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(continued)
(1) Percent-of-production allowances.
(A) Equipment rated at or above 37kWand subject to the 2000 Plus Limited Test Procedures. A manufacturer may produce equipment and vehicles with engines rated at, or above, 37kW that are exempted from meeting current model year emission standards for a portion of its California-directed production volume. These percent-of-production flexibility allowances must be used within the seven years immediately following the date on which Tier 2 engine standards first apply to engines used in such equipment and vehicles, provided that the seven-year sum of the U.S.-directed portion of the manufacturer's percent-of-production flexibility allowances does not exceed 80 percent, expressed in cumulative yearly percentage increments, and provided that all such equipment and vehicles contain only engines that have been certified to the Tier 1 or Tier 2 standards;
(B) Equipment rated under 37kW and subject to the 2000 Plus Limited Test Procedures. A manufacturer or post-manufacture marinizer may produce equipment and vehicles and marine engines with engines rated under 37kW that are exempt from meeting current model year emission standards for a portion of its California-directed production volume. These percent-of-production flexibility allowances must be used within the seven years immediately following the date on which Tier 1 engine standards first apply to engines used in such equipment and vehicles and marine engines, provided that the seven-year sum of the U.S.- directed portions of the manufacturer's percent-of-production flexibility allowances, does not exceed 80 percent, expressed in cumulative yearly percentage increments;
(C) Equipment subject to the 2008 and Later Test procedures. A manufacturer may produce equipment and vehicles with engines that are exempt from meeting current model year emission standards for a portion of its California-directed production volume. These percent-of-production flexibility allowances must be used within one of the sevenyear flexibility usage periods specified in Table 6 for each applicable power category, provided that the seven-year sum of the U.S.-directed portion of the manufacturer's percent-of-production flexibility allowances does not exceed 80 percent, expressed in cumulative yearly percentage increments, except as provided for in paragraph (d)(6) or (f). Equipment used as percent-of-production flexibility allowances must contain only engines that have been certified to, at least, the standards listed in Table 6, corresponding to the flexibility usage period selected by the manufacturer. All flexibility allowances for a power category must be used within the same flexibility usage period.
Table 6. - Tier 4 Flexibility Allowance Options

(2)(A)Small volume allowances subject to the 2000 Plus Limited Test Procedures.An off-road equipment or vehicle manufacturer or post-manufacture marinizer may exceed the production percentages in paragraphs (d)(1)(A) and (B) of this section for a portion of its California-directed production, provided that in each regulated power category the manufacturer's total number of U.S.- directed off-road equipment and vehicles and marine diesel applications that contain engines which are exempt from meeting current model year emission standards over the years in which the percent-of-production allowance applies:
1. does not exceed 100 units times the number of years in which the percent-of-production allowance applies, and
2. does not exceed 200 units in any year, and
3. does not use engines from more than one engine family.
(B) Small volume allowances subject to the 2008 and Later Test Procedures. As an alternative to the percent-of-production allowance in Section 2423(d)(1)(C), an off-road equipment or vehicle manufacturer may produce equipment with engines that are exempt from meeting current model year emission standards for a portion of its California-directed production volume, provided that the exempt equipment is a subset of the manufacturer's U.S.-directed volume of exempt equipment and the manufacturer is in compliance with the following provisions:
1. Single engine family provision. A manufacturer may claim up to 700 U.S.- directed flexibility allowances within a power category during one of the seven-year flexibility usage periods specified in Table 6, but no more than 200 allowances in a single year within a power category, except as provided for in paragraph(d)(6) or (f). Engines within a power category that are used in these flexibility allowances must be from a single engine family within a given year.
2.a. Multiple engine family provision for flexibility allowances below 130 kW. A manufacturer may claim up to 525 U.S.-directed flexibility allowances within a power category during one of the seven-year flexibility usage periods specified in Table 6, but no more than 150 allowances in a single year within a power category, except as provided for in paragraph (d)(6) or (f). Engines within a power category that are used in these flexibility allowances may be from multiple engine families within a given year.
b. Multiple engine family provision for flexibility allowances at or above 130 kW. A manufacturer may produce up to 350 U.S.-directed flexibility allowances within a power category during one of the sevenyear flexibility usage periods specified in Table 6, but no more than 100 allowances in a single year within a power category, except as provided for in paragraph (d)(6) of (f). Engines within a power category that are used in these flexibility allowances may be from multiple engine families within a given year.
(3)(A) Inclusion of previous-tier engines.Off-road equipment and vehicles and marine diesel engines built with previous tier or noncertified engines under the existing inventory provisions of the 2000 Plus Limited Test Procedures (40 CFR Section 89.1003(b)(4)) need not be included in determining compliance with paragraphs (d)(1)(A) and (B) and (d)(2)(A) of this section.
(B) Inclusion of engines not subject to Tier 4 requirements. Off-road equipment and vehicles built with engines otherwise exempt from the requirements of the 2008 and Later Test Procedures are not required to be counted toward the percentage, or number, of claimed flexibility allowances under the provisions in Subsections (d)(1)(C) and (d)(2)(B). Such exempted engines include unused inventories produced prior to the effective date of the Tier 4 standards, excluding stockpiled engines, and hand-startable, air cooled, direct-injection engines below 8 kW in 2008 and 2009 that do not meet the Tier 4 PM standard. Nonetheless, manufacturers may choose to include these engines in the count of total equipment produced from which the percentage of flexibility allowances in Subsection (d)(1)(C) is derived.
(4) Early-use of flexibility allowances. Manufacturers may start using a portion of the flexibility allowances in Subsections (d)(1)(C) and (d)(2)(B) for equipment and vehicles containing engines not yet subject to the Tier 4 standards, provided that the seven-year period for using flexibility allowances under the 2000 Plus Limited Test Procedures flexibility program has expired. All equipment and vehicles claimed as flexibility allowances under this early-use provision must contain engines that have been certified to, at least, the Tier 1 standards. Manufacturers must count these Tier 2 or Tier 3 equipment and vehicles toward the total percentage, or number, of flexibility allowances permitted under the provisions of Sections (d)(1)(C) and (d)(2)(B). The maximum cumulative early-use allowance is 10 percent under the percent-of-production provision in Section (d)(1)(C), or 100 units under the small volume provision in Section (d)(2)(B). Table 7 shows the applicable years for using early-use flexibility allowances. Table 7 follows:
Table 7. - Years for Early-Use Flexibility Allowances

(5) Labeling requirements. Allowances claimed under the Tier 2/3 or Tier 4 equipment flexibility programs must be labeled, as appropriate, per the following:
(A) Engine labeling. Except for engines used in flexibility allowances prior to January 1, 2007, engine manufacturers shall meet the labeling requirements provided in Section 2424 with the following substitutions:
For flexibility engines meeting previous year emission requirements, the engine manufacturer shall substitute the following for the statement of compliance required in Sections 2424(c)(1)(E)6 and 2424(c)(2):
"THIS ENGINE COMPLIES WITH CALIFORNIA EMISSION REQUIREMENTS UNDER 13 CCR 2423(d). SELLING OR INSTALLING THIS ENGINE FOR ANY PURPOSE OTHER THAN FOR THE EQUIPMENT FLEXIBILITY PROVISIONS CITED MAY BE A VIOLATION OF STATE LAW SUBJECT TO CIVIL PENALTY." [Insert Engine Family Name]
For flexibility engines less than 37 kW and not subject to emission requirements under the Tier 2/3 program, the engine manufacturer shall substitute the following for the statement of compliance required in Section 2424(c)(1)(E)6:
"THIS ENGINE QUALIFIES FOR USE IN EQUIPMENT RATED BELOW 37 KW BY PROVISION OF 13 CCR 2423(d). SELLING OR INSTALLING THIS ENGINE FOR ANY PURPOSE OTHER THAN FOR THE EQUIPMENT FLEXIBILITY PROVISIONS CITED MAY BE A VIOLATION OF CALIFORNIA LAW SUBJECT TO CIVIL PENALTY."
As an alternative for flexibility engines produced under the Tier 2/3 program, and for which the engine manufacturer offers proof to the Executive Officer that the otherwise required statements of compliance in this subsection would be unduly burdensome or costly to implement, engine manufacturers may instead use the following:
"THIS ENGINE CONFORMS TO CALIFORNIA OFF-ROAD COMPRESSION-IGNITION ENGINE REGULATIONS UNDER 13 CCR 2423(d)." [Insert Engine Family Name if Certified]
These revised statements of compliance do not preclude the referencing of similar federal requirements that would be satisfied simultaneously by meeting the provisions of Section 2423(d). Furthermore, the Executive Officer may, upon request, approve alternate labeling specifications that are equivalent to the specifications in this subsection.
(B) Equipment Labeling. For all allowances claimed under the Tier 4 flexibility program, equipment manufacturers shall affix a permanent label to the engine, or to a readily visible section of the equipment that cannot be easily removed. The label shall be in the English language, shall supplement the manufacturer's emission control information label, and shall include the following information:
1. The label heading "EMISSION CONTROL INFORMATION".
2. The equipment manufacturer's corporate name and trademark.
3. The calendar year in which the equipment is manufactured.
4. The name, e-mail address, and phone number of a person to contact for further information.
5. The following statement:
"THIS EQUIPMENT [or identify the type of equipment] HAS AN ENGINE THAT MEETS CALIFORNIA EMISSION STANDARDS UNDER 13 CCR 2423(d)."
This label content does not preclude the referencing of similar federal requirements that would be satisfied simultaneously by meeting the provisions of Section 2423(d).
(6) Technical hardship allowances. Equipment manufacturers may apply for additional flexibility allowances should extreme and unusual circumstances occur leading to technical obstacles in complying with the Tier 4 requirements. A manufacturer may request additional allowances for power categories 19 <= kW <= 560 if it claims allowances under the provisions of Section 2423(d)(1)(C), but may only request additional allowances for power categories 19 <= kW < 56 if it claims allowances under the provisions of Section 2423(d)(2)(B). Additional flexibility allowances shall not be provided when the engine and equipment are produced by the same manufacturer, or affiliate. The Executive Officer shall review requests for additional flexibility allowances according to the following stipulations:
(A) The manufacturer requesting additional allowances must demonstrate that the circumstances necessitating them were outside the control of the manufacturer and could not have been avoided with reasonable discretion. The manufacturer must also demonstrate that it has exercised prudent planning and has taken reasonable steps to minimize the scope of the request.
(B) Manufacturers applying for additional flexibility allowances must do so in writing to the Chief of the Mobile Source Operations Division, or designee, prior to the earliest date in which the applying manufacturer would be in violation of Section 2423(b)(1). All applications shall provide, at a minimum, the following information:
1. A description of the manufacturer's equipment design process.
2. A description of the relationship with the engine supplier regarding product design.
3. An explanation of the technical hardship leading to this request, why it cannot be addressed without additional flexibility allowances, and an explanation of the circumstances behind the technical hardship and why it was unavoidable.
4. A description of the information and products provided by the engine supplier related to equipment design, including specifications, performance data, prototypes, and the dates of delivery.
5. A comparison of the design processes of the equipment model(s) for which additional allowances are needed versus those of other models that do not need additional allowances, and an explanation of how the technical differences between the models justify the request for additional allowances.
6. A description of all efforts to find and use other compliant engines, or otherwise an explanation why none are available.
7. A description of the steps taken to minimize the scope of the manufacturer's request, and any other relevant information.
8. An estimation of the number of additional allowances needed for each equipment model covered by the request, subject to Sections 2423(d)(6)(C) and (d)(6)(D) below.
Notwithstanding, the Executive Officer may require additional information as deemed necessary before making a determination for relief.
(C) The following limits shall apply for additional flexibility allowances granted in connection to the percent-of-production provisions in Section 2423(d)(1)(C):
1. A manufacturer's California-directed share of additional flexibility allowances for each power category shall be a subset of its U.S.-directed allowances for the same power category, provided that the additional U.S.- directed allowances do not exceed 70 percent of the U.S.-directed volume of production for the power category for one year.
2. All primary percent-of-production allowances must be completely used up prior to the use of any additional flexibility allowances.
3. All additional allowances shall expire 24 months after the start of the applicable flexibility usage period for each power category, as specified in Table 6. These allowances shall only be used for the specific equipment models covered in the manufacturer's written application for relief.
(D) The following limits shall apply for additional flexibility allowances granted in connection to the small volume provisions in Section 2423(d)(2)(B):
1. Only small equipment manufacturers, as defined below, that have not been granted additional flexibility allowances for the 19 < = kW < 56 power category under Section 2423(d)(6)(C), are eligible to request additional flexibility allowance under this provision.
"Small equipment manufacturer," for the purpose of this provision, means a federally defined small-business equipment manufacturer that had an annual U.S.-directed production volume of equipment using off-road diesel engines 19 <= kW < 56 of no more than 3,000 units in 2002 and all earlier calendar years, and has 750 or fewer employees (500 or fewer employees for nonroad equipment manufacturers that produce no construction equipment or industrial trucks). 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.
2. All primary small volume allowances for the 19 <= kW < 56 power category must be completely used up for a given year prior to the use of additional flexibility allowances.
3. Additional allowances shall only be used for equipment with engines rated 19 <= kW < 37.
4. A manufacturer's California-directed share of additional flexibility allowances under this provision shall be a subset of its U.S.-directed allowances, which shall not exceed 1,100.
5. All additional allowances shall expire 36 months after the start of the applicable flexibility usage period for each power category, as specified in Table 6. The allowances shall only be used for the specific equipment models covered in the manufacturer's written application for relief. The additional allowances are not subject to small volume annual limits.
(7) Notification and reporting requirements for using Tier 4 flexibility allowances. As a prerequisite to using any Tier 4 flexibility allowances, the equipment manufacturer shall notify the ARB of its intent to use such allowances. The manufacturer shall also send an annual report after each year that flexibility allowances have been used to verify that the allowances claimed do not exceed the number of allowances permitted.
(A) Before January 1 of the first year that flexibility provisions will be used, a written notice informing ARB of the manufacturer's intent to use flexibility allowances must be sent to the Chief of the Mobile Source Operations Division, or designee, containing the following information:
1. The equipment manufacturer's name and address, and the name and address of the parent company, if applicable.
2. The name and telephone number of a person to contact for more information.
3. The calendar years for which the Tier 4 flexibility provisions shall apply.
4. The engine manufacturer's name and address that produces the engines which will be used in the equipment claimed as flexibility allowances.
5. An accurate estimate of the number of flexibility allowances in each power category that will be produced under the percent-of-production provisions in Section 2423(d)(1)(C), or the small volume provisions in Section 2423(d)(2)(B).
6. A tabulation of U.S.-directed flexibility allowances in each power category that have been sold in previous calendar years under the provisions of Section 2423(d) and 40 CFR 89.102(d).
(B) For each year that Tier 4 flexibility allowances are used, the equipment manufacturer shall submit, by March 31 of the following year, a written report to the Chief of the Mobile Source Operations Division, or designee, documenting the utilization of those allowances. This report shall include the total number of equipment sold by the manufacturer during the preceding year for each power category, based on actual U.S.-directed production information, and shall identify the flexibility allowances in each power category by reporting the percentages of U.S.-directed flexibility production corresponding to the number of equipment in each power category. The report shall also identify the cumulative yearly totals and percentages for all flexibility allowances sold for each power category. Alternatively, the percentage figures may be omitted from the report if the report states that percent-of-production allowances were not used. If available, end of year percentage figures for California-directed sales shall also be included in this report.
(8) Import restrictions on the use of Tier 4 flexibility allowances. Foreign equipment manufacturers may only import equipment with exempted flexibility engines into California according to the stipulations in Section 1039.626 of the 2008 and Later Test Procedures. These stipulations address the potential for abuse whereby individual importers could collectively import more flexibility allowances than permitted based on the foreign equipment manufacturer's total production for the United States market. The stipulations include acceptance by the foreign equipment manufacturer of random audits by the ARB or its representatives, and the posting of a monetary bond for each imported engine to cover the cost of any potential enforcement actions. Foreign equipment manufacturers who comply with the stipulations will be eligible to receive the same flexibility allowances as domestic manufacturers.
(9) Early introduction incentives for equipment manufacturers. In addition to the equipment flexibility allowances provided in Subsections (d)(1)(C) and (d)(2)(B), equipment manufacturers, as provided in the 2008 and Later Test Procedures, may earn additional allowances for the early introduction of equipment with engines meeting the Tier 4 standards in Table 1b. Equipment manufacturers installing engines at or above 19 kW that comply with the final Tier 4 PM and NOx standards could earn one flexibility allowance for each early Tier 4 compliant engine used in its equipment. Equipment manufacturers installing engines 56 <= kW <= 560 that comply with the final Tier 4 PM standard and the alternative NOx standard could earn one-half of a flexibility allowance for each early Tier 4 engine used in its equipment. Table 8, below, summarizes the incentives for the early introduction of Tier 4 compliant equipment and some of the conditions that determine eligibility. Should an equipment manufacturer decline flexibility allowances earned with this provision, the allowances would then be available to the engine manufacturer that had supplied the early introduction engine, subject to the provisions in Section 2423(b)(6).
Table 8. - Early Introduction Incentives for Equipment Manufacturers

(e) Recordkeeping and calculation to verify compliance.The following shall apply to off-road equipment or vehicle manufacturers and post-manufacture marinizers who produce flexibility equipment or vehicles or marine diesel engines under both the Tier 2/3 and Tier 4 flexibility provisions of paragraph (d) of this section, except as otherwise noted:
(1) For each power category in which excepted off-road equipment or vehicles or marine diesel engines are produced, a calculation to verify compliance with the requirements of paragraph (d) of this section shall be made by the off-road equipment or vehicle manufacturer or post-manufacture marinizer. This calculation shall be made for flexibility allowances under the Tier 2/3 program no later than December 31 of the year following the last year in which allowances are used, and as indicated in Subsection (d)(7)(B) for flexibility allowances under the Tier 4 program. The calculation shall be based on actual national production information from the subject years. If both the percent-of-production and small volume allowances have been exceeded, then the manufacturer is in violation of Section 2420(a)(3), except as provided under Subsection (d)(6) and paragraph (f) of this section.
(2) An off-road equipment or vehicle manufacturer or post-manufacture marinizer shall keep records of all off-road equipment and vehicles and marine diesel engines sold in California under the provisions of paragraph (d) of this section, for each power category in which flexibility allowances are claimed. These records shall include equipment and engine model numbers, serial numbers, and dates of manufacture, engine rated power for Tier 2/3 flexibility engines, and maximum engine power for Tier 4 flexibility engines. In addition, the manufacturer shall keep records sufficient to demonstrate the verifications of compliance required in paragraph (e)(1) of this section and the notifications and reports specified in Section 2423(d)(7), as applicable. All records shall be kept until at least two full years for flexibility allowances under the Tier 2/3 program and five full years for flexibility allowances under the Tier 4 program after the final year in which allowances are available for each power category, and shall be made available to the Executive Officer upon request.
(f) Economic hardship relief.Off-road equipment and vehicle manufacturers and post-manufacture marinizers may request relief from the Executive Officer, or designee, subject to the following requirements:
(1) The application for relief must be submitted for approval to the Chief of the Mobile Source Operations Division, or designee, in writing prior to the earliest date in which the applying manufacturer would be in violation of Section 2423(b)(1). The off-road equipment or vehicle manufacturer applying for hardship relief must submit evidence for approval, showing that the following requirements have been met:
(A) The off-road equipment or vehicle manufacturer applying for hardship relief must not be the manufacturer of the engines used in the equipment for which relief is sought. This requirement does not apply to post-manufacture marinizers.
(B) The conditions causing the impending violation must not be substantially the fault of the applying manufacturer.
(C) The conditions causing the impending violation must be such that the off-road equipment or vehicle manufacturer applying for hardship relief will experience serious economic hardship if relief is not granted.
(D) The off-road equipment or vehicle manufacturer applying for hardship relief must demonstrate that no allowances under paragraph (d) of this section will be available to avoid the impending violation.
(2) Any relief granted must begin within one year after the implementation date of the standard applying to the engines being used in the equipment, or to the marine diesel engines, for which relief is requested, and may not exceed 12 months (24 months for small volume manufacturers) in duration.
(3) The Executive Officer may impose other conditions on the granting of relief, including provisions to recover the lost environmental benefit. The labeling requirements in the 2008 and Later Test Procedures apply.
(g) Alternative Flexibility for Post-Manufacture Marinizers.Post-manufacture marinizers may elect to delay the effective date of the Tier 1 standards for marine propulsion diesel engines rated under 37kW by one year, instead of using the provisions of paragraphs (d) and (f) of this section. Post-manufacture marinizers wishing to take advantage of this provision must inform the Executive Officer of their intent to do so in writing before the date that the standards would otherwise take effect.
(h) Allowance for the production of engines.To meet the demand for engines created under paragraph (d), (f), or (g) of this section, engine manufacturers may produce engines that do not meet current year emission requirements. However, engine manufacturers must receive written assurance from each equipment manufacturer, prior to production, that a certain number of these engines are needed for the equipment manufacturer's Tier 4 equipment flexibility allowances. Engine manufacturers shall provide to the Executive Officer annually, as part of the certification application, a list of the equipment manufacturers requesting such engines for their Tier 2/3 and Tier 4 equipment flexibility allowances. The list shall include the equipment manufacturers' names, engine models, and estimated national production volumes. A copy of the original correspondence from the equipment manufacturer requesting the production of flexibility engines shall be kept on file by the engine manufacturer in addition to, and in accordance with, the provisions of s 1039.250 of the 2008 and Later Test Procedures, and shall be made available without delay to the Executive Officer upon request. Furthermore, all engines produced for sale in California under either of the transitional flexibility provisions for equipment manufacturers, must be covered by an Executive Order starting January 1, 2007. To obtain an Executive Order for these engines, the engine manufacturer shall comply with the following:
(1) Prior to the start of production, submit a letter to the Chief of the Mobile Source Operations Division, or designee, requesting certification for flexibility engines intended for sale in California, and
(2) Provide written assurance that the flexibility engines to be produced will be identical in all material respects to those for which a valid Executive Order has been issued in a previous model year. The engine family name of the previously certified engine family must be included in the manufacturer's request for certification.
Upon determination that the conditions in paragraphs (1) and (2) have been satisfied, the Executive Officer shall provide the engine manufacturer with an Executive Order covering the requested flexibility engine families for the current model year. The engine family names included in the Executive Order shall either be the same as, or a subset of the previously certified engine family names, and shall remain the same for as long as the engines continue to qualify as flexibility allowances regardless of model year. These engine family names shall be used by the engine manufacturer to comply with the labeling requirements of 2423(d)(5)(A).
(i) [Reserved]
(j)(1) A new compression-ignition off-road engine intended solely to replace an engine in a piece of off-road equipment that was originally produced with an engine manufactured prior to the applicable implementation date as specified in Section 2423, shall not be subject to the emission requirements of Section 2423 provided that:
(A) the engine manufacturer has ascertained that no engine produced by itself or the manufacturer of the engine that is being replaced, if different, and certified to the requirements of this article, is available with the appropriate physical or performance characteristics to repower the equipment; and
(B) unless an alternative control mechanism is approved in advanced by the Executive Officer, the engine manufacturer or its agent takes ownership and possession of the engine being replaced; and
(C) the engine manufacturer does not use the replacement-engine exemption to circumvent the regulations; and
(D) the replacement engine is clearly labeled with the following language, or similar alternate language approved in advance by the Executive Officer:
"THIS ENGINE DOES NOT COMPLY WITH CALIFORNIA AND FEDERAL OFF-ROAD OR ON-HIGHWAY EMISSION REQUIREMENTS. SALE OR INSTALLATION OF THIS ENGINE FOR ANY PURPOSE OTHER THAN AS A REPLACEMENT ENGINE FOR AN ENGINE MANUFACTURED PRIOR TO JANUARY 1 [INSERT APPROPRIATE YEAR] IS A VIOLATION OF CALIFORNIA AND FEDERAL LAW SUBJECT TO CIVIL PENALTY."
(2) At the conclusion of each of the 2000 and later model years, the manufacturer must provide, by engine model, the actual number of replacement engines produced for California during the model year, and a description of the physical or performance characteristics of those models that indicate certified replacement engine(s) were not available as per paragraph (1).
(k) Any new engine certified to comply with California emission standards and test procedures for on-road applications may, upon approval by the Executive Officer, be considered to be in compliance with these regulations.
(l) Practices and labeling requirements for rebuilt engines. This subsection shall apply as provided in paragraph (1) below to all off-road compression-ignition engines subject to the requirements of Section 2423 that are rebuilt after December 31, 2006, including those engines that were originally manufactured on, or prior to, December 31, 2006.
(1) Practices. The rebuilding practices described in Part 89.130 of the incorporated 2000 Plus Limited Test Procedures, including the exemption for engines equal to or greater than 37 kW that meet the Tier 1 standard, and Part 1068.120 of the 2008 and Later Test Procedures shall apply. These practices are summarized in paragraphs (1)(A) and (1)(B) below, which are provided as respective references for the labeling requirements in paragraphs (2)(A) and (2)(B) of this subsection.
(A) Any person who rebuilds an engine that either remains installed in a piece of equipment during the rebuilding process or will be reinstalled after the rebuilding process has been completed shall rebuild the engine to the same certified configuration or the certified configuration of a later model year engine. For the purposes of this section, these engines shall be referred to as "rebuilt original engines."
(B) Any person who replaces the engine in a piece of equipment with a rebuilt engine (this includes engines that have been substantially assembled from parts originally belonging to one or more other engines) shall use a replacement engine with a certified configuration that is at least equivalent, from an emissions standpoint, to that of the engine being replaced. For the purposes of this section, these engines shall be referred to as "rebuilt replacement engines."
(2) Labeling Requirements.
(A) Rebuilt Original Engines. Any person who rebuilds engines for which the practices in paragraph (1)(A) of this subsection apply shall ensure that the rebuilt engines are labeled as follows:
1. An original engine that is rebuilt to the same emissions configuration employed by the engine at the time it was issued an Executive Order shall retain the emissions control label described in Section 2424. The rebuilder shall not remove or deface in any manner the original label and must take care to protect it from the effects of sandblasting, acid dipping, or any other restorative processes. Notwithstanding the preceding requirements and prohibitions of this paragraph (2)(A)1., the rebuilder shall substitute a new permanent label containing the text in paragraph (2)(A)2. below for the original emission control label if the rebuilder determines that the label has been irreparably corrupted due to extreme and unintentional circumstances (e.g., fire or collision). The rebuilder shall provide to the Executive Officer annually a list of all rebuilt engines for which original labels have been removed under this provision no later than two months after the end of each calendar year. The rebuilder shall retain all removed labels, or otherwise document the degree to which the labels were damaged or missing (e.g., photographic proof of the corruption), for a period of no less than eight years following the date of renovation, and shall make these available to the Executive Officer upon request. The rebuilder shall be subject to civil penalty under State law should the Executive Officer determine that the original emission control label did not warrant replacement or that the rebuilder is abusing this provision;
2. An original engine that is rebuilt to a more stringent emissions configuration shall be permanently re-labeled using the following text:
"THIS ENGINE HAS BEEN REBUILT UNDER 13 CCR 2423(l) USING MATCHED COMPONENTS OF THE SAME SPECIFICATIONS AND CALIBRATIONS AS THOSE OF A CERTIFIED TIER [insert the numerical tier designation of the rebuilt engine] OFF-ROAD COMPRESSION-IGNITION ENGINE. IF PLACED INTO SERVICE IN AN OFF-ROAD APPLICATION, THIS ENGINE MUST BE INSTALLED IN EQUIPMENT ORIGINALLY SOLD WITH A TIER [insert the numerical tier designation of the rebuilt engine] OR EARLIER ENGINE. [insert the engine family name of the reference engine].
For the purpose of this label, "MATCHED" means a complete set of components corresponding to the certified emissions configuration being referenced (see the definition of "certified emissions configuration" in Section 2421(a)(13)). The reference engine is the engine family name corresponding to the certified emissions configuration to which the engine has been rebuilt. The label shall conform to the provisions of Section 2424 regarding location and visibility.
(B) Rebuilt Replacement Engines. Any person who rebuilds engines for which the practices in paragraph (1)(B) of this subsection apply shall ensure that the rebuilt engines are labeled as follows:
1. A replacement engine that is rebuilt to the same California emissions configuration employed by the engine at the time it was issued an Executive Order shall either retain the emission control label described in Section 2424 or be permanently re-labeled using the text in paragraph (2)(A)2 of this subsection. A replacement engine that is rebuilt to the same emissions configuration employed by the engine at the time it was issued a federal Certificate of Conformity, and for which no Executive Order exists, shall be permanently re-labeled using the text in paragraph (2)(A)2 of this subsection. prior to being installed in equipment that was originally sold with a California certified engine;
2. A replacement engine that is rebuilt to a more stringent emissions configuration shall be permanently re-labeled using the text in paragraph (2)(A)2. above;
3. An incomplete rebuilt replacement engine shall be permanently re-labeled using the text specified below. For the purposes of this subsection, "incomplete rebuilt replacement engine" means a rebuilt replacement engine that is sold or offered for sale in California without all the necessary components to enable engine operation including, but not necessarily limited to, the fuel system and the air system:
"THIS ENGINE HAS BEEN REBUILT UNDER 13 CCR 2423(l) AS AN INCOMPLETE ENGINE USING ONLY MATCHED COMPONENTS OF THE SAME SPECIFICATIONS AND CALIBRATIONS AS THOSE FOUND IN OFF-ROAD COMPRESSION-IGNITION ENGINES CERTIFIED TO THE [insert the numerical tier or multiple tiers designation of the rebuilt engine]."
Any person who completes an incomplete rebuilt replacement engine with components that are not matched components, and the resulting engine is placed into service in California, is in violation of the rebuilding practices referenced under paragraph (1) of this subsection and subject to civil penalty under State law.
(C) Supplemental Labeling Requirements. Except as noted below, any person who sells or offers for sale any rebuilt engine subject to the provisions of subsection (l) shall affix a supplemental label to the rebuilt engine that:
1. states the name of the rebuilder, year of rebuild, and other pertinent information as determined by the rebuilder or specified by the Executive Officer; and
2. is clearly visible without the need to remove any engine components; and
3. does not obscure in any way the visibility of the original emission control label or the labels required under paragraphs (2)(A)2. or (2)(B)3. of this subsection; and
4. does not state or imply that the rebuilt engine is "new" or that it belongs to an engine family other than the one to which it was originally certified; and
5. has sufficient durability to remain intact and legible throughout all mandatory record keeping periods for rebuilt engines.
The requirement for a supplemental label shall be waived in cases where the rebuilder alternately chooses to incorporate the information in (C)1. above into the new permanent label specified in subsection (2)(A)2. or (2)(B)3.
(D) Rebuilt New Engines. Notwithstanding any other requirement of this subsection (l), any person who rebuilds an engine to comply with current-year emission requirements (including, but not limited to, durability and warranty), with the intent to sell or offer for sale the rebuilt engine as "new" under the coverage of a new and unique Executive Order, shall replace the original emission control label on that engine with one identifying the engine as belonging to a family meeting current-year emission requirements in accordance with the provisions of Section 2424. If desired, the rebuilder of a such an engine may optionally affix to it a supplemental label, but such a label would be required to comply with the same requirements specified in paragraph (C) of this subsection for any other rebuilt engine.


Note: Authority cited: Sections 39600, 39601, 43013, 43018, 43101 and 43104, Health and Safety Code. Reference: Sections 43013, 43017, 43018, 43101, 43104 and 43211-43212, Health and Safety Code.



s 2424. Emission Control Labels -1996 and Later Off-Road Compression-Ignition Engines.
(a) Purpose.The Air Resources Board recognizes that certain emissions-critical or emissions-related parts must be properly identified and maintained in order for engines to meet the applicable emission standards. The purpose of these specifications is to require engine manufacturers to affix a label (or labels) on each production engine (or equipment) to provide the engine or equipment owner and service mechanic with information necessary for the proper maintenance of these parts in customer use.
(b) Applicability.
(1) These specifications shall apply to 1996-1999 model year heavy-duty off-road compression-ignition engines, which have been certified to the applicable emission standards pursuant to Health and Safety Code Section 43013.
(2) These specifications shall apply to 2000 and later model year compression-ignition engines, which have been certified to the applicable emission standards pursuant to Health and Safety Code Section 43013.
(3) Engine manufacturers who have certified such engines shall be responsible for complying with these specifications.
(c)Label Content and Location.
(1) For 1996-1999 heavy-duty off-road compression-ignition engines:
(A) A tune-up label shall be permanently attached to the engine block or other major component in such a way that it will be readily visible after installation of the engine in the equipment. If the equipment obscures the label on the engine, the equipment manufacturer shall attach a supplemental label such that it is readily visible.
(B) In selecting an acceptable location, the manufacturer shall consider the possibility of accidental damage (e.g., possibility of tools or sharp instruments coming in contact with the label). Each label shall be affixed in such a manner that it cannot be removed without destroying or defacing the label, and shall not be affixed to any part which is likely to be replaced during the equipment's useful life. The label(s) shall not be affixed to any component which is easily detached from the engine.
(C) In addition, an engine serial number shall be stamped on the engine block or stamped on a metal label riveted to the engine block. Engine manufacturers shall keep records such that the engine serial number can easily be used to determine if an engine was certified for the applicable model year.
(D) The label shall be in the English language and use block letters and numerals which shall be of a color that contrasts with the background of the label.
(E) The label shall contain the following information:
1. The label heading shall read:
"Important Engine Information."
2. Full corporate name and trademark of the manufacturer.
3. "This (specify equipment or engine, as applicable) is certified to operate on (specify operating fuel(s))."
4. Identification of the Exhaust Emission Control System.Abbreviations may be used and shall conform to the nomenclature and abbreviations found in the Society of Automotive Engineers document J1930 which is incorporated by reference herein [in Section 1977, Title 13, CCR], titled "Diagnostic Acronyms, Terms, and Definitions for Electrical/Electronic Systems."
5. The specifications and adjustments recommended by the manufacturer, including, if applicable: initial injection timing, and fuel rate (in mm 3 /stroke) at advertised horsepower. These specifications shall indicate the proper transmission position, (if applicable), during tune-up and what accessories, if any, should be in operation, and what systems, if any (e.g., vacuum advance, air pump), should be disconnected during the tune-up. If the manufacturer does not recommend adjustment of the foregoing specifications, the manufacturer shall include in lieu of the "specifications" the single statement "No other adjustments needed." For all engines, the instructions for tune-up adjustments shall be sufficiently clear on the label to preclude the need for a mechanic or equipment owner to refer to another document in order to correctly perform the adjustments.
6. An unconditional statement of compliance with the appropriate model year California regulations; for example, "This engine conforms to 1996 California regulations for heavy-duty off-road diesel cycle engines as applicable."
7. Total engine displacement (in cubic centimeters, liters, or cubic inches) and engine family identification.
(F)1. The manufacturer of any engine certified with a clean fuel (i.e., low-sulfur diesel fuel) shall at the time of engine manufacture, affix a permanent legible label specifying the appropriate operating fuel(s).
2. The label shall be located immediately adjacent to each fuel tank filler inlet and outside of any filler inlet compartment. It shall be located so that it is readily visible to any person introducing fuel to such filler inlet; Provided, however, that the Executive Officer shall upon application from an engine manufacturer, approve other label locations that achieve the purpose of this paragraph. If the engine is manufactured separately from the equipment, the label shall be affixed to the engine and located so that it is readily visible. Such labels shall be in English and in block letters which shall be of a color that contrasts with their background.
(2) For 2000 and later Tier 1, Tier 2, and Tier 3 off-road compression-ignition engines, the label content and location must comply with the requirements in Section 89.110 of the 2000 and Later Test Procedures.
(3) For 2008 and Later Tier 4 off-road compression-ignition engines, the label content and location must comply with the requirements in Section 1039.135 of the 2008 and Later test Procedures.
(d) The provisions of these specifications shall not prevent a manufacturer from also stating on the label that such engine or equipment conforms to any applicable federal emission standards for new engines, or any other information that such manufacturer deems necessary for, or useful to, the proper operation and satisfactory maintenance of the equipment or engine.
(e) As used in these specifications, readily visible to the average person shall mean that the label shall be readable from a distance of eighteen inches (46 centimeters) without any obstructions from equipment or engine parts (including all manufacturer available optional equipment) except for flexible parts (e.g., vacuum hoses, ignition wires) that can be moved out of the way without disconnection. Alternatively, information required by these specifications to be printed on the label shall be no smaller than 8 point type size provided that no equipment or engine parts (including all manufacturer available optional equipment), except for flexible parts, obstruct the label.
(f) The labels and any adhesives used shall be designed to withstand, for the engine's or equipment's total expected life, typical equipment environmental conditions in the area where the label is attached. Typical equipment environmental conditions shall include, but are not limited to, exposure to engine fuels, lubricants and coolants (e.g., diesel fuel, motor oil, water, ethylene glycol). The manufacturer shall submit, with its certification application, a statement attesting that its labels comply with these requirements.
(g) The manufacturer shall obtain approval from the Executive Officer for all label formats and locations prior to use. Approval of the specific maintenance settings is not required; however, the format for all such settings and tolerances, if any, is subject to review. If the Executive Officer finds that the information on the label is vague or subject to misinterpretation, or that the location does not comply with these specifications, he or she may require that the label or its location be modified accordingly.
(h) Samples of all actual production labels used within an engine family shall be submitted to the Executive Officer within thirty days after the start of production.
(i) The Executive Officer may approve alternate label locations or may, upon request, waive or modify the label content requirements provided that the intent of these specifications is met.
(j) The manufacturer of any engine shall furnish to the Executive Officer, at the beginning of the model year, any engine identification number coding system which identifies whether such engine(s) are covered by an Executive Order.
(k) If the Executive Officer finds any engine (or equipment) manufacturer using labels which are different from those approved or which do not substantially comply with the readability or durability requirements set forth in these specifications, the manufacturer shall be subject to being enjoined from any further sales of such products in the State of California pursuant to Section 43017 of the Health and Safety Code. Prior to seeking to enjoin a manufacturer, the Executive Officer shall consider any information provided by the manufacturer.


Note: Authority cited: Sections 39600, 39601, 43013, 43018, 43101, 43102 and 43104, Health and Safety Code. Reference: Sections 43013, 43017, 43018, 43101, 43102, 43104 and 43105, Health and Safety Code.



s 2425. Defects Warranty Requirements for 1996 and Later Off-Road Compression-Ignition Engines.
(a) Applicability.This section shall apply to new 1996-1999 model year heavy-duty off-road compression-ignition engines and new 2000 and later model year compression-ignition engines. The warranty period shall begin on the date the engine or equipment is delivered to an ultimate purchaser. The use ofalternate fuels shall not void the warranties on any engine certified to use such fuel. (continued)