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ATTACHMENT A

REGULATORY AMENDMENTS

TEXT OF THE 15-DAY MODIFICATIONS TO:

REGULATION FOR A PUBLIC TRANSIT BUS FLEET RULE AND

 EMISSION STANDARDS FOR NEW URBAN BUSES
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PROPOSED REGULATION ORDER WITH MODIFIED TEXT

TITLE 13, CALIFORNIA CODE OF REGULATIONS (CCR)

Note: The originally proposed amendments to title 13, California Code of Regulations

(CCR), sections 1956.1, 1956.2, 1956.3, 1956.4, set forth below are new language

proposed to be added. The modifications to the original proposal are shown in double

underline to indicate additions and double underline strikeout to indicate deletions.

SECTION 1956.1, TITLE 13, CCR

Add to Title 13, California Code of Regulations, new section 1956.1, to read:

1956.1 Exhaust Emission Standards and Test Procedures - 1985 and Subsequent

Model Heavy Duty Urban Bus Engines and Vehicles

(a) The exhaust emissions from new 1985 and subsequent model heavy-duty

diesel cycle urban bus engines and vehicles fueled by methanol, natural

gas, liquefied petroleum gas, and petroleum shall not exceed the

following, by model year, in grams per brake horsepower-hour (g/bhp-hr):

(1) 1985-1986 - 1.3 total hydrocarbons [(or Organic Material

Hydrocarbon Equivalent ([OMHCE]) for methanol-fueled buses)],

15.5 carbon monoxide (CO), and 5.1 oxides of nitrogen (NOx).

(2) 1987- (a manufacturer may certify to the 1988 emission standards

one year early as an option) - 1.3 total hydrocarbons (or OMHCE

for methanol-fueled buses), 15.5 CO, and 5.1 NOx.

(3) 1988-1990 - 1.3 HC (or OMHCE for methanol-fueled buses),

15.5 CO, 6.0 NOx, 0.60 particulate matter (PM), and for 1990 only,

1.2 optional non-methane hydrocarbons (NMHC).

(4) 1991-1993 - 1.3 HC (or OMHCE for methanol-fueled buses),

1.2 optional NMHC, 15.5 CO, 5.0 NOx, and 0.10 PM. Emissions

from methanol-fueled, natural-gas-fueled and liquefied-petroleumgas-fueled urban bus engines may be included in the averaging

program for petroleum-fueled engines other than urban bus

engines.

(5) 1994-1995 - 1.3 HC (or OMHCE for methanol-fueled buses),

1.2 optional NMHC, 15.5 CO, 5.0 NOx (or optional 3.5 to 0.5 NOx),

and 0.07 PM. Emissions from methanol-fueled, natural-gas-fueled

and liquefied-petroleum-gas-fueled urban bus engines, may be

included in the averaging program for petroleum-fueled engines

other than urban bus engines.
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 (6) 1996-2003 - 1.3 HC or OMHCE, 1.2 optional NMHC, 15.5 CO,

4.0 NOx, and 0.05 PM (0.07 PM in-use), except as provided in

paragraph (7) below.

(A) For 1996 and 1997 only, a manufacturer may apply to the

Executive Officer for an exemption from the 4.0 NOx

standard, not to exceed 10% of the average of the

manufacturer’s total urban bus sales in California for the

three preceding model years, upon providing technical

justification and sales data for each exemption applied for.

(B) 1998 through 2003 model year engines may generate

averaging, banking, and trading credits in accordance with

the requirements for averaging, banking and trading

programs set forth in “California Exhaust Emission

Standards and Test Procedures for 1985 and Subsequent

Model Heavy Duty Diesel Engines and Vehicles”

incorporated by reference in subdivision (b) of this section

1956.8, 13 CCR.

(C) Manufacturers may choose to certify 1998 through

September 30, 2002 model year bus engines produced

before October 1, 2002, to an optional NOx emissions

standard between 0.5 and 2.5 g/bhp-hr. A manufacturer

may certify to any standard between the values of 2.5 and

0.5 g/bhp-hr, by 0.5 g/bhp-hr increments. Manufacturers

may not use engines certified to this optional NOx standard

for any averaging, banking, or trading program set forth in

“California Exhaust Emission Standards and Test

Procedures for 1985 and Subsequent Model Heavy Duty

Diesel Engines and Vehicles” incorporated by reference in

subdivision (b) of this section the test procedures document

incorporated in subdivision (b) of section 1956.8, 13 CCR.

(7) October 1, 2002, PM standard - For diesel-fueled, dual-fuel, and

bi-fuel bus engines, the PM standard shall be 0.01 (0.01 PM in-use)

for 2002 and subsequent model year engines produced beginning

October 1, 2002. Manufacturers may choose to meet this standard

with an aftertreatment system that reduces PM to 0.01 g/bhp-hr.

(7)(8) October 2002-2006 optional standards – Except for diesel-fueled,

dual-fuel, and bi-fuel engines, Mmanufacturers may choose to

certify 2002 – 2006 model year bus engines produced beginning

October 1, 2002, to an optional 1.8 to 0.3 g/bhp-hr NOx plus NMHC

standard, measured as the arithmetic sum of the NOx and NMHC

exhaust component certification values, without restriction on

individual component certification values; provided that engines

certified to this optional reduced-emission NOx plus NMHC
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standard may not participate in any averaging, banking, or trading

program set forth in the test procedures document incorporated by

reference in subdivision (b) of this section 1956.8, 13 CCR. A

manufacturer may certify to any standard between the values of 1.8

to 0.3 g/bhp-hr, by 0.3 g/bhp-hr NOx + NMHC increments.

Manufacturers certifying to this optional standard must also certify

to a PM standard of 0.03, 0.02, or 0.01 g/bhp-hr.

(9) October 2002-2003 optional standards for diesel-fueled, dual-fuel,

and bi-fuel engines -- Manufacturers may choose to certify 2002 –

2003 model year diesel-fueled, dual-fuel, and bi-fuel bus engines

produced beginning October 1, 2002, to an optional 1.8 to 0.3

g/bhp-hr NOx plus NMHC standard, measured as the arithmetic

sum of the NOx and NMHC exhaust component certification values,

without restriction on individual component certification values;

provided that engines certified to this optional reduced-emission

NOx plus NMHC standard may not participate in any averaging,

banking, or trading program set forth in the test procedures

document incorporated by reference in subdivision (b) of this

section. A manufacturer may certify to any standard between the

values of 1.8 to 0.3 g/bhp-hr, by 0.3 g/bhp-hr NOx + NMHC

increments. Manufacturers certifying to this optional standard must

also certify to a PM standard of 0.01 g/bhp-hr.

(8)(10)2004 – 2006: Except as provided in (9) paragraph (11), below, the

required standard shall be 2.4 NMHC plus NOx NOx + NMHC

measured as the arithmetic sum of exhaust component certification

values for these pollutants, without restriction on individual

component values, 15.5 CO, and 0.05 PM (0.07 PM in-use).

(A) Manufacturers may choose to certify to a 2.5 optional

combined NOx + NMHC standard, provided that the NMHC

exhaust component certification value shall not exceed 0.5

g/bhp-hr.

(B) Emissions averaging may be used to meet the combined

NOx + NMHC standard, the optional combined NOx +

NMHC standard set forth in paragraph (A), and the PM

standard.

(C) The combined NOx + NMHC standard and the optional

combined NOx + NMHC standard described in paragraph

(A) may serve as the certification standard for the higher

emitting fueling mode of an engine certified under the dual

fueling mode certification process set forth in section

1956.8(a)(3)(4), Title 13, CCR.
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(9)(11)2004-2006 – For diesel-fueled, or dual-fuel, and bi-fuel urban bus

engines, the standards are 0.5 NOx, 0.01 PM, 0.05 NMHC, 5.0 CO,

and 0.01 formaldehyde. As an option, manufacturers may choose

to meet these the NOx and PM standards with an base engine that

is certified to the standards in (8) paragraph (10) above, equipped

with an aftertreatment system that reduces NOx to 0.5 and PM to

0.01 standards. The NMHC, CO, and formaldehyde standards in

this paragraph (11) shall still apply. Manufacturers shall be

responsible for full certification, durability, testing, and warranty and

other requirements for the base engine. For the aftertreatment

system, manufacturers shall not be subject to the certification

durability requirements, or in-use recall and enforcement

provisions, but are subject to warranty provisions for functionality.

In addition, engine manufacturers may sell diesel-fueled, dual-fuel,

or bi-fuel engines to any transit fleet exempted under section

1956.2(d)(7), Title 13, CCR, from the requirements of section

1956.2(d)(4), certified to the standards in either paragraphs (9) or

(10) above, with the exception that engines certified to the

standards in paragraph (10) must be certified to a 0.01 grams per

brake horsepower-hour PM standard.

(10)(12) 2007 and subsequent – 0.2 NOx, 0.01 PM, 0.05 NMHC, 5.0 CO,

and 0.01 formaldehyde. Engines certified to this standard shall

meet the given standards for each pollutant, and must not

participate in any averaging, banking, and trading program as

described in subdivision (b) of section 1956.8, 13 CCR.

(b) The test procedures for determining compliance with standards applicable

to 1985 and subsequent heavy-duty diesel cycle urban bus engines and

vehicles and the requirements for participation in the averaging, banking

and trading programs, are set forth in the "California Exhaust Emission

Standards and Test Procedures for 1985 and Subsequent Model HeavyDuty Diesel Engines and Vehicles," adopted April 8, 1985, as last

amended [insert date of finalized amendment], which is incorporated by

reference herein.

NOTE: Authority cited: Sections 39600, 39601, 43013, 43018, 43100, 43101, 43104,

and 43806 Health and Safety Code and section 28114 Vehicle Code

Reference: Sections 39002, 39003, 39017, 39033, 39500, 39650, 39657, 39667,

39701, 40000, 43000, 43000.5, 43009, 43013, 43018, 43102, 43806, Health and Safety

Code, and sections 27157 and 28114 Vehicle Code.
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SECTION 1956.2, TITLE 13, CCR

Add to Title 13, California Code of Regulations, new section 1956.2, to read:

1956.2 Fleet Rule for Urban Transit Bus Operators

(a) To encourage transit agencies that operate urban bus fleets to purchase

or lease currently available lower emission alternative-fuel buses, while

also providing flexibility to such fleet operators to determine their optimal

fleet mix in consideration of such factors as air quality benefits, service

availability, cost, efficiency, safety, and convenience, two paths to

compliance with this fleet rule are available: the alternative-fuel path and

the diesel path. Transit agencies must choose their compliance path, and

those choosing the alternative-fuel path shall notify ARB of their intent to

follow that either the diesel or the alternative-fuel path, by January 31,

2001. Reporting requirements for that notification are set forth in

subdivisions (a)(1) and (b) of section 1956.4, Title 13, CCR.

(b) For the purpose of the fleet rule specified in this section, the following

definitions apply:

(1) “Alternative fuel” means natural gas, propane, ethanol, methanol,

electricity, fuel cells, or advanced technologies that do not rely on

diesel fuel. Alternative fuel also means any of these fuels used in

combination with each other or in combination with other non-diesel

fuels.

(2) “Active fleet” means a transit agency’s total active fleet of urban

buses, including spare buses, but not contingency vehicles (e.g.,

for emergencies) or non-revenue producing vehicles.

(3) “Transit agency” means a public entity responsible for administering

and managing transit services. Public transit agencies can directly

operate transit service or contract out for all or part of the total

transit service provided.

(4) “Urban bus” means a passenger-carrying vehicle powered by a

heavy heavy-duty diesel engine, or of a type normally powered by a

heavy heavy-duty diesel engine, with a load capacity of fifteen (15)

or more passengers and intended primarily for intra-city operation,

i.e., within the confines of a city or greater metropolitan area.

Urban bus operation is characterized by short rides and frequent

stops. To facilitate this type of operation, more than one set of

quick-operating entrance and exit doors would normally be

installed. Since fares are usually paid in cash or token, rather than

purchased in advance in the form of tickets, urban buses would

normally have equipment installed for the collection of fares. Urban
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buses are also typically characterized by the absence of equipment

and facilities for long distance travel, e.g., restrooms, large luggage

compartments, and facilities for stowing carry-on luggage.

(b)(c) Transit agencies on the alternative-fuel path shall meet the following

requirements:

(1) Upon approval of the regulation, and through Model Year 2015, 85

percent of all urban buses purchased or leased each year must be

alternative-fuel buses.

(2) NOx fleet average requirements as set forth in subsectiondivision

(d)(e), below.

(3) Beginning October 1, 2002, only engines certified to an optional PM

standard of 0.03 g/bhp-hr or lower shall be used purchased when

making new bus purchases.

(4) PM retrofit requirements and use of low sulfur fuel as set forth in

subsectiondivision (e)(f), below.

(5) Transit agencies on the alternative-fuel path shall not purchase any

diesel-fueled, dual-fuel, or bi-fuel buses with 2004 – 2006 model

year engines certified to emissions levels in excess of those

specified in paragraph (a)(11) of section 1956.1, Title 13, CCR.

(5)(6) Zero emission bus purchase requirements beginning in model year

2010, in accordance with the requirements set forth in subdivision

(c) of section 1956.3, Title 13, CCR.

(6)(7) Reporting requirements as set forth in section 1956.4, Title 13,

CCR.

(c)(d) Transit agencies on the diesel path shall meet the following requirements:

(1) NOx fleet average requirements as set forth in subsectiondivision

(d)(e), below.

(2) PM retrofit requirements and use of low sulfur fuel as set forth in

subsectiondivision (e)(f), below.

(3) Zero emission bus demonstration in 2003-2004, as required in

subdivision (b) of section 1956.3, Title 13, CCR.

(4) Beginning January 1, 2004, transit agencies on the diesel path shall

not take delivery of any buses Transit agencies on the diesel path

shall not purchase any diesel-fueled, dual-fuel, bi-fuel, or

alternative-fuel buses with 2004 – 2006 model year engines

certified to emissions levels in excess of those specified in

subdivision paragraph (a)(9)(11) of section 1956.1, Title 13, CCR.

(5) Zero emission bus purchase requirements beginning in model year

2008, in accordance with the requirements set forth in subdivision

(c) of section 1956.3, Title 13, CCR.

(6) Reporting requirements as set forth in section 1956.4, Title 13,

CCR.
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(7) The Executive Officer may exempt transit agencies on the diesel

path from the requirements of paragraph (d)(4) of section 1956.2,

Title 13, CCR, provided that:

(A) A transit agency applies to the Executive Officer for such

exemption by June 30, 2001;

(B) A transit agency demonstrates to the Executive Officer that it

will achieve NOx emissions benefits through 2015 greater

than what would have been achieved through compliance

with paragraph (d)(4); and

(C) The Executive Officer finds that transit agencies, after

consulting with the Engine Manufacturers Association, have

demonstrated, or are contractually committed to

demonstrate, advanced NOx aftertreatment technology.

(d)(e) Beginning October 1, 2002, no transit agency shall own, operate, or lease

an active fleet of urban buses with average NOx emissions in excess of 4.8

g/bhp-hr, based on new or repowered the engine certification standards of the

engines in use.

(1) This active fleet average requirement shall be based on urban

buses owned, operated, or leased by the transit agency, including

diesel buses, alternative-fuel buses, all heavy-duty zero emission

buses, electric trolley buses, and articulated buses, in their each

transit agency’s active fleet. The Executive Officer may allow zeroemission buses that do not meet the definition of an urban bus to

be included in the calculation of the fleet average standard upon

written request to the ARB by January 31, 2002, and upon approval

by the Executive Officer. The request shall include a description of

the zero-emission buses, the zero-emission technology utilized,

and the number of zero-emission buses to be used in calculating

the NOx fleet average standard. Zero-emission buses not meeting

the definition of an urban bus may not be used to satisfy the

requirements of the Zero Emission Bus Demonstration Project set

forth in subdivision (b) of section 1956.3, Title 13, CCR.

(2) Transit agencies may use ARB-certified NOx retrofit systems to

comply with the fleet average requirement (in addition to bus

purchases, repowerings, and retirements).

(3) Transit agencies have the option of retiring all 1987 and earlier

model year diesel urban buses by October 1, 2002, to comply with

the fleet average standard requirement.

(e)(f) To reduce public exposure to diesel particulate matter, transit agencies

and companies that lease buses to transit agencies shall participate in a
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program to retrofit diesel buses in their active fleets according to the

schedule below, and to shall operate their diesel buses on diesel fuel with

a maximum sulfur content of 15 parts per million by weight.

Documentation of compliance with these requirements must be provided

in accordance with the provisions of subdivision (c)(d) of section 1956.4,

Title13, CCR.

(f)

(1) Tier 1 – Except as provided in (B) below, Bby January 1, 2003,

transit agencies shall not own, operate or lease 1990 and earlier

model year diesel-fueled, dual-fuel, bi-fuel, or diesel hybrid buses in

their active fleets with 1990 and earlier model year engines, unless

those buses engines have been retrofitted as provided in paragraph

(A), below, or are eligible for an exemption as provided in (B),

below. Transit agencies with less fewer than 20 buses in their

active fleets, and that operate in federal one-hour ozone ambient

air quality standard attainment areas, are subject to not required to

comply with this requirement beginning until January 1, 2007;

provided that in areas redesignated as one-hour ozone nonattainment areas prior to January 1, 2007, transit agencies initially

eligible for delayed compliance shall submit a plan to the Executive

Officer within 30 days of redesignation for achieving compliance

with this retrofit requirement.

(A) The retrofit device must be certified by the Executive Officer

of the ARB as having an 85 percent or greater efficiency in

reducing diesel particulate matter in accordance with the

procedures set forth in the “California Certification

Procedures for PM Retrofit Devices for On-Road Heavy-Duty

Diesel Engines” incorporated by reference in paragraph (f)(7)

below.

(B) 1990 and earlier buses engines were originally certified to a

PM standard of 0.60 grams per brake horsepower-hour. Only

those 1990 and earlier buses engines that have been

retrofitted to 0.10 grams per brake horsepower-hour PM with

an ARB-certified retrofit device (to meet the requirements of

the U.S. EPA urban transit bus rebuild and retrofit program,

85 CFR, sections 1401 through 1415 40 CFR 85.1401 -

1415) are eligible for the retirement exemption provided in

subsection (e)(4), below exempt from further retrofit

requirements under this section.

(2) Tier 2 -- Transit agencies shall not own, operate or lease 1991

through 1995 diesel-fueled, dual-fuel, bi-fuel, or diesel hybrid transit

buses in their active fleets with 1991 through 1995 model year

engines, unless the buses engines have been retrofitted with a

device that has been certified by the Executive Officer in

accordance with the procedures set forth in the “California
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Certification Procedures for PM Retrofit Devices for On-Road

Heavy-Duty Diesel Engines” incorporated by reference in

paragraph (f)(7) below, and in accordance with the following

schedule. according to with the requirements and schedule set forth

in paragraphs (A) through (D), below. Transit agencies with less

fewer than 20 buses in their active fleets, and which that operate in

federal one-hour ozone ambient air quality standard attainment

areas shall comply with the 100 percent retrofit requirement by

January 1, 2007, and are exempt from the interim requirements that

apply before that date. paragraphs (A) and (B), and subject to

paragraph (C) beginning January 1, 2007. In areas redesignated

as one-hour ozone non-attainment areas prior to January 1, 2007,

transit agencies initially exempt from the interim requirements shall

submit a plan to the Executive Officer within 30 days of

redesignation for achieving compliance with this retrofit

requirement.

(A) 20 percent of these buses shall be retrofitted by January 1,

2003 Alternative-fuel path: 20 percent of these buses shall

be retrofitted by January 1, 2003; 75 percent of these buses

shall be retrofitted by January 1, 2004; and 100 percent of

these buses shall be retrofitted by January 1, 2005, except

for those buses eligible for the retirement exemption set forth

in paragraph (f)(4), below.

(B) 75 percent of these buses shall be retrofitted by January 1,

2004 Diesel path: 50 percent of these buses shall be

retrofitted by January 1, 2003; and 100 percent of these

buses shall be retrofitted by January 1, 2004, except for

those buses eligible for the retirement exemption set forth in

paragraph (f)(4), below.

(C) 100 percent of these buses shall be retrofitted by January 1,

2005, except for those buses eligible for the retirement

exemption in subsection (e)(4), below

(D) The retrofit must be certified by the ARB as having an 85

percent or greater efficiency in reducing diesel particulate

matter

(3) Tier 3 -- Transit agencies shall not own or operate 1996 through

2003 diesel-fueled, dual-fuel, bi-fuel, or diesel hybrid buses in their

active fleets with 1996 through 2002 model year engines produced

before October 1, 2002, unless the buses engines have been

retrofitted with a device that has been certified by the Executive

Officer in accordance with the procedures set forth in the “California

Certification Procedures for PM Retrofit Devices for On-Road

Heavy-Duty Diesel Engines” incorporated by reference in
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paragraph (f)(7) below, and in accordance with the following

schedule. according to the following requirements:

(A) 20 percent of these buses shall be retrofitted by January 1,

2007 Alternative-fuel path: 20 percent of these buses shall

be retrofitted by January 1, 2007; 75 percent of these buses

shall be retrofitted by January 1, 2008; and 100 percent of

these buses shall be retrofitted by January 1, 2009, except

for those buses eligible for the retirement exemption set forth

in paragraph (f)(4), below.

(B) 75 percent of these buses shall be retrofitted by January 1,

2008 Diesel path: 20 percent of these buses shall be

retrofitted by January 1, 2005; 75 percent of these buses

shall be retrofitted by January 1, 2006; and 100 percent of

these buses shall be retrofitted by January 1, 2007.

(C) 100 percent of these buses shall be retrofitted by January 1,

2009, except for those buses eligible for the retirement

exemption in subsection (e)(4), below.

(D) The retrofit must be certified by the ARB as having an 85

percent or greater efficiency in reducing diesel particulate

matter

(4) Transit agencies must meet the 100 percent retrofit requirements in

subsections (1)(B), (2)(C), and (3)(C) above, except for those

buses that are within two years of retirement. Those buses within

two years of retirement are exempt from the retrofit requirements,

and retirement of the exempt buses must be documented in

accordance with section 1956.4(c)(2). For transit agencies on the

alternative-fuel path, those buses that are within two years of

retirement are exempt from the 100 percent retrofit requirement set

forth in paragraphs (2)(A) and (3)(A), above, provided

documentation of retirement is supplied to the Executive Order in

accordance with the requirements set forth in paragraph (d)(2) of

section 1956.4, Title 13, CCR.

For transit agencies on the diesel path, those buses that are within

one year of retirement are exempt from the 100 percent retrofit

requirement set forth in paragraph (2)(B), above, provided

documentation of retirement is supplied to the Executive Order in

accordance with the requirements set forth in paragraph (d)(2) of

section 1956.4, Title 13, CCR.
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(5) Beginning July 1, 2002, transit agencies shall not operate diesel

buses on diesel fuel with a sulfur content in excess of 15 parts per

million by weight. Transit agencies with fewer than 20 buses in

their active fleets, and that operate in federal one-hour ozone

attainment areas, are not subject to this low-sulfur fuel requirement

until July 1, 2006. In areas redesignated as one-hour ozone nonattainment areas prior to July 1, 2006, transit agencies initially

exempt from the low-sulfur fuel requirement shall submit a plan to

the Executive Officer within 30 days of redesignation for achieving

compliance with this requirement.

(A) Transit agencies with less than 20 buses in their active

fleets, and which operate in federal ozone ambient air quality

attainment areas, are not subject to this requirement until

July 1, 2006.

(6) Transit agencies that own, operate, or lease a diesel-fueled, dualfuel, bi-fuel, or diesel hybrid bus with an engine for which a retrofit

device is not, or will not be, available to meet the retrofit

requirements within 6 months of the dates specified in paragraphs

(f)(1) through (f)(3) shall be eligible for a one-year delay in

complying with the retrofit requirements, upon submittal of

documentation of device unavailability to the ARB in writing at least

30 days before the retrofit requirement becomes applicable and

upon approval of the delay by the Executive Officer of the ARB.

(7) The retrofit certification procedures for use in complying with the

PM retrofit requirements for 2002 model year diesel-fueled, dualfuel and bi-fuel urban bus engines produced before

October 1, 2002, and earlier model year urban bus engines

(including engines used in diesel hybrid buses) are set forth in the

“California Certification Procedures for PM Retrofit Devices for OnRoad Heavy-Duty Diesel Engines” adopted [insert date of

adoption], which are incorporated herein by reference.

NOTE: Authority cited: Sections 39600, 39601, 43013, 43018, 43701(b) Health and

Safety Code. Reference: Sections 39002, 39003, 39017, 39500, 39650, 40000, 43000,

43000.5, 43013, 43018, 43701(b), 43801, 43806 Health and Safety Code, and sections

233, 28114, 27157 Vehicle Code.
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SECTION 1956.3, TITLE 13, CCR

Add to Title 13, California Code of Regulations, new section 1956.3, to read:

1956.3 Zero Emission Bus Requirements

(a) "Zero emission bus" means an Executive Officer certified urban bus that

produces zero exhaust emissions of any criteria pollutant (or precursor

pollutant) under any and all possible operational modes and conditions.

(1) A hydrogen-fuel cell bus shall qualify as a zero emission bus.

(2) An electric trolley bus with overhead twin-wire power supply shall

qualify as a zero emission bus.

(3) A battery electric bus shall qualify as a zero emission bus.

(4) Incorporation of a fuel-fired heater shall not preclude an urban bus

from being certified as a zero emission bus, provided the fuel-fired

heater cannot be operated at ambient temperatures above 40BF

and the heater is demonstrated to have zero evaporative emissions

under any and all possible operational modes and conditions.

(b) Zero Emission Bus Demonstration Project – except as provided in (3)

below, the owner or operator of an urban bus fleet on the diesel path in

accordance with the provisions of section 1956.2, with more than 200

urban transit buses in its active fleet on January 31, 2001, shall implement

a demonstration project. The owner or operator shall evaluate the

operation of zero emission buses in revenue service, and prepare and

submit a report on the demonstration project to the Executive Officer for

inclusion in a future review of zero emission technology.

(1) This demonstration project shall meet all of the following

specifications and requirements:

(A) utilize a minimum of three zero emission buses,

(B) include any necessary site improvements,

(C) locate fueling infrastructure onsite,

(D) provide appropriate maintenance and storage facilities,

(E) train bus operators and maintenance personnel,

(F) place the buses in revenue service for a minimum duration

of 12 calendar months,

(G) retain operation and maintenance records, and

(H) report on the demonstration program as set forth in

subdivision (d)(e) of section 1956.4, Title 13, CCR.

(2) When planning and implementing the demonstration project, the

operator or owner shall meet the following milestones:
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(A) no later than January 1, 2002, prepare and solicit bid

proposals for materials and services necessary to implement

the demonstration project, including but not limited to the

zero emission buses and the associated infrastructure

(B) no later than July 1, 2003, place at least three zero emission

buses in revenue service, and

(C) no later than January 31, 2005, submit a report on the

demonstration project to the Executive Officer, in

accordance with paragraph (e)(3) of section 1956.4 (d)(3),

Title 13, CCR.

(3) Multiple transit agencies within the same air basin may, on a caseby-case basis, petition the Executive Officer to implement a joint

zero emission bus demonstration project. Electric trolley buses

shall not qualify as zero emission buses for purposes of this joint

demonstration project. No more than three transit agencies can

participate in any one joint project. Transit agencies that are

participating in a joint demonstration project shall:

(A) designate the agency hosting the onsite demonstration,

(B) jointly fund the demonstration project, and

(C) place a minimum of three zero emission buses per

participating transit agency in revenue service,.

(c) Purchase Requirement for Zero Emission Buses - The owner or operator

of a transit agency with more than 200 urban buses in active service on

January 1, 2007, for transit agencies on the diesel path, and

January 1, 2009, for transit agencies on the alternative-fuel path, shall

purchase and/or lease zero emission buses, in accordance with the

following:

(1) For transit agencies on the diesel path, in accordance with the

requirements in section 1956.2, a minimum 15 percent of purchase

and lease agreements, when aggregated annually, for model year

2008 through model year 2015 urban buses shall be zero emission

buses.

(2) For transit agencies on the alternative-fuel path, in accordance with

the requirements in section 1956.2, a minimum 15 percent of

purchase and lease agreements, when aggregated annually, for

model year 2010 through model year 2015 urban buses shall be

zero emission buses.

(3) The provisions of paragraphs (1) and (2) shall not apply if the

operator's urban bus fleet is composed of 15 percent or more zero

emission buses on January 1, 2008, for transit agencies on the
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diesel path, and on January 1, 2010, for transit agencies on the

alternative-fuel path, or at any time thereafter.

(4)(A) Transit agencies on either the diesel path or alternative-fuel path

may earn credits for use in meeting the purchase requirements for

zero emission buses specified in paragraphs (c)(1) and (c)(2) by

placing zero emission buses in service prior to the dates specified

in paragraphs (c)(1) and (c)(2). For each zero emission bus placed

into early service, credits shall be accrued according to the

following table. Each earned credit is equivalent to one zero

emission bus.

Credits per Year Placed

Path

2000-

2003

2004-

2005 2006 2007 2008 2009

Diesel 3 2.5 2 1.5 - -

Alternative

-fuel 3 2.5 2 1.5 1.5 1

(B) Zero emission buses placed to meet the zero emission bus

demonstration projects as specified in subdivision (b) are not permitted

to accrue credits towards the zero emission bus purchase

requirements.

(d) The Air Resources Board shall review zero-emission bus technology and

the feasibility of implementing the requirements of subdivision section (c)

above no later than January 2006. Based on that assessment, the Board

shall decide whether to proceed with the implementation of the subdivision

(c) requirements.

NOTE: Authority cited: Sections 39600, 39601, 43013, 43018, 43100, 43101, 43104,

43806 Health and Safety Code, and sections 27157 Vehicle Code. Reference: Sections

39002, 39003, 39017, 39018, 39500, 39701, 40000, 43000, 43000.5, 43009, 43013,

43018, 43102, 43801, 43806 Health and Safety Code, and sections 27157 and 28114

Vehicle Code.
16

SECTION 1956.4, TITLE 13, CCR

Add to Title 13, California Code of Regulations, new section 1956.4, to read:

1956.4 Reporting Requirements for all Urban Bus Transit Agencies and Leasing

Companies

(a) The following reports on new bus purchases and/or leases by transit

operators on the alternative-fuel path shall be submitted as described

below:

(1) The initial report shall be submitted by January 31, 2001, and shall

state the transit agency’s intent to qualify for follow the alternativefuel path.

(2) Any requests for deviation from the requirement that 85 percent of

buses purchased per year must be alternative-fuel buses must be

submitted in writing and approved by the Executive Officer of the

Air Resources Board 90 days prior to purchase. The written

request must include the reason for requesting the deviation from

the 85 percent annual purchase requirement and the transit

agency’s future planned alternative-fuel bus purchases.

(3) Transit agencies shall submit annual reports containing: maintain,

and produce upon request, records regarding: the number, model

year, and fuel used for engines in transit buses they currently own

or operate, bus purchases and/or leases beginning

January 1, 2000, and annual average percentage of total bus

purchases and/or leases that were alternative-fuel buses. The first

report shall be submitted by January 31, 2001. Subsequent reports

shall be submitted annually by January 31 through the year 2016.

(b) The following reports on new bus purchases and/or leases by transit

operators on the diesel path shall be submitted as described below:

(1) The initial report shall be submitted by January 31, 2001, and shall

state the transit agency’s intent to follow the diesel path.

(2) Transit agencies shall submit annual reports containing the

number, model year, and fuel used for engines in transit buses they

currently own or operate, and bus purchases and/or leases

beginning January 1, 2000. The first report shall be submitted by

January 31, 2001. Subsequent reports shall be submitted annually

by January 31 through the year 2016.

(b)(c) The following reports on the NOx fleet average requirement shall be

submitted as described below:
17

(1) iInitial documentation shall be submitted by January 31, 2001, and

contain, at a minimum, the active urban bus fleet NOx emission

average, and if that number exceeds the required average required

in subdivision (e), section 1956.2, Title 13, CCR, a schedule of

actions planned to achieve that average by October 1, 2002,

including numbers and model years of bus purchases, retirements,

retrofits, and/or repowerings, or, shall indicate the intent of the

transit agency to retire all model year 1987 and earlier buses in

their its active fleet by October 1, 2002.

(2) a A final report shall be submitted by January 31, 2003, detailing

the active urban bus fleet NOx emission average as of October 1,

2002, and actions, if any were needed, taken to achieve that

standard, including numbers and model years of bus purchases,

retirements, retrofits, and/or repowerings, or documenting the

retirement of all model year 1987 and earlier buses.

(c)(d) The following reports on the PM bus retrofit requirements shall be

submitted as described below:

(1) iInitial reports shall be submitted by the dates shown below and

shall contain, at a minimum, the following information:

(A) number and model year of diesel-fueled, dual-fuel, bi-fuel,

and diesel hybrid buses in the active fleet, projected number

and model year of buses to be retrofitted annually, projected

number and model year of exempt buses, if any, and basis

for exemption.

(B) for transit agencies on the alternative-fuel path, a report for

Tier 1 and Tier 2 requirements shall be submitted by January

31, 2002.; a report for Tier 3 requirements shall be submitted

by January 31, 2005.

(C) for transit agencies on the diesel path, a report for Tier 1 and

Tier 2 requirements shall be submitted by January 31, 2002;

a report for Tier 3 requirements shall be submitted by

January 31, 20053.

(2) tTransit agencies shall submit annual reports, in accordance with

the schedules in paragraphs (A) and (B) below, containing

maintain, and produce on request, records of number and model

year of diesel-fueled, dual-fuel, bi-fuel, and diesel hybrid buses in

the active fleet, number and model year of buses retrofitted per

year, retrofit devices used, number and model year of exempt

buses, if any, and basis for exemption, and number and model year

of buses retired, if any.
18

(A) for transit agencies on the alternative-fuel path, a report on

compliance with Tier 1 requirements shall be submitted by

January 31, 2003. For Tier 2, annual compliance reports

shall be submitted by January 31, beginning in 2003 and

ending in 2005. For Tier 3, annual compliance reports shall

be submitted by January 31, beginning in 2007 and ending

in 2009.

(B) for transit agencies on the diesel path, a report on

compliance with Tier 1 requirements shall be submitted by

January 31, 2003. For Tier 2, annual compliance reports

shall be submitted by January 31, beginning in 2003 and

ending in 2004. For Tier 3, annual compliance reports shall

be submitted by January 31, beginning in 2005 and ending

in 2007.

(d)(e) The following reports on the zero-emission bus demonstration program

shall be submitted by those transit agencies required to conduct such

demonstrations, as described below:

(1) iInitial documentation shall be submitted by January 31, 2003, and

contain, at a minimum, the bus order and delivery schedule, fuel

type, type of refueling station, any planned facility modifications,

and a revenue service demonstration plan;

(2) a A financial plan shall be submitted by January 31, 2003, and

contain, at a minimum, projected expenditures for capital costs for

purchasing and/or leasing buses, refueling stations, any facility

modifications, and projected annual operating costs;

(3) a A final report shall be submitted by January 31, 2005, and

contain, at a minimum, the following information:

(A) a brief description of the zero emission technology utilized,

identification of bus manufacturer and product specifications,

(B) miles driven per bus in revenue service, safety incidents,

driver and mechanic training conducted, and maintenance

(both scheduled and unscheduled),

(C) qualitative transit personnel and passenger experience, and

(D) a financial summary of capital costs of demonstration

program, including bus purchases and/or leases, fueling

infrastructure, any new facilities or modifications, and annual

operating costs.
19

(e)(f) The following reports on new zero-emission bus purchases and/or leases

shall be submitted by transit agencies required to purchase zero-emission

buses as described below:

(1) iInitial report shall be submitted by January 1, 2007 for transit

agencies on the diesel path, and by January 1, 2009, for transit

agencies on the alternative fuel path. date shown below, and The

initial report shall contain, at a minimum, the following information:

(A) a brief description of the zero emission technology to be

utilized and a plan for the implementation of the requirement,

(B) for an exemption from the purchase requirement,

documentation that 15 percent or more of the transit

agency’s active urban bus fleet is composed of zeroemission buses.

(C) transit agencies on the diesel path shall submit report by

January 1, 2007.

(D) transit agencies on the alternative-fuel path shall submit

report by January 1, 2009.

(2) aAny requests for deviation from the requirement that 15 percent of

buses purchased per year must be zero-emission buses must be

submitted in writing and approved by the Executive Officer of the

Air Resources Board 90 days prior to a transit agency submitting a

purchase order(s) reflecting the purchase deviation. The written

request shall include the reason for requesting the deviation and

the transit agency’s future planned zero-emission bus purchases.

(3) tTransit agencies on the diesel path shall include in the annual

reports required in paragraph (b)(2): maintain, and produce upon

request, records regarding: the number, model year, and fuel used

in engines they currently own or operate, zero-emission bus

purchases and/or leases beginning with model year 2008 and

through model year 2015, and the annual average percentage of

total bus purchases and/or leases that were zero-emission buses.

(4) tTransit agencies on the alternative-fuel path shall include in the

annual reports required in paragraph (a)(3): shall maintain, and

produce upon request, records regarding: the number, model year,

and fuel used in engines they currently own or operate, zeroemission bus purchases and/or leases beginning with model year

2010 and through model year 2015, and the annual average

percentage of total bus purchases and/or leases that were zeroemission buses.
20

(g) Transit agencies exempted from the requirements of paragraph (d)(4), section

1956.2, Title 13, CCR, shall submit annual reports demonstrating that they

are achieving NOx emission benefits required in paragraph (d)(7)(B), section

1956.2, Title 13, CCR. The first report shall be submitted by

January 31, 2005. Subsequent reports shall be submitted annually by

January 31 through the year 2016.

NOTE: Authority cited: Sections 39600, 39601, 39659, 39701, 43018, 41511 Health and

Safety Code. Reference: Sections 39700, 39701, 41510, 41511, 43000, 43000.5,

43013, 43018, 43801, 43806 Health and Safety Code.
21

SECTION 1956.8, TITLE 13, CCR

Amend Title 13, California Code of Regulations, section 1956.8, to read:

(Note: The regulatory amendments initially proposed for this rulemaking are shown in

underline to indicate additions to the text and strikeout to indicate deletions. BOLD ITALICS

are used to indicate added footnotes within a table.

Deletions from the regulatory text originally proposed in the 45-day notice issued on

December 10, 1999, are indicated by double underline strikeout. Insertions to the

language in the 45-day notice are indicated by double underline.)

1956.8 Exhaust Emission Standards and Test Procedures - 1985 and

Subsequent Model Heavy-Duty Engines and Vehicles

(a)(1) The exhaust emissions (Ai) from new 1985 through 2003 and subsequent model

heavy-duty diesel engines (except methanol-fueled engines), and heavy-duty naturalgas-fueled and liquefied-petroleum-gas-fueled engines derived from diesel-cycle

engines, and (Bii) from new 1991 and subsequent model heavy-duty methanol-fueled

diesel transit bus engines, and (C) from all new 1993 through 2003 and subsequent

model heavy-duty methanol-fueled, diesel engines, except in all cases engines used in

medium-duty vehicles, shall not exceed:

Exhaust Emission Standards

For 1985 – 2003 Model Heavy-Duty Engines Other than Urban Bus Engines

(grams per brake horsepower-hour [g/bhp-hr])

Total Optional

Hydrocarbons Non-methane Carbon Oxides of

Model Year or OMHCEA HydrocarbonsA Monoxide Nitrogen Particulates

1985-1986 1.3 15.5 5.1 ---

1987B1.3 15.5 5.1 ---

1988-1989 1.3 15.5 6.0 0.60

1990 1.3 1.2 15.5 6.0 0.60

1991-1993C

1.3 1.2 15.5 5.0 0.10

1991-1993D C1.3 1.2 15.5 5.0 0.25 E D

1994 -1997 1.3 1.2 15.5 5.0 0.10 E D

1994-1995F1.3 1.2 15.5 5.0 0.07
22

1994-1995G 1.3 1.2 15.5 3.5 to 0.5 0.07

1995-1997 J E1.3 1.2 15.5 3.5 to 0.5 0.10

1996-2003 F

1.3 1.2 15.5 4.0 I, O 0.05 H, O

1996-2003 G1.3 1.2 15.5 2.5 to 0.5 0.05 H

1998-2003 K F1.3 1.2 15.5 4.0O,S G,H 0.10O G

1998-2003J E1.3 1.2 15.5 2.5 to 0.5TI0.10

A

 The total or optional non-methane hydrocarbon standards apply to petroleum-fueled,

natural-gas-fueled and liquefied-petroleum-gas-fueled engines. The Organic Material

Hydrocarbon Equivalent, or OMHCE, standards apply to methanol-fueled engines.

B

 As an option a manufacturer may elect to certify to the 1988 model-year emission

standards one year early, for the 1987 model year.

C

 For methanol-fueled engines, these standards shall be applicable beginning with the

1993 model year.

D

 Emissions averaging may be used to meet this standard. Averaging is restricted to

within each useful life subclass and is applicable only through the 1995 model year.

Emissions from engines used in urban buses shall not be included in the averaging

program.

E

 These are optional standards. A manufacturer may elect to certify to an optional NOx

standard between the values, inclusive, by 0.5 grams per brake horsepower-hour

increments. Engines certified to any of these optional NOx standards are not eligible

for participation in any averaging, banking or trading programs described in

"California Exhaust Emission Standards and Test Procedures for 1985 and

Subsequent Model Heavy-Duty Diesel Engines and Vehicles" incorporated by

reference in (b), below.

F

 These are mandatory standards.

G

 Engines of 1998 through 2003 model years may be eligible to generate banking

credits based on these standards according to the requirements of the averaging,

banking and trading programs described in "California Exhaust Emission Standards

and Test Procedures for 1985 and Subsequent Model Heavy-Duty Diesel Engines

and Vehicles" incorporated by reference in (b), below.

H

 May be used as the certification standard for the higher emitting fueling mode of an

engine certified under the dual fueling mode certification process of (a)(3)(4) , below.
23

I

 May be used as the certification standard for the lower emitting fueling mode of an

engine certified under the dual fueling mode certification process of (a)(3)(4), below.

(2) The exhaust emissions from new 2004 and subsequent model heavy-duty diesel

engines, heavy-duty natural gas-fueled and liquefied-petroleum-gas-fueled engines

derived from diesel-cycle engines, and heavy-duty methanol-fueled-diesel engines, and

the optional, reduced-emission standards for 2002 and subsequent model engines

produced beginning October 1, 2002, except in all cases engines used in medium-duty

vehicles, shall not exceed:

Exhaust Emission Standards for Engines Used in October 2002 2004 and

Subsequent Model Heavy-Duty Engines, and Optional, Reduced Emission

Standards for 2002 and Subsequent Model Heavy-Duty Engines Produced

Beginning October 1, 2002, and Vehicles Other than Urban Bus Engines

(grams per brake horsepower-hour [g/bhp-hr])

Model Year Oxides of

Nitrogen Plus

Non-methane

Hydrocarbons

Optional Oxides

of Nitrogen Plus

Non-methane

Hydrocarbons

Carbon

Monoxide

Particulate

Matter

2004 and subsequent C 2.4 L,P,S 2.5 M,P,S 15.5 0.05H,P

2004 September 30,

2002 and subsequent

N, H

2.4 L,P,S A,C,E 2.5 M,P,SB,C,E 15.5 0.10PC

2004 and subsequent C n/a 1.8 to 0.3 L,R,T 15.5 0.05H

2004 September 30,

October 1, 2002 and

subsequent N,

n/a 1.8 to 0.3 L,R,TA,D,F 15.5 0.10 0.03

to 0.01A,F,G

A

 The total or optional non-methane hydrocarbon standards apply to petroleum-fueled,

natural-gas-fueled and liquefied-petroleum-gas-fueled engines. The Organic Material

Hydrocarbon Equivalent, or OMHCE, standards apply to methanol-fueled engines.

B As an option a manufacturer may elect to certify to the 1988 model-year emission

standards one year early, for the 1987 model year.

C These standards apply to urban bus engines only.

D For engines other than urban bus engines. For methanol-fueled engines, these

standards shall be applicable beginning with the 1993 model year.

E Emissions averaging may be used to meet this standard. Averaging is restricted to

within each useful life subclass and is applicable only through the 1995 model year.

Emissions from engines used in urban buses shall not be included in the averaging

program. However, emissions from methanol-fueled, natural-gas-fueled and

liquefied-petroleum-gas-fueled urban bus engines certified to a 0.10 grams per brake
24

horsepower-hour standard for particulates for the 1991-1993 model years, and

certified to a 0.07 grams per brake horsepower-hour standard for particulates for the

1994-1995 model years, may be included in the averaging program for petroleumfueled engines other than urban bus engines.

F These mandatory standards apply to urban bus engines only.

G These optional standards apply to urban bus engines only. A manufacturer may

elect to certify to an optional NOx standard by 0.5 grams per brake horsepower-hour

increments. Engines certified to any of these optional NOx standards are not eligible

for participation in any averaging, banking or trading programs described in

"California Exhaust Emission Standards and Test Procedures for 1985 and

Subsequent Model Heavy-Duty Diesel Engines and Vehicles" incorporated in (b),

below.

H

 For in-use testing, a 0.07 gram per brake horsepower-hour standard for particulates

shall apply.

I

 A manufacturer may apply to the Executive Officer for an exemption from the 4.0

gram per brake horsepower-hour standard for oxides of nitrogen for 1996 and 1997

model year urban bus engines for which the manufacturer can demonstrate a

technological need for the exemption. The exemption or exemptions shall not

exceed 10 percent of the average of the manufacturer's total urban bus engine sales

in California for the three model years prior to the model year for which an exemption

is requested. The manufacturer shall submit technical justification for each engine

model and shall provide the number of urban bus engine sales in California for the

engine model for which the exemption is requested (if any) and for all urban bus

engine models for the three preceding model years, to the Executive Officer when the

manufacturer applies for the exemption.

J

 These are optional standards and apply to all heavy-duty engines excluding urban

bus engines. A manufacturer may elect to certify to an optional NOx standard

between the values, inclusive, by 0.5 grams per brake horsepower-hour increments.

Engines certified to any of these optional NOx standards are not eligible for

participation in any averaging, banking or trading programs described in "California

Exhaust Emission Standards and Test Procedures for 1985 and Subsequent Model

Heavy-Duty Diesel Engines and Vehicles" incorporated in (b), below.

K

 These mandatory standards apply to all heavy-duty engines except urban bus

engines.

L A

This is the standard for the arithmetic sum of the oxides of nitrogen exhaust

component certification value and the non-methane hydrocarbon exhaust component

certification value, without individual restriction on the individual component values.

MB

This is the standard for the arithmetic sum of the oxides of nitrogen exhaust

component certification value and the non-methane hydrocarbon exhaust component
25

certification value, with the non-methane hydrocarbon individual component value

not to exceed 0.5 g/bhp-hr.

N

 These standards apply to all heavy-duty engines except urban bus engines.

O

 Engines of 1998 through 2003 model years may be eligible to generate banking

credits based on these standards according to the requirements of the averaging,

banking and trading programs described in "California Exhaust Emission Standards

and Test Procedures for 1985 and Subsequent Model Heavy-Duty Diesel Engines

and Vehicles" incorporated in (b), below.

PC Emissions averaging may be used to meet this standard. Averaging must be based

on the requirements of the averaging, banking and trading programs described in

"California Exhaust Emission Standards and Test Procedures for 1985 and

Subsequent Model Heavy-Duty Diesel Engines and Vehicles" incorporated by

reference in (b), below.

RD A manufacturer may elect to certify to an optional reduced-emission NOx+NMHC

standard between the values, inclusive, by 0.3 grams per brake horsepower-hour

increments. Engines certified to any of these optional reduced-emission NOx

standards are not eligible for participation in any averaging, banking or trading

programs described in "California Exhaust Emission Standards and Test Procedures

for 1985 and Subsequent Model Heavy-Duty Diesel Engines and Vehicles"

incorporated by reference in (b), below.

SE May be used as the certification standard for the higher emitting fueling mode of an

engine certified under the dual fueling mode certification process of (a)( 3)(4), below.

TF May be used as the certification standard for the lower emitting fueling mode of an

engine certified under the dual fueling mode certification process of (a)( 3)(4), below.

G

 A manufacturer may elect to certify to an optional reduced-emission PM standard

between the specified values, inclusive, by 0.01 grams per brake horsepower-hour

increments. Engines certified to any of these optional reduced-emission PM

standards are not eligible for participation in any averaging, banking or trading

programs described in "California Exhaust Emission Standards and Test Procedures

for 1985 and Subsequent Model Heavy-Duty Diesel Engines and Vehicles"

incorporated by reference in section 1956.8(b), below.
26

H

 Engine manufacturers subject to the Heavy-Duty Diesel Engine Settlement

Agreements (Settlement Agreements)1 must produce engines in compliance with the

requirements contained in their respective Settlement Agreement. Most engine

manufacturers subject to the Settlement Agreements are required to manufacture

engines meeting the exhaust emission standards for 2004 and subsequent model

years engines beginning October 1, 2002.

(2)(3) Formaldehyde exhaust emissions from new 1993 and subsequent model

methanol-fueled diesel engines, shall not exceed:

Model Year Formaldehyde (g/bhp-hr)

1993-1995 0.10

1996 and subsequent 0.05

(3)(4) An engine family whose design allows engine operation in either of two distinct

alternative fueling modes, where each fueling mode is characterized by use of one fuel

or a combination of two fuels and by significantly different emission levels under each

mode, may certify to a different NOx or NOx plus NMHC (as applicable depending on

model year) standard for each fueling mode, provided it meets the following

requirements:

(A) The NOx or NOx plus NMHC certification standard used for operation

under the higher emitting fueling mode must be one of the standards

denoted by footnote S in (a)(1) H in paragraph (a)(1) and footnote E in

paragraph (a)(2).

(B) The NOx or NOx plus NMHC certification standard used for operation

under the lower emitting fueling mode must be one of the reducedemission standards denoted by footnote T in (a)(1) I in paragraph (a)(1)

and footnote F in paragraph (a)(2).

(C) The engine family is not used to participate in any manufacturer's

averaging, banking or trading program.

(D) The engine family meets all other emission requirements contained in this

section.

 

1

 Seven of the largest heavy-duty diesel engine manufacturers will be implementing measures to reduce

emissions beginning October 1, 2002, to meet the requirements of the Heavy-Duty Diesel Engine

Settlement Agreements reached with the ARB. The Heavy-Duty Diesel Engine Settlements were

agreements reached in response to lawsuits brought by the United States Environmental Protection

Agency and violations alleged by the ARB pertaining to excess in-use emissions caused by the use of

defeat devices and unacceptable algorithms. Navistar signed its Settlement Agreement on October 22,

1998. Cummins, Detroit Diesel Corporation, Caterpillar, Volvo, Mack and Renault signed their Settlement

Agreements on December 15, 1998.
27

(E) The higher emitting fueling mode must be intended only for fail-safe

vehicle operation when a malfunction or inadvertent fuel depletion

precludes operation in the lower emitting fueling mode, as evidenced by a

significantly reduced horsepower versus engine speed curve when

operating in the higher emitting fueling mode when compared to the

similar curve for the lower emitting fueling mode.

(b) The test procedures for determining compliance with standards applicable to 1985

and subsequent heavy-duty diesel engines and vehicles and the requirements for

participation in the averaging, banking and trading programs, are set forth in the

"California Exhaust Emission Standards and Test Procedures for 1985 and Subsequent

Model Heavy-Duty Diesel Engines and Vehicles", adopted April 8, 1985, as last

amended June 4, 1997 [insert date of finalized amendment], which is incorporated

herein by reference.

(c), (d), (e), (f), (g) [No Change]

(h) The exhaust emissions from new 1992 and subsequent model-year engines used in

incomplete medium-duty low-emission vehicles, ultra-low-emission vehicles, and superultra-low-emission vehicles, and for diesel engines used in medium-duty low-emission

vehicles, ultra-low-emission vehicles and super-ultra-low-emission vehicles shall not

exceed:
28

Exhaust Emission Standards for Engines Used in Incomplete Medium-Duty

Low-Emission Vehicles, Ultra-Low-Emission Vehicles, and Super

Ultra-Low-Emission Vehicles, and for Diesel Engines Used in Medium-Duty

Low-Emission Vehicles, Ultra-Low-Emission Vehicles, and

Super Ultra-Low-Emission VehiclesA,F

(grams per brake horsepower-hour)

Model Year Vehicle

Emissions

CategoryB

Carbon

Monoxide

Non-Methane

Hydrocarbons

and Oxides of

NitrogenC

Formaldehyde ParticulatesD

1992E -

2001

LEV 14.4 3.5K0.050 0.10K

2002-2003ELEV 14.4 3.0K0.050 0.10K

1992-

2003E,H

ULEV 14.4 2.5K 0.050 0.10K

2004 and

subsequent

ULEV -

Opt A.

14.4 2.5G,I,J,K0.050 0.10J,K

2004 and

subsequent

ULEV -

Opt. B

14.4 2.4G,I,J,K0.050 0.10J,K

1992 and

subsequent

SULEV 7.2 2.0K0.025 0.05K

A

This set of standards is optional. Manufacturers of engines used in incomplete

medium-duty vehicles or diesel engines used in medium-duty vehicles from 8501-

14,000 pounds gross vehicle weight rating may choose to comply with these

standards as an alternative to the primary emission standards and test procedures

specified in section 1960.1, or section 1961, Title 13, California Code of Regulations.

Manufacturers that choose to comply with these optional heavy-duty standards and

test procedures shall specify, in the application for certification, an in-use compliance

test procedure, as provided in section 2139(c), Title 13, California Code of

Regulations.

B

"LEV" means low-emission vehicle.

"ULEV" means ultra-low-emission vehicle.

"SULEV" means super ultra-low-emission vehicle.

C

This standard is the sum of the individual non-methane hydrocarbon emissions and

oxides of nitrogen emissions. For methanol-fueled engines, non-methane

hydrocarbons shall mean organic material hydrocarbon equivalent ("OMHCE").

D

This standard shall only apply to diesel engines and vehicles.
29

E Manufacturers may certify engines used in incomplete medium-duty vehicles or

diesel engines used in medium-duty vehicles to these standards to meet the

requirements of section 1956.8(g), Title 13, California Code of Regulations.

F

In-use compliance testing shall be limited to vehicles or engines with fewer than

90,000 miles.

G

[The U.S. EPA is considering the adoption of amendments to the federal emission

standards for engines used in incomplete medium-duty vehicles or diesel engines

used in medium-duty vehicles as they existed June 24, 1996. If the U.S. EPA

promulgates amendments to the emission standards for this category, the ARB will

hold a noticed public hearing within one year of such promulgation to consider the

adoption of similar or identical standards in California.]

H

For engines certified to the 3.5 grams per brake horsepower-hour (g/bhp-hr) LEV

standards, the in-use compliance standard shall be 3.7 g/bhp-hr for the first two

model years of introduction. For engines certified to the 2002 and 2003 model year

LEV standards, the in-use compliance standard shall be 3.2 g/bhp-hr. For engines

certified to the 1992 through 2003 model year ULEV standards, the in-use

compliance standard shall be 2.7 g/bhp-hr for the first two model years of

introduction. For engines certified to the 1992 and subsequent SULEV standards,

the in-use compliance standard shall be 2.2 g/bhp-hr for the first two model years of

introduction.

I Manufacturers have the option of certifying to either option A or B. Manufacturers

electing to certify to Option A must demonstrate that the NMHC emissions do not

exceed 0.5 g/bhp-hr.

J Emissions averaging may be used to meet these standards for diesel engines, using

the requirements for participation in averaging, banking and trading programs, as set

forth in the "California Exhaust Emission Standards and Test Procedures for 1985

and Subsequent Model Heavy-Duty Diesel Engines and Vehicles", adopted April 8,

1985, as last amended [insert date of finalized amendment], incorporated by

reference in paragraph (b), above.

K Engines of 1998 and subsequent model years may be eligible to generate

averaging, banking and trading credits based on these standards according to the

requirements of the averaging, banking and trading programs described in

“California Exhaust Emission Standards and Test Procedures for 1985 and

Subsequent Model Heavy-Duty Diesel Engines and Vehicles”, adopted April 8, 1985,

as last amended [insert date of finalized amendment], incorporated by reference in

paragraph b, above.
30

NOTE: Authority cited: Sections 39600, 39601, 43013, 43018, 43101, 43103, 43104,

and 43806, Health and Safety Code, and section 28114, Vehicle Code.

Reference: Sections 39002, 39003, 43000, 43013, 43018, 43100, 43101, 43101.5,

43102, 43103, 43104, 43106, 43204, and 43806, Health and Safety Code.
31

SECTION 1965, TITLE 13, CCR

Amend Title 13, California Code of Regulations, section 1965, to read:

1965. Emission Control and Smog Index Labels – 1979 and Subsequent ModelYear Motor Vehicles

In addition to all other requirements, emission control labels required by California

certification procedures and smog index labels shall conform to the “California Motor

Vehicle Emission Control and Smog Index Label Specifications”, adopted

March 1, 1978, as last amended October 22, 1999 [insert date of finalized amendment],

which is incorporated herein by reference.

NOTE: Authority cited: Sections 39600, 39601, and 43200, Health and Safety Code.

Reference: Sections 39002, 39003, 43000, 43013, 43100, 43101, 43102, 43103,

43104, 43107, and 43200, Health and Safety Code
32

State of California

AIR RESOURCES BOARD

CALIFORNIA CERTIFICATION PROCEDURES FOR PM RETROFIT DEVICES

FOR ON-ROAD HEAVY-DUTY DIESEL ENGINES

Adopted:

Note: The text of this document , shown in double underline, is ALL new

language for insertion in the regulatory text set forth in the 45-day notice for the

proposed adoption of an urban transit bus regulation issued on

December 10, 1999.
33

(a) Applicability: These procedures apply to applicants for certification of

retrofit devices to reduce particulate matter (PM) emissions from on-road heavy-duty

diesel engines, when PM retrofit is required or permitted for an affected engine family.

Certification compliance shall be demonstrated as set forth in subdivisions (b) through

(h), below.

(b) Test procedure: The applicant shall use the heavy-duty engine Federal

Test Procedures as set forth in “California Exhaust Emission Standards and Test

Procedures for 1985 and Subsequent Model Heavy-duty Diesel Engines and Vehicles”

adopted April 8, 1985, as last amended [insert date of finalized amendment].

Alternatively, the applicant, with written approval of the Executive Officer, may use a

chassis test cycle for certification compliance. The Executive Officer shall approve the

chassis test cycle if he determines that it represents normal driving conditions of the

vehicle application(s) for which the device is warranted for use by the applicant. For

each engine selected for testing, the applicant shall complete at least two emission tests

using the same retrofit device.

(c) Emission results: In order for the retrofit device to be certified by the

Executive Officer, the test results must demonstrate that the retrofit device reduces

engine-out PM emissions by at least 85 percent, or, alternatively, reduces PM

emissions to 0.01 g/bhp-hr or less. For retrofit devices tested with an Executive Officerapproved chassis test cycle, certification compliance shall be demonstrated by

compliance with the 85 percent emission reduction requirement. The retrofit device

shall not cause the engine to fail to meet any California emission standard or other

requirement for the heavy-duty application for which the retrofit device is certified.

Pursuant to subdivision (h) of section 27156 of the Vehicle Code, an original equipment

pollution control device may be removed from the test engine provided that the

certification emission test results demonstrate an 85 percent conversion efficiency, or,

alternatively, that PM emissions have been reduced to 0.01 g/bhp-hr or less, and that

the engine does not fail to meet any California emission standard or other requirement

applicable to that engine. No deterioration factors shall be applied to the measured

results.

(d) Emissions test engine selection: The applicant shall select separate test

engines to represent four-stroke engine families and two-stroke engine families. In

each case, the test engine used must represent the “worst case” with respect to

particulate emission control for each engine family for which the retrofit device is being

certified. Engine families may be aggregated if the applicant can demonstrate to the

Executive Officer that emissions and retrofit device performance do not vary

significantly between aggregated engine families. For retrofit devices being certified to

reduce PM emissions by 85 percent, the worst case test engine shall represent the

engine family with the lowest PM emissions when originally certified by the ARB. For

retrofit devices being certified to reduce PM emissions to a level of 0.01 g/bhp-hr or

less, the worst case test engine shall represent the engine family with the highest PM

emissions when originally certified by the ARB.
34

(e) Diesel test fuels: The test fuel required for the baseline test and the test with

the retrofit device in place shall meet the specifications contained in 40 CFR 86.1313-

94(b)(2)(Federal Register, Vol.62, No. 172, September 5, 1997, page 47125), with the

exception that the sulfur content must not exceed 15 parts per million by weight, and

shall be representative of fuel used in-use.

(f) Emissions warranty: As a condition of certification, the applicant shall

warrant that the certified retrofit device, when properly installed and maintained as

stated in the applicant’s written instructions for proper maintenance and use, will not

cause the heavy-duty diesel engine for which the retrofit device is certified to exceed the

applicable emission standards set forth in Title 13, CCR, for a period of at least 150,000

miles from the date when the retrofit device is installed. The applicant shall also warrant

that the certified retrofit device will not cause damage to the engine, when properly

installed and maintained, for this same mileage interval.

The applicant shall provide an emissions defect warranty stating that if the certified

retrofit device is properly installed and maintained as stated in the applicant’s written

instructions for proper maintenance and use, the applicant will replace all defective

parts, free of charge, for a period of at least 100,000 miles from the date when the

retrofit device is installed.

The applicant shall provide a written statement to the purchaser that the certified retrofit

device will not result in any unsafe condition endangering the motor vehicle or its

occupants in any operational mode, including malfunction.

(g) Durability requirements: The applicant shall demonstrate device durability

through field testing representing a mileage interval of at least 150,000 miles. Mileage

accumulation shall be performed on a vehicle application representative of the vehicle

application for which the applicant warrants the use of the retrofit device. The applicant

may propose to shorten the durability testing requirements, with prior approval by the

Executive Officer, if sufficient data, such as durability bench testing data, are available

to determine durability to at least 150,000 miles. Any durability testing shall use diesel

fuel meeting the specifications in subdivision (e), above.

(h) Labeling requirements: The applicant shall label each retrofit device with a

permanent, non-destructible label or stamp identifying the manufacturer, the model

number, the month and year of manufacture, and the Executive Order number issued

by the ARB. The label or stamp shall be easily visible after installation of the retrofit

device according to the applicant’s written instructions for proper maintenance and use.

Each applicant shall submit a sample of its label or stamp to the ARB for review and

approval, prior to selling the retrofit device.
35

AMENDMENTS TO THE CALIFORNIA EXHAUST EMISSION STANDARDS AND

TEST PROCEDURES FOR 1985 AND SUBSEQUENT MODEL

HEAVY-DUTY DIESEL ENGINES AND VEHICLES
36

State of California

AIR RESOURCES BOARD

CALIFORNIA EXHAUST EMISSION STANDARDS

AND TEST PROCEDURES FOR 1985 AND SUBSEQUENT MODEL

HEAVY-DUTY DIESEL-ENGINES AND VEHICLES

Adopted: April 8, 1985

Amended: July 29, 1986

Amended: January 22, 1990

Amended: May 15, 1990

Amended: December 26, 1990

Amended: July 12, 1991

Amended: October 23, 1992

Amended: October 22, 1993

Amended: March 24, 1994

Amended: September 22, 1994

Amended: June 29, 1995

Amended: June 4, 1997

Amended: February 26, 1999

Amended: (insert date of finalized amendment)

NOTE: This document incorporates by reference various sections of the Code of

Federal Regulations (CFR), some with modifications. As noted, some of the current

modifications are to CFR sections already amended in California and effective February

26, 1999. Modifications to portions of paragraphs in the Federal language are indicated

by underline for additions and strikeout for deletions. Larger portions of Federal

language for a specific section which is not to be included in these procedures are

denoted by the “DELETE” and larger portions of new California language are indicated

by “REPLACE WITH” or “INSERT”. The symbols “*****” and “.....” mean that the

reminder of the federal text for a specific section, which is not shown in these

procedures, has been included by reference, with only the printed text changed. The

symbol “#####’ means that the remainder of the text of these procedures, which is not

shown in this amendment document, has not been changed.

This document indicates changes to the language of the regulatory text as

originally proposed in the 45-day notice. Deletions from the language in the 45-

day notice issued on December 10, 1999, are indicated by double underline

strikeout. Insertions to the language in the regulation as proposed in the 45-day

notice are indicated by double underline.
37

CALIFORNIA EXHAUST EMISSION STANDARDS AND TEXT PROCEDURES FOR

1985 AND SUBSEQUENT MODEL HEAVY-DUTY DIESEL ENGINES AND VEHICLES

The following provisions of Subparts A, I, and N, Title 40, Code of Federal Regulations,

as adopted or amended by the U. S. Environmental Protection Agency on the date

listed, and only to the extent they pertain to the testing and compliance of exhaust

emissions from heavy-duty diesel-engines and vehicles, are adopted and incorporated

herein by this reference as the California Exhaust Emission Standards and Test

Procedures for 1985 and Subsequent Model Heavy-Duty Diesel-Engines and Vehicles,

except as altered or replaced by the provisions set forth below.

The federal regulations contained in the Subparts identified above which pertain to

oxides of nitrogen emission averaging shall not be applicable to these procedures

except for diesel engines and vehicles produced in the 1998 and subsequent model

years. The federal regulations contained in the Subparts identified above which pertain

to particulate emission averaging shall not be applicable to these procedures for 1996

and subsequent model years. The smoke exhaust test procedures shall be applicable

to California petroleum-fueled, liquefied-petroleum gas-fueled, and compressed-natural

gas fueled heavy-duty diesel engines and vehicles for 1988 and later model years.

The federal regulations contained in the subparts identified above which pertain to

nonconformance penalty shall not be applicable.

The federal regulations contained in the subparts identified above which pertain to

evaporative emission shall not be applicable to these procedures. Applicable

regulations pertaining to evaporative emissions are contained in “California Evaporative

Emission Standards and Test Procedures for 1978 and Subsequent Model Motor

Vehicles,” as incorporated in Title 13, California Code of Regulations, Section 1976.

Starting with the 1990 model year, these regulations shall be applicable to all heavyduty Diesel natural-gas-fueled and liquefied-petroleum gas-fueled engines (and

vehicles) including those engines derived from existing Diesel engines. For any engine

which is not a distinctly Diesel engine nor derived from such, the Executive Officer shall

determine whether the engine shall be subject to these regulations or alternatively to the

heavy-duty Otto-cycle engine regulations, in consideration of the relative similarity of the

engine’s torque-speed characteristics and vehicle applications with those of Diesel and

Otto-cycle engines.

The regulations concerning the certification of methanol-fueled urban bus engines are

not applicable in California until 1991 and subsequent model years. The regulations

concerning the certification of all other methanol-fueled diesel engines and vehicles are

not applicable in California until 1993 and subsequent model years. Regulations

concerning the certification of incomplete medium-duty diesel low-emission vehicles and

engines and ultra-low-emission vehicles and engines operating on any fuel are

applicable for the 1992 and subsequent model years.
38

Subpart A, General Provisions for Emission Regulations for 1977 and Later Model Year

New Light-Duty Vehicles, Light-Duty Trucks, and Heavy-Duty Engines, and for 1985

and later Model Year New Gasoline-Fuel and Methanol Fueled Heavy-Duty Vehicles
39

Adopt and aAmend § 86.098-11, Title 40, Code of Federal Regulations, (October 21,

1997) as amended by the Air Resources Board effective April 15 February 26, 1999, to

read:

86.098-11 emissions standards for 1998 and later model year diesel heavy-duty

engines and vehicles (October 21, 1997, as amended)

 (a) Exhaust emissions from new 1998 and later model year diesel heavy-duty engines

shall not exceed the following:

(1) DELETE

(2) DELETE

(3) Oxides of Nitrogen.

(i) 4.0 grams per brake horsepower-hour (1.49 grams per megajoule), as measured

under transient operating conditions.

(ii) A manufacturer may elect to include any or all of its diesel HDE families in the

banking portion of the NOx plus NMHC ABT programs for HDEs, within the restrictions

described in this section and § 86.098-15 as applicable.

(4) Particulate.

(i) DELETE.

(ii) DELETE

(iii) A manufacturer may elect to include any or all of its diesel HDE families the

banking portion of the particulate ABT programs for HDEs, within the restrictions

described in this section and § 86.098-15 as applicable.

(iv) For 2002 and subsequent model year diesel-fueled, dual-fuel, and bi-fuel engines

produced beginning October 1, 2002, for use in urban buses, the PM standard shall be

0.01 grams per brake horsepower-hour (0.004 grams per megajoule) for certification

testing and selective enforcement audit testing, and 0.01 grams per brake horsepowerhour (0.004 grams per megajoule) for in-use testing, as measured under transient

operating conditions. Manufacturers may choose to meet this standard with an

aftertreatment system that reduces PM to 0.01 grams per brake horsepower-hour.

(A) DELETE

(B) DELETE

(C) DELETE
40

(b) DELETE

(c) DELETE

(d) DELETE

(e) (1) Reduced-emission exhaust emission standards for certain 1995 and later model

year heavy-duty diesel engines may be optionally selected as follows:

(i) A manufacturer may elect to certify 1996 through 2003 model year September 30,

2002 2002 model year diesel engines produced before October 1, 2002, for use in

urban buses, to an optional reduced-emission oxides of nitrogen standard between 0.5

grams per brake horsepower-hour and 2.5 grams per brake horsepower-hour, inclusive,

at 0.5 grams per brake horsepower-hour increments, as measured under transient

operating conditions. Engines certified to the standard contained in this paragraph are

not eligible to participate in NOx, NOx plus NMHC, or particulate ABT programs.

(ii) A manufacturer may elect to certify 1995 through 1997 model year diesel engines for

use in vehicles with a Gross Vehicle Weight Rating of greater than 14,000 pounds

except urban bus engines, and 1994 through 1995 model year urban bus engines, to an

optional reduced-emission oxides of nitrogen standard between 0.5 grams per brake

horsepower-hour and 3.5 grams per brake horsepower-hour, inclusive, at 0.5 grams per

brake horsepower-hour increments, as measured under transient operating conditions.

Engines certified to a standard contained in this paragraph are not eligible to participate

in NOx, NOx plus NMHC, or particulate ABT programs.

(iii)(iv) A manufacturer may elect to certify 1998 through 2003 model year September

30, 2002 2002 model year diesel engines produced before October 1, 2002, for use in

vehicles with a Gross Vehicle Weight Rating of greater than 14,000 pounds, other than

urban transit buses, to an optional reduced-emission oxides of nitrogen standard

between 0.5 grams per brake horsepower-hour and 2.5 grams per brake horsepowerhour, inclusive, at 0.5 grams per brake horsepower-hour increments, as measured

under transient operating conditions. Engines certified to the standard contained in this

paragraph are not eligible to participate in NOx, NOx plus NMHC, or particulate ABT

programs.

(iv) A manufacturer may elect to certify October 1, 2002 through model year 2002 -

2003 model year diesel-fueled, dual-fuel, and bi-fuel engines for urban buses for sale to

transit agencies on the fleet rule diesel path produced beginning October 1, 2002, to an

optional reduced-emission oxides of nitrogen plus non-methane hydrocarbon standard

between 0.3 grams per brake horsepower-hour and 1.8 grams per brake horsepowerhour, inclusive, at 0.3 grams per brake horsepower-hour increments, and a particulate

matter standard of 0.01 grams per brake horsepower-hour, 0.02 grams per brake

horsepower-hour, or 0.03 grams per brake horsepower-hour, as measured under

transient operating conditions. Engines certified to the standards contained in this

paragraph are not eligible to participate in NOx, NOx plus NMHC, or particulate ABT

programs.
41

(v) A manufacturer may elect to certify 2002 model year diesel-cycle engines produced

beginning October 1, 2002, through model year 2006 diesel-cycle engines, other than

diesel-fueled, dual-fuel, and bi-fuel engines, for urban buses for sale to transit agencies

on the fleet rule alternative-fuel path, to an optional reduced-emission oxides of nitrogen

plus non-methane hydrocarbon standard between 0.3 grams per brake horsepowerhour and 1.8 grams per brake horsepower-hour, inclusive, at 0.3 grams per brake

horsepower-hour increments, and a particulate matter standard of 0.01 grams per brake

horsepower-hour, 0.02 grams per brake horsepower-hour, or 0.03 grams per brake

horsepower-hour, as measured under transient operating conditions. Engines certified

to the standards contained in this paragraph are not eligible to participate in NOx, NOx

plus NMHC, or particulate ABT programs.

(vi) A manufacturer may elect to certify 2002 model year diesel engines produced

beginning October 1, 2002, and later model year diesel engines, for use in vehicles with

a Gross Vehicle Weight Rating of greater than 14,000 pounds, other than urban transit

buses, to an optional reduced-emission oxides of nitrogen plus non-methane

hydrocarbon standard between 0.3 grams per brake horsepower-hour and 1.8 grams

per brake horsepower-hour, inclusive, at 0.3 grams per brake horsepower-hour

increments, and a particulate matter standard of 0.01 grams per brake horsepowerhour, 0.02 grams per brake horsepower-hour, or 0.03 grams per brake horsepowerhour, as measured under transient operating conditions. Engines certified to the

standards contained in this paragraph are not eligible to participate in NOx, NOx plus

NMHC, or particulate ABT programs.

# # # # #
42

Adopt and aAmend § 86.004-11, Title 40, Code of Federal Regulations, (October 21,

1997) as amended by the Air Resources Board effective April 15 February 26, 1999, to

read:

§ 86.004-11 Emission standards for 2004 and later model year diesel heavy-duty

engines and vehicles (October 21, 1997 as amended)

 (a)(1) Exhaust emissions from new 2004 and later model year diesel HDEs, other than

urban buses, shall not exceed the following:

(i)(A) Oxides of Nitrogen plus Non-methane Hydrocarbons (NOx + NMHC) for engines

fueled with either petroleum fuel, natural gas, or liquefied petroleum gas, 2.4 grams per

brake horsepower-hour (0.89 gram per megajoule), as measured under transient

operating conditions.

(B) Oxides of Nitrogen plus Non-methane Hydrocarbon Equivalent (NOx + NMHCE) for

engines fueled with methanol, 2.4 grams per brake horsepower-hour (0.89 gram per

megajoule), as measured under transient operating conditions.

(C) Optional Standard. Manufacturers may elect to certify to an Oxides of Nitrogen plus

Non-methane Hydrocarbons (or equivalent for methanol-fueled engines) standard of 2.5

grams per brake horsepower-hour (0.93 gram per megajoule), as measured under

transient operating conditions, provided that Non-methane Hydrocarbons (or equivalent

for methanol-fueled engines) do not exceed 0.5 grams per brake horsepower-hour (0.19

gram per megajoule) NMHC (or NMHCE for methanol-fueled engines), as measured

under transient operating conditions.

(D) A manufacturer may elect to include any or all of its diesel HDE families in any or all

of the emissions ABT programs for HDEs, within the restrictions described in § 86.004-

15 or superseding applicable sections. If the manufacturer elects to include engine

families in any of these programs, the NOx plus NMHC (or NOx plus NMHCE for

methanol-fueled engines) FELs may not exceed 4.5 grams per brake horsepower-hour

(1.7 grams per megajoule). This ceiling value applies whether credits for the family are

derived from averaging, banking, or trading programs. Additionally, families certified to

the optional standard contained in paragraph (a)(1)(i)(C) of this section shall not exceed

0.50 grams per brake horsepower-hour (0.19 gram per megajoule) NMHC (or NMHCE

for methanol-fueled engines) through the use of credits.

(E) DELETE

(ii) DELETE

(iii) Particulate.

(A) DELETE

(B) DELETE
43

(C) A manufacturer may elect to include any or all of its diesel HDE families in any or all

of the particulate ABT programs for HDEs, within the restrictions described in this

section and in § 86.004-15 or superseding applicable sections. If the manufacturer

elects to include engine families in any of these programs, the particulate FEL may not

exceed 0.25 gram per brake horsepower-hour (0.093 gram per megajoule).

(2) The standards set forth in paragraph (a)(1) of this section refer to the exhaust

emitted over the operating schedule set forth in paragraph (f)(2) of appendix I to this

part, and measured and calculated in accordance with the procedures set forth in

subpart N or P of this part, except as noted in § 86.098-23(c)(2) or superseding

sections.

(b) DELETE

(c) DELETE

(d) DELETE

(e) A manufacturer may elect to certify 2003 2004 and later model year diesel engines,

for use in vehicles with a Gross Vehicle Weight Rating of greater than 14,000 pounds,

other than urban buses, to an optional reduced-emission oxides of nitrogen plus nonmethane hydrocarbons (NOx + NMHC) standard between 0.3 grams per brake

horsepower-hour and 1.8 grams per brake horsepower-hour, inclusive, at 0.3 grams per

brake horsepower-hour increments, and a particulate matter standard of 0.01 grams per

brake horsepower-hour, 0.02 grams per brake horsepower-hour, or 0.03 grams per

brake horsepower-hour, as measured under transient operating conditions. Engines

certified to the standard contained in this paragraph are not eligible to participate in

NOx, NOx plus NMHC, or particulate ABT programs.

“*****” #####

(g)(1) eExhaust emissions from new 2004 through 2006 model year diesel-cycle heavyduty engines for use in urban buses, other than diesel-fueled, dual-fuel, and bi-fuel

engines, HDEs shall not exceed the following:

(i)(A) Oxides of Nitrogen plus Non-methane Hydrocarbons (NOx + NMHC) for engines

fueled with either petroleum fuel, natural gas, or liquefied petroleum gas, 2.4 grams per

brake horsepower-hour (0.89 gram per megajoule), as measured under transient

operating conditions.

(B) Oxides of Nitrogen plus Non-methane Hydrocarbon Equivalent (NOx + NMHCE) for

engines fueled with methanol, 2.4 grams per brake horsepower-hour (0.89 gram per

megajoule), as measured under transient operating conditions.

(C) Optional Standard. Manufacturers may elect to certify to an Oxides of Nitrogen plus

Non-methane Hydrocarbons (or equivalent for methanol-fueled engines) standard of 2.5

grams per brake horsepower-hour (0.93 gram per megajoule), as measured under

transient operating conditions, provided that Non-methane Hydrocarbons (or equivalent
44

for methanol-fueled engines) do not exceed 0.5 grams per brake horsepower-hour (0.19

gram per megajoule) NMHC (or NMHCE for methanol-fueled engines), as measured

under transient operating conditions.

(D) A manufacturer may elect to include any or all of its diesel HDE families in any or all

of the emissions ABT programs for HDEs, within the restrictions described in § 86.004-

15 or superseding applicable sections. If the manufacturer elects to include engine

families in any of these programs, the NOx plus NMHC (or NOx plus NMHCE for

methanol-fueled engines) FELs may not exceed 4.5 grams per brake horsepower-hour

(1.7 grams per megajoule). This ceiling value applies whether credits for the family are

derived from averaging, banking, or trading programs. Additionally, families certified to

the optional standard contained in paragraph (g)(1)(i)(C) of this section shall not exceed

0.50 grams per brake horsepower-hour (0.19 gram per megajoule) NMHC (or NMHCE

for methanol-fueled engines) through the use of credits.

(E) Oxides of Nitrogen for engines for sale to transit agencies on the fleet rule diesel

path fueled with either petroleum fuel, natural gas, or liquefied petroleum gas, 0.5 grams

per brake horsepower-hour (0.02 gram per megajoule), or equivalent for methanolfueled engines, measured under transient operating conditions.

(F) A manufacturer may elect to include any or all of its diesel HDE families in any or all

of the emissions ABT programs for HDEs, within the restrictions described in § 86.004-

15 or superseding applicable sections. If the manufacturer elects to include engine

families in any of these programs, the NOx plus NMHC (or NOx plus NMHCE for

methanol-fueled engines) FELs may not exceed 4.5 grams per brake horsepower-hour

(1.7 grams per megajoule). This ceiling value applies whether credits for the family are

derived from averaging, banking, or trading programs. Additionally, families certified to

the optional standard contained in paragraph (a)(1)(i)(C) of this section shall not exceed

0.50 grams per brake horsepower-hour (0.19 gram per megajoule) NMHC (or NMHCE

for methanol-fueled engines) through the use of credits

(ii)(A) Non-methane hydrocarbons for engines for urban buses for sale to transit

agencies on the fleet rule diesel path fueled with either petroleum fuel, natural gas, or

liquefied petroleum gas, 0.05 grams per brake horsepower-hour (0.02) gram per

megajoule), or equivalent for methanol-fueled engines, as measured under transient

operating conditions.

(iii) (A) Particulates for engines to be used in urban buses, 0.03 grams per brake

horsepower-hour (0.01 gram per megajoule) for certification testing and selective

enforcement audit testing, and 0.04 grams per brake horsepower-hour (0.02 gram per

megajoule) for in-use testing, as measured under transient operating conditions.

(B)(E) A manufacturer may elect to include any or all of its diesel HDE families in any or

all of the particulate ABT programs for HDEs, within the restrictions described in this

section and in § 86.004-15 or superseding applicable sections. If the manufacturer

elects to include engine families in any of these programs, the particulate FEL may not

exceed 0.25 gram per brake horsepower-hour (0.093 gram per megajoule).
45

(B) Particulates for engines to be used in urban buses for sale to transit agencies on the

fleet rule diesel path, 0.01 grams per brake horsepower-hour (0.00 gram per megajoule)

for certification testing and selective enforcement audit testing, and 0.01 grams per

brake horsepower-hour (0.01 gram per megajoule) for in-use testing, as measured

under transient operating conditions.

(iv)(A) Carbon monoxide for engines to be used in urban buses for sale to transit

agencies on the fleet rule diesel path, 5.0 grams per brake horsepower-hour (1.9 gram

per megajoule) for certification testing and selective enforcement audit testing, and 7.0

grams per brake horsepower-hour (2.6 gram per megajoule) for in-use testing, as

measured under transient operating conditions.

(v)(A) Formaldehyde for engines used in urban buses for sale to transit agencies on the

fleet rule diesel path, 0.01 grams per brake horsepower-hour (0.0 gram per megajoule)

for certification testing and selective enforcement audit testing, and 0.01 grams per

brake horsepower-hour (0.01 gram per megajoule) for in-use testing, as measured

under transient operating conditions

(g)(2) Optional Standards. As described in superceding applicable sections § 86.098-

11, (October 21, 1997, revised effective April 15, 1999[Insert date of finalized

amendment]) (e)(1)(i)(iv)(v) for urban buses.

(h) Exhaust emissions from new 2004 through 2006 model year diesel-fueled, dual-fuel,

and bi-fuel heavy-duty engines for use in urban buses shall not exceed the following:

(1) Oxides of Nitrogen, 0.5 grams per brake horsepower-hour (0.2 grams per

megajoule) for certification testing and selective enforcement audit testing, as measured

under transient operating conditions. As an option, manufacturers may choose to meet

the NOx standard with a base engine that is certified to the standards in § 86.004-11,

(October 21, 1997, revised [Insert date of finalized amendment])(a)(1), equipped with an

aftertreatment system that reduces NOx to 0.5 grams per brake horsepower-hour. The

non-methane hydrocarbons, carbon monoxide, and formaldehyde standards in

paragraphs (2),(4), and (5) below shall still apply. Manufacturers shall be responsible

for full certification, durability, testing, and warranty and other requirements for the base

engine. For the aftertreatment system, manufacturers shall not be subject to the

certification durability requirements, or in-use recall and enforcement provisions, but are

subject to warranty provisions for functionality.

(2) Non-methane Hydrocarbons, 0.05 grams per brake horsepower-hour (0.02 grams

per megajoule), as measured under transient operating conditions.

(3) Particulates, 0.01 grams per brake horsepower-hour (0.004 grams per megajoule)

for certification testing and selective enforcement audit testing, and 0.01 grams per

brake horsepower-hour (0.004 grams per megajoule) for in-use testing, as measured

under transient operating conditions. As an option, manufacturers may choose to meet

the PM standard with an aftertreatment system that reduces PM to 0.01 grams per

brake horsepower-hour. Manufacturers shall be responsible for full certification,

durability, testing, and warranty and other requirements for the base engine. For the
46

aftertreatment system, manufacturers shall not be subject to the certification durability

requirements, or in-use recall and enforcement provisions, but are subject to warranty

provisions for functionality.

(4) Carbon monoxide, 5.0 grams per grams per brake horsepower-hour (1.9 grams per

megajoule) for certification testing and selective enforcement audit testing, and 7.0

grams per brake horsepower-hour (2.6 grams per megajoule) for in-use testing, as

measured under transient operating conditions.

(5) Formaldehyde, 0.01 grams per brake horsepower-hour (0.004 grams per megajoule)

for certification testing and selective enforcement audit testing, and 0.01 grams per

brake horsepower-hour (0.004 grams per megajoule) for in-use testing, as measured

under transient operating conditions
47

Adopt and aAmend § 86.098-15, Title 40, Code of Federal Regulations to read:

§ 86.098-15 NOx and particulate averaging, trading, and banking for heavy-duty

engines, and NOx plus NMHC and particulate averaging, trading, and banking for

medium-duty diesel-cycle engines certified under Title 13 California Code of

Regulations §1956.8(h) for use in vehicles of more than 8,500 pounds through 14,000

pounds gross vehicle weight rating.

(a) Except as otherwise noted, references in this subsection to engines, heavy-duty

engines, or HDEs shall include medium-duty diesel-cycle engines certified under Title

13 California Code of Regulations §1956.8(h) for sale in California for use in vehicles of

more than 8,500 pounds through 14,000 pounds gross vehicle weight rating. Except as

otherwise noted, references to NOx averaging, banking and trading programs shall

mean NOx plus NMHC averaging, trading and banking programs when applied to such

medium-duty diesel-cycle engines.

 (a)(1) Heavy-duty engines eligible for NOx and particulate averaging, trading and

banking programs are described in the applicable emission standards sections in this

subpart or in Title 13 California Code of Regulations §1956.8(h). Manufacturers of

heavy-duty engines certified for use in vehicles sold in California must utilize the

requirements of paragraph (j) of this section for the inclusion of such engines in

averaging, trading and banking programs. All heavy-duty engine families which include

any engines labeled for use in clean-fuel vehicles as specified in 40 CFR part 88 are not

eligible for these programs. Participation in these programs is voluntary.

*****

(b) (6) If ARB or the manufacturer determines that a reporting error occurred on an endof-year report previously submitted to ARB under this section, the manufacturer's credits

and credit calculations will be recalculated. Erroneous positive credits will be void.

Erroneous negative balances may be adjusted by ARB for retroactive use.

 (i) If ARB review of a manufacturer's end-of-year report indicates a credit shortfall, the

manufacturer will be permitted to purchase the necessary credits to bring the credit

balance for that engine family to zero, at the ratio of 1.2 credits purchased for every

credit needed to bring the balance to zero. If sufficient credits are not available to bring

the credit balance for the engine family in question to zero, ARB may void the certificate

for that engine family ab initio.

(ii) If within 180 days of receipt of the manufacturer's end-of-year report, ARB review

determines a reporting error in the manufacturer's favor (i.e. resulting in a positive credit

balance) or if the manufacturer discovers such an error within 180 days of ARB receipt

of the end-of-year report, the credits will be restored for use by the manufacturer.

*****

 (c)(1) For each participating engine family, NOx and particulate emission credits

(positive or negative) are to be calculated according to one of the following equations
48

and rounded, in accordance with ASTM E29-93a, to the nearest one-tenth of a

Megagram (MG). Consistent units are to be used throughout the equation.

 (i) For determining credit need for all engine families and credit availability for engine

families generating credits for averaging programs only:

Emission credits = (Std-FEL) x (CF) x (UL) x (Production) x (10-6 )

 (ii) For determining credit availability for engine families generating credits for trading or

banking programs:

Emission credits = (Std-FEL) x (CF) x (UL) x (Production) x (10-6 ) x (Discount)

(c)(1) (iii) For purposes of the equations in paragraphs (c)(1)(i) and (ii) of this section:

Std = the current and applicable heavy-duty engine NOx or particulate emission

standard in grams per brake horsepower hour or grams per Megajoule. In the case of

medium-duty engines, Std= the Tier 1 standard for the 1998 through 2001 model years,

the LEV standard for the 2002 through 2003 model years, and the ULEV standard for

the 2004 and subsequent model years.

FEL = the NOx or particulate family emission limit for the engine family in grams per

brake horsepower hour or grams per Megajoule.

CF = a transient cycle conversion factor in BHP-hr/mi or MJ/mi, as given in paragraph

(c)(2) of this section.

UL = the useful life, or alternative life as described in paragraph (f) of § 86.094-21, for

the given engine family in miles.

Production = the number of engines produced for U.S. sales within the given engine

family during the model year. In the case of medium-duty engines and light heavy-duty

engines, Production= the number of engines produced for California sales within the

given engine family during the model year. Quarterly production projections are used

for initial certification. Actual production is used for end-of-year compliance

determination.

Discount = a one-time discount applied to all credits to be banked or traded within the

model year generated. The discount applied here is 0.8. Banked credits traded in a

subsequent model year will not be subject to an additional discount. Banked credits

used in a subsequent model year's averaging program will not have the discount

restored.

*****

 (d) Averaging sets for NOx emission credits: The averaging and trading of NOx

emission credits will only be allowed between heavy-duty engine families in the same

averaging set. Engines sold in California may only be used to generate credits to be
49

banked for use in the year 2004 and later, according to paragraph (j) of this section.

The averaging sets for the averaging and trading of NOx emission credits for heavyduty engines are defined as follows:

*****

(d)(2) For diesel cycle heavy-duty engines:

 (i) Heavy heavy-duty engines and medium heavy-duty engines, as defined in § 86.090-

2, each constitute an averaging set. Light heavy-duty engines, as defined in § 86.090-

2, for use in vehicles of more than 14,000 pounds gross vehicle weight rating, and

medium-duty engines certified under Title 13 California Code of Regulations §1956.8(h)

for use in vehicles of more than 8,500 pounds through 14,000 pounds gross vehicle

weight rating, combined constitute an averaging set. Averaging and trading among all

diesel-cycle engine families within the same averaging set is allowed.

 (ii) Urban buses are treated as members of the primary intended service class where

they otherwise would fall.

*****

 (e) Averaging sets for particulate emission credits. The averaging and trading of

particulate emission credits will only be allowed between diesel cycle heavy-duty engine

families in the same averaging set. Engines sold in California may only be used to

generate credits to be banked for use in the year 2004 and later, according to

paragraph (j) of this section. The averaging sets for the averaging and trading of

particulate emission credits for diesel cycle heavy-duty engines are defined as follows:

 (1) Engines intended for use in urban buses constitute a separate averaging set from

all other heavy-duty engines. Averaging and trading between diesel cycle bus engine

families is allowed.

 (2) For heavy-duty engines, exclusive of urban bus engines, heavy heavy-duty engines

and medium heavy-duty engines, as defined in § 86.090-2, each constitute an

averaging set. Light heavy-duty engines, as defined in § 86.090-2, for use in vehicles

of more than 14,000 pounds gross vehicle weight rating and medium-duty engines

certified under Title 13 California Code of Regulations §1956.8(h) for use in vehicles of

more than 8,500 pounds through 14,000 pounds gross vehicle weight rating, combined

constitute an averaging set. Averaging and trading between diesel-cycle engine

families within the same averaging set is allowed.

 (3) Otto cycle engines may not participate in particulate averaging, trading, or banking.

*****

(f)(1)(ii) Manufacturers may bank credits only after the end of the model year and after

actual credits have been reported to ARB in the end-of-year report. During the model

year and before submittal of the end-of-year report, credits originally designated in the
50

certification process for banking will be considered reserved and may be redesignated

for trading or averaging.

*****

(f)(3)(i) Banked credits may be used in averaging, or in trading, or in any combination

thereof, during the certification period. Credits declared for banking from the previous

model year but not reported to ARB may also be used. However, if ARB finds that the

reported credits can not be proven, they will be revoked and unavailable for use.

*****

 (i) DELETE

 (j) Program for early banking. Provisions set forth in paragraphs (a) through (i) of this

section apply only as allowed in paragraph (j) of this section. The procedures of

paragraph (j) must be utilized for engines certified for sale in California to participate in

ABT programs.

 (1) To be eligible for the program described in paragraph (j) of this section, the

following must apply:

 (i) Credits are generated from diesel cycle heavy-duty engines certified and labeled for

use in California vehicles.

 (ii) During certification, the manufacturer shall declare its intent to include specific

engine families in the program described in this paragraph (j). Separate declarations

are required for each program and no engine families may be included in both programs

in the same model year.

 (2) Credit generation and use.

 (i) For engine manufacturers not subject to the Settlement Agreements1, Ccredits shall

only be generated by 1998 and later model year engine families. Manufacturers subject

to the Settlement Agreements shall generate credits according to the specific

requirements contained therein.

 (ii) Credits may only be used for 2004 and later model year heavy-duty diesel engines,

except that manufacturers subject to the Settlement Agreements shall generate credits

according to the specific requirements contained therein. When used with 2004 and

later model year engines, NOx credits may be used to meet the NOx plus NMHC

 

1

. Seven of the largest heavy-duty diesel engine manufacturers will be implementing measures to reduce

emissions beginning October 1, 2002, to meet the requirements of the Heavy-Duty Diesel Engine

Settlement Agreements reached with the ARB. The Heavy-Duty Diesel Engine Settlements were

agreements reached in response to lawsuits brought by the United States Environmental Protection

Agency and violations alleged by the ARB pertaining to excess in-use emissions caused by the use of

defeat devices and unacceptable algorithms. Navistar signed its Settlement Agreement on October 22,

1998. Cummins, Detroit Diesel Corporation, Caterpillar, Volvo, Mack and Renault signed their Settlement

Agreements on December 15, 1998.
51

standard, except as otherwise provided in § 86.004-11(a)(1)(i)(D), and under the

requirements of 86.004-15.

 (iii) DELETE

 (3) Program flexibilities.

(i) NOx and PM credits that are banked until model year 2004 under this paragraph (j)

may be used in 2004 or any model year thereafter without being forfeited due to credit

age, except that engine manufacturers subject to the Settlement Agreements shall be

subject to the requirements contained in their respective Settlement Agreements. This

supersedes the requirement in paragraph (f)(2)(i) of this section.

 (ii) There are no regional category restraints for averaging, trading, and banking of

credits generated under the program described in paragraph (j) of this section, except

as noted in paragraphs (d), (e), and (j)(1)(i) of this section.

 (iii) Credit discounting.

(A) For NOx and PM credits generated under this paragraph (j) from heavy-duty engine

families with NOx certification levels greater than 3.5 grams per brake horsepower-hour

for oxides of nitrogen, a Discount value of 0.9 shall be used in place of 0.8 in the credit

availability equation in paragraph (c)(1) of this section. For credits generated from

medium duty engine families, a Discount value of 0.9 shall be used if the NOx plus

NMHC value is greater than the applicable standard required in subparagraph (c)(1)(iii)

less 0.5 g/BHP-hr. For manufacturers subject to the provisions in the Settlement

Agreements for the advanced implementation date for the 2004 heavy-duty engine

emission standards, the provisions contained in this paragraph shall apply to engines

produced before October 1, 2002.

(B) For NOx and PM credits generated under this paragraph (j) from heavy-duty engine

families with NOx certification levels less than or equal to 3.5 grams per brake

horsepower-hour for oxides of nitrogen, a Discount value of 1.0 shall be used in place of

0.8 in the credit availability equation in paragraph (c)(1) of this section. For credits

generated from medium duty engine families, a Discount value of 1.0 shall be used if

the NOx plus NMHC value is less than the applicable standard required in

subparagraph (c)(1)(iii) less 0.5 g/BHP-hr. For manufacturers subject to the provisions

in the Settlement Agreements for the advanced implementation date for the 2004

heavy-duty engine emission standards, the provisions contained in this paragraph shall

apply to engines produced before October 1, 2002.

(iv) Credit apportionment. At the manufacturer's option, marketable emission reduction

credits for NOx, for use in emission reduction credit programs other than ABT, may be

generated based upon engine certification to the optional reduced-emission NOx

certification standards of § 86.098-11(e), except that medium-duty engines certified

under Title 13 California Code of Regulations §1956.8(h) for use in vehicles of more

than 8,500 pounds through 14,000 pounds gross vehicle weight rating may not be used

as the basis for generating marketable emission reduction credits. Use of any
52

marketable emission reduction credits generated must meet the requirements of the

individual emission reduction credit program where the credits will be applied.

 (A) For those engine sales used to generate ABT credits, the manufacturer shall report

engine sales in the category "ABT-only credits". For those engine sales certified to

generate marketable emission reduction credits for NOx, the manufacturer shall report

engine sales in the category "nonmanufacturer-owned credits".

 (1) For engine sales reported as "ABT-only credits", the credits generated must be

used solely in the ABT program described in this section or §86.004-15.

 (2) The engine manufacturer may declare a portion of engine sales "nonmanufacturerowned credits" and any marketable NOx credits generated based upon such sales

would belong to another party. For ABT, the manufacturer may not generate any

credits for the engine sales reported as "nonmanufacturer-owned credits".

 (B) Only manufacturer-owned credits resulting from engine sales reported as "ABT-only

credits" shall be used in the averaging, trading, and banking provisions described in this

section.

 (C) Credits shall not be double-counted. Credits used in the ABT program may not be

provided to an engine purchaser for use in another program.

 (D) Manufacturers shall determine and state the number of engines sold as "ABT-only

credits" and "nonmanufacturer-owned credits" in the end-of-model year reports required

under § 86.098-23.

 (v) For medium-duty diesel-cycle engines certified under Title 13 California Code of

Regulations 1956.8(h) for use in vehicles of more than 8,500 pounds through 14,000

pounds gross vehicle weight rating:

(A) From the 1998 model year through the 2005 model year, credits may be generated

by an alternative mechanism proposed by the engine manufacturer and approved by

the Executive Officer of the ARB. The alternative credit-generating mechanism shall not

include any attribute expressly prohibited under the federal ABT program, such as

cross-class or cross-fuel trading.

(B) Manufacturers must annually submit a proposed plan for generating credits to the

Executive Officer of the ARB and have it approved prior to sale of engines of that model

year in California.

#####
53

Adopt and aAmend § 86.004-15, Title 40, Code of Federal Regulations to read:

§ 86.004-15 NOx and particulate averaging, trading, and banking for heavy-duty

engines, and NOx plus NMHC and particulate averaging, trading, and banking for

medium-duty diesel-cycle engines certified under Title 13 California Code of

Regulations §1956.8(h) for use in vehicles of more than 8,500 pounds through 14,000

pounds gross vehicle weight rating.

[October 21, 1997]

New introductory paragraph (a) INSERT:

(a) Except as otherwise noted, references in this subsection to engines, heavy-duty

engines or HDEs shall include medium-duty diesel-cycle engines certified under Title 13

California Code of Regulations §1956.8(h) for sale in California for use in vehicles of

more than 8,500 pounds through 14,000 pounds gross vehicle weight rating. Except as

otherwise noted, references to NOx averaging, banking and trading programs shall

mean NOx plus NMHC averaging, trading and banking programs when applied to such

medium-duty diesel-cycle engines.

(a)(1) Heavy-duty engines eligible for NOx, NOx plus NMHC, and particulate averaging,

trading and banking programs are described in the applicable emission standards

sections in this subpart or in Title 13 California Code of Regulations §1956.8(h). All

heavy-duty engine families which include any engines labeled for use in clean-fuel

vehicles as specified in 40 CFR part 88 are not eligible for these programs.

Participation in these programs is voluntary.

*****

(b) Participation in the NOx, NOx plus NMHC, and/or particulate averaging, trading, and

banking programs shall be done as follows.

(1) During certification, the manufacturer shall:

(i) Declare its intent to included specific engine families in the averaging, trading and/or

banking programs. Separate declarations are required for each program and for each

pollutant (i.e., NOx, NOx plus NMHC, and particulate).

(ii) Declare an FEL for each engine family participating in one or more of these three

programs.

(A) The FEL must be to the same level of significant digits as the emission standard

(one-tenth of a gram per brake horsepower-hour for NOx, NOx plus NMHC, emissions

and one-hundredth of a gram per brake horsepower-hour for particulate emissions).

(B) In no case may the FEL exceed the upper limit prescribed in the section concerning

the applicable heavy-duty engine NOx, NOx plus NMHC, and particulate emission

standards. In the case of medium-duty engines certified under Title 13 California Code

of Regulations §1956.8(h) for use in vehicles of more than 8,500 pounds through
54

14,000 pounds gross vehicle weight rating, the FEL is subject to the same upper limit as

required for heavy-duty engines.

(iii) Calculate the projected emission credits (positive or negative) based on quarterly

production projections for each participating family and for each pollutant, using the

applicable equation in paragraph (c) of this section and the applicable factors for the

specific engine family.

(iv)(A) Determine and state the source of the needed credits according to quarterly

projected production for engine families requiring credits for certification.

(B) State where the quarterly projected credits will be applied for engine families

generating credits.

(C) Credits may be obtained from or applied to only engine families within the same

averaging set as described in paragraphs (d) or (e) of this section. Credits available for

averaging, trading, or banking as defined in § 86.090-2, may be applied exclusively to a

given engine family, or reserved as defined in § 86.091-2.

(D) Credits generated before the year 2004 to be used to certify engines in the

combined light heavy-duty and medium-duty averaging set, as described in paragraphs

(d)(2)(i) and (e)(2), in the year 2004 and later, must have been generated through the

sale of engines in California.

(2) Based on this information each manufacturer’s certification application must

demonstrate:

(i) That at the end of model year production, each engine family has a net emissions

credit balance of zero or more using the methodology in paragraph (c) of this section

with any credits obtained from averaging, trading or banking.

(ii) The source of the credits to be used to comply with the emission standard if the FEL

exceeds the standard, or where credits will be applied if the FEL is less than the

emission standard. In cases where credits are being obtained, each engine family

involved must state specifically the source (manufacturer/engine family) of the credits

being used, including the year of generation of the credits being used and whether the

credits were generated from engines sold in California or from 49-state engines. In

cases where credits are being generated/supplied, each engine family involved must

state specifically the designated use (manufacturer/engine family or reserved) of the

credits involved. All such reports shall include all credits involved in averaging, trading

or banking.

(3) During the model year manufacturers must:

(i) Monitor projected versus actual production to be certain that compliance with the

emission standards is achieved at the end of the model year.

(ii) Provide the end-of-model year reports required under § 86.001-23.
55

(iii) For manufacturers participating in emission credit trading, maintain the quarterly

records required under § 86.091-7(c)(8).

(4) Projected credits based on information supplied in the certification application may

be used to obtain a certificate of conformity. However, any such credits may be

revoked based on review of end-of-model year reports, follow-up audits, and any other

compliance measures deemed appropriate by the Administrator.

(5) Compliance under averaging, banking, and trading will be determined at the end of

the model year. Engine families without an adequate amount of NOx, NOx plus NMHC,

and/or particulate emission credits will violate the conditions of the certificate of

conformity. The certificates of conformity may be voided ab initio for engine families

exceeding the emission standard.

(6) If ARB or the manufacturer determines that a reporting error occurred on an end-ofyear report previously submitted to ARB under this section, the manufacturer’s credits

and credit calculations will be recalculated. Erroneous positive credits will be void.

Erroneous negative balances may be adjusted by ARB for retroactive use.

(i) If ARB review of a manufacturer’s end-of-year report indicates a credit shortfall, the

manufacturer will be permitted to purchase the necessary credits to bring the credit

balance for that engine family to zero, using the discount specified in paragraph (c)(1) of

this section on the ratio of credits purchased for every credit needed to bring the

balance to zero. If sufficient credits are not available to bring the credit balance for the

family in question to zero, ARB may void the certificate for that engine family ab initio.

(ii) If within 180 days of receipt of the manufacturer’s end-of-year report, ARB review

determines a reporting error in the manufacturer’s favor (i.e., resulting in a positive

credit balance) or if the manufacturer discovers such an error within 180 days of ARB

receipt of the end-of-year report, the credits will be restored for use by the

manufacturer.

*****

 (c)(1)(iv) For medium-duty diesel-cycle engines certified in the 2004 and 2005 model

years under Title 13 California Code of Regulations §1956.8(h) for use in vehicles of

more than 8,500 pounds through 14,000 pounds gross vehicle weight rating, an

additional adjustment to the Std value described in (c)(1)(iii) above, allowing for

certification using Federal certification fuel may be made on an individual engine family

basis as determined by the ARB Executive Officer upon application by the engine

manufacturer.

*****

(c)(2)(ii) When more than one configuration is chosen by ARB to be tested in the

certification of an engine family (as described in § 86.085-24), the conversion factor

used is to be based upon a production weighted average value of the configurations in

an engine family to calculate the conversion factor.
56

*****

 (d)(2) For NOx plus NMHC credits from diesel-cycle heavy-duty engines:

(i) Heavy heavy-duty engines and medium heavy-duty engines, as defined in § 86.004-

2, each constitute an averaging set. Light heavy-duty engines, as defined in § 86.004-

2, for use in vehicles of more than 14,000 pounds gross vehicle weight rating and

medium-duty engines certified under Title 13 California Code of Regulations §1956.8(h)

for use in vehicles of more than 8,500 pounds through 14,000 pounds gross vehicle

weight rating, combined constitute an averaging set. Averaging and trading among all

diesel-cycle engine families within the same averaging set is allowed.

(ii) Urban buses are treated as members of the primary intended service class where

they otherwise would fall. Engines intended for use in urban buses constitute a

separate averaging set from all other heavy-duty engines. Averaging and trading

between diesel cycle bus engine families within the same averaging set is allowed.

(e) Averaging sets for particulate emission credits.

*****

(2) (i) For heavy-duty engines, exclusive of urban bus engines, heavy heavy-duty

engines and medium heavy-duty engines, as defined in § 86.004-2, each constitute an

averaging set. Light heavy-duty engines, as defined in § 86.004-2, for use in vehicles of

more than 14,000 pounds gross vehicle weight rating and medium-duty engines

certified under Title 13 California Code of Regulations §1956.8(h) for use in vehicles of

more than 8,500 pounds through 14,000 pounds gross vehicle weight rating, combined

constitute an averaging set. Averaging and trading between diesel-cycle engine

families within the same averaging set is allowed.

(ii) Engines intended for use in urban buses constitute a separate averaging set from all

other heavy-duty engines. Averaging and trading between diesel cycle bus engine

families within the same averaging set is allowed.

(3) Otto cycle engines may not participate in particulate averaging, trading, or banking.

*****

(f)(1)(ii) Manufacturers may bank credits only after the end of the model year and after

actual credits have been reported to ARB in the end-of-year report. During the model

year and before submittal of the end-of-year report, credits originally designated in the

certification process for banking will be considered reserved and may be redesignated

for trading or averaging.

*****
57

(f)(3) Use of banked emission credits. The use of banked credits shall be within the

averaging set and other restrictions described in paragraphs (d) and (e) of this section,

and only for the following purposes:

(i) Banked credits may be used in averaging, or in trading, or in any combination

thereof, during the certification period. Credits declared for banking from the previous

model year but not reported to ARB may also be used. However, if ARB finds that the

reported credits can not be proven, they will be revoked and unavailable for use.

(ii) Banked credits may not be used for NOx, NOx plus NMHC, or particulate averaging

and trading to offset emissions that exceed an FEL. Banked credits may not be used to

remedy an in-use nonconformity determined by a Selective Enforcement Audit or by

recall testing. However, banked credits may be used for subsequent production of the

engine family if the manufacturer elects to recertify to a higher FEL.

(iii) Banked NOx credits from 2003 and prior may be used in place of NOx plus NMHC

credits after 2003 provided that they are used in the correct averaging set and the NOx

credits have not expired. Manufacturers subject to the Settlement Agreements shall

bank and use credits as allowed in their respective Settlement Agreements1.

(iv) Banked credits generated before the 2004 model year to be applied toward the

certification of engines in the combined light heavy-duty and medium-duty averaging

set, as described in paragraphs (d)(2)(i) and (e)(2) above, must have been generated

through the sale of eligible engines within California. Credits generated before the 2004

model year from engines sold outside of California may not be used to certify light

heavy-duty or medium-duty engines for sale in California.

*****

(i) DELETE

(j) Credit apportionment. At the manufacturer's option, marketable emission reduction

credits for NOx plus NMHC, for use in emission reduction credit programs other than

ABT, may be generated based upon engine certification to the optional reducedemission NOx plus NMHC certification standards of § 86.004-11(e), except that

medium-duty engines certified under Title 13 California Code of Regulations §1956.8(h)

for use in vehicles of more than 8,500 pounds through 14,000 pounds gross vehicle

weight rating may not be used as the basis for generating marketable emission

reduction credits. Use of any marketable emission reduction credits generated must

meet the requirements of the individual emission reduction credit program where the

credits will be applied.

 

1

 Seven of the largest heavy-duty diesel engine manufacturers will be implementing measures to reduce

emissions beginning October 1, 2002, to meet the requirements of the Heavy-Duty Diesel Engine

Settlement Agreements reached with the ARB. The Heavy-Duty Diesel Engine Settlements were

agreements reached in response to lawsuits brought by the United States Environmental Protection

Agency and violations alleged by the ARB pertaining to excess in-use emissions caused by the use of

defeat devices and unacceptable algorithms. Navistar signed its Settlement Agreement on October 22,

1998. Cummins, Detroit Diesel Corporation, Caterpillar, Volvo, Mack and Renault signed their Settlement

Agreements on December 15, 1998.
58

 (1) For those engine sales used to generate ABT credits, the manufacturer shall report

engine sales in the category "ABT-only credits". For those engine sales certified to

generate marketable emission reduction credits for NOx, the manufacturer shall report

engine sales in the category "nonmanufacturer-owned credits".

(i) For engine sales reported as "ABT-only credits", the credits generated must be used

solely in the ABT program described in this section.

(ii) The engine manufacturer may declare a portion of engine sales "nonmanufacturerowned credits" and any marketable NOx credits generated based upon such sales

would belong to the engine purchaser. For ABT, the manufacturer may not generate

any credits for the engine sales reported as "nonmanufacturer-owned credits".

 (2) Only manufacturer-owned credits resulting from engine sales reported as "ABT-only

credits" shall be used in the averaging, trading, and banking provisions described in this

section.

 (3) Credits shall not be double-counted. Credits used in the ABT program may not be

provided to an engine purchaser for use in another program.

 (4) Manufacturers shall determine and state the number of engines sold as "ABT-only

credits" and "nonmanufacturer-owned credits" in the end-of-model year reports required

under § 86.098-23.

*****

 (l) For medium-duty diesel-cycle engines certified under Title 13 California Code of

Regulations1956.8(h) for use in vehicles of more than 8,500 pounds through 14,000

pounds gross vehicle weight rating:

(1) Credits may be generated by an alternative mechanism proposed by the engine

manufacturer and approved by the Executive Officer of the ARB. The alternative creditgenerating mechanism shall not include any attribute expressly prohibited under the

federal ABT program, such as cross-class or cross-fuel trading.

(2) Manufacturers must annually submit a proposed plan for generating credits to the

Executive Officer of the ARB and have it approved prior to sale of engines of that model

year in California.

#####
59

State of California

AIR RESOURCES BOARD

CALIFORNIA MOTOR VEHICLE

EMISSION CONTROL AND SMOG INDEX LABEL SPECIFICATIONS

 Adopted: March 1, 1978

Amended: June 16, 1982

Amended: April 26, 1984

Amended: April 8, 1985

Amended: April 25, 1986

Amended: June 2, 1988

Amended: July 21, 1988

Amended: January 22, 1990

Amended: May 15, 1990

Amended: July 12, 1991

Amended March 24, 1994

Amended: June 29, 1995

Amended: June 24, 1996, (as corrected September 20,

1996)

Amended: February 26, 1999

Amended: August 5, 1999

Amended: October 22, 1999

Amended: [insert date of finalized amendment

Note: The proposed amendments are shown in double underline and double underline

strikeout to indicate insertions and deletions, respectively, compared to the

specifications as amended October 22, 1999. The proposed amendments are

for inclusion in the urban transit bus regulation as originally proposed in the

45-day notice issued on December 10, 1999. The symbol "#####" means that

the remainder of the text of these procedures, which is not shown in this

amendment document, has not been changed.
60

State of California

AIR RESOURCES BOARD

California Motor Vehicle Emission Control and

Smog Index Label Specifications

1. Purpose. The Air Resources Board recognizes that certain

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

in order for vehicles and engines to meet the applicable emission standards. The

purpose of these specifications is: (1) to require motor vehicle or motor vehicle engine

manufacturers to affix a label (or labels) on each production vehicle in order to provide

the vehicle owner and service mechanic with information necessary for the proper

maintenance of these parts in customer use and (2) to require that smog index labels be

affixed to motor vehicle windows. These Emission Control and Smog Index Label

Specifications are incorporated by reference in Section 1965, Title 13, California Code

of Regulations.

2. Applicability.

(a) The specifications for tune-up labels, vehicle emission configuration

bar-code labels, and vehicle identification number bar-code labels shall apply to

all new 1979 and subsequent model-year passenger cars, light-duty trucks,

medium-duty vehicles, heavy-duty engines, and to all new 1982 and subsequent

model year motorcycles certified to the applicable emission standards pursuant

to California Health and Safety Code Sections 43100 and 43107. The "unleaded

gasoline only" labeling requirements in section 3.(d) do not apply to 1997 and

subsequent model year vehicles.

(b) The specifications for smog index labels shall apply to all new

passenger cars and light-duty trucks 0-8500 pounds gross vehicle weight. This

labeling requirement shall be effective starting with the 1998 model year.

(c) Any vehicles or classes of vehicles exempt from exhaust emission

standards pursuant to Title 13 of the California Code of Regulations shall also be

exempt from the requirements of these specifications except Zero-Emission

Vehicles (ZEVs) certified by the Air Resources Board for use in California.

(d) The responsibility for compliance with these specifications shall rest

with the motorcycle, light-duty vehicle, medium-duty vehicle, or heavy-duty

engine manufacturer who certified such vehicles or engines.

3. Emission Control Labels. A plastic or metal tune-up label, and in

accordance with Section b, a machine-readable vehicle emission configuration (VEC)

bar-code label made of paper, plastic, metal, or other permanent material, shall be

welded, riveted or otherwise permanently attached to an area within the engine

compartment (if any) or to the engine in such a way that it will be readily visible to the

average person after installation of the engine in a vehicle. In accordance with Section
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b, a machine-readable vehicle identification number (VIN) bar-code label made of

paper, plastic, metal, or other permanent material shall be affixed in a readily visible

location to either the door-latch post next to the driver's seating position, the door edge

that meets this door-latch post, or above the instrument panel in a location clearly

visible through the lower left corner of the windshield.

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) and accessibility for a bar-code scanner, as applicable. 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 vehicle's useful life. For motorcycles, passenger cars, light-duty trucks, and

medium-duty vehicles, the label(s) shall not be affixed to any equipment which is easily

detached from the vehicle.

(a) The tune-up label shall contain the following information lettered in

the English language in block letters and numerals which shall be of a color that

contrasts with the background of the label:

i. The label heading shall read: "Vehicle Emission Control Information" for

passenger cars, light-duty trucks, medium-duty vehicles and motorcycles,

and "Important Engine Information" for heavy-duty engines.

ii. Full corporate name and trademark of the manufacturer.

iii. For 1993 and subsequent model-year vehicles and engines designed to

be capable of operating on fuels other than gasoline, the statement "This 

(specify vehicle or engine, as applicable) is certified to operate on 

(specify operating fuel[s])."

iv. Engine family or test group identification, model designation, engine

displacement (in cubic centimeters or liters), and for all 1993 and

subsequent model-year vehicles the statement, " (specify

OBD I or OBD II, as applicable) certified" or "OBD Exempt" for all 1990

and subsequent model-year vehicles which do not have an Air Resources

Board approved on-board diagnostic system. Motorcycles and ZEVs are

exempt from these requirements.

v. Identification of the Exhaust Emission Control System: Abbreviations used

shall be in accordance with SAE J1930, JUN 1993, including the following

nomenclature unless the Executive Officer approves a more current

version of SAE J1930 (ZEVs are exempt from these requirements):

OC - Oxidation Catalyst Only;

TWC - Three-Way Catalyst;

TWC+OC - Three-Way Catalyst + Oxidation Catalyst;

* EHOC - Electrically Heated Oxidation Catalyst;
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* EHTWC - Electrically Heated Three-Way Catalyst;

WU-TWC - Warm-Up Catalyst with Three-Way Catalyst;

WU-OC - Warm-Up Catalyst with Oxidation Catalyst;

AIR - Secondary Air Injection (Pump);

PAIR - Pulsed Secondary Air Injection;

CAC - Charge Air Cooler;

SC - Supercharger;

TC - Turbocharger;

DFI - Direct Fuel Injection;

IFI - Indirect Diesel Injection;

CTOX - Continuous Trap Oxidizer;

PTOX - Periodic Trap Oxidizer;

* FFS - Flexible Fuel Sensor;

O2S - Oxygen Sensor;

HO2S - Heated Oxygen Sensor;

EGR - Exhaust Gas Recirculation;

EM - Engine Modification;

CFI - Continuous Fuel Injection;

MFI - Multiport (Electronic) Fuel Injection, (Central) Multiport

Fuel Injection;

TBI - Throttle Body (Electronic) Fuel Injection;

SFI - Sequential Multipoint (Electronic) Fuel Injection; and

SPL - Smoke Puff Limiter;

* Pending confirmation as SAE protocol

The Executive Officer shall recommend abbreviations for components not

listed in SAE J1930, JUN 1993.

vi. For Otto-cycle engines the tune-up specifications and adjustments

recommended by the manufacturer, including, if applicable: valve lash,

ignition timing, idle air fuel mixture setting procedure and value (e.g., idle

CO, idle speed drop), and high idle speed. For diesel engines the

specifications and adjustments recommended by the manufacturer,

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

at advertised horsepower. For the specifications listed above, which are

not recommended by the manufacturer for adjustment, the manufacturer

shall include in lieu of the "specifications" the single statement "no other

adjustments needed." These specifications shall indicate the proper

transmission position during tune-up and what accessories, if any (e.g., air

conditioner), should be in operation, and what systems, if any (e.g.,

vacuum advance, air pump), should be disconnected during the tune-up.

For all vehicles except ZEVs, the instructions for tune-up adjustments

shall be sufficiently clear on the label so as to preclude the need for a

mechanic or vehicle owner to refer to another document in order to

correctly perform the adjustments. For heavy-duty engines certified under

the requirements of Title 13 California Code of Regulations, § 1956.8
63

(a)(3), the requirements of this subsection (3)(a)(vi) shall be repeated for

each of the two fueling modes of operation.

vii. For motorcycles only, any specific fuel or engine lubricant requirements

(e.g., lead content, research octane number, engine lubricant type).

viii. For heavy-duty engines, the date of engine manufacture (month and

year). A manufacturer may, in lieu of printing the month of manufacture

on the engine label, maintain a record of the month of engine

manufacture. The manufacturer shall submit this record to the Executive

Officer upon request.

ix. An unconditional statement of compliance with the appropriate model-year

California regulations; for example, "This vehicle (or engine, as applicable)

conforms to California regulations applicable to model-year new 

(for 1992 and subsequent model years, specify TLEV, LEV, ULEV,

SULEV, or ZEV, as applicable) (specify motorcycles, passenger cars,

light-duty trucks, medium-duty vehicles, heavy-duty Otto-cycle engines, or

heavy-duty diesel engines, as applicable)." For federally certified vehicles

certified for sale in California the statement must include the phrase

"conforms to U.S. EPA regulations and is certified for sale in California."

For Class III motorcycles for sale in California, the statement must include

the phrase "is certified to HC engine family exhaust emission standard

in California." For incomplete light-duty truck and incomplete medium-duty

vehicles the label shall contain the following statement in lieu of the above:

 "This vehicle conforms to California regulations applicable to 

model-year new (for 1992 and subsequent model years

specify LEV, ULEV or SULEV, as applicable) vehicles when

completed at a maximum curb weight of pounds and a

maximum frontal area of square feet."

For 1994 through 2002 2003 model year heavy heavy-duty diesel

engines, produced before October 1, 2002, to be used in urban buses that

are certified to the optional reduced-emission standards, the label shall

contain the following statement in lieu of the above:

"This engine conforms to California regulations applicable to 

model year new urban bus engines and is certified to a NOx

emission standard of g/bhp-hr (for optional reducedemission standards specify between 0.5 and 3.5 at 0.5

g/bhp-hr increments for 1994 and 1995 model years, and

between 0.5 and 2.5 at 0.5 g/bhp-hr increments for 1996

through 2002 model years produced before October 1, 2002

2003 model years)."
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For 2002 through 2003 model year heavy heavy-duty diesel-fueled, dualfuel, and bi-fuel engines, produced beginning October 1, 2002, to be used

in urban buses that are certified to the optional reduced-emission

standards, the label shall contain the following statement in lieu of the

above:

“This engine conforms to California regulations applicable to ____

model year new urban bus engines and is certified to a NOx plus

NMHC optional reduced-emission standard of g/bhp-hr (for

optional reduced-emission standards specify between 0.3 and 1.8,

inclusive, at 0.3 g/bhp-hr increments, and a particulate matter

standard of 0.01 g/bhp-hr).”

This statement shall also be used on 2004 through 2006 model year

heavy heavy-duty diesel-fueled, dual-fuel, and bi-fuel engines to be used

in urban buses that are certified to the optional reduced-emission

standards and are sold to any transit agency exempted under section

1956.2(d)(7), Title 13, CCR, from the requirements of section

1956.2(d)(4), Title 13, CCR.

For 2002 through 2006 model year heavy heavy-duty diesel cycle engines

produced beginning October 1, 2002, other than diesel-fueled, dual-fuel,

and bi-fuel engines, to be used in urban buses that are certified to the

optional reduced-emission standards, the label shall contain the following

statement in lieu of the above:

“This engine conforms to California regulations applicable to____

model year new urban bus engines and is certified to a NOx plus

NMHC optional reduced-emission standard of g/bhp-hr (for

optional reduced-emission standards specify between 0.3 and 1.8,

inclusive, at 0.3 g/bhp-hr increments, and a particulate matter

standard 0.03 g/bhp-hr, 0.02 g/bhp-hr, or 0.01 g/bhp-hr).”

For 1995 through 2002 2003 model year heavy-duty engines produced

before October 1, 2002, other than those for use in urban buses, that are

certified to the optional reduced-emission standards, the label shall

contain the following statement in lieu of the above:

"This engine conforms to California regulations applicable to 

model-year new heavy-duty engines, other than those for use in

urban buses, and is certified to a NOx emission standard of 

g/bhp-hr (for optional reduced-emission standards specify between

0.5 and 3.5 at 0.5 g/bhp-hr increments for 1995 through 1997

model-year diesel engines, between 0.5 and 2.5 at 0.5 g/bhp-hr

increments for 1998 through 2002 2003 model-year diesel engines

produced before October 1, 2002, between 0.5 and 2.5 at 0.5

g/bhp-hr increments for 1995 through 1997 model-year Otto-cycle
65

engines, and between 0.5 and 1.5 at 0.5 g/bhp-hr increments for

1998 and later model year Otto-cycle engines)."

For 2002 2004 and later model year heavy-duty diesel engines produced

beginning October 1, 2002, other than those for use in urban buses, that

are certified to the optional reduced-emission standards, the label shall

contain the following statement in lieu of the above:

"This engine conforms to California regulations applicable to 

model-year new heavy-duty engines and is certified to a

NOx plus NMHC optional reduced-emission standard of 

g/bhp-hr (for optional reduced-emission standards specify

between 0.3 and 1.8, inclusive, at 0.3 g/bhp-hr increments,

and a particulate matter standard of 0.03 g/bhp-hr, 0.02

g/bhp-hr, or 0.01 g/bhp-hr for 2004 and subsequent modelyear diesel engines)."

For heavy-duty diesel engines certified under the requirements of Title 13

California Code of Regulations, § 1956.8 (a)(3), the statement of

compliance requirements of this subsection (3)(a)(ix) shall be repeated for

each of the two fueling modes of operation. Appended to the statement

for the lower emitting fueling model of operation shall be the following

sentence:

"This certification is valid only while operating on 

(indicate the fuel or fuel combination under which this mode

of operation was certified) fuel. Operation using any other

fueling mode will result in significant increases in exhaust

emissions and significantly reduce engine performance."

Manufacturers may elect to use a supplemental label in addition to the

original label if there is not sufficient space to include all the required

information. The supplemental label must conform to all specifications as

the original label. In the case that a supplemental label is used, the

original label shall be number "1 of 2" and the supplemental label shall be

numbered "2 of 2."

x. For 1985 and subsequent model year heavy-duty diesel engines and 1987

and subsequent model year heavy-duty Otto-cycle engines, if the

manufacturer is provided an alternate useful life period under the

provisions of 40 CFR 86.085-21(f), 86.087-21(f), 86.088-21(f),

86.090-21(f), or 86.091-21(f) the prominent statement: "This engine has

been certified to meet California standards for a useful life period of 

years or miles of operation, whichever occurs first. This engine's

actual life may vary depending on its service application." The

manufacturer may alter this statement only to express the assigned

alternate useful life in terms other than years or miles (e.g., hours, or miles

only).
66

xi. For 1985 and subsequent model year heavy-duty diesel engines, the

prominent statement: "This engine has a primary intended service

application as a heavy-duty engine." (The primary intended service

applications are light, medium, and heavy, as defined in 40 CFR

86.085-2.)

xii. For 1987 and subsequent model year heavy-duty Otto-cycle engines, one

of the following prominent statements as applicable:

(1) For engines certified to the emission standards under 40

CFR 86.087-10(a)(1)(I), 86.088-10(a)(1)(I), 86.090- 10(a)(1)(I),

86.090-10(a)(1)(iii), 86.091-10(a)(1)(I), and 86.091-10(a)(1)(iii) the

statement: "This engine is certified for use in all heavy-duty

vehicles."

(2) For engines certified under the provisions of 40 CFR

86.087-10(a)(3)(I), 86.088-10(a)(3)(I), 86.090- 10(a)(3)(I),

86.090-10(a)(3)(ii), 86.091-10(a)(3)(I), or 86.091-10(a)(3)(ii) the

statement, "This engine is certified for use in all heavy-duty

vehicles. It is certified to the emission standards applicable to

heavy- duty vehicles with a gross vehicle weight rating above

14,000 lbs. and to U.S. EPA regulations applicable in California."

(3) For engines certified to the emission standards under 40

CFR 86.087-10(a)(1)(ii), 86.088-10(a)(1)(ii), 86.090- 10(a)(1)(ii),

86.090-10(a)(1)(iv), 86.091-10(a)(1)(ii), or 86.091-10(a)(1)(iv) the

statement: "This engine is certified for use only in heavy-duty

vehicles with a gross vehicle weight rating above 14,000 lbs."

xiii. For 1988 model heavy-duty Otto-cycle engines and vehicles for which

nonconformance penalties are to be paid in accordance with

86.1113-87(b), the following prominent statement: "The manufacturer of

this engine/vehicle will pay a nonconformance penalty to be allowed to

introduce it into commerce at an emission level higher than the applicable

emission standard. The compliance level (or new emission standard) for

this engine/vehicle is ." (The manufacturer shall insert the applicable

pollutant and compliance level calculated in accordance with

86.1112-87(a).)

(1) The above statement shall be printed on the label

required in these specifications or on a separate permanent legible

label in the English language and located in proximity to the label

required in these specifications. The manufacturer shall begin

labeling production engines or vehicles within ten days after the

completion of the Production Compliance Audit (PCA).

(2) If a manufacturer introduces an engine or vehicle into

commerce prior to the compliance level determination of

86.1112-87(a), it shall provide the engine or vehicle owner with a

label as described above to be affixed in a location in proximity to

the label required in these specifications within 30 days of the

completion of the PCA.
67

Such statements shall not be used on labels placed on vehicles or engines

which, in fact, do not comply with all applicable California regulations, including

assembly-line test requirements, if any.

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