California Code of Regulations
Title 13 - Motor Vehicles
Division 3 - Air Resources Board
Chapter 9 - Off-Road Vehicles and Engines Pollution Control Devices
Article 1 - Small Off-Road Engines
Section 2401 - Definitions

Universal Citation: 13 CA Code of Regs 2401

Current through Register 2024 Notice Reg. No. 38, September 20, 2024

(a) The definitions in Section 1900(b), Chapter 1, Title 13 of the California Code of Regulations, apply with the following additions:

(1) "CARB Enforcement Officer" means any officer or employee of the California Air Resources Board so designated in writing by the Executive Officer or by the Executive Officer's designee.

(2) "Assembly-line tests" are those tests or inspections that are performed on or at the end of the assembly-line.

(3) "Averaging" means the exchange of emission credits among engine families within a given manufacturer's product line.

(4) "Banking" means the retention of small off-road engine emission credits by the manufacturer generating the emission credits for use in future model year averaging or trading as permitted by these regulations.

(5) "Basic engine" means an engine manufacturer's unique combination of engine displacement, number of cylinders, fuel system, emission control system and other engine and emission control system characteristics specified by the Executive Officer.

(6) "Calendar year" is the twelve month period commencing on January 1 through December 31.

(7) "Certification emission reduction credits" means the amount of emission reduction or exceedance, by an engine family, below or above the applicable HC+NOx (or NMHC+NOx, as applicable) or Particulate Matter emission standard, respectively. Family emission limits (FEL) below the standard create "positive credits," while FELs above the standard create "negative credits." Some or all of these credits may be revoked if the Executive Officer's review of the end-of-year reports or any subsequent audit action(s) reveals problems or errors of any nature with credit computations.
(A) "Projected credits" refer to emission credits based on the projected applicable production/sales volume of the engine family.

(B) "Reserved credits" are emission credits generated within a model year available for reporting to the Executive Officer at the end of the model year.

(C) "Actual credits" refer to emission credits based on California's share, determined by market analysis, of actual federal production/sales volume as contained in the end-of-year reports submitted to the Executive Officer.

(8) "Certification value" means the product of the measured emissions of the prototype engine at zero hours and the (calculated or assigned) deterioration factor.

(9) "Blue Sky Series engine" means a small off-road engine meeting the requirements of Section 2403(b)(2)(A).

(10) "Complete engine assembly" or "Engine configuration" means an assembly of a basic engine and all of the specific applicable components (e.g., air inlet, fuel and exhaust systems, etc.) and calibrations (e.g., carburetor jet size, valve timing, etc.) required for the assembly to be installed into a new unit of equipment.

(11) "Crankcase emissions" means airborne substances emitted into the atmosphere from any portion of the engine crankcase ventilation or lubrication system.

(12) "Deterioration factor" means the calculated or assigned number that represents the certification engine's emissions change over the durability period. It is multiplied by zero hour (new) engine test results to determine the engine family compliance level. The deterioration factor is determined as per Part II, Section 3 of the 1995-2004 Test Procedures, Subpart B, Section 90.104 of the 2005-2012 Test Procedures, or Subpart C, section 1054.245 of the "California Exhaust Emission Standards and Test Procedures for New 2013 and Later Small Off-Road Engines; Engine-Testing Procedures (Part 1054)," adopted October 25, 2012, and amended January 1, 2023, as applicable. See "Emissions Durability Period," below.

(13) "Eight-hour workday" means the zero-emission small off-road equipment manufacturer specified operational sequence of a particular type of equipment over an eight-hour period. The operational sequence reflects periods of equipment use, and applicable battery recharging and exchanging.

(14) "Emission control system" includes any component, group of components, or engine modification that controls or causes the reduction of substances emitted from an engine.

(15) "Emissions durability period" is the period that represents an engine's useful life. The emissions durability period is selected from the choices listed in the table in section 2403(b). The emissions durability period is used to determine an engine family's deterioration factors and in the calculation of certification and production emission reduction credits.

(16) "Emissions durability values" means emissions from an engine that has accumulated service equivalent to that engine's emissions durability period, or the result of the product of the zero hour (new) engine test results and the appropriate deterioration factor (e.g., the certification values). The Executive Officer must approve the methods of service accumulation before the manufacturer begins service accumulation.

(17) "Emission-related defect" means a defect in design, materials, or workmanship in a device, system, or assembly described in the approved application for certification which affects any applicable parameter, specification, or component enumerated in Appendix A to Article 2.1, Chapter 2, Division 3, Title 13, California Code of Regulations or listed in the Emission Warranty Parts List pursuant to section 2405(d).

(18) "End of assembly-line" is defined as that place where the final inspection test or production line test is performed.

(19) "Engine" means an engine block with an installed crankshaft. Gas turbine engines are excluded from this definition. The term engine does not include engine blocks without an installed crankshaft, nor does it include any assembly of reciprocating engine components that does not include the engine block. (Note: For purposes of this definition, any component that is the primary means of converting an engine's energy into usable work is considered a crankshaft, whether or not it is known commercially as a crankshaft.)

(20) "Engine family" is a subclass of a basic engine based on similar emission characteristics or a subclass of zero-emission small off-road equipment based on similar performance characteristics. The engine family is the grouping of engines or zero-emission small off-road equipment that is used for the purposes of certification.

(21) "Engine family name" means a multi-character alphanumeric sequence that represents certain specific and general information about an engine family.

(22) "Engine manufacturer" means the manufacturer granted certification.

(23) "Exhaust emissions" means substances emitted into the atmosphere from any opening downstream from the exhaust port of an engine.

(24) "Extreme nonattainment area" means any area classified as an extreme ozone nonattainment area by the U.S. Environmental Protection Agency pursuant to Section 181(a) of the Clean Air Act, as amended, including Orange County and the portions of Los Angeles, San Bernardino and Riverside Counties described as extreme ozone nonattainment areas in Title 40, section 81.305 of the Code of Federal Regulations.

(25) "Family emission limit" or "FEL" means an emission level that is declared by the manufacturer to serve for the averaging, banking, and trading program and in lieu of an emission standard for certification. The FEL serves as the engine family's emission standard for emissions compliance efforts. If the manufacturer does not declare an FEL for an engine family, the applicable emissions standard must be treated as that engine family's FEL for the purposes of any provision of this Article.

(26) "Final calendar quarter production" is defined as the calendar quarter in which the production of an engine family ends.

(27) "First calendar quarter production" is defined as the calendar quarter in which the production of an engine family begins.

(28) "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.

(29) "Generator" means off-road equipment that exclusively produces electric power.

(30) "Generator engine" means an engine installed exclusively in a generator.

(31) "Gross engine malfunction" is defined as one yielding an emission value greater than the sum of the mean plus three (3) times the standard deviation. This definition shall apply only for determination of control limits.

(32) "Handheld" means relating to off-road equipment using an engine with displacement less than or equal to 80 cc.

(33) "Horizontal-shaft engine" means any engine that is designed to operate with the axis of the crankshaft in a horizontal position.

(34) "Incomplete engine assembly" means a basic engine assembly that does not include all of the components necessary for designation as a complete engine assembly, and is marketed in order to be a part of, and assembled into, a new unit of equipment that is marketed to ultimate purchasers.

(35) "Model year" means the manufacturer's annual production period that includes January 1 of a calendar year or, if the manufacturer has no annual production period, the calendar year. The model year may not begin before January 2 of the prior calendar year or extend beyond December 31 of the named model year.

(36) "NEMA 5-15" means a receptacle that complies with the industry standard for NEMA 5-15 as established in American National Standards Institute, Inc. (ANSI)/National Electrical Manufacturers Association (NEMA) publication ANSI/NEMA WD 6-2016, Wiring Devices--Dimensional Specifications, as approved February 11, 2016, which is hereby incorporated by reference.

(37) "Off-road vehicle" or "Off-road equipment" means any non-stationary device, powered by an internal combustion engine or motor, used primarily off the highways to propel, move, or draw persons or property including any device propelled, moved, or drawn exclusively by human power, and used in, but not limited to, any of the following applications: Marine Vessels, Construction/Farm Equipment, Locomotives, Small Off-Road Engines, Off-Road Motorcycles, and Off-Highway Recreational Vehicles.

(38) "Point of first retail sale" means the point that the engine is first sold directly to the ultimate purchaser. Generally, this point is the retail engine or equipment dealer. If the engine is sold first to an equipment manufacturer for installation in a piece of equipment, the equipment manufacturer is the point of first retail sale if the equipment manufacturer cannot demonstrate to a reasonable certainty that the engine will be exported or destined for retail sale outside California.

(39) "Pressure washer engine" means an engine installed exclusively in a pressure washer.

(40) "Production emission reduction credits" means the amount of emission reduction or exceedance by an engine family below or above, respectively, the applicable FEL to which the engine family is certified. Emission reductions below the standard are considered "positive credits," while emission exceedances above the standard are considered "negative or required credits." (See Section 2409.)

(41) "Production line test" is defined as the emissions test performed on a sample of production engines produced for sale in California and conducted according to the Emissions Standards and Test Procedures specified in Section 2403(b) and (d).

(42) "Professional level" means the degree of equipment performance expected by commercial operators. For zero-emission small off-road equipment, the degree of performance is based on durability test power loading, supplied battery capacity, cutter speed, as applicable, and other performance requirements or parameters that are specific to a particular equipment type.

(43) "Sales" or "Eligible sales" means the actual or calculated sales of an engine family in California for the purposes of averaging, banking or trading. Upon Executive Officer approval, an engine manufacturer may calculate its eligible sales through market analysis of actual federal production or sales volume. Actual sales are sales calculated at the end of a model year based on that model year's production, rather than on estimates of production.

(44) "Scheduled maintenance" means any adjustment, repair, removal, disassembly, cleaning, or replacement of components or systems required by the engine 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.

(45) "Small off-road engine" means any engine that produces a gross horsepower less than 25 horsepower (at or below 19 kilowatts for 2005 and later model year), or is designed (e.g., through fuel feed, valve timing, etc.) to produce less than 25 horsepower (at or below 19 kilowatts for 2005 and later model year), that is not used to propel a licensed on-road motor vehicle, an off-road motorcycle, an all-terrain vehicle, a marine vessel, a snowmobile, a model airplane, a model car, or a model boat. If an engine family has models below 25 horsepower (at or below 19 kilowatts) and models at or above 25 horsepower (above 19 kilowatts), only the models under 25 horsepower (at or below 19 kilowatts) would be considered small off-road engines. Uses for small off-road engines include, but are not limited to, applications such as lawn mowers, weed trimmers, chain saws, golf carts, specialty vehicles, generators and pumps. All engines and equipment that fall within the scope of the preemption of Section 209(e)(1)(A) of the Federal Clean Air Act, as amended, and as defined by regulation of the Environmental Protection Agency, are specifically not included within this category. Any compression-ignition engine, as defined in Section 2421, produced during the 2000 and later model years shall not be defined as a small off-road engine.

(46) "Small off-road equipment" means any off-road equipment powered by a small off-road engine, or comparable electric motor or other power source.

(47) "Standard battery package" means the manufacturer-specified combination of battery(ies) and battery charger(s) required for an individual unit of zero-emission equipment to perform one hour of continuous operation, allowing for battery exchanges, as applicable in order for designation as professional-level zero-emission equipment. The one-hour periods of continuous operation and battery exchanges are repeated in cycles over the course of an eight-hour workday.

(48) "Third-party distributor" is a party that is not an engine or equipment manufacturer, and that engages in wholesale or retail sales of complete or incomplete small off-road engine assemblies.

(49) "Trading" means the exchange of small off-road engine emission credits between manufacturers.

(50) "Ultimate purchaser" means the first person who in good faith purchases a new small off-road engine or equipment using such an engine for purposes other than resale.

(51) "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 that was not anticipated.

(52) "Vertical-shaft engine" means any engine that is designed to operate with the axis of the crankshaft in a vertical position.

(53) "Warrantable condition" means any condition of an engine that requires the manufacturer to take corrective action pursuant to Section 2405.

(54) "Warranted part" means any emissions-related part installed on an engine by the equipment or engine manufacturer, or installed in a warranty repair, that is listed on the warranty parts list.

(55) "Warranty period" means the period of time that the engine or part is covered by the warranty provisions.

(56) "Warranty station" means a service facility authorized by the equipment or engine manufacturer to perform warranty repairs. This includes all manufacturer distribution centers that are franchised to service the subject equipment or engines.

(57) "Zero-emission equipment credits" means the amount of emission reductions generated by using zero-emission small off-road equipment in place of small spark-ignition off-road equipment. Zero-emission equipment credits are calculated pursuant § 2408.1 and approved by CARB. Electrically powered equipment that are powered exclusively through an electrical cord and require continuous external power generation for operation are not eligible for such credits.

(58) "Zero-emission equipment engine family" means the engine family for zero-emission small off-road equipment based on characteristics of the equipment, its emissions, and its power source, which may be an electric motor, and its energy storage device, which may be a battery.

(59) "Zero-emission generator" means any small off-road equipment that generates or stores energy and distributes electrical power while producing zero emissions of any criteria pollutant (or precursor pollutant) under any and all possible operational modes and conditions.

(60) "Zero-emission generator credits" means the amount of emission reductions generated by using zero-emission generators in place of small spark-ignition off-road equipment. Zero-emission generator credits are calculated pursuant to § 2408.2 and approved by CARB.

(61) "Zero-emission small off-road equipment" means any small off-road equipment that produces zero emissions of any criteria pollutant (or precursor pollutant) under any and all possible operational modes and conditions.

1. New section filed 5-1-92; operative 6-1-92 (Register 92, No. 19).
2. Amendment of NOTE filed 10-4-93; operative 11-3-93 (Register 93, No. 41).
3. Change without regulatory effect amending NOTE filed 12-22-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 52).
4. Amendment filed 7-24-95; operative 7-24-95 pursuant to Government Code section 11343.4(d) (Register 95, No. 30).
5. Amendment of section and NOTE filed 3-23-99; operative 3-23-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 13).
6. Amendment of subsection (a)(35) and amendment of NOTE filed 12-28-2000; operative 12-28-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 52).
7. Amendment filed 9-20-2004; operative 10-20-2004 (Register 2004, No. 39).
8. New subsections (a)(13), (a)(36), (a)(41), (a)(51) and (a)(52) and subsection renumbering filed 4-5-2010; operative 5-5-2010 (Register 2010, No. 15).
9. Amendment of subsections (a)(1), (a)(7), (a)(12) and (a)(15), new subsections (a)(19), (a)(29)-(30), (a)(32), (a)(36), (a)(39) and (a)(59)-(60), subsection renumbering and amendment of newly designated subsections (a)(20), (a)(25), (a)(35) and (a)(57) filed 9-14-2022; operative 1-1-2023 (Register 2022, No. 37).

Note: Authority cited: Sections 39600, 39601, 43013, 43018, 43101, 43102 and 43104, Health and Safety Code. Reference: Sections 43013, 43017, 43018, 43101, 43102, 43104, 43150- 43154, 45205.5 and 43210- 43212, Health and Safety Code.

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