Page 1 of 28

State of California

AIR RESOURCES BOARD

Final Statement of Reasons for Rulemaking,

Including Summary of Comments and Agency Response

PUBLIC HEARING TO CONSIDER AMENDMENTS TO CALIFORNIA’S

SMALL OFF-ROAD ENGINE AND TIER 4 OFF-ROAD COMPRESSION-IGNITION

ENGINE REGULATIONS AND TEST PROCEDURES; AND AMENDMENTS TO

THE EXHAUST EMISSION CERTIFICATION TEST FUEL FOR OFF-ROAD

SPARK-IGNITION ENGINES, EQUIPMENT, AND VEHICLES

Public Hearing Date: December 16, 2011

Agenda Item No.: 11-10-4

I. GENERAL

In this rulemaking, the Air Resources Board (ARB or Board) is amending California’s 

off-road exhaust emission regulations for new small off-road engines (SORE) and tier 4 

compression-ignition (ORCI) engines. The amendments, overall, provide better 

harmonization with federal certification and exhaust emission testing requirements for 

SORE and tier 4 ORCI engine regulations and associated test procedures. The 

amendments create a more efficient certification process for engine and equipment 

manufacturers by removing the burden to perform duplicative testing for California and 

federal certification. The amendments to the tier 4 ORCI engine regulations also 

provide for more descriptive labeling requirements, which will facilitate the 

implementation and enforcement of ARB’s various in-use programs in California. 

Furthermore, the Board approved modifications to the exhaust-emission certification 

test fuel requirements used in the gasoline-fueled SORE, large spark-ignition (LSI)

engines, off-highway recreational vehicles (OHRV), and spark-ignition marine engine 

(SIME) off-road categories. These amended requirements require a ten-percent 

ethanol-blend of gasoline, which would be the same as the on-road motor vehicle test 

fuel requirement that was approved by the Board on January 27, 2012, or other fuel 

blends approved by ARB as appropriate for use in off-road categories.

This rulemaking was initiated by the October 18, 2011, “Notice of Public Hearing to 

Consider Amendments to California’s Small Off-Road Engine and Tier 4 Off-Road 

Compression-Ignition Engine Regulations and Test Procedures; and Amendments to 

the Exhaust Emission Certification Test Fuel for Off-Road Spark-Ignition Engines, 

Equipment, and Vehicles,” which was published in the California Regulatory Notice 

Register on October 28, 2011. The Initial Statement of Reasons (Staff Report or ISOR) 

was also made available for public review and comment starting October 26, 2011. The 

Staff Report, which is incorporated by reference herein, described the rationale for the 

proposal.
Page 2 of 28

The Board-approved amendments to the California Code of Regulations, Title 13, 

(13 CCR) are as follows:

Small Off-Road Engines sections 2403 and 2407; and to the following document as 

incorporated by reference therein: “California Exhaust Emission Standards and Test 

Procedures for 2005 and Later Small Off-Road Engines,” as adopted July 26, 2004, and 

as last amended February 24, 2010; and the following documents incorporated by 

reference therein: “California Exhaust Emission Standards and Test Procedures for 

New 2013 and Later Small Off-Road Engines; Engine-Testing Procedures (Part 1054)”; 

and “California Exhaust Emission Standards and Test Procedures for New 2013 and 

Later Small Off-Road Engines; Engine-Testing Procedures (Part 1065)”; and

Off-Road Compression-Ignition Engines sections 2421, 2423, 2424, 2425, 2425.1, 

2426, and 2427; and to the following document as incorporated by reference therein: 

“California Exhaust Emission Standards and Test Procedures for New 2008 and Later 

Tier 4 Off-Road Compression-Ignition Engines, Part I-C,” adopted October 20, 2005; 

and to the following documents incorporated by reference therein: “California Exhaust 

Emission Standards and Test Procedures for New 2011 and Later Tier 4 Off-Road 

Compression-Ignition Engines, Part I-D,” adopted October 20, 2005; and “California 

Exhaust Emission Standards and Test Procedures for New 2011 and Later Tier 4 

Off-Road Compression-Ignition Engines, Part I-F,” adopted October 20, 2005; and 

adoption of the following document incorporated by reference therein: “California 

Exhaust Emission Standards and Test Procedures for New 2011 and Later Tier 4 

Off-Road Compression-Ignition Engines, Part I-E”; and 

Off-Road Large Spark-Ignition Engines sections 2433, 2783, and 2784; and to the 

following documents incorporated by reference therein: “California Exhaust and 

Evaporative Emission Standards and Test Procedures For New 2010 and Later 

Off-Road Large Spark-Ignition Engines (2010 and Later Test Procedure 1048),” as 

adopted March 2, 2007, and as last amended November 21, 2008; and “California 

Exhaust and Evaporative Emission Standards and Test Procedures For New 2007 and 

Later Off-Road Large Spark-Ignition Engines (Test Procedures 1065 and 1068),” as 

adopted March 2, 2007; and

Off-Highway Recreational Vehicles section 2412; and to the following document 

incorporated by reference therein: “California Exhaust Emission Standards and Test 

Procedures for 1997 and Later Off-Highway Recreational Vehicles and Engines," as 

adopted May 26, 1995, and as last amended June 1, 2007; and

Spark-Ignition Marine Engines section 2447; and to the following document 

incorporated by reference therein: “California Exhaust Emission Standards and Test 

Procedures for 2001 Model Year and Later Spark-Ignition Marine Engines,” as adopted 

October 21, 1999, and as last amended June 5, 2009.

These modifications and additions to the regulations and test procedures preserve the 

stringency of the existing emission standards and effectiveness of the associated test 
Page 3 of 28

procedures while creating greater harmonization with similar requirements already 

promulgated by the U.S. Environmental Protection Agency (U.S. EPA). The 

harmonization of requirements where possible facilitates certification and allows 

manufacturers to better utilize resources. A copy of Board Resolution 11-41 approving 

the regulatory action described above and the regulatory documents for this rulemaking 

were also posted on the ARB’s internet site for this rulemaking at

http://www.arb.ca.gov/regact/2011/soreci2011/soreci2011.htm

On December 16, 2011, the Board conducted a public hearing to consider the staff’s 

proposal as described in the Staff Report. At the hearing, staff proposed to amend 

California’s exhaust emission regulations for California’s new engine off-road 

spark-ignition categories and tier 4 off-road compression ignition engines. Staff also 

proposed various editorial corrections and several modifications to the proposed 

regulatory action. Written and oral comments were received at the hearing concerning 

staff’s proposal.

Through Resolution 11-41, the Board adopted the originally proposed regulations with 

the modifications presented by staff at the hearing while also directing staff to work with 

commenters to finalize the regulatory proposal. The staff’s suggested modifications to 

the original proposal were appended to Resolution 11-41 in Attachment G. In 

accordance with section 11346.8 of the Government Code, the Board directed the 

Executive Officer to incorporate the modifications to the originally proposed regulatory 

text approved by the Board, including such other conforming modifications as may be 

appropriate, and to make the modified text available to the public for a period of at least 

fifteen days. The Executive Officer was then directed to consider the comments 

received and either adopt the amendments with such additional modifications as may 

be appropriate, or if warranted present a new proposal to the Board for further 

consideration.

The revised regulations and test procedures, with the modified text clearly indicated, 

were made available to the public for a supplemental 15-day comment period by the 

issuance of a “Notice of Public Availability of Modified Text.” The Notice, including 

staff’s modifications to the proposed regulation order and test procedures, a copy of 

Resolution 11-41, and the Attachment G document (relabeled as Appendix XV), were

posted on ARB’s internet website on March 22, 2012, concurrent with an announcement 

sent to all subscribers of ARB’s off-road-related listserv directories and to other affected 

stakeholders regarding the availability of modified regulatory documents. Several 

written comments were received during the 15-day comment period.

After considering the comments received during the comment period, the Executive 

Officer issued Executive Order R-12-005, adopting the amendments, new regulatory 

text, and incorporated documents.

This Final Statement of Reasons (FSOR) updates the Staff Report by identifying and 

providing the rationale for the modifications made to the originally proposed regulatory 

text. The FSOR also contains a summary of the comments received on the proposed 
Page 4 of 28

regulatory amendments during the formal regulatory process and ARB’s responses to 

those comments.

Incorporation of Test Procedures. The test procedures are incorporated by reference 

because it would be cumbersome, unduly expensive, and otherwise impractical to print 

them in the California Code of Regulations (CCR). Existing ARB administrative practice 

has been to have the test procedures incorporated by reference rather than printed in 

the CCR because these procedures are highly technical and complex. They include the

technical specifications and measurement protocols for emissions measurement test 

procedures (nuts and bolts), calibration requirements, computer modeling, and 

laboratory practices required for certification of the regulated engines and equipment 

and have a very limited audience. Because ARB has never printed complete test 

procedures in the CCR, the directly affected public is accustomed to the incorporation 

format used therein. Thus printing portions of ARB’s test procedures that are 

incorporated by reference would be unnecessarily confusing to the affected public.

The test procedure documents are readily available from ARB upon request, with 

recently amended portions currently available online at ARB’s website, and were made 

available in the context of this rulemaking in the manner specified in Government Code 

section 11346.5(b).

Staff Report Correction. The second paragraph on page 7 of the Staff Report under 

section 5, “California’s Off-Road Exhaust Emission Certification Test Fuel” erroneously 

states that OHRVs may certify using federal tier II gasoline under the existing 

regulation. This is incorrect as OHRVs are required to certify using only Indolene as the 

test fuel. The error, however, is a mistake regarding the interpretation of the existing 

regulation, but does not impact the amendments adopted by the Board on 

December 16, 2011, and is, therefore, nonsubstantive.

References. Staff corrected two nonsubstantive errors in the identification of reference 

materials cited within the Staff Report. The first correction pertains to the fifth listed 

reference titled “ARB 2008,” which included an erroneous date of publication for the 

document identified. The correct date of publication is October 3, 2008, which is clearly 

indicated on the actual document found at the internet address provided within the 

reference. The second correction pertains to the ninth listed reference titled “U.S. EPA 

2007.” In this instance, the internet address incorrectly linked to a “regulatory 

announcement” web page instead of the appropriate Federal Register volume. The 

correct internet address has been updated; however, the original reference did correctly 

and specifically identify the document referenced within the Staff Report, which could 

have been located through a casual search of the internet or via other services. The 

starting page of the reference document was revised by one page to correspond with 

the formatting of the document at the amended internet address.

Fiscal Impacts. The Board has determined that this regulatory action will not create

costs or savings, as defined in Government Code section 11346.5(a)(5) and

11346.5(a)(6), to any state agency or in federal funding to the state, costs or mandate to 
Page 5 of 28

any local agency or school district, whether or not reimbursable by the state pursuant to 

Part 7 (commencing with section 17500), Division 4, Title 2 of the Government Code, or 

other non-discretionary costs or savings to local agencies.

Consideration of Alternatives. The amendments and new regulatory language 

proposed in this rulemaking were the result of extensive discussions and meetings 

involving staff and affected manufacturers, U.S. EPA, and other stakeholders. In the 

Staff Report, staff evaluated and rejected four potential alternatives to the proposed 

regulations: (1) Take “No Action”, (2) Harmonize Completely with the Federal 

Regulations, (3) Prospective Incorporation of Federal Regulations by Reference, and 

(4) Harmonize Through Executive Officer Discretion.

The first alternative was to take no action to modify either of the existing California 

SORE or tier 4 off road CI engine regulations and test procedures. The existing 

regulations and test procedures for both categories now differ significantly in several 

key areas from the current federal requirements for nonroad engines. Consequently, 

many of the engine and equipment manufacturers would be required to perform two 

different exhaust emission tests during the certification process or perform extra tests to 

prove the equivalency of the emission tests. Such separate testing is expensive and 

would unnecessarily increase the costs of compliance to the manufacturer, which would 

be passed down to the consumer, without any resulting emission benefit. Another 

consideration, with respect to SORE test procedures, is that test equipment 

manufacturers have indicated their intent to phase-out support of test equipment 

specified by the current test procedures. Thus, continued use of these test procedures 

would become impractical due to the eventual breakdown and unavailability of the test 

equipment. Additionally, with respect to the tier 4 CI engine regulations, the federal 

provisions contain additional compliance flexibility options lacking in the California 

regulation (i.e., a new combined oxides of nitrogen and hydrocarbon (NOx+HC)

standard and longer FEL [family emission limit] durations) that could result in certain 

product lines no longer being made available in California. With regard to the proposed 

E10 test fuel amendment, a “No Action” alternative is not practical because it would 

create an inconsistency with the on-road motor vehicle test fuel that was approved by 

the Board on January 27, 2012, as well as maintain the current inconsistency between 

the off-road categories’ test fuel and commercially available fuel. Therefore, staff 

rejected this alternative as both impractical and substantially more costly.

The second alternative was to adopt completely the U.S. EPA’s Parts 1054 and 1065, in 

the case of the SORE category, and Parts 1039, 1065, and 1068, in the case of the 

Tier 4 off-road CI engine category. However, a complete adoption of the federal 

regulations and test procedures differs from the proposal in that it creates a complete 

alignment while the proposal creates a less-than-complete alignment in order to 

preserve current California-specific provisions. This less-than-complete alignment is 

necessary because California has unique needs in controlling the off-road categories’ 

emissions and has established provisions in response to those needs that are not 

reflected in the federal provisions. For example, the Tier 4 off-road CI engine 

regulations differ from federal provisions in the flexibility engine Executive Order and 
Page 6 of 28

labeling requirements, engine replacement reporting and labeling requirements, and 

in-use compliance and engine recall programs, because these California-specific 

provisions better support California’s emission reduction objectives. In addition, 

California’s current SORE regulations and test procedures include provisions for 

two-stroke PM emissions and more representative supplemental engine cooling. Thus, 

a complete adoption of the federal regulations and test procedures would eliminate 

these provisions and likely compromise the level of stringency of the emission 

standards that is required by California in order to achieve the expected level of future 

emission reductions. Accordingly, staff rejected this alternative.

The third alternative was to allow ARB to dynamically incorporate federal regulations by 

reference, in part or as a whole, into California law without a date of publication. The 

benefits of such an alternative would be to ensure full regulatory harmonization with 

U.S. EPA revisions now and in the future, and to minimize the staff resources required 

in developing an alignment rulemaking in response to any future federal regulatory 

amendments. The downside of this alternative is that it would limit ARB’s ability to 

independently implement or enforce its regulations should U.S. EPA make a change 

that is not in California’s best interests. Also, title 1, CCR, section 20(c)(3), generally 

prohibits the incorporation by reference of material into California regulations without a 

date of publication or issuance. Therefore, staff rejected this alternative.

The fourth alternative was to allow ARB’s Executive Officer to approve, case-by-case,

requests from off-road engine/equipment manufacturers for permission to comply with 

specific federal provisions instead of provisions required by California regulations. This 

would give ARB the ability to harmonize with any federal requirements with which it 

agreed, providing timely relief to the off-road industry when necessary. Any changes 

allowed by the Executive Officer would then be formally codified into the applicable 

regulations at a future, more convenient date. While this option does have merits, such 

as the ability to address compliance issues more efficiently, less Board time devoted to 

harmonization issues, and more staff time and resources to devote to other projects, it 

is generally necessary that such changes undergo a public process with the opportunity 

for affected stakeholders to provide comment, and the Board to review and render 

judgment. Therefore, staff rejected this alternative.

For the reasons set forth in the Staff Report, in staff’s comments and responses at the 

hearing, and in this FSOR, the Board has determined that none of the alternatives

considered by the agency would be more effective in carrying out the purpose for which 

the regulatory action was proposed or would be as effective and less burdensome to 

affected private persons than the action taken by the Board.

II. MODIFICATIONS MADE TO THE ORIGINAL PROPOSAL

At the December 16, 2011, hearing, the Board approved staff’s proposed regulatory 

amendments. Further, the Board directed staff to work with stakeholders regarding 

modifications or clarifications to the approved regulations. Staff made these 
Page 7 of 28

modifications available to the public for a 15-day comment period by issuance of a 

“Notice of Public Availability of Modified Text” on March 22, 2012. The following is a 

consolidated description of the modifications and clarifications by regulatory section. 

The phrase “new conforming modification” is used here to indicate modifications 

consistent with both the originally noticed proposal and the Board’s December 2011

approval action.
Page 8 of 28

TITLE 13, CALIFORNIA CODE OF REGULATIONS

CHAPTER 9. OFF-ROAD VEHICLES AND ENGINES POLLUTION CONTROL 

DEVICES

Article 1. Small Off-Road Engines

Modifications to the Regulation Order for Small Off-Road Engines

§ 2403 – Exhaust Emission Standards and Test Procedures–Small Off-Road 

Engines

Paragraph (b)(2)(B) was revised to correct a clerical error in which staff 

incorrectly cited the titles of the newly incorporated “California Exhaust 

Emission Standards and Test Procedures for New 2013 and Later Small 

Off-Road Engines; Engine Testing Procedures (Part 1054),” and the 

“California Exhaust Emission Standards and Test Procedures for New 

2013 and Later Small Off Road Engines; Engine-Testing Procedures (Part 

1065).”

Paragraph (d) was revised to correct a clerical error in which staff 

incorrectly cited the titles of the newly incorporated “California Exhaust 

Emission Standards and Test Procedures for New 2013 and Later Small 

Off-Road Engines; Engine Testing Procedures (Part 1054),” and the 

“California Exhaust Emission Standards and Test Procedures for New 

2013 and Later Small Off-Road Engines; Engine-Testing Procedures (Part 

1065).”

§ 2404 – Emission Control Labels and Consumer Information - 1995 and Later 

Small Off-Road Engines.

Paragraph (c)(4)(a) was revised to include the option for the engine label 

heading to read “EMISSION CONTROL INFORMATION” to ensure 

alignment with existing federal requirements.

§ 2407 – New Engine Compliance and Production Line Testing–New Small OffRoad Engine Selection, Evaluation, and Enforcement Action.

Paragraph (a)(7) was revised to correct a clerical error in which staff 

incorrectly cited the titles of the newly incorporated “California Exhaust 

Emission Standards and Test Procedures for New 2013 and Later Small 

Off-Road Engines; Engine Testing Procedures (Part 1054),” and the 

“California Exhaust Emission Standards and Test Procedures for New 

2013 and Later Small Off-Road Engines; Engine-Testing Procedures (Part 

1065).”
Page 9 of 28

Article 3. Off-Highway Recreational Vehicles and Engines

Modifications to the Regulation Order for New Off-Highway Recreational Vehicles and 

Engines

§ 2412 – Emission Standards and Test Procedures – New Off-Highway 

Recreational Vehicles and Engines.

Paragraph (c)(2) was revised to correct a clerical error that sought a new 

date of amendment for the previously retired test procedure document 

“California Exhaust Emission Standards and Test Procedures for 1995-

2004 Small Off-Road Engines.” The last effective date of the document 

was also restored. Further, the paragraph was amended to specify that 

E10 test fuel is to be used for 2013 and later all-terrain vehicles utilizing 

the existing optional emission standards allowance. This was 

accomplished by referencing §1065.701, of the “California Exhaust 

Emission Standards and Test Procedures for New 2013 and Later Small 

Off-Road Engines; Engine-Testing Procedures (Part 1065).”

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

Modifications to the Regulation Order for Tier 4 Off-Road Compression-Ignition Engines

§ 2426 – Emission Control System Warranty Statement.

Paragraph (a) was revised to correct a typographical error in the text of 

the California Emission Control Warranty Statement by replacing the 

parenthetical word “year” with the parenthetical word “years.” The plural 

form of the word better correlates to ARB’s longstanding practice of 

allowing manufacturers to specify a range of years on the warranty 

statement for carry-over engine families rather than to produce a unique 

warranty statement for each year when all other relevant information is

identical.

Article 4.5. Off-Road Large Spark-Ignition Engines

Modifications to the Regulation Order for Large Spark-Ignition Engines

§ 2433 – Emission Standards and Test Procedures–Off-Road Large 

Spark-Ignition Engines.

Paragraph (d)(1) was revised to correct a clerical error in which staff 

incorrectly cited the titles of the newly incorporated “California Exhaust 
Page 10 of 28

Emission Standards and Test Procedures for New 2013 and Later Small 

Off-Road Engines; Engine-Testing Procedures (Part 1054),” and the 

“California Exhaust Emission Standards and Test Procedures for New 

2013 and Later Small Off-Road Engines; Engine-Testing Procedures (Part 

1065).”

CHAPTER 15. ADDITIONAL OFF-ROAD VEHICLES AND ENGINES POLLUTION 

CONTROL REQUIREMENTS

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

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

Engines

Modifications to the Regulation Order for In-Use Compliance Requirements for Retrofits 

of Large Spark-Ignition Engines

§ 2783 – Emissions Reduction Testing Requirements.

Paragraph (d)(2) was revised to allow the optional use of E10 for 

certification testing through the 2019 calendar year instead of through 

2018 as originally proposed. This revision aligns with the on-road 

requirements for certification fuels published by staff on October 28, 2011, 

and approved by the Board on January 27, 2012. Further, this paragraph 

was amended, per the Board’s direction, to allow other fuel-blends 

certified by ARB to be used for certification testing. 

Paragraph (d)(3) was revised to require the use of E10 for certification 

testing beginning with the 2020 calendar year instead of 2019 as originally 

proposed. This revision aligns with the on-road requirements for 

certification fuels published by staff on October 28, 2011, and approved by 

the Board on January 27, 2012. The reference to the On-Road Test 

Procedures was updated to reflect the official working title of the 

document. Although this modification had been noted in the Notice of 

Public Availability of Modified Text posted on ARB’s website on March 22, 

2012, the corresponding change to the regulation had been inadvertently 

omitted from Appendix III of that Notice. Further, this paragraph was 

amended, per the Board’s direction, to allow other fuel-blends certified by 

ARB to be used for certification testing.

§ 2784 – Durability Demonstration Requirements.

Paragraph (c)(2) was revised to allow the optional use of E10 for durability 

demonstration testing through the 2019 calendar year instead of through 

2018 as originally proposed. Further, this paragraph was amended, per 

the Board’s direction, to allow other fuel-blends certified by ARB to be 
Page 11 of 28

used for durability demonstration testing. 

Paragraph (c)(3) was revised to require the use of E10 for certification 

testing beginning with the 2020 calendar year instead of 2019 as originally 

proposed. This revision aligns with the on-road requirements for 

certification fuels published by staff on October 28, 2011, and approved by 

the Board on January 27, 2012. The reference to the On-Road Test 

Procedures was updated to reflect the official working title of the 

document. Although this modification had been noted in the Notice of 

Public Availability of Modified Text posted on ARB’s website on March 22, 

2012, the corresponding change to the regulation had been inadvertently 

omitted from Appendix III of that Notice. Further, this paragraph was 

amended, per the Board’s direction, to allow other fuel-blends certified by 

ARB to be used for certification testing.

TEST PROCEDURES

Modifications to the “California Exhaust Emission Standards and Test Procedures for 

New 2013 and Later Small Off-Road Engines – Part 1054”

§ 1054.101 –What emission standards and requirements must my engines 

meet?

Paragraph (a)(1) of the SORE Test Procedures was revised to update the 

reference in footnote 3 of Table: “Exhaust Emission Standards for 

Spark-Ignition Engines” such that the footnote now cites 40 CFR Part 

1054.101(a)(2)(ii) instead of the previous 40 CFR Part 90.103(a)(2)(ii).

§ 1054.105 –What exhaust emission standards must my nonhandheld engines 

meet?

Paragraph (a) of the SORE Test Procedures was revised to provide better

consistency in referencing the appropriate standards for all engines 

regardless of displacement. With this change, all standards will be 

referenced within the test procedures, rather than referencing engines with 

displacement greater than 80 cc to identical standards within the California 

Code of Regulations. 

§ 1054.115 –What other requirements apply?

Paragraph (c) of the SORE Test Procedures was revised to clarify the 

requirements for meeting emission standards at higher elevations based 

on engine displacement.
Page 12 of 28

Modifications to the “California Exhaust Emission Standards and Test Procedures for 

New 2013 and Later Small Off-Road Engines – Part 1065”

§ 1065.701 –General requirements for test fuels.

Paragraph (a)(2) of the SORE Test Procedures was revised to allow the 

optional use of E10 for certification testing through the 2019 calendar year 

instead of through 2018 as originally proposed. This revision aligns with 

the on-road requirements for certification fuels published by staff on 

October 28, 2011, and approved by the Board on January 27, 2012. 

Further, this paragraph was amended, per the Board’s direction, to allow 

other fuel-blends certified by ARB to be used for certification testing.

Paragraph (a)(3) of the SORE Test Procedures was revised to require the 

use of E10 for certification testing beginning with the 2020 calendar year 

instead of 2019 as originally proposed. This revision aligns with the onroad requirements for certification fuels published by staff on October 28, 

2011, and approved by the Board on January 27, 2012. The reference to 

the On-Road Test Procedures was updated to reflect the official working 

title of the document. Further, this paragraph was amended, per the 

Board’s direction, to allow other fuel-blends certified by ARB to be used for 

certification testing.

Modifications to the “California Exhaust Emission Standards and Test Procedures for 

1997 and Later Off-Highway Recreational Vehicles and Engines”

§ 86.513-90 – Fuel and engine lubricant specifications.

The numerating order of paragraphs (a)(1)(A) and (a)(1)(B) of the OHRV

Test Procedures were incorrectly cited in staff’s original proposal as 

(a)(1)(i) and (a)(1)(ii) and have been revised to correspond with State of 

California standardized hierarchical numbering conventions. Staff 

attempted to correct these non-substantive formatting errors in 

Appendix IX of the Notice of Public Availability of Modified Text posted on 

ARB’s website on March 22, 2012, but further modifications have been 

made to ensure numbering/lettering agreement with more recent versions 

of the federal test procedures. Paragraph (a)(1)(A) was further revised to 

allow the optional use of E10 for certification testing through the 2019 

calendar year instead of through 2018 as originally proposed. This 

revision aligns with the on-road requirements for certification fuels 

published by staff on October 28, 2011, and approved by the Board on 

January 27, 2012. Further, this paragraph was amended, per the Board’s 

direction, to allow other fuel-blends certified by ARB to be used for 

certification testing.

The numerating/lettering order of paragraph (a)(2) of the OHRV Test 
Page 13 of 28

Procedures has been revised as (a)(1)(iii) to more accurately represent a

dependent subsection of paragraph (a) and not a stand-alone provision. 

Paragraph (a)(1)(iii) was further revised to require the use of E10 for 

certification testing beginning with the 2020 calendar year instead of 2019 

as originally proposed. This revision aligns with the on-road requirements 

for certification fuels published by staff on October 28, 2011, and 

approved by the Board on January 27, 2012. The reference to the Onroad Test Procedures was updated to reflect the official working title of the 

document. Further, this paragraph was amended, per the Board’s

direction, to allow other fuel-blends certified by ARB to be used for 

certification testing.
Page 14 of 28

Modifications to the “California Exhaust Emission Standards and Test Procedures for 

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

Appendix J was reformatted to facilitate the identification of amendments

to the existing test procedures. The original Appendix J published on 

October 26, 2011, as part of the Initial Statement of Reasons for this 

rulemaking, contained virtually the entire text of the test procedures 

document despite staff’s proposed revisions being applicable to only a few 

sections. The revised Appendix J now makes use of the [ * * * * * ] 

notation to designate the overwhelming majority of the document that was

not affected by the Board’s December 16, 2011, amendments. No 

substantive changes occurred as a result of the reformatting.

Modifications to the “California Exhaust Emission Standards and Test Procedures for 

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

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

ramped-modal testing?

Paragraph (b) of the ORCI Test Procedures was clarified to correct an 

oversight in which the applicable duty-cycles in Appendix II were not 

appropriately referenced. Previously, the duty-cycles in question were 

defined in Appendices III and IV, but after those Appendices were

re-designated as paragraphs (b) and (c) in Appendix II, staff inadvertently 

failed to update the references in §1039.505(b) to reflect the change. 

Modifications to the “California Exhaust Emission Standards and Test Procedures for 

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

§ 1068.261 –What provisions apply for selling or shipping certified engines that 

are not yet in the certified configuration?

Paragraph (g)(2) of the ORCI Test Procedures was revised to correct a 

typographical error in which the sentence “Such distributors must bring 

engines into their final certified configuration.” was inadvertently repeated

twice in succession. The redundant sentence has been removed.

Modifications to the “California Exhaust and Evaporative Emission Standards and Test 

Procedures for New 2007 and Later Off-Road Large Spark-Ignition Engines, Parts 1065 

and 1068”

§ 1065.701 –General requirements for test fuels.

Paragraph (a)(2) of the LSI Test Procedures was revised to allow the 

optional use of E10 for certification testing through the 2019 calendar year 

instead of through 2018 as originally proposed. This revision aligns with 
Page 15 of 28

the on-road requirements for certification fuels published by staff on 

October 28, 2011, and approved by the Board on January 27, 2012. 

Further, this paragraph was amended, per the Board’s direction, to allow 

other fuel-blends certified by ARB to be used for certification testing.

Paragraph (a)(3) of LSI Test Procedures was revised to require the use of 

E10 for certification testing beginning with the 2020 calendar year instead 

of 2019 as originally proposed. This revision aligns with the on-road 

requirements for certification fuels published by staff on October 28, 2011, 

and approved by the Board on January 27, 2012. The reference to the 

On-Road Test Procedures was updated to reflect the official working title 

of the document. Further, this paragraph was amended, per the Board’s 

direction, to allow other fuel-blends certified by ARB to be used for 

certification testing.

Modifications to the “California Exhaust and Evaporative Emission Standards and Test 

Procedures for New 2010 and Later Off-Road Large Spark-Ignition Engines, Part 1048”

§ 1048.101 –What exhaust emission standards must my engines meet?

Paragraph (e)(2)(B) of LSI Test Procedures was revised to allow the 

optional use of E10 for certification testing through the 2019 calendar year 

instead of through 2018 as originally proposed. This revision aligns with 

the on-road requirements for certification fuels published by staff on 

October 28, 2011, and approved by the Board on January 27, 2012. 

Further, this paragraph was amended, per the Board’s direction, to allow 

other fuel-blends certified by ARB to be used for certification testing.

Paragraph (e)(2)(C) of LSI Test Procedures was revised to require the use 

of E10 for certification testing beginning with the 2020 calendar year 

instead of 2019 as originally proposed. This revision aligns with the onroad requirements for certification fuels published by staff on October 28, 

2011, and approved by the Board on January 27, 2012. The reference to 

the On-Road Test Procedures was updated to reflect the official working 

title of the document. Further, this paragraph was amended, per the 

Board’s direction, to allow other fuel-blends certified by ARB to be used for 

certification testing.

Modifications to the “California Exhaust Emission Standards and Test Procedures for 

2001 Model Year and Later Spark-Ignition Marine Engines”

Part III – Emission Test Equipment Provisions.

44 – Lubricating Oil and Test Fuel.
Page 16 of 28

The numerating order of paragraph (b)(1)(i) of SIME Test Procedures was 

incorrectly cited in staff’s original proposal and has been changed back to 

(b)(1)(A) to correspond with the numerating order of the existing 

document. Similarly, the reference to the reporting requirement of 

14(b)(2)(vi) was incorrectly cited and has been replaced with the correct 

citation of 14(b)(2)(G). In addition to the numerating order, this reference 

was also out of sequence, pointing to subparagraph (F) instead of the 

correct subparagraph (G).

The numerating order of paragraph (b)(1)(ii) of SIME Test Procedures was 

incorrectly cited in staff’s original proposal and has been changed back to 

(b)(1)(B) to correspond with the numerating order of the existing 

document. Additionally, paragraph (b)(1)(B) was revised to allow the 

optional use of E10 for certification testing through the 2019 calendar year 

instead of through 2018 as originally proposed. This revision aligns with 

the on-road requirements for certification fuels published by staff on 

October 28, 2011, and approved by the Board on January 27, 2012. 

Further, this paragraph was amended, per the Board’s direction, to allow 

other fuel-blends certified by ARB to be used for certification testing.

The numerating order of paragraph (b)(2) of SIME Test Procedures was 

incorrectly cited in staff’s original proposal and has been changed to 

(b)(1)(C) to correspond with the numerating order of the existing 

document. Additionally, paragraph (b)(1)(C) was revised to require the 

use of E10 for certification testing beginning with the 2020 calendar year 

instead of 2019 as originally proposed. This revision aligns with the onroad requirements for certification fuels published by staff on October 28, 

2011, and approved by the Board on January 27, 2012. The reference to 

the On-Road Test Procedures was updated to reflect the official working 

title of the document. Additional clarification was provided by citing 

14(b)(2)(G), as already in paragraph (b)(1)(A), to reference existing 

reporting requirements. Further, this paragraph was amended, per the 

Board’s direction, to allow other fuel-blends certified by ARB to be used for 

certification testing.

SUMMARY AND RATIONALE

Modifications to the Summary & Rationale of Amendments to SORE Test Procedures

Subpart H

§ 1065.701 –General requirements for test fuels.

The commentary was updated to include the revised E10 implementation 

dates and a discussion on the allowance of other ARB-certified test fuels.
Page 17 of 28

Modifications to the Summary & Rationale of Amendments to OHRV Test Procedures

Subpart F

§ 86.513-90 – Fuel and engine lubricant specifications.

The commentary was updated to include the revised E10 implementation 

dates and a discussion on the allowance of other ARB-certified test fuels. 

Additionally, the commentary discusses the correction of clerical errors 

which had affected the numerating order of the affected paragraphs.

Modifications to the Summary & Rationale of Amendments to ORCI regulation and Test 

Procedures

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

The commentary was revised in response to a verbal request from 

industry that ARB clarify the intent of the provision in paragraph (l) to allow 

labels to be replaced by authorized dealers and distributors to repurpose 

an engine (e.g., flex to replacement) that has not yet been sold to an 

ultimate purchaser. Staff’s commentary now includes this situation as an 

example of the acceptable use of the provision, but cautions that no 

downgrading of emissions performance may occur as the result of the 

repurposing of the engine, and that required tabulations, calculations, and 

reporting requirements are updated as appropriate. This clarification of 

applicability is consistent with the federal interpretation of the provision.

§ 2426 – Emission Control Warranty Statement

The commentary was updated to identify the correction of a typographical 

error in paragraph (a) that replaced the word “year” with the plural form 

“years” to better correlate with ARB’s existing practice of allowing 

manufacturers to specify a range of applicable years on the warranty 

statement for carry-over engine families.

California Exhaust Emission Standards and Test Procedures for New 2011 and 

Later Tier 4 Off-Road Compression-Ignition Engines, Part I-D

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

ramped modal testing?

The commentary was updated to identify a change in reference for the 

applicable steady-state duty-cycles required for emissions measurement 

testing from the previously existing Appendices III and IV to the newly 

consolidated Appendix II.
Page 18 of 28

California Exhaust Emission Standards and Test Procedures for New 2011 and 

Later Tier 4 Off-Road Compression-Ignition Engines, Part I-E

§ 1068.120 –What requirements must I follow to rebuild engines?

The commentary was updated to identify the correction of a typographical 

error in which the word ‘that” was inadvertently substituted for the word 

“than.”

Modifications to the Summary & Rationale of Amendments to LSI Test Procedures

Subpart B

§ 1048.101 –What exhaust emission standards must my engines meet?

The commentary was updated to include the revised E10 implementation 

dates and a discussion on the allowance of other ARB-certified test fuels.

Subpart H

§ 1065.701 –General requirements for test fuels.

The commentary was updated to include the revised E10 implementation 

dates and a discussion on the allowance of other ARB-certified test fuels.

§ 1065.710 –Gasoline

The commentary was updated to include the revised E10 implementation 

dates and a discussion on the allowance of other ARB-certified test fuels.

Modifications to the Summary & Rationale of Amendments to SIME Test Procedures

Part III – Emission Test Equipment Provisions.

44 – Lubricating Oil and Test Fuel.

The commentary was updated to include the revised E10 implementation 

dates and a discussion on the allowance of other ARB-certified test fuels. 

Additionally, the commentary discusses the correction of clerical errors 

which had affected the numerating order of the affected paragraphs.
Page 19 of 28

Modifications to the Summary & Rationale of Amendments to LSI Retrofit Regulation

13 CCR §2783

The commentary was updated to include the revised E10 implementation 

dates and a discussion on the allowance of other ARB-certified test fuels.

13 CCR §2784

The commentary was updated to include the revised E10 implementation 

dates and a discussion on the allowance of other ARB-certified test fuels.
Page 20 of 28

III. SUMMARY OF COMMENTS AND AGENCY RESPONSES TO THE ORIGINAL 

PROPOSAL AND NOTICE OF MODIFIED TEXT

At the December 16, 2011, hearing, two representatives from the regulated industry

provided oral testimony and written transcripts. Additional written comments were 

received from other affected stakeholders by the hearing date. Written comments were 

also received during the 15-day comment period for the Notice of Modified Text. A list 

of commenters is set forth below, identifying the date and form of all comments that 

were timely submitted. 

ORGANIZATION AND PERSON PROVIDING COMMENTS WRITTEN

COMMENTS

ORAL

TESTIMONY

Michael Shanburg, Unaffiliated 11/26/2011

[UA]

Pamela Amette, Motorcycle Industry Council 12/12/2011

[MIC]

Timothy French, Truck and Engine Manufacturers Association 12/13/2011

[EMA-1]

J. Song/ J. Kubsh, Manufacturers of Emission Controls Association 12/14/2011

[MECA]

G. Coons/ W. Guerry, Outdoor Power Equipment Institute 12/15/2011

[OPEI]

Mark Riechers, Brunswick / Mercury Marine 12/16/2011

[MM] 12/16/2011

John McKnight, National Marine Manufacturers Association 12/16/2011

[NMMA-1] 12/16/2011

John McKnight, National Marine Manufacturers Association 04/03/2012

[NMMA-2]

Roger Gault, Truck and Engine Manufacturers Association 04/09/2012

[EMA-2]

Set forth below is a summary of each objection or recommendation made regarding the 

proposed action together with an explanation of how the proposed action was changed 

to accommodate each objection or recommendation, or the reasons for making no 

change. The comments have been grouped by topic whenever possible. Comments 

not involving objections or recommendations specifically directed toward the rulemaking 

or to the procedures followed by ARB in this rulemaking are not summarized below.

In general, the Associations representing the regulated industry (i.e., MIC, EMA, OPEI, 

and NMMA) overwhelmingly supported the amendments to the regulations in that they

provided greater harmonization with federal requirements. NMMA and MM had specific 

comments and recommendations for modification on the certification fuel requirements

of the proposed regulations which are discussed in further detail below. The comments

by MECA supported the adoption of the regulations with no request for modification.
Page 21 of 28

A. General Supporting Comments

1. Comment: We support staff’s proposal to further harmonize certification

requirements and emission standards for California’s off-road engines with those of 

the U.S. EPA for nonroad engines. Harmonization is critical to any viable 

regulatory program to control emissions, and reduces the costs that would 

otherwise be needed for manufacturers to comply with more than one set of 

standards. [EMA-1] [MECA] [OPEI]

2. Comment: We support the proposal to require a 10 percent ethanol fuel blend 

(E10) for certification testing in order to re-establish the consistency between 

certification test fuel and the dominant, commercially available fuel in California.

[MIC] [EMA-1] [MECA] [OPEI]

3. Comment: We support staff’s 15-day amendments to broaden the certification 

test fuel requirement by including the option to use other ARB-certified fuels in 

addition to E10 (e.g., isobutanol). [NMMA-2] [EMA-2]

4. Comment: We support staff’s 15-day amendments to the SORE regulations and 

test procedures. [EMA-2]

Agency Response: We agree that the amendments are necessary and 

appropriate for enhancing harmonization with federal requirements and for 

streamlining certification efforts without sacrificing previously projected gains in air 

quality.

B. Comments Related to Federal Harmonization

5. Comment: To facilitate future harmonization with federal regulations, we urge the 

Board to adopt an “incorporate by reference” approach for all analogous U.S. EPA 

regulations. By referencing the appropriate section of the Code of Federal 

Regulations (CFR) in California’s regulations, staff would be able to accommodate 

ongoing amendments to the federal regulations in a timely manner and avoid

situations where the regulated industry would have to comply with duplicative 

certification requirements for the same engine without a corresponding increase in 

emission benefits. [EMA-1]

Agency Response: We agree that harmonization is important, but disagree that 

incorporating the federal regulations by direct reference would accomplish all of 

our goals for air quality, as this would limit ARB’s ability to independently 

implement or enforce its regulations should U.S. EPA make a change that is not in 

California’s best interests. Also, title 1, CCR, section 20(c)(3), generally prohibits 

the incorporation by reference of material into California regulations without a date 

of publication or issuance, which would defeat the purpose of referencing the 

federal regulations in the first place.
Page 22 of 28

One of staff’s primary objectives in amending California’s off-road regulations was 

to create a more efficient certification process for manufacturers by removing the 

burden to perform duplicative testing for ARB and U.S. EPA. We believe we have 

accomplished this by incorporating the overwhelming majority of provisions 

contained in the analogous federal regulations, including all emission standards 

and implementation schedules. However, in order to preserve California’s 

independent enforcement authority over off-road engines within the State, specific 

modifications to the regulatory language have been made, such as the referencing 

of California regulations and test procedures whenever necessary.

Furthermore, to facilitate the operation of California’s various in-use off-road diesel 

programs, some additional requirements were necessary. For example, 

California’s amended off-road diesel regulations now require more extensive 

labeling for replacement engines than do U.S. EPA’s regulations in order that 

repowered equipment can be accurately registered by end-users and easily 

identified in-use by ARB field inspectors. U.S. EPA does not have a similar, 

mandatory in-use program. Additionally, California decided not to align with 

U.S. EPA’s E15 certification fuel requirement as it existed at the time of the 

December 16, 2011, Board hearing, which, based on the majority of comments 

received in response to ARB’s proposed rulemaking, was a welcome departure 

from full harmonization.

Should differences between the federal and California regulations arise in the 

future that cannot be addressed within the Executive Officer’s existing discretion, 

relief can be provided through a new rulemaking. Depending on the 

circumstances, an emergency hearing may be appropriate, provided the statutorily 

mandated findings for such a hearing can be made.

6. Comment: At a minimum, ARB should “incorporate by reference” the entirety of 

U.S. EPA’s title 40 CFR, Part 1065, to avoid non-alignment issues in the future. 

Part 1065 contains the technical specifications and measurement protocols for 

emissions measurement test procedures and is constantly being refined to utilize 

the latest technologies and to more accurately represent typical engine and 

equipment operation. Several ARB staff are contributing members of the 

Emissions Measurement and Testing Committee (EMTC) that develops Part 1065; 

therefore, ARB should not have need for a separate set of procedures specific to 

California. [EMA-1]

Agency Response: We disagree, primarily for the same reasons we expressed in 

our response to Comment 5 above. However, it is worth noting that just because 

ARB participated in the development of 40 CFR, Part 1065, through the EMTC, 

that does not ensure that California’s requests and/or objections will be 

satisfactorily addressed in the final product. California still has the worst air quality 

in the nation and often requires unique provisions to better address this reality, 

provisions that may not be necessary for the rest of the country. Recognition of 
Page 23 of 28

this fact is stated in the Clean Air Act, which authorizes California to set its own 

standards for non-preempted engines. With that said, the overwhelming majority 

of provisions in the latest version of 40 CFR, Part 1065 have been incorporated in 

the California regulations without change and the Executive Officer has a wide 

degree of latitude for authorizing alignment of the §1065 standards with future 

federal modifications.

7. Comment: If ARB refuses to adopt an “incorporate by reference” approach for its 

off-road regulations to ensure alignment with analogous federal regulations, then 

staff needs to return to the Board more frequently to ensure harmonization with 

U.S. EPA’s updates. [EMA-1]

Agency Response: We disagree. Staff routinely presents items to the Board 

when approval is needed to adopt new or update existing regulations to ensure 

effectiveness and to provide relief to the regulated community as necessary. Until 

recently, there was no impediment to manufacturers certifying small off-road 

engines or off-road compression-ignition engines in California that would justify the 

expenditure of resources necessary to amend the regulations. Unlike U.S. EPA, 

ARB does not have a mechanism, such as the Direct Final Rulemaking process, to 

expedite minor revisions to our regulations and test procedures. We do have the 

option of an emergency hearing in the event that action needs to occur 

immediately, but this is typically reserved for situations where inaction would result 

in extreme consequences to the manufacturer, environment, or other affected 

stakeholders. Staff is unaware of any manufacturer that has been denied 

certification in California due to unintended differences between federal and State 

off-road regulations.

Additionally, the regulations contain provisions granting the Executive Officer 

authority to allow alternative means of compliance under circumstances that do not 

alter the stringency of the regulations nor increase the cost of compliance. The 

recent promulgation by U.S. EPA of a new “combined oxides of nitrogen and 

hydrocarbon exhaust emission” standard for off-road compression-ignition engines,

and the transition to ethanol blended certification fuels for spark-ignition engines 

were the catalysts necessitating the December 16, 2011, Board hearing. Staff 

used this opportunity to “catch up” with the other amendments made by U.S. EPA, 

as appropriate, that had occurred since the adoption of the previous regulations,

and to incorporate a few California specific amendments intended to enhance the 

effectiveness of ARB’s in-use programs.

C. Comments Related to E10 Certification Fuel

8. Comment: ARB should not require the use of certification fuel blends with more 

than 10 percent ethanol by volume (3.5 percent oxygen content) because such 

blends are likely to negatively impact the performance and durability of legacy 

off-highway recreational vehicles and marine engines. Our testing has shown that 

ethanol fuel blends consisting of 15 percent ethanol by volume (E15) can severely 
Page 24 of 28

damage marine engines and do not result in lower emissions. ARB is urged not to 

align with U.S. EPA’s requirement for an E15 certification test fuel. [MIC] [NMMA-1] 

[MM]

Agency Response: We agree. In adopting E10 as the certification fuel for the 

future, ARB made the logical decision to correlate the certification fuel with the 

most dominant fuel commercially available in California. Additional testing of E15

to determine the effects on emissions, performance, and durability of engines 

should be undertaken before a decision to require its use in the off-road sector is 

rendered.

9. Comment: The requirement to use E10 as a certification test fuel is reasonable, 

but staff needs to ensure that the final specifications of the fuel do not conflict with 

the specifications required by other ARB regulations such as the Low Carbon Fuel 

Standard scheduled to be heard by the Board in 2012. [EMA-1]

Agency Response: We agree, and have updated the regulations and test 

procedures to reference the on-road requirements for certification fuels published 

in title 13, CCR, §1961.2, and the “California 2015 and Subsequent Model Criteria 

Pollutant Exhaust Emission Standards and Test Procedures for 2015 and 2017 

and Subsequent Model Greenhouse Gas Exhaust Emission Standards and Test 

Procedures for Passenger Cars, Light-Duty Trucks, and Medium-Duty Vehicles,”

approved by the Board on January 27, 2012.

10. Comment: Ethanol fuel blends are susceptible to phase separation and can 

corrode fuel system components and fuel tanks making such fuels less than 

optimal for use in marine engines. [NMMA-1] [MM]

Agency Response: Although we do not dispute the commenters’ observations, 

the majority of complaints seem to be related to older boats that are stored for 

extended periods with fuel left in the tank. The issues raised could be minimized

by draining the fuel when putting the engine in storage and by adhering to 

manufacturer-recommended winterizing procedures. Most boat owners use 

commercially available gasoline when refueling their boat engines, which has been 

E10 in California since January 1, 2010, and they do not experience any problems 

when operating with fresh fuel. 

11. Comment: ARB should consider revising the certification fuel requirement to allow 

other renewable fuel blends such as isobutanol, which our testing shows to be a 

better all-around alternative bio-fuel feedstock. Isobutanol has higher energy 

density than ethanol at the same oxygen content (3.5 percent) and can supplant a 

greater portion of gasoline (i.e., 16.1 percent isobutanol vs. 10 percent ethanol), 

which would have a greater impact than E10 on reducing America’s dependence 

on foreign oil. [NMMA-1] [MM]
Page 25 of 28

Agency Response: We agree in concept and have amended the new certification 

fuel requirements in our spark-ignition regulations and test procedures to include 

an option allowing manufacturers to use other ARB-certified renewable fuel blends. 

The potential of isobutanol as a fuel additive appears promising although more 

comprehensive testing will need to occur before its suitability can be determined.

D. Comments Related to Certification Requirements

12. Comment: The Off-Highway Recreational Vehicle regulation should be amended 

to clarify that either carry-over or carry-across durability data generated using the 

previously approved service accumulation fuel will continue to be allowed for 

certification purposes even after the transition to E10 certification fuel. [MIC]

Agency Response: No modification to the regulation is necessary because the 

existing regulation does not specifically prohibit the carry-over/carry-across of 

durability data between identical engines in response to a change in the 

certification fuel. Furthermore, because the emission standards were not changed 

by the amendments, and because OHRVs have already been operating in-use on 

E10-based Phase 3 California Reformulated Gasoline (CaRFG3) since December 

31, 2009, it would not be a reasonable application of the carry-over/ carry-across 

allowances to exclude the carry-over/carry-across of durability data in this 

circumstance. To do so would require manufacturers to retest identical engines 

that have already been operating in-use on CaRFG3 for over two years.

13. Comment: ARB should clarify §1054.235(g) of the Small Off-Road Engine test 

procedures such that the emissions reporting requirements for methane (CH4) and 

nitrous oxide (N2O) are applicable to new certification testing only. Additionally, 

previously conducted engine family certification testing for which the measurement 

of CH4 and/or N2O data was not required should be allowed to continue to be 

utilized for on-going or carry-over certification, as is allowed by U.S. EPA. [EMA-1]

Agency Response: To maintain alignment with federal provision, no modification

will be made to §1054.235(g). However, it is a reasonable interpretation of the 

carry-over provisions that the CH4 and N2O reporting requirements would not apply 

to the certification of carry-over engine families. Any other interpretation would be 

contrary to the intention of this rulemaking, which is to reduce the burden on 

manufacturers of unnecessary duplicative certification efforts by harmonizing with 

federal requirements to the extent feasible and which best achieve California’s air 

quality goals.
Page 26 of 28

14. Comment: To avoid potentially costly dis-harmonization situations, manufacturers 

should be allowed to utilize the amendments approved by the Board on December

16, 2011, to certify engine families for the 2012 model year without having to wait 

for final review by the Office of Administrative Law and signature by the Secretary 

of State, which may take up to a year. Otherwise, we request an expedited review 

by the Office of Administrative Law. [EMA-1] [EMA-2]

Agency Response: Although no modification was enacted in response to this 

comment, staff is aware of and acknowledges the commenter’s concerns and 

request to utilize the latest amendments on an expedited basis. ARB is committed 

to working with the regulated industry to ensure a reasonable implementation 

during this period of transition and is committed to finalizing the amendments in a 

timely manner.

15. Comment: ARB should clarify §1065.5(a)(3) of the 2011 and Later Off-Road 

Compression-Ignition Engine Test Procedures such that it permits manufacturers 

the option to estimate, rather than measure directly, CH4 and N2O emissions from

total hydrocarbon and carbon dioxide measurements, respectively, just like U.S. 

EPA does. [EMA-1]

Agency Response: No modification to the original proposal was enacted in 

response to this comment. We proposed, and the Board approved, complete 

harmonization with U.S. EPA’s promulgation of §1065.5(a)(3) in our original 

proposal at the December 16, 2011, Board hearing, which allows manufacturers to 

certify engines using indirect measurements of N2O and CH4, as appropriate. We 

also clarified in our original proposal the provisions in §1039.235(g) of the 2011 

and Later Off-Road Compression-Ignition Test Procedures, making clear that the 

provisions in §1065.5(a)(3) would be applicable to off-road diesel certification. 

ARB’s Mobile Source Operations Division will be responsible for approving specific 

techniques for estimating or indirectly measuring CH4 and N2O emissions on a 

case by case basis. 

E. Miscellaneous Comments

16. Comment: California’s small off-road engine regulation has forced manufacturers 

to produce underperforming lawn and garden equipment and is bad for business. 

[UA-1]

Agency Response: We disagree. In addition to requiring more stringent

emission standards for lawn and garden equipment, California’s small off-road 

engine regulation requires new engines to be warranted by the manufacturer to

ensure that the engines continue to operate as designed in-use. As a result of this, 

modern engines have become more durable than engines produced only a few 

years ago and generally see longer service lives. Furthermore, any regulation 

adopted in California must be shown to be cost-effective, meaning that any cost 

increase to implement the new requirements is reasonable and would not affect 
Page 27 of 28

the availability of equipment in California nor significantly impact the operation of 

California businesses in a negative manner. Additionally, U.S. EPA has 

promulgated similar emission standards for all new lawn and garden equipment 

under federal regulations, and so, beginning this year (2012), all new lawn and 

garden equipment sold across the United States must comply with similar emission 

standards as required in California.

17. Comment: Why weren’t our comments regarding corrections to the proposed 

amendments to the Tier 4 off-road compression-ignition regulation and test 

procedures addressed in staff’s 15-day notice? [EMA-2]

Agency Response: The Truck and Engine Manufacturers Association identified 

four technical corrections to the off-road compression-ignition component of staff’s 

original proposal. Three of those corrections were clarifications of a typographical 

nature and have been corrected in the final regulatory package. Staff saw no need 

to formalize those corrections as part of the 15-Day Modification process because 

they were non-substantive and because no other corrections to the off-road 

compression-ignition regulations and test procedures had been requested to 

warrant the publication of an amended document at that time. The fourth item had 

already been addressed in favor of the commenter’s request prior to the receipt of 

comments as part of staff’s original proposal (see the agency response to 

Comment 15 above), which was approved by the Board on December 16, 2011.
Page 28 of 28

LIST OF APPENDICES

A. Technical Support Document – For Proposed Amendments Related to Tier 4 Off-Road 

Compression-Ignition Engine Regulations

B. Final Regulation Order Summary & Rationale – Small Off-Road Engine Regulations

C. Final Regulation Order Summary & Rationale – Tier 4 Off-Road Compression-Ignition 

Engine Regulations

D. Final Regulation Order Summary & Rationale – New Large Spark-Ignition Engines; and 

In-Use Large Spark-Ignition Engine Retrofits

E. Final Regulation Order Summary & Rationale – Off-Highway Recreational Vehicles

F. Final Regulation Order Summary & Rationale – Recreational Marine Spark-Ignition 

Engines