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(continued)
(1) The Executive Officer may revise Table 1 in subsection (a) where there is a change in the designation (with respect to California Ambient Air Quality Standards), from zone nonattainment to attainment, of an area in which an OHV area is located, provided that the attainment area is not identified as an upwind contributor to significant impacts to transport of ozone or ozone precursors as identified and defined in Section 70500, Title 17, California Code of Regulations.
(2) The Executive Officer may revise Table 1 in subsection (a) to reflect changes in the physical characteristics or identity of OHV Areas, including but not limited to changes in ownership or control of listed areas, addition or deletion of areas, or changes in the geographic domain of listed areas.
(c) Within five years from the effective date of adoption or date of implementation, whichever comes later, the Air Resources Board, in consultation with the Secretary for Environmental Protection, shall review the provisions of this section to determine whether it should be retained, revised or repealed.


Note: Authority cited: Sections 39600, 39601, 43013, 43018 and 43107, Health and Safety Code; and Sections 38020 and 38390, Vehicle Code. Reference: Sections 43013, 43018 and 43107, Health and Safety Code; and Governor's Executive Order W144-97.




s 2420. Applicability.
(a)(1) This article shall be applicable to new heavy-duty off-road compression-ignition engines, including all heavy-duty off-road alternate-fueled compression-ignition engines, including those engines derived from existing diesel cycle engines (hereinafter all such engines shall be referred to as compression-ignition engines), produced on or after January 1, 1996, and all other new 2000 model year and later off-road compression-ignition engines, with the exception of 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 U.S. Environmental Protection Agency.
(2) For any engine that is not a distinctly compression-ignition engine nor derived from such, the Executive Officer shall determine whether the engine shall be subject to these regulations, taking into consideration the relative similarity of the engine's torque-speed characteristics with those of compression-ignition engines.
(3) Every new off-road compression-ignition engine that is manufactured for sale, sold, offered for sale, introduced or delivered for introduction into commerce, or imported into California and that is subject to any of the standards prescribed in this article and documents incorporated by reference therein, is required to be certified for use and sale by the manufacturer through the Air Resources Board and covered by an Executive Order, issued pursuant to Chapter 9, Article 4, Section 2423.
(b) Each part of this article shall be deemed severable, and in the event that any part of this chapter or article is held to be invalid, the remainder shall continue in full force and effect.
(c) This article and documents incorporated by reference herein, include provisions for certification, labeling requirements, warranty, in-use compliance testing, quality-audit testing, and certification testing.
(d)(1) For purposes of this article, military tactical vehicles or equipment means vehicles or equipment owned by the U.S. Department of Defense and/or the U.S. military services and used in combat, combat support, combat service support, tactical or relief operations, or training for such operations.
(2) This article shall not apply to engines used in off-road military tactical vehicles or equipment which have been exempted from regulations under the federal national security exemption, 40 CFR, subpart J, section 89.908. It shall also not apply to those vehicles and equipment covered by the definition of military tactical vehicle that are commercially available and for which a federal certificate of conformity has been issued under 40 CFR Part 89, subpart B.
(3) On January 1, 1997, the U.S. Department of Defense shall submit to the ARB a list of all vehicle and equipment types that are exempted under the above provisions and which are located in the State of California. If any additional vehicle and equipment types are added to the list during the previous 12 months, the U.S. Department of Defense shall update the list and submit it to the ARB by January 1 of the following year.


Note: Authority cited: Sections 39600, 39601, 43013, 43018, 43101, 43102, 43104 and 43105, Health and Safety Code. Reference: Sections 43013, 43017, 43018, 43101, 43102, 43104, 43105, 43150-43154, 43205.5 and 43210-43212, Health and Safety Code.



s 2421. Definitions.
(a) The definitions in Section 1900 (b), Chapter 3, Title 13 of the California Code of Regulations, shall apply with the following additions:
(1) "1996-1999 Heavy-Duty Test Procedures" means the document entitled "California Exhaust Emission Standards and Test Procedures for New 1996-1999 Heavy-Duty Off-Road Compression-Ignition Engines, Part I-A," which includes the standards and test procedures applicable to 1996-1999 heavy-duty off-road compression-ignition engines, as adopted May 12, 1993, and as amended January 28, 2000. This document is incorporated by reference herein.
(2) "1996-1999 Smoke Test Procedures" means the document entitled "California Smoke Test Procedures for New 1996-1999 Off-Road Compression-Ignition Engines, Part III," which includes the standards and test procedures applicable to 1996- 1999 heavy-duty off-road compression-ignition engines, as adopted May 12, 1993, and as amended January 28, 2000. This document is incorporated by reference herein.
(3) "2000 Plus Limited Test Procedures" means the document titled "California Exhaust Emission Standards and Test Procedures for New 2000 and Later Tier 1, Tier 2, and Tier 3 Off-Road Compression-Ignition Engines, Part I-B," which includes the standards and test procedures applicable to 2000 and later off-road compression-ignition engines, as adopted January 28, 2000, and as amended October 20, 2005. This document is incorporated by reference herein.
(4) "2008 and Later Test Procedures" means the document titled "California Exhaust Emission Standards and Test Procedures for New 2008 and Later Tier 4 Off-Road Compression-Ignition Engines," which includes the standards and test procedures applicable to 2008 and later off-road compression-ignition engines, as adopted October 20, 2005. This document is 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 and Later Test Procedures, an off-road compression-ignition engine certified to operate only at constant speed. 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.
(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) "Dealer" means that person or entity engaged in the selling of new off-road compression-ignition engines, vehicles or equipment to ultimate purchasers.
(20) "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.
(21) "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.
(22) "Emission control system" includes any component, group of components, or engine modification that controls or causes the reduction of substances emitted from an engine.
(23) "End of assembly line" is defined as that place where the final inspection test or quality-audit test is performed.
(24) "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.
(25) "Exhaust emissions" means substances emitted into the atmosphere from any opening downstream from the exhaust port of an off-highway engine.
(26) "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.
(27) "Final calendar quarter production" is defined as the calendar quarter in which the production of an engine family ends.
(28) "First calendar quarter production" is defined as the calendar quarter in which the production of an engine family begins.
(29) "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.
(30) "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.
(31) "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.
(32) "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.
(33) "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.
(34) "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 and Later Test Procedures, 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 and Later Test Procedures, 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.
(35) "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.
(36) "Maximum Test Speed" has the same meaning as defined in Part 1065.1001 of the 2008 and Later Test Procedures.
(37) "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.
(38) "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.
(39) "Off-road vehicle" or "Off-road equipment" means a vehicle or equipment that is powered by an off-road compression-ignition engine.
(40) "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.
(41) "Opacity" means the fraction of a beam of light, expressed in percent, which fails to penetrate a plume of smoke.
(42) "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.
(43) "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.
(44) "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.
(45) "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 <= (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.
(46) "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.
(47) "Quality-audit test" is defined as the test performed on a sample of production engines produced for sale in California.
(48) "Rated speed" is the maximum full load governed speed for governed engines and the speed of maximum horsepower for ungoverned engines.
(49) "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.
(50) "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.
(51) "Small off-road engine" has the meaning specified in Title 13, California Code of Regulations, Section 2401.
(52) "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.
(53) "Tier 1 engine" means an engine subject to the Tier 1 emission standards listed in Section 2423(b)(1)(A) of this article.
(54) "Tier 2 engine" means an engine subject to the Tier 2 emission standards listed in Section 2423(b)(1)(A) of this article.
(55) "Tier 3 engine" means an engine subject to the Tier 3 emission standards listed in Section 2423(b)(1)(A) of this article.
(56) "Tier 4 engine" means an engine subject to the Tier 4 emission standards listed in Section 2423(b)(1)(B) of this article.
(57) "Ultimate purchaser" means the first person who in good faith purchases a new engine or equipment for purposes other than resale.
(58) "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.
(59) "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.
(60) "Vessel" has the meaning specified in Section 9840 of the California Vehicle Code.
(61) "Warrantable condition" means any condition of an engine that triggers the responsibility of the manufacturer to take corrective action pursuant to Section 2425.
(62) "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.
(63) "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.
(64) "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.


Note: Authority cited: Sections 39600, 39601, 43013, 43018, 43101, 43102 and 43104, Health and Safety Code. Reference: Sections 43013, 43018, 43101, 43102, 43104, 43105, 43150-43154, 43205.5 and 43210-43212, Health and Safety Code.



s 2422. [Reserved].


s 2423. Exhaust Emission Standards and Test Procedures -Off-Road Compression-Ignition Engines.
(a) This section shall be applicable to new heavy-duty off-road compression-ignition engines, produced on or after January 1, 1996, and all other new 2000 and later model year off-road compression-ignition engines. For the purposes of this section, these engines shall be called "compression-ignition engines."
(b)(1)(A) Exhaust emissions from new off-road compression-ignition engines, as sold in this state and as appropriate based on model year and maximum rated power, shall not exceed the levels contained in Table 1a with respect to steady-state testing. Table 1a follows:
Table 1a. - Tier 1, Tier 2, and Tier 3 Exhaust Emission Standards (grams per
kilowatt-hour)

(B) Exhaust emissions from new off-road compression-ignition engines, as sold in this state and as appropriate based on model year and maximum engine power, shall not exceed the levels contained in Table 1b, with respect to steady-state testing, transient testing, and, after application of the criteria in Table 1c, not-to-exceed testing, as applicable. Other compliance options are permissible as provided in the 2008 and Later Test Procedures.
Table 1b. - Tier 4 Exhaust Emission Standards (grams per kilowatt-hour)

Table 1c. - Criteria for Determining NTE Limits 1

Notes:
1 Other provisions described in the 2008 and Later Test Procedures may affect the calculation of NTE limits.
2 Engines must be certified to these standards without the use of ABT credits.
3 For engines certified to a PM FEL less than or equal to 0.01 g/kW-hr, the PM NTE limit shall be 0.02 g/kW-hr.
(2) Manufacturers may elect to include engine families in one of two averaging, banking, and trading (ABT) programs, corresponding to the engine family's model year and emissions categorization. The provisions of these separate ABT programs are specified in Part 89, Subpart C of the 2000 Plus Limited Test Procedures and Part 1039, Subpart H of the 2008 and Later Test Procedures.
(A) For engine families subject to the 2000 Plus Limited Test Procedures, the manufacturer must set a family emission limit (FEL) not to exceed the levels contained in Table 2a. The FEL established by the manufacturer serves as the emission standard for that engine family. Table 2a follows:
Table 2a - Upper Limit for Tier 1, Tier 2, and Tier 3 Family Emission Limits
(FEL) (grams per kilowatt-hour)

(B) For engine families subject to the 2008 and Later Test Procedures, the manufacturer must set a family emission limit (FEL) not to exceed, as applicable, the levels contained in Table 2b. Three distinct FEL types (primary, interim, and alternate) are available conditionally. Primary FEL types are applicable to all power categories indefinitely, whereas interim and alternate FEL types are of variable duration and may be selectively applied to total or partial engine family production volumes as described in the 2008 and Later Test Procedures. The FEL established by the manufacturer serves as the emission standard for that engine family, and is used for determining NTE limits in conjunction with the criteria in Table 1c. Temporary compliance adjustment factors, as explained in the 2008 and Later Test Procedures, shall be applied by the manufacturer to compensate for the use of transitional alternate FELs (Type ALT 20% in Table 2b) when calculating emission credits. Table 2b follows:
Table 2b - Upper Limit for Tier 4 Family Emission Limits (FELs) and Alternate
Allowances Part 1

Table 2b - Upper Limit for Tier 4 Family Emission Limits (FELs) and Alternate
Allowances Part 2

(C) Split family provision. For generating or using credits in the 56 <= kW <= 560 power categories during the phase-in of Tier 4 standards, engine manufacturers may elect to split an engine family into two subfamilies (e.g., one which uses credits and one which generates credits for the same pollutant). The engine manufacturer must indicate in the application for certification that the engine family is to be split, and may calculate emission credits relative to different emissions standards (i.e., phase-in and phase-out standards) for different sets of engines within the engine family, but must certify the engine family to a single set of standards and FELs. The engine manufacturer shall calculate NMHC+NOx emission credits by adding the NOx FEL to the NMHC phase-in standard for comparison with the applicable NMHC+NOx phase-out standard. Any engine family certified under the provisions of this paragraph (C) must meet the applicable phase-in standard for NMHC. The engine manufacturer shall be responsible for assigning the number and configurations of engines within the respective subfamilies before the due date of the final report required in Part 1039, Subpart H of the 2008 and Later Test Procedures. The same label must be applied to each engine in the family, and must include the NOx FEL to which the engine is certified.
(3)(A) The opacity of smoke emissions from new 1996 through 1999 model year heavy-duty off-road compression-ignition engines 175 to 750 horsepower, inclusive, or from all new 2000 and later model year compression-ignition engines sold in this state, shall not exceed, based on the applicable measurement techniques specified in Part 89, Subpart B of the 2000 Plus Limited Test Procedures and Part 1039, Subpart B of the 2008 and Later Test Procedures, the following:
1. 20 percent during the engine acceleration mode.
2. 15 percent during the engine lugging mode.
3. 50 percent during the peaks in either mode.
(B) The following engines are exempt from the requirements of this paragraph (3):
1. Single-cylinder engines.
2. Propulsion marine compression-ignition engines.
3. Constant-speed engines.
4. Engines certified to a PM emission standard or FEL of 0.07 grams per kilowatt-hour or lower
(4) Low-emitting Blue Sky Series engines requirements.
(A) Voluntary standards. Engines subject to the standards in (b)(1)(A) may be designated "Blue Sky Series" engines by meeting the voluntary standards contained in Table 3, which apply to all certification and in-use testing. Blue Sky Series engines shall not be included in the Averaging, Banking, and Trading program. Table 3 follows:
Table 3. - Voluntary Emission Standards (grams per kilowatt-hour)

(B) Additional standards.Blue Sky Series engines are subject to all provisions that would otherwise apply under this part, except as specified in (C) of this section.
(C) Test Procedures.NOx, NMHC, and PM emissions are measured using the procedures set forth in 40 CFR part 86, subpart N (July 1, 1999), which is incorporated by reference, in lieu of the procedures set forth in subpart E of the 2000 Plus Limited Test Procedures. CO emissions may be measured using procedures set forth in 40 CFR part 86, subpart N (July 1, 1999), or in subpart E of the 2000 Plus Limited Test Procedures. Manufacturers may use an alternate procedure to demonstrate the desired level of control if approved in advance by the Executive Officer. Engines meeting the requirements to qualify as Blue Sky Series engines must be capable of maintaining a comparable level of emission control when tested using the procedures set forth in both Section 89.112(c) and subpart E of the 2000 Plus Limited Test Procedures. The numerical emission levels measured using the procedures from subpart E of the 2000 and Plus Limited Procedures may be up to 20 percent higher than those measured using procedures from 40 CFR part 86, subpart N (July 1, 1999), and still be considered comparable.
(5)(A) No crankcase emissions shall be discharged into the ambient atmosphere from any new 1996-1999 model year heavy-duty off-road compression-ignition engine or any Tier 2 or later off-road compression-ignition engine subject to the 2000 Plus Limited Test Procedures. This provision does not apply to petroleum-fueled diesel cycle engines using turbochargers, pumps, blowers, or superchargers for air induction.
(B) For off-road compression-ignition engines subject to the 2008 and Later Test Procedures, no crankcase emissions shall be discharged directly into the ambient atmosphere from any engine, unless the sum of those discharged emissions are added to the exhaust emissions (either physically or mathematically) during all emission testing. To be eligible for this option, a manufacturer must design its engines so that all crankcase emissions can be routed into the applicable sampling systems specified in the 2008 and Later Test Procedures, and must account for deterioration in crankcase emissions when determining exhaust deterioration factors. Crankcase emissions that are routed to the exhaust upstream of exhaust aftertreatment during all operation are not considered to be discharged directly into the ambient atmosphere. Furthermore, engines using charge-air compression that are certified to a transitional alternate FEL (Type ALT 20% in Table 2b) during the first four years of the Tier 4 standards for the applicable power category are exempt from this subsection, but must instead comply with the requirements in Section 2423(b)(5)(A).
(6) Engine manufacturers that voluntarily certify engines to the Tier 4 standards in Table 1b earlier than required under this article may, according to the provisions in the 2008 and Later Test Procedures, generate additional ABT credits, or as an alternative, offset future Tier 4 compliance requirements should the equipment manufacturer that was provided the engine decline to use its early introduction incentives according to the provisions in Section 2423(d)(9). Table 4, as follows, summarizes the incentives for the early introduction of Tier 4 engines and some of the conditions that determine eligibility.
Table 4. - Early Introduction Incentives for Engine Manufacturers

(7) Provisions for small-volume manufacturers. Small-volume engine manufacturers are entitled to special compliance provisions under this paragraph, but must notify the Executive Officer in writing before January 1, 2008, of the intent to use the provisions.
(A) Small-volume engine manufacturers may delay complying with certain otherwise applicable Tier 4 emission standards and requirements as described in the following table:
Table 5. - Small-Volume Engine Manufacturer Provisions

(B) The provisions of this paragraph (7) for engines 37 <= kW < 56 are applicable per one of the following options:
1. Manufacturers that comply with the 0.30 g/kW-hr PM standard in all model years from 2008 through 2012 without using PM credits may continue meeting that standard through 2015.
2. Manufacturers that choose not to comply with paragraph (7)(B)1. of this section may continue to comply with the standards and requirements in the 2000 Plus Limited Test Procedures for model years through 2012, but must begin complying in 2013 with the Tier 4 standards and requirements specified in Table 1b for model years 2013 and later.
(C) After the period of relief indicated in paragraphs (7)(A) and (B) of this section has expired, small-volume engine manufacturers must comply with the same Tier 4 standards and requirements as all other manufacturers.
(D) For engines not in the 19 <= kW < 56 power range, small volume engine manufacturers must meet the following conditions for the model years in which compliance with the otherwise applicable standards under this paragraph (7) is delayed:
1. Produce engines that meet all the emission standards and other requirements under the 2000 Plus Limited Test Procedures applicable for that model year, except as noted in this paragraph (7).
2. Meet the labeling requirements in the 2000 Plus Limited Test Procedures, but must use the following in place of the otherwise required statement of compliance in Section 2424(c)(2): "THIS ENGINE COMPLIES WITH CALIFORNIA REGULATIONS FOR [CURRENT MODEL YEAR] OFF-ROAD COMPRESSION-IGNITION ENGINES UNDER 13 CCR 2423(b)(7)." The referencing of similar federal requirements under this provision is permitted.
3. Small-volume engine manufacturers must notify the equipment manufacturer that the engines produced under this section are excluded from the production volumes associated with the equipment manufacturer flexibility program in Section 2423(d).
(E) For engines in the 19 <= kW < 56 power range, small-volume engine manufacturers must meet the following conditions for the model years in which compliance with the otherwise applicable standards under this paragraph (7) is delayed:
1. Produce engines in those model years that meet all the emission standards and other requirements that applied for model year 2008 engines in the same power category.
2. Meet the labeling requirements in Section 2424(c)(3), but use the following compliance statement instead of the compliance statement in Section 2423(c)(3): "THIS ENGINE COMPLIES WITH CALIFORNIA REGULATIONS FOR [CURRENT MODEL YEAR] OFF-ROAD COMPRESSION-IGNITION ENGINES UNDER 13 CCR 2423(b)(7)." The referencing of similar federal requirements under this provision is permitted.
3. Notify the equipment manufacturer that engines produced under this section are excluded from the production volumes associated with the equipment-manufacturer allowance program in Section 2423(d).
(F) The provisions of this paragraph (7) may not be used to circumvent the requirements of this article.
(8) Useful life. For purposes of certification, a manufacturer must demonstrate compliance with the standards set forth in this paragraph (b) over the full useful life of the engine, as defined in the applicable test procedures.
(9) NTE deficiencies. A manufacturer may petition the Executive Officer to accept an off-road compression-ignition engine as compliant with the NTE requirements specified in the 2008 and Later Test Procedures even though specific elements of those requirements may not be fully met. Such grants of compliance, otherwise known as deficiencies, shall be limited to engines that have functioning emission-control hardware capable of allowing the engine to comply with the NTE limits. Deficiencies shall be granted by the Executive Officer according to the following stipulations:
(A) A manufacturer must apply for specific deficiencies at the time of, or prior to, submitting its application for certification. Deficiencies shall be assigned for an engine model within an engine family. The Executive Officer shall not approve deficiencies that are requested retroactively to cover engines already certified. The scope of each deficiency must be clearly identified in the certification application, and any auxiliary emission control device(s) used to control emissions to the lowest practical level must be identified with respect to each deficiency that is being requested.
(B) Deficiencies shall only be approved if compliance would be infeasible or unreasonable considering factors such as the technical feasibility of the given hardware, the availability of lead time, production cycles including the phase-in or phase-out of engines or vehicle designs, and planned computers upgrades. Other relevant factors may be considered.
(C) Deficiencies shall expire after a single model year and may be limited to specific engine configurations. The Executive Officer may approve a manufacturer's request for the same deficiency in the following model year if correcting the deficiency would require extreme hardware or software modifications and the manufacturer has demonstrated an acceptable level of effort toward complying.
(D) The number of deficiencies available to a manufacturer shall not be limited during the first three model years in which NTE limits apply to the manufacturer's engines. For the next four model years, up to three deficiencies per engine family shall be available to a manufacturer. Deficiencies of the same type that apply similarly to different power ratings within a family shall count as one deficiency per family. The Executive Officer may conditionally approve additional deficiencies during these four years, but may impose stipulations on their applicability as appropriate. Deficiencies shall not be approved beyond the seven-year period specified in this paragraph (8).
(10) Adjustable parameters. Manufacturers that design engines with adjustable parameters must meet all the requirements of this paragraph (b) for any adjustment in the physically adjustable range. An operating parameter is not considered adjustable if it is permanently sealed or if it is not normally accessible using ordinary tools. The Executive Officer may require that the adjustable parameters be set to any specification within the adjustable range during any testing, including certification testing, selective enforcement auditing, or in-use testing.
(11) Prohibited controls. A manufacturer shall not design engines with emission control devices, systems, or elements of design that cause or contribute to an unreasonable risk to public health, welfare, or safety while operating.
(12) Defeat devices. Engines equipped with a defeat device shall not be certified for sale in California. A defeat device is a component or system that reduces the effectiveness of emission controls under conditions that the engine may reasonably be expected to encounter during normal operation and use. This prohibition does not apply to auxiliary-emission control devices identified in the certification application if one of more of the following is true:
(A) The operating conditions where the auxiliary-emission control device is active were substantially encountered during all testing requirements as described in Part 1039, Subpart F of the 2008 and Later Test Procedures.
(B) The design of the auxiliary-emission control device is shown to be necessary for preventing engine (or equipment) damage or accidents.
(C) The auxiliary-emission control device only reduces the effectiveness of emissions control during engine starting.
(c)(1) The test procedures for determining certification and compliance with the standards for gaseous exhaust emissions from new 1996-1999 heavy-duty off-road compression-ignition engines sold in the state are set forth in the 1996- 1999 Heavy-Duty Test Procedures.
(2)(A) The test procedures for determining certification and compliance with the standards for gaseous exhaust emissions and the standards for opacity of smoke emissions from new 2000 model year and later off-road compression-ignition engines for which the standards in paragraph (b)(1)(A) are applicable, and sold in the state, are set forth in the 2000 Plus Limited Test Procedures.
(B) The test procedures for determining certification and compliance with the standards for gaseous exhaust emissions, particulate exhaust emissions, opacity of smoke emissions, and not-to-exceed emissions from new 2008 model year and later off-road compression-ignition engines for which the limits in paragraph (b)(1)(B) are applicable, and sold in the state, are set forth in the 2008 and Later Test Procedures.
(3) The test procedures for determining certification and compliance with the standards for particulate exhaust emissions from new 1996 and later off-road compression-ignition engines for which the standards in paragraph (b)(1)(A) are applicable, and sold in the state, are set forth in the PM and Test Cycle Limited Test Procedures.
(4) The test procedures for determining certification and compliance with the standards for the opacity of smoke emissions from new 1996-1999 off-road compression-ignition engines sold in the state are set forth in the 1996-1999 Smoke Test Procedures.
(d) Implementation flexibility for equipment and vehicle manufacturers and post-manufacture marinizers.For a limited time, off-road equipment and vehicle manufacturers and post-manufacture marinizers may produce equipment with engines that are subject to less stringent emission standards than required by Tables 1a and 1b for new 2000 model year and later off-road equipment and vehicles and marine compression-ignition engines, subject to the requirements of paragraph (e) of this section. Separate provisions are provided for equipment with engines subject to the 2000 Plus Limited Test Procedures versus equipment with engines subject to the 2008 and Later Test Procedures, and are identified accordingly in the following subsections. Only manufacturers that have primary responsibility for designing and manufacturing equipment, and have manufacturing procedures for installing engines in equipment, are eligible to participate in the equipment manufacturer flexibility program provided by the 2008 and Later Test Procedures. Equipment manufacturers participating in this flexibility program must comply with the notification and reporting requirements specified in Section 2423(d)(7). Engines produced for this flexibility program using FELs greater than the applicable standards must be offset with sufficient ABT credits. The following allowances apply separately to each engine power category subject to standards under Section 2423(b)(1): (continued)