responsible 

for complying with these specifications.

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

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

(A) A tune-up label shall be 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 shall attach a supplemental label such that it is readily visible.

(B) In selecting an acceptable location, the manufacturer shall consider 

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

coming in contact with the label). Each label shall be affixed in such a manner that it 

cannot be removed without destroying or defacing the label, and shall not be affixed to 

any part which is likely to be replaced during the equipment’s useful life. The label(s) 

shall not be affixed to any component which is easily detached from the engine.

(C) In addition, an engine serial number shall be stamped on the engine 

block or stamped on a metal label riveted to the engine block. Engine manufacturers 

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

an engine was certified for the applicable model year.
34

(D) The label shall be in the English language and use block letters and 

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

(E) The label shall contain the following information:

1. The label heading shall read:

“Important Engine Information.”

2. Full corporate name and trademark of the manufacturer.

3. “This (specify equipment or engine, as applicable) is certified to operate 

on (specify operating fuel(s)).”

4. Identification of the Exhaust Emission Control System Identification of 

the Exhaust Emission Control System. Abbreviations may be used and shall conform to 

the nomenclature and abbreviations found in the Society of Automotive Engineers 

document J1930 which is incorporated by reference herein [in Section 1977, Title 13, 

CCR], titled “Diagnostic Acronyms, Terms, and Definitions for Electrical/Electronic 

Systems.”

5. The specifications and adjustments recommended by the manufacturer, 

including, if applicable: initial injection timing, and fuel rate (in mm3

/stroke) at advertised 

horsepower. These specifications shall 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 shall include in lieu of the “specifications” the single 

statement “No other adjustments needed.” For all engines, the instructions for tune-up 

adjustments shall 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.

6. An unconditional statement of compliance with the appropriate model 

year California regulations; for example, “This engine conforms to 1996 California 

regulations for heavy-duty off-road diesel cycle engines as applicable."

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

and engine family identification.

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

specifying the appropriate operating fuel(s).
35

2. The label shall be located immediately adjacent to each fuel tank filler 

inlet and outside of any filler inlet compartment. It shall be located so that it is readily 

visible to any person introducing fuel to such filler inlet; Provided, however, that the 

Executive Officer shall 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 shall be affixed to the engine 

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

letters, which shall be of a color that contrasts with their background.

(2) For 2000 and later Tier 1, Tier 2, and Tier 3 off-road compression-ignition 

engines, the label content and location must comply with the requirements in 

Section 89.110 of the 2000 and Later Plus Limited Test Procedures.

(3) For 2008 and Later Tier 4 off-road compression-ignition engines, the label 

content and location must comply with the requirements in Section 1039.135 of the 

2008-2010 Test Procedures or Part I-D of the 2011 and Later test Procedures, as 

applicable.

* * * * *

(l) An emission control information label shall not be altered or removed from an 

engine, subject to civil penalty under State law, except that a dealer or distributor may 

remove an incorrect label, prior to the transfer of title of the engine to an ultimate 

purchaser, and replace the incorrect label with the correct label supplied by the 

certifying manufacturer or an authorized agent. For the purpose of this section, an 

incorrect label means an emission control information label that was affixed to an 

engine in good faith by the certifying manufacturer or authorized agent, but which fails 

to accurately describe the engine’s emission performance as required under this Article 

due to unintentional or clerical error. In this context, good faith means an honest intent 

to act without seeking to gain an unfair advantage or to circumvent the regulations. 

Notwithstanding, an emission control label may be removed and replaced according to 

the labeling provisions for rebuilt engines in §2423(l). For new replacement engines 

manufactured in accordance with the provisions of §2423(j), a dealer or distributor may 

affix supplemental labels, prior to the transfer of title of the engine to an ultimate 

purchaser, as allowed in §2423(j)(1). Other provisions in §1068.101(b)(7) of the 2011 

and Later Test Procedures, Part I-E, may also apply.

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

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

Health and Safety Code.
36

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

Compression-Ignition Engines.

(a) Applicability Applicability. This section shall apply to new 1996-1999 model 

year heavy-duty off-road compression-ignition engines and new 2000 and later model 

year compression-ignition engines. For 2011 and later model year compression-ignition 

engines the requirements in §1039.120 and §1039.125 of the 2011 and Later Test 

Procedures, Part I-D, shall also apply. The warranty period shall begin on the date the 

engine or equipment is delivered to an ultimate purchaser. The use of alternative fuels 

shall not void the warranties on any engine certified to use such fuel.

(b) General Emissions Warranty Coverage General Emissions Warranty 

Coverage. The manufacturer of each off-road compression-ignition engine shall 

warrant to the ultimate purchaser and each subsequent purchaser that the engine is:

* * * * *

NOTE: Authority cited: Sections 39600, 39601, 43013, 43018, 43101, 43102 43104 and 43105, Health 

and Safety Code. Reference: Sections 43013, 43017, 43018, 43101, 43102 and 43205.5, 

Health and Safety Code.

§ 2425.1 Defect Investigation and Reporting Requirements.

(a) Applicability Applicability. This section shall apply to new off-road 

compression-ignition engines subject to the standards in Section 2423 (b)(1)(B) and the 

incorporated 2008-2010 or 2011 and Later Test Procedures as applicable, and shall 

address defects for any of the emission-related components, or systems containing the 

components listed in Section 2425(d)(1).

(b) General requirements General requirements. Engine manufacturers shall 

investigate their engines that have been introduced into commerce in California for 

incorrect, improperly installed, or otherwise defective emission-related components or 

systems, and shall submit a report to the ARB based on federal triggering thresholds 

documenting these activities, as required, and their findings. If available, Californiaspecific incidence rates shall also be included in this report.

(c) Investigation and reporting procedures Investigation and reporting 

procedures. Engine manufacturers shall perform the investigation and reporting 

procedures specified in Part 1068, Subpart F of the 2008-2010 Test Procedures or Part 

I-E of the 2011 and Later Test Procedures as applicable.

NOTE: Authority cited: Sections 39600, 39601, 43013, 43018, 43101, 43102 43104 and 43105, Health 

and Safety Code. Reference: Sections 43013, 43017, 43018, 43101, 43102 and 43205.5, 

Health and Safety Code.
37

§ 2426. Emission Control System Warranty Statement.

(a) Each manufacturer shall furnish a copy of the following statement with each 

new 1996-1999 model year heavy-duty off-road compression-ignition engines and each 

new 2011 and later model year compression-ignition engine, using those portions of the 

statement applicable to the engine.

CALIFORNIA EMISSION CONTROL WARRANTY STATEMENT

YOUR WARRANTY RIGHTS AND OBLIGATIONS

The California Air Resources Board (and manufacturer’s name, optional) is pleased 

to explain the emission control system warranty on your (years) engine. In 

California, new heavy-duty off-road engines must be designed, built, and equipped to 

meet the State’s stringent anti-smog standards. (Manufacturer’s name) must warrant 

the emission control system on your engine for the periods of time listed below provided 

there has been no abuse, neglect or improper maintenance of your engine.

Your emission control system may include parts such as the fuel-injection system and 

the air induction system. Also included may be hoses, belts, connectors and other 

emission-related assemblies.

Where a warrantable condition exists, (manufacturer’s name) will repair your heavy-duty 

off-road engine at no cost to you including diagnosis, parts, and labor.

MANUFACTURER’S WARRANTY COVERAGE:

The (year) and later heavy-duty off-road engines are warranted for (warranty 

period). If any emission-related part on your engine is defective, the part will be 

repaired or replaced by (manufacturer’s name).

OWNER’S WARRANTY RESPONSIBILITIES:

— As the heavy-duty off-road engine owner, you are responsible for the 

performance of the required maintenance listed in your owner’s manual. 

(Manufacturer’s name) recommends that you retain all receipts covering 

maintenance on your heavy-duty off-road engine, but (manufacturer’s name) 

cannot deny warranty solely for the lack of receipts or for your failure to ensure 

the performance of all scheduled maintenance.

— As the heavy-duty off-road engine owner, you should however be aware that 

(manufacturer’s name) may deny you warranty coverage if your heavy-duty offroad engine or a part has failed due to abuse, neglect, improper maintenance or 

unapproved modifications.
38

— Your engine is designed to operate on (fuel) only. Use of any other fuel may 

result in your engine no longer operating in compliance with California’s 

emissions requirements.

— You are responsible for initiating the warranty process. The ARB suggests that 

you present your heavy-duty off-road engine to a (manufacturer’s name) dealer 

as soon as a problem exists. The warranty repairs should be completed by the 

dealer as expeditiously as possible.

If you have any questions regarding your warranty rights and responsibilities, you 

should contact (Insert chosen manufacturer’s contact) at 1-XXX-XXX-XXXX.

(b) For 1996-1999 model year heavy-duty off-road compression-ignition engines

and 2011 and later model year compression-ignition engines, each manufacturer shall 

furnish with each new engine a warranty statement which generally describes the 

obligations and rights of the engine manufacturer and owner under this article. Engine 

manufacturers shall also include in the warranty statement a phone number the 

customer may use to obtain their nearest franchised service center.

* * * * *

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

Safety Code. Reference: Sections 43013, 43017, 43018, 43101, 43102 and 43205.5, Health 

and Safety Code.
39

§ 2427. Production Engine Testing, Selection, Evaluation, and Enforcement 

Action.

(a) Compliance Test Procedures Compliance Test Procedures.

* * * * *

(9) Primary Sampling Plan Primary Sampling Plan.

* * * * *

(10) Alternate Sampling Plan for Low Volume Engine Family Groups Alternate 

Sampling Plan for Low Volume Engine Family Groups.

* * * * *

(b) Quality-Audit Test Procedures Quality-Audit Test Procedures.

* * * * *

(4) Applicability Applicability.

These procedures shall apply to all certified 1996-1999 model year heavy-duty 

off-road compression-ignition engine family groups.

If a manufacturer cannot provide actual California sales data, it shall provide its 

total production and an estimate of California sales. The manufacturer shall also 

provide supporting material for its estimate.

(5) Engine Sample Selection Engine Sample Selection.

For each family group with California sales volumes of 150 units or more per 

year, the manufacturer shall select for quality audit testing a representative sample of 

three engines or one percent of production, whichever is greater, from the highest sales 

volume engine family within the entire engine family group. For engine family groups 

with California sales volumes of less than 150 units per year, no testing shall be 

required unless requested by the Executive Officer based upon information and belief 

that such engine family groups are in noncompliance with applicable regulations. Each 

selected engine for quality-audit testing must pass the inspection test, by being 

equipped with the appropriate emission control systems certified by the ARB. The 

procedure for selecting engines must be submitted to the Chief, Mobile Source Division, 

9528 Telstar Avenue, El Monte, CA, 91731, prior to the start of production for the 1996 

model year.
40

(6) Engine Preparation and Preconditioning Engine Preparation and 

Preconditioning.

* * * * *

(7) Quality-Audit Engine Selection Criteria Quality-Audit Engine Selection 

Criteria.

(A) Engines shall be representatively selected.

(B) At the end of each calendar quarter, all of the data accumulated during the 

quarter shall be reported to the Executive Officer. Upon accumulation of sufficient data, 

the compliance of the engine family group with the emission standards is determined.

(8) Standards and Test Procedures; Evaluation Standards and Test Procedures; 

Evaluation.

The exhaust sampling and analytical procedures shall be those described in the 

1996-1999 Heavy-Duty Test Procedures. An engine family group is considered to have 

failed the quality audit test if the average emissions do not comply with the applicable 

certification standards. Any corrective action to bring the engines into compliance with 

the standards must be applied to all engines in the engine family group reasonably 

expected to be in noncompliance based on the audit data and other relevant 

information.

(9) Reports Reports.

* * * * *

(c) Selective Enforcement Audit Selective Enforcement Audit.

(1)(A) The 2000 and later model year Tier 1, Tier 2, and Tier 3 off-road 

compression-ignition engines certified for sale in California shall be subject to the 

Selective Enforcement Audit requirements specified in Subpart F of the 2000 Plus 

Limited Test Procedures.

(B) The 2008 and later model year Tier 4 off-road compression-ignition engines 

certified for sale in California shall be subject to the Selective Enforcement Audit 

requirements specified in Subpart E of Part 1068 of the 2008-2010 Test Procedures or 

Part I-E of the 2011 and Later Test Procedures as applicable.
41

(2) These procedures specify the Selective Enforcement Audit test procedures in 

conjunction with the 2000 Plus Limited Test Procedures and the 2000 and Later Test 

Procedures. An engine is in compliance with these Selective Enforcement Audit 

standards and test procedures only when all portions of these Selective Enforcement 

Audit test procedures are fulfilled.

(3) Air Resources Board (ARB) personnel and mobile laboratories shall have 

access to engine or equipment assembly plants, distribution facilities, and test facilities 

for the purpose of engine selection, testing, and observation. Scheduling of access 

shall be arranged with the designated manufacturer’s representative and shall not 

unreasonably disturb normal operations.

(d) Any manufacturer obtaining certification under this part shall supply to the 

Executive Officer, upon request, a reasonable number of production engines selected 

by the Executive Officer which are representative of the engines, emission control 

systems, fuel systems, and transmissions offered and typical of production models 

available for sale under the certificate. These engines shall be supplied for testing at 

such time and place and for such reasonable periods as the Executive Officer may 

require. Heavy-duty engines supplied under this paragraph may be required to be 

mounted in chassis and appropriately equipped for operation on a chassis 

dynamometer.

NOTE: Authority cited: Sections 39600, 39601, 43013, 43018, 43101, 43102, 43104 and 43105, Health 

and Safety Code. Reference: Sections 43013, 43017, 43018, 43101, 43102, 43104 and

43210-43212, Health and Safety Code.