California Code of Regulations › Title 13 - Motor Vehicles › Division 3 - Air Resources Board › Chapter 9 - Off-Road Vehicles and Engines Pollution Control Devices › Article 4 - Off-Road Compression-Ignition Engines and Equipment › Section 2421 - Definitions

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) The definitions
				  in Section
				  1900 (b), Chapter
				  3, Title 13 of the California Code of Regulations, shall apply with the
				  following additions:
(1) "1996-1999 Heavy-Duty
				  Test Procedures" means the document titled "California Exhaust Emission
				  Standards and Test Procedures for New 1996-1999 Heavy-Duty Off-Road
				  Compression-Ignition Engines, Part I-A," which includes the standards and test
				  procedures applicable to 1996-1999 heavy-duty off-road compression-ignition
				  engines, as adopted May 12, 1993, and as amended January 28, 2000. This
				  document is incorporated by reference herein.
(2) "1996-1999 Smoke Test Procedures" means
				  the document titled "California Smoke Test Procedures for New 1996-1999
				  Off-Road Compression-Ignition Engines, Part III," which includes the standards
				  and test procedures applicable to 1996-1999 heavy-duty off-road
				  compression-ignition engines, as adopted May 12, 1993, and as amended January
				  28, 2000. This document is incorporated by reference herein.
(3) "2000 Plus Limited Test Procedures" means
				  the document titled "California Exhaust Emission Standards and Test Procedures
				  for New 2000 and Later Tier 1, Tier 2, and Tier 3 Off-Road Compression-Ignition
				  Engines, Part I-B," which includes the standards and test procedures applicable
				  to 2000 and later model year off-road compression-ignition engines, as adopted
				  January 28, 2000, and as amended October 20, 2005. This document is
				  incorporated by reference herein.
(4)
(A)
				  "2008-2010 Test Procedures" means the document titled "California Exhaust
				  Emission Standards and Test Procedures for New 2008-2010 Tier 4 Off-Road
				  Compression-Ignition Engines," which includes the standards and test procedures
				  applicable to 2008-2010 model year off-road compression-ignition engines, as
				  adopted October 20, 2005, and as last amended October 25, 2012. This document
				  is incorporated by reference herein.
(B) "2011 and Later Test Procedures" means
				  the collection of documents titled "California Exhaust Emission Standards and
				  Test Procedures for New 2011 and Later Tier 4 Off-Road Compression-Ignition
				  Engines, Parts I-D, I-E, and I-F," which include, respectively, the emission
				  standards, general compliance provisions, and engine testing procedures
				  applicable to 2011 model year and later off-road compression engines, as
				  adopted October 25, 2012. These documents are incorporated by reference
				  herein.
(5) "Adjustable
				  parameter" means any device, system, or element of design that is capable of
				  being adjusted manually (even if difficult to access), and which may affect
				  emissions or engine performance during emission testing or normal in-use
				  operation. This includes, but is not limited to, parameters related to
				  injection timing and fueling rate. A parameter that is difficult to access may
				  be excluded upon request to the Executive Officer if the parameter cannot be
				  adjusted to a degree that affects emissions without significantly degrading
				  engine performance, or if demonstrated that it will not be adjusted in a way
				  that affects emissions during in-use operation.
(6) "Alternate fuel" means any fuel that will
				  reduce non-methane hydrocarbons (on a reactivity-adjusted basis), NOx, CO, and
				  the potential risk associated with toxic air contaminants as compared to
				  gasoline or diesel fuel and would not result in increased deterioration of the
				  engine. Alternate fuels include, but are not limited to, methanol, ethanol,
				  liquefied petroleum gas, compressed natural gas, and electricity.
(7) "ARB Enforcement Officer" means any
				  officer or employee of the Air Resources Board so designated in writing by the
				  Executive Officer (or by his designee).
(8) "Assembly-line tests" are those tests or
				  inspections that are performed on or at the end of the assembly-line.
(9) "Auxiliary emission-control device" means
				  any element of design that senses temperature, motive speed, engine speed,
				  transmission gear, or any other parameter for the purpose of activating,
				  modulating, delaying, or deactivating the operation of any part of the
				  emission-control system.
(10) "Blue
				  Sky Series engine" means an off-road compression-ignition engine meeting the
				  requirements of Section
				  2423(b)(4).
(11) "Calendar year" is defined as the
				  twelve-month period commencing on January 1 through December 31.
(12) "Certification" means, with respect to
				  new off-road compression-ignition engines, the obtaining of an Executive Order
				  for an engine family complying with the off-road compression-ignition engine
				  emission standards and requirements specified in this article.
(13) "Certified configuration" or "certified
				  emissions configuration" means the assembled state of an engine that is
				  equipped with a complete set of emission-related components and systems that
				  are equivalent from an emissions standpoint (i.e., tolerances, calibrations,
				  and specifications) to those components and systems that (A) were originally
				  installed on the engine when it was issued an Executive Order, (B) have been
				  approved by the engine manufacturer to supersede any of the original
				  emission-related components and systems for that engine, or (C) are direct
				  replacement parts equaling or exceeding the emissions-related performance of
				  the original or superseded components and systems.
(14) "Compression-ignition engine" means a
				  type of engine with operating characteristics significantly similar to the
				  theoretical Diesel combustion cycle. The non-use of a throttle to regulate
				  intake flow for controlling power during normal operation is indicative of a
				  compression-ignition engine. A compression-ignition engine may be
				  petroleum-fueled (i.e., diesel-fueled) or alternate-fueled. All engines and
				  equipment that fall within the scope of the preemption of Section
				  209(e)(1) of the
				  Federal Clean Air Act (42
				  U.S.C. 7543(e)(1)) and as
				  defined by regulation of the Environmental Protection Agency, are specifically
				  not included within this category.
(15) "Constant-speed engine" means
(A) for engines subject to the 2000 and Later
				  Plus Limited Test Procedures, an off-road compression-ignition engine that is
				  governed to operate only at rated speed, or
(B) for engines subject to the 2008-2010 Test
				  Procedures, an off-road compression-ignition engine certified to operate only
				  at constant speed, where constant-speed operation means engine operation with a
				  governor that controls the operator input to maintain an engine at a reference
				  speed, even under changing load. For example, an isochronous governor changes
				  reference speed temporarily during a load change, then returns the engine to
				  its original reference speed after the engine stabilizes. Isochronous governors
				  typically allow speed changes up to 1.0 %. Another example is a speed-droop
				  governor, which has a fixed reference speed at zero load and allows the
				  reference speed to decrease as load increases. With speed-droop governors,
				  speed typically decreases (3 to 10) % below the reference speed at zero load,
				  such that the minimum reference speed occurs near the engine's point of maximum
				  power, or
(C) for engines subject
				  to the 2011 and Later Test Procedures, an off-road compression-ignition engine
				  certified to operate only at constant speed, where constant-speed operation
				  means engine operation with a governor that automatically controls the operator
				  demand to maintain engine speed, even under changing load. Governors do not
				  always maintain speed exactly constant. Typically speed can decrease (0.1 to
				  10) % below the speed at zero load, such that the minimum speed occurs near the
				  engine's point of maximum power.
(16) "Crankcase emissions" means airborne
				  substances emitted into the atmosphere from any portion of the engine crankcase
				  ventilation or lubrication system.
(17) "Compliance testing" means ARB directed
				  emissions tests and inspections of a reasonable number of production engines
				  and/or vehicles that are offered for sale, or manufactured for sale, in
				  California in order to verify compliance with the applicable certification
				  emission standards. The emissions tests may be conducted at ARB or contracted
				  out facilities or at the manufacturer's facility. The testing will be done at
				  the expense of the manufacturer.
(18) "Confirmatory testing" means ARB
				  directed emissions tests and inspections of the test engines and/or test
				  vehicles used by the manufacturer to obtain test data for submittal with the
				  certification application. The emissions tests may be conducted at ARB or
				  contracted out facilities or at the manufacturer's facility. The testing will
				  be done at the expense of the manufacturer.
(19) "Date of manufacture" or "Build date"
				  means one of the following:
(A) For engines,
				  the date on which the crankshaft is installed in an engine block, with the
				  following exceptions:
1. Reserved.
2. Manufacturers may assign a date of
				  manufacture at a point in the assembly process later than the date otherwise
				  specified under this definition. For example, a manufacturer may use the build
				  date printed on the label or stamped on the engine as the date of
				  manufacture.
(B) For
				  equipment, the date on which the engine is installed, unless otherwise
				  specified in this Article 4. Manufacturers may alternatively assign a date of
				  manufacture later in the assembly process.
(20) "Dealer" means that person or entity
				  engaged in the selling of new off-road compression-ignition engines, vehicles
				  or equipment to ultimate purchasers.
(21) "Deterioration factor" means the
				  relationship between emissions at the end of useful life and emissions at the
				  low-hour test point, expressed in one of the following ways, whichever is
				  applicable:
(A) For multiplicative
				  deterioration factors, the ratio of emissions at the end of useful life to
				  emissions at the low-hour test point;
(B) For additive deterioration factors, the
				  difference between emissions at the end of useful life and emissions at the
				  low-hour test point.
(22)
				  "Diesel cycle engine" means a type of engine with operating characteristics
				  significantly similar to the theoretical diesel combustion cycle. The primary
				  means of controlling power output in a diesel cycle engine is by limiting the
				  amount of fuel that is injected into the combustion chambers of the engine. A
				  diesel cycle engine may be petroleum-fueled (i.e., diesel-fueled) or
				  alternate-fueled.
(23) "Emission
				  control system" includes any component, group of components, or engine
				  modification that controls or causes the reduction of substances emitted from
				  an engine.
(24) "End of assembly
				  line" is defined as that place where the final inspection test or quality-audit
				  test is performed.
(25) "Engine
				  manufacturer" or "manufacturer" means any person who is engaged in the
				  manufacturing or assembling of new off-road engines or the importing of new
				  off-road engines for resale and who has been granted certification, or any
				  person who acts for and is under the control of a manufacturer in connection
				  with the distribution of new off-road engines. "Engine manufacturer" or
				  "manufacturer" does not include a dealer who receives new off-road engines for
				  sale in commerce.
(26) "Exhaust
				  emissions" means substances emitted into the atmosphere from any opening
				  downstream from the exhaust port of an off-highway engine.
(27) "Family emission limit" (FEL) means an
				  emission level that is declared by the manufacturer to serve in lieu of an
				  emission standard for certification purposes and for the averaging, banking,
				  and trading program, as defined in Title 13, California Code of Regulations,
				  Section 2423. A FEL must be expressed to
				  the same number of decimal places as the applicable emission
				  standard.
(28) "Final calendar
				  quarter production" is defined as the calendar quarter in which the production
				  of an engine family ends.
(29)
				  "First calendar quarter production" is defined as the calendar quarter in which
				  the production of an engine family begins.
(30) "Fuel system" means the combination of
				  any of the following components: fuel tank, fuel pump, fuel lines, oil
				  injection metering system, carburetor or fuel injection components, or all fuel
				  system vents.
(31) "Gross engine
				  malfunction" is defined as one yielding an emission value greater than the sum
				  of the mean plus three (3) times the standard deviation. This definition shall
				  apply only for determination of control limits.
(32) "Heavy-duty off-road
				  compression-ignition engines" or "engines" are identified as: 1996 through 1999
				  model year diesel or alternate fuel powered diesel cycle internal combustion
				  engines 175 horsepower and greater, operated on or in any device by which any
				  person or property may be propelled, moved or drawn upon a highway, but are
				  primarily used off a highway. The engines are designed for powering
				  construction, farm, mining, forestry and industrial implements and equipment.
				  They are designed to be used in, but are not limited to use in, the following
				  applications: agricultural tractors, backhoes, excavators, dozers, log
				  skidders, trenchers, motor graders, portable generators and compressors and
				  other miscellaneous applications.
Specifically excluded from this category are:
(A) engines operated on or in any device used
				  exclusively upon stationary rails or tracks;
(B) marine diesel engines;
(C) internal combustion engines attached to a
				  foundation at a location;
(D)
				  transportable engines subject to District permitting rules which have been
				  operated at a location for a period of one year or more on January 1, 1997;
				  and
(E) stationary or transportable
				  gas turbines for power generation.
(33) "Identification number" means a
				  specification (for example, model, number/serial number combination) that
				  allows a particular off-road compression-ignition to be distinguished from
				  other similar engines.
(34) "Marine
				  diesel engine" means a compression-ignition engine that is installed or
				  intended to be installed on a vessel. There are two types of Marine Diesel
				  Engines:
(A) Propulsion marine
				  compression-ignition engines, which are those that move or are intended to move
				  a vessel through water or direct the movement of a vessel, and
(B) Auxiliary marine diesel engines, which
				  are integral to the vessel, but which do not propel the vessel. This definition
				  includes portable auxiliary marine engines or generators only if their fueling,
				  cooling, or exhaust systems are an integral part of the
				  vessel.
(35) "Maximum
				  Engine Power" means the maximum brake power point on the nominal power curve
				  for a specific engine configuration, rounded to the nearest whole kilowatt. The
				  "nominal power curve" of an engine configuration means the relationship between
				  maximum available engine brake power and engine speed for a specific engine
				  configuration, as determined using the mapping procedures specified in Part
				  1065 of the 2008-2010 Test Procedures or Part I-F of the 2011 and Later Test
				  Procedures as applicable, based on the manufacturer's design and production
				  specifications for that engine. This relationship may also be expressed by a
				  torque curve that relates maximum available engine torque with engine speed.
				  The nominal power curve shall be within the normal production variability of
				  actual power curves for production engines of the same engine configuration.
				  This definition of Maximum Engine Power shall be applicable for all references
				  to a specific power value or range of power values with respect to engines
				  subject to the 2008-2010 or 2011 and Later Test Procedures as applicable,
				  except as otherwise noted or permitted by the Executive Officer. Maximum Engine
				  Power shall be used as the basis for categorizing engine families into
				  appropriate Tier 4 power categories.
(36) "Maximum Rated Power" means the maximum
				  brake kilowatt output of an engine at rated speed as stated by the manufacturer
				  in the manufacturer's sales and service literature and in the application for
				  certification. Maximum Rated Power shall be used as the basis for categorizing
				  engine families into appropriate Tier 1, Tier 2, and Tier 3 power categories,
				  except as otherwise noted or permitted by the Executive Officer.
(37) "Maximum Test Speed" has the same
				  meaning as defined in Part 1065.1001 of the 2008-2010 and 2011 and Later Test
				  Procedures.
(38) "Model year" means
				  the manufacturer's annual production period which includes January 1 of a
				  calendar year or, if the manufacturer has no annual production period, the
				  calendar year. Other examples for the determination of model year are
				  identified in §
											1039.801 of the 2008-2010 and the
				  2011 and Later Test Procedures, as applicable.
(39) "Off-road compression-ignition engine":
(A) Except as specified in paragraph (B) of
				  this definition, an off-road compression-ignition engine is any internal
				  combustion engine:
1. in or on a piece of
				  equipment that is self-propelled or serves as a dual purpose by both propelling
				  itself and performing another function and is primarily used off the highways
				  (such as garden tractors, off-highway mobile cranes and bulldozers);
				  or
2. in or on a piece of equipment
				  that is intended to be propelled while performing its function (such as
				  lawnmowers and string trimmers); or
3. that, by itself or in or on a piece of
				  equipment, is portable or transportable, meaning designed to be and capable of
				  being carried or moved from one location to another. Indicia of
				  transportability include, but are not limited to wheels, skids, carrying
				  handles, dolly, trailer, or platform.
(B) An internal combustion engine is not an
				  off-road compression-ignition engine if:
1.
				  the engine is used to propel a vehicle subject to the emission standards
				  contained in Title 13, California Code of Regulations, Sections
				  1950-1978, or a vehicle used
				  solely for competition, or is subject to standards promulgated under Section
				  202 of the federal Clean Air Act
				  (42 U.S.C.
				  7521); or
2. the engine is regulated by a federal New
				  Source Performance Standard promulgated under Section
				  111 of the federal Clean Air Act
				  (42 U.S.C.
				  7511); or
3. the engine otherwise included in paragraph
				  (A)3. of this definition remains or will remain at a location for more than 12
				  consecutive months or a shorter time for an engine located at a seasonal
				  source. A location is any single site at a building, structure, facility, or
				  installation. Any engine (or engines) that replaces an engine at a location and
				  that is intended to perform the same or similar function as the engine replaced
				  will be included in calculating the consecutive period. An engine located at a
				  seasonal source is an engine that remains at a seasonal source during the full
				  operating period of the seasonal source. A seasonal source is a stationary
				  source that remains in a single location on a permanent basis (i.e., at least
				  two years) and that operates at a single location approximately three months
				  (or more) each year. This paragraph does not apply to an engine after the
				  engine is removed from the location.
(40) "Off-road vehicle" or "Off-road
				  equipment" means a vehicle or equipment that is powered by an off-road
				  compression-ignition engine.
(41)
				  "Off-road vehicle manufacturer" or "Off-road equipment manufacturer" means any
				  person engaging in the manufacturing or assembling of new off-road vehicles or
				  equipment, or importing of new off-road vehicles or equipment for resale, or
				  acting for and under the control of any person in connection with distributing
				  new off-road vehicles and equipment. An off-road vehicle manufacturer or
				  off-road equipment manufacturer does not include a dealer, nor any person
				  engaging in the manufacturing or assembling of new off-road engines or
				  equipment who does not install an engine as part of that manufacturing or
				  assembling process. All off-road vehicle or equipment manufacturing entities
				  that are under the control of the same person are considered to be a single
				  off-road vehicle manufacturer or off-road equipment manufacturer.
(42) "Opacity" means the fraction of a beam
				  of light, expressed in percent, which fails to penetrate a plume of
				  smoke.
(43) "Otto cycle engine"
				  means a type of engine with operating characteristics significantly similar to
				  the theoretical Otto combustion cycle. The primary means of controlling power
				  output in an Otto cycle engine is by limiting the amount of air and fuel that
				  can enter the combustion chambers of the engine. Gasoline-fueled engines are
				  Otto cycle engines.
(44) "PM and
				  Test Cycle Limited Procedures" means the document titled "California Exhaust
				  Emission Standards and Test Procedures for New 1996 and Later Tier 1, Tier 2,
				  and Tier 3 Off-Road Compression-Ignition Engines, Part II," which includes the
				  standards and test procedures applicable for 1996 and later heavy-duty off-road
				  compression-ignition engines, as adopted May 12, 1993, and as amended October
				  20, 2005. This document is incorporated by reference herein.
(45) "Post-manufacture marinizer" means a
				  person who produces a marine compression-ignition engine by substantially
				  modifying a certified or uncertified complete or partially complete engine, and
				  is not controlled by the manufacturer of the base engine or by an entity that
				  also controls the manufacturer of the base engine. For the purpose of this
				  definition, "substantially modify" means changing an engine in a way that could
				  change engine emission characteristics.
(46) "Power category" means a specific range
				  of maximum power that defines the applicability of standards. For example,
				  references to the 56-130 kW power category and 56 [LESS THAN EQUAL TO] kW <
				  130 include all engines with maximum power at or above 56 kW but below 130 kW.
				  Also references to 56-560 kW power categories or 56 [LESS THAN EQUAL TO] kW
				  [LESS THAN EQUAL TO] 560 include all engines with maximum power at or above 56
				  kW, but at or below 560 kW, even though these engines span multiple power
				  categories. Note that in some cases, FEL caps are based on a subset of a power
				  category. The Tier 4 applicable power categories are defined as follows:
(A) Engines with maximum engine power below
				  19 kW.
(B) Engines with maximum
				  engine power at or above 19 kW but below 56 kW.
(C) Engines with maximum engine power at or
				  above 56 kW but below 130 kW.
(D)
				  Engines with maximum engine power at or above 130 kW but at or below 560
				  kW.
(E) Engines with maximum engine
				  power above 560 kW.
(47)
				  "Propulsion marine compression-ignition engine" means a marine
				  compression-ignition engine that is intended to move a vessel through water or
				  direct the movement of a vessel.
(48) "Quality-audit test" is defined as the
				  test performed on a sample of production engines produced for sale in
				  California.
(49) "Rated speed" is
				  the maximum full load governed speed for governed engines and the speed of
				  maximum horsepower for ungoverned engines.
(50) "Representative engine sample" means
				  that the sample is typical of the engine family or engine family group as a
				  whole (as defined in applicable test procedures). Except as provided in Section
				  2427, a representative sample
				  would not include a low-volume subgroup of the engine family or engine family
				  group.
(51) "Scheduled maintenance"
				  means any adjustment, repair, removal, disassembly, cleaning, or replacement of
				  components or systems required by the manufacturer that is performed on a
				  periodic basis to prevent part failure or equipment or engine malfunction, or
				  anticipated as necessary to correct an overt indication of malfunction or
				  failure for which periodic maintenance is not appropriate.
(52) "Small off-road engine" has the meaning
				  specified in Title 13, California Code of Regulations, Section
				  2401.
(53) "Small-volume engine manufacturer" means
				  a small business engine manufacturer that had engine families certified to meet
				  the requirements of 40 CFR part 89 before 2003, had annual U.S.-directed
				  production of no more than 2,500 units in 2002 and all earlier calendar years,
				  and has 1000 or fewer employees. For manufacturers owned by a parent company,
				  the production limit applies to the production of the parent company and all
				  its subsidiaries and the employee limit applies to the total number of
				  employees of the parent company and all its subsidiaries.
(54) "Tier 1 engine" means an engine subject
				  to the Tier 1 emission standards listed in Section
				  2423(b)(1)(A) of
				  this article.
(55) "Tier 2 engine"
				  means an engine subject to the Tier 2 emission standards listed in Section
				  2423(b)(1)(A) of
				  this article.
(56) "Tier 3 engine"
				  means an engine subject to the Tier 3 emission standards listed in Section
				  2423(b)(1)(A) of
				  this article.
(57) "Tier 4 engine"
				  means an engine subject to the Tier 4 emission standards listed in Section
				  2423(b)(1)(B) of
				  this article.
(58) "Ultimate
				  purchaser" means the first person who in good faith purchases a new engine or
				  equipment for purposes other than resale.
(59) "Unscheduled maintenance" means any
				  inspection, adjustment, repair, removal, disassembly, cleaning, or replacement
				  of components or systems that is performed to correct or diagnose a part
				  failure which was not anticipated.
(60) "Useful life" means:
(A) For all engines rated under 19 kilowatts,
				  and for constant-speed engines rated under 37 kilowatts with rated speeds
				  greater than or equal to 3,000 revolutions per minute, a period of use of five
				  years or 3,000 hours of operation, whichever first occurs.
(B) For all other engines rated at or above
				  19 kilowatts and under 37 kilowatts, a period of use of seven years or 5,000
				  hours of operation, whichever first occurs.
(C) For all engines rated at or above 37
				  kilowatts, a period of use of ten years or 8,000 hours, whichever first
				  occurs.
(61) "Vessel" has
				  the meaning specified in Section
				  9840 of the
				  California Vehicle Code.
(62)
				  "Warrantable condition" means any condition of an engine that triggers the
				  responsibility of the manufacturer to take corrective action pursuant to
				  Section 2425.
(63) "Warranted part" means any
				  emissions-related part installed on an engine by the equipment or engine
				  manufacturer, or installed in a warranty repair, which is listed on the
				  warranty parts list.
(64) "Warranty
				  period" means the period of time, either in years or hours of operation, that
				  the engine or part is covered by the warranty provisions.
(65) "Warranty station" means a service
				  facility authorized by the equipment or engine manufacturer to perform warranty
				  repairs. This shall include all manufacturer distribution centers that are
				  franchised to service the subject equipment or engines.