Current through Register 2024 Notice Reg. No. 38, September 20, 2024
(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)
|
Maximum Rated Power
(kW)
1 |
Tier |
Model
Year |
NOx
2 |
HC
3 |
NMHC+
NOx4 |
CO
5 |
PM
6 |
| kW<8 | Tier
1 | 2000-2004 | -- | -- | 10.5 | 8.0 | 1.0 |
|
| Tier 2 | 2005-2007
7 | -- | -- | 7.5 | 8.0 | 0.80 |
| 8[LESS THAN EQUAL TO]kW<19 | Tier
1 | 2000-2004 | -- | -- | 9.5 | 6.6 | 0.80 |
|
| Tier 2 | 2005-2007
7 | -- | -- | 7.5 | 6.6 | 0.80 |
| 19[LESS THAN EQUAL TO]kW<37 | Tier
1 | 2000-2003 | -- | -- | 9.5 | 5.5 | 0.80 |
|
| Tier 2 | 2004-2007
7 | -- | -- | 7.5 | 5.5 | 0.60 |
| 37[LESS THAN EQUAL TO]kW<56 | Tier
1 | 2000-2003 | 9.2 | -- | -- | -- | -- |
|
| Tier
2 | 2004-2007 | -- | -- | 7.5 | 5.0 | 0.40 |
|
| Tier 3
8 | 2008-2011 | -- | -- | 4.7 | 5.0 | 0.40 |
| 56[LESS THAN EQUAL TO]kW<75 | Tier
1 | 2000-2003 | 9.2 | -- | -- | -- | -- |
|
| Tier
2 | 2004-2007 | -- | -- | 7.5 | 5.0 | 0.40 |
|
| Tier
3 | 2008-2011 | -- | -- | 4.7 | 5.0 | 0.40 |
| 75[LESS THAN EQUAL TO]kW<130 | Tier
1 | 2000-2002 | 9.2 | -- | -- | -- | -- |
|
| Tier
2 | 2003-2002 | -- | -- | 6.6 | 5.0 | 0.30 |
|
| Tier
3 | 2007-2011 | -- | -- | 4.0 | 5.0 | 0.30 |
| 130[LESS THAN EQUAL TO]kW<225 | Tier
1 | 1996-2002 | 9.2 | 1.3 | -- | 11.4 | 0.54 |
|
| Tier
2 | 2003-2005 | -- | -- | 6.6 | 3.5 | 0.20 |
|
| Tier
3 | 2006-2010 | -- | -- | 4.0 | 3.5 | 0.20 |
| 225[LESS THAN EQUAL TO]kW<450 | Tier
1 | 1996-2000 | 9.2 | 1.3 | -- | 11.4 | 0.54 |
|
| Tier
2 | 2001-2005 | -- | -- | 6.4 | 3.5 | 0.20 |
|
| Tier
3 | 2006-2010 | -- | -- | 4.0 | 3.5 | 0.20 |
| 450[LESS THAN EQUAL TO]kW[LESS THAN EQUAL
TO]560 | Tier
1 | 1996-2001 | 9.2 | 1.3 | -- | 11.4 | 0.54 |
|
| Tier
2 | 2002-2005 | -- | -- | 6.4 | 3.5 | 0.20 |
|
| Tier
3 | 2006-2010 | -- | -- | 4.0 | 3.5 | 0.20 |
| kW>560 | Tier
1 | 2000-2005 | 9.2 | 1.3 | -- | 11.4 | 0.54 |
|
| Tier
2 | 2006-2010 | -- | -- | 6.4 | 3.5 | 0.20 |
1 kW means kilowatts.
2 NOx
means Oxides of Nitrogen.
3 HC means Hydrocarbons.
4
NMHC+NOx means Non-Methane Hydrocarbons plus Oxides of
Nitrogen.
5 CO means Carbon
Monoxide.
6 PM means Particulate
Matter.
7 Tier 2 standards for
propulsion marine compression-ignition engines below 37 kW remain in effect
beyond the 2007 end date.
8 Manufacturers may optionally
certify engine families to the interim Tier 4 standards in Table 1b for this
power category through 2012.
(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 provided in the 2008-2010 or 2011 and Later Test
Procedures as applicable.
Table 1b. -- Tier 4 Exhaust Emission
Standards
(grams per kilowatt-hour)
|
Maximum Engine
Power |
Model
Year |
Type |
PM |
NMHC+
NOx |
NMHC |
NOx |
CO |
| | | | |
grams per
kilowatt-hour | | |
| kW<8
1 | 2008 and
later | Final | 0.40
2 | 7.5 | -- | -- | 8.0 |
| 8[LESS THAN EQUAL TO]kW19
1 |
|
|
|
|
|
| 6.6 |
| 19[LESS THAN EQUAL TO]kW<37
1 | 2008-2012 | Interim | 0.30 | 7.5 | -- | -- | 5.5 |
|
| 2013 and
later | Final | 0.03 | 4.7 |
|
|
|
| 37[LESS THAN EQUAL TO]kW<56
3 | 2008-2012 | Interim | 0.30 |
4.7 | -- | -- | 5.0 |
|
| 2013 and
later | Final | 0.03 |
|
|
|
|
| 56[LESS THAN EQUAL TO]kW<75 | 2012-2014
4 | Phase-In | 0.02 | -- | 0.19 | 0.40 | 5.0 |
|
|
| Phase-Out |
| 4.7 | -- | -- |
|
|
|
| or/ Alt
NOx |
| -- | 0.19 | 3.4
5 |
|
|
|
| or/ Alt
NOx+NMHC
8 |
| 3.5
5 | -- | -- |
|
|
| 2015 and later | Final |
| -- | 0.19 | 0.40 |
|
| 75[LESS THAN EQUAL TO]kW<130 | 2012-2014
4 | Phase-In | 0.02 | -- | 0.19 | 0.40 | 5.0 |
|
|
| Phase-Out |
| 4.0 | -- | -- |
|
|
|
| or/ Alt
NOx |
| -- | 0.19 | 3.4
5 |
|
|
|
| or/ Alt
NOx+NMHC
8 |
| 3.5
5 | -- | -- |
|
|
| 2015 and later | Final |
| -- | 0.19 | 0.40 |
|
| 130[LESS THAN EQUAL TO]kW[LESS THAN EQUAL
TO]560 | 2011-2013 | Phase-In | 0.02 | -- | 0.19 | 0.40 | 3.5 |
|
|
| Phase-Out |
| 4.0 | -- | -- |
|
|
|
| or/ Alt
NOx |
| -- | 0.19 | 2.0 |
|
|
|
| or/ Alt
NOx+NMHC
8 |
| 2.1 | -- | -- |
|
|
| 2014 and later | Final |
| -- | 0.19 | 0.40 |
|
| 560 kW6[LESS THAN EQUAL
TO]900
kW | 2011-2014 | Interim | 0.10 | -- | 0.40 | 3.5 | 3.5 |
|
| 2015 and
later | Final | 0.03 |
| 0.19 | 0.67 |
|
| GEN>900
kW | 2011-2014 | Interim | 0.10 | -- | 0.40 | 0.67 | 3.5 |
|
| 2015 and
later | Final | 0.03 |
| 0.19 |
|
|
| ELSE
7>560
kW | 2011-2014 | Interim | 0.10 | -- | 0.40 | 3.5 | 3.5 |
|
| 2015 and
later | Final | 0.04 |
| 0.19 |
|
|
| Notes: |
1 Propulsion marine
compression-ignition engines below 37 kW are not subject to Tier 4 standards or
requirements. All previously adopted requirements remain applicable for these
engines.
2 The Tier 4 PM standard for
hand-start, air cooled, direct injection engines below 8 kW is 0.60 g/kW-hr,
but is not required until 2010.
3 Engine families in this power
category may alternately meet Tier 3 PM standards from 2008-2011 in exchange
for introducing final PM standards in 2012.
4 Manufacturers have the option
of complying with the Tier 4 standards over a two year period at 50% per year
using banked Tier 2 credits or over a three year period at 25% per year without
the use of Tier 2 credits. The three year phase-in period is shown. The 2014
model year cannot extend beyond December 30, 2014, when the 3 year phase-in
option is used.
5 Manufacturers may comply with
the standards during the transitional implementation years using either a
phase-in / phase-out approach or by using the Alternate
NOx approach. The three year 25% alternate
NOx and alternate NOx + NMHC
standards are shown in the table. The two year 50% alternate
NOx standard would be 2.3 g/kW-hr. The two year 50%
alternate NOx + NMHC standard would be 2.4
g/kW-hr.
6 "GEN" refers to generator
engines only.
7 "ELSE" refers to all mobile
machinery excluding generator engines.
8 An ALT
NOx+NMHC standard equal to 0.5 g/kW-hr is available for
one additional model year following the last model year of the ALT
NOx+NMHC phase-in shown in the table.
|
Table 1c. -- Criteria for
Determining NTE Limits
1 |
|
|
Pollutant |
Apply NTE Multiplier
of 1.25 when
... |
Apply NTE Multiplier
of 1.50 when
... |
| NOx | NOx
Standard or FEL >= 2.5 g/kW-hr | NOx Standard
2 or FEL<2.5g/kW-hr |
| NMHC | NOx Standard or
FEL >= 2.5 g/kW-hr | NOx Standard
2 or FEL<2.5g/kW-hr |
| NMHC+NOx | NMHC+NOx
Standard or FEL >= 2.7 g/kW-hr | NMHC+NOx
Standard
2 or FEL <2.7 g/kW-hr |
| PM | PM Standard or FEL >= 0.07
g/kW-hr | PM
2 Standard or FEL
3<0.07g/kW-hr |
| CO | Always | Never |
| Notes: |
1 Other provisions described in
the 2008-2010 or 2011 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 2008-2010 or Part I-D of the 2011
and Later Test Procedures as applicable.
(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)
|
Maximum Rated Power
(kW) |
Tier |
Model
Year |
NOx |
NMHC+NOx |
PM
FEL |
| kW<8 | Tier
1 | 2000-2004 | | 16.0 | 1.2 |
|
| Tier 2 | 2005-2007 |
| 10.5 | 1.0 |
| 8[LESS THAN EQUAL TO]kW<19 | Tier
1 | 2000-2004 |
| 16.0 | 1.2 |
|
| Tier 2 | 2005-2007 |
| 9.5 | 0.80 |
| 19[LESS THAN EQUAL TO]kW<37 | Tier
1 | 2000-2003 |
| 16.0 | 1.2 |
|
| Tier 2 | 2004-2007 |
| 9.5 | 0.80 |
| 37[LESS THAN EQUAL TO]kW<56 | Tier
1 | 2000-2003 | 14.6 |
|
|
|
| Tier 2 | 2004-2007 |
| 11.5 | 1.2 |
|
| Tier 3
1 | 2008-2011 |
| 7.5 | 1.2 |
| 56[LESS THAN EQUAL TO]kW<75 | Tier
1 | 2000-2003 | 14.6 |
|
|
|
| Tier 2 | 2004-2007 |
| 11.5 | 1.2 |
|
| Tier 3 | 2008-2011 |
| 7.5 | 1.2 |
| 75[LESS THAN EQUAL TO]kW<130 | Tier
1 | 2000-2002 | 14.6 |
|
|
|
| Tier 2 | 2003-2006 |
| 11.5 | 1.2 |
|
| Tier 3 | 2007-2011 |
| 6.6 | 1.2 |
| 130[LESS THAN EQUAL TO]kW<225 | Tier
1 | 2000-2002 | 14.6 |
|
|
|
| Tier 2 | 2003-2005 |
| 10.5 | 0.54 |
|
| Tier 3 | 2006-2010 |
| 6.6 | 0.54 |
| 225[LESS THAN EQUAL TO]kW<450 | Tier
1 | 2000 | 14.6 |
|
|
|
| Tier 2 | 2001-2005 |
| 10.5 | 0.54 |
|
| Tier 3 | 2006-2010 |
| 6.4 | 0.54 |
| 450[LESS THAN EQUAL TO]kW[LESS THAN EQUAL
TO]560 | Tier 1 | 2000-2001 | 14.6 |
|
|
|
| Tier 2 | 2002-2005 |
| 10.5 | 0.54 |
|
| Tier 3 | 2006-2010 |
| 6.4 | 0.54 |
| kW>560 | Tier
1 | 2000-2005 | 14.6 |
|
|
|
| Tier 2 | 2006-2010 |
| 10.5 | 0.54 |
1 Manufacturers may optionally
certify engine families to the interim Tier 4 FEL caps in Table 2b for this
power category through 2012.
(B) For engine families subject to the
2008-2010 or 2011 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 as applicable to total or
partial engine family production volumes as described in the 2008-2010 or 2011
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 2008-2010 or 2011 and Later Test
Procedures as applicable, 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
|
Maximum |
FEL
Type |
Model
Year |
PM |
NOx |
NMHC+NOx |
|
Engine
Power | | | |
grams per
kilowatt-hour | |
| kW<8 | Primary | 2008 and
later | 0.80 | -- | 10.5 |
| 8kW<19 | Primary | 2008 and
later | 0.80 | -- | 9.5 |
| 19[LESS THAN EQUAL
TO]kW<37 | Interim | 2008-2012 | 0.60 | -- | 9.5 |
|
| Primary | 2013 and
later | 0.05 | -- | 7.5 |
|
| ALT 20%
1 | 2013-2016
3 | 0.30 | -- | 7.5 |
|
| ALT 5%
2 | 2017 and later
3 |
|
|
|
| 37[LESS THAN EQUAL
TO]kW<56 | Interim | 2008-2012
3 | 0.40 | -- | 7.5 |
|
| Primary | 2013 and later
3 | 0.05 | -- | 7.5 |
|
| ALT 20% | 2013-2016
3 | 0.30 | -- | 7.5 |
|
| ALT 5% | 2017 and later
3 |
|
|
|
| 56[LESS THAN EQUAL
TO]kW<75 | Phase-in | 2012-2013/2014
5 | 0.04 | 0.80 | -- |
|
| Phase-out |
|
| -- | 7.5 |
|
| ALT NOx Std
4 | 2012-2013 | 0.04 | 3.0
7 | -- |
|
|
| 2012-2014 |
| 4.4 |
|
|
| ALT NOx+NMHC Std
4 | 2012-2013/2014
5 | 0.04 | -- | 4.7
7 |
|
| Primary | 2014/2015
5 and
later | 0.04 | 0.80 | -- |
|
| ALT 20%
PM | 2012-2015 | 0.40 |
| -- |
|
| ALT 20%
NOx | 2012-2015
6 |
| 4.4 | -- |
|
| ALT 20% NOx +NMHC
Std | 2012-2015
6 | -- | -- | 4.7 |
|
| ALT 5% | 2016 and
later | 0.40 | 4.4 | -- |
| Notes: |
|
|
|
|
|
1 This alternate FEL option is
transitional for the four years specified and applies to at most 20% of a
manufacturer's U.S. directed population of engine families per year.
2 This alternate FEL option is
available indefinitely, but only applies to 5% of a manufacturer's U.S.
directed population of engine families per year.
3 These dates correspond to the
compliance option of meeting interim standards in 2008; else the primary and
alternate FEL caps would begin and/or end one year earlier and 2008-2011
engines would not be eligible for participation in the Tier 4 ABT
program.
4 Two alternate
NOx standards and corresponding FEL caps are available
for this category with corresponding alternate phase-in options. Two alternate
NOx+NMHC standards are also available; the FEL caps are
the previously applicable NOx+NMHC standards from Table
1a of this section.
5 The effective date of the
primary FEL cap follows the phase-in period and use of banked Tier 2
NOx credits of the selected NOx
FEL cap.
6 For manufacturers certifying
engines in this power category using a percentage phase-in/phase-out approach
instead of the ALT NOx or ALT
NOx+NMHC standards in Table 1b of §
2423(b)(1)(B),
the alternate NOx and NOx+NMHC
FEL caps in the table apply only in the 2014-2015 model years if certifying in
accordance with the provisions in § 1039.102(d)(1) of the 2011 and Later
Test Procedures, and only in the 2015 model year if certifying under §
1039.102(d)(2) of the 2011 and Later Test Procedures.
7 If neither the alternate
phase-in option nor banked Tier 2 credits are used, either
NOx standard, or the NOx+NMHC
standard, and corresponding FEL may be applied for this category.
Table 2b -- Upper Limit for Tier 4 Family Emission
Limits (FELs) and Alternate Allowances
Part 2
|
Maximum Engine
Power |
FEL
Type |
Model
Year |
PM |
NOx grams per
kilowatt-hour |
NMHC+NOx |
| 75[LESS THAN EQUAL
TO]kW<130 | Phase-in | 2012-2013/2014
5 | 0.04 | 0.80 | -- |
|
| Phase-out |
|
| -- | 6.6 |
|
| ALT NOx Std
4 | 2012-2013 |
| 3.0
7 | -- |
|
|
| 2012-2014 |
| 3.8 | -- |
|
| ALT NOx +NMHC Std
4 | 2012-2013/2014
5 |
| -- | 4.0
7 |
|
| Primary | 2014/2015
5 and later |
| 0.80 | -- |
|
| ALT 20%
PM | 2012-2015 | 0.30 | -- |
|
|
| ALT 20%
NOx | 2012-2015
6 |
| 3.8 | -- |
|
| ALT 20% NOx +NMHC
Std
4 | 2012-2015
6 | -- | -- | 4.0 |
|
| ALT 5% | 2016 and
later | 0.30 | 3.8 | -- |
| 130[LESS THAN EQUAL TO]kW[LESS THAN EQUAL
TO]560 | Phase-in | 2011-2013 | 0.04 | 0.80 | -- |
|
| Phase-out |
|
| -- | 6.6/6.4
8 |
|
| ALT NOx
Std | 2011-2013 |
| 2.7 | -- |
|
| ALT NOx +NMHC
Std | 2011-2013 |
| -- | 4.0 |
|
| Primary | 2014 and later |
| 0.80 | -- |
|
| ALT 20%
PM | 2011-2014 | 0.20 |
| -- |
|
| ALT 20%
NOx | 2011-2014
9 |
| 3.8 | -- |
|
| ALT 20% NOx +NMHC
Std | 2011-2014
9 | -- | -- | 4.0 |
|
| ALT 5% | 2015 and
later | 0.20 | 3.8 | -- |
| GEN>560kW | Interim | 2011-2014 | 0.20 | 6.2 | -- |
|
| Primary | 2015 and
later | 0.05 | 1.07 | -- |
|
| ALT
20% | 2015-2018 | 0.10 | 3.5 | -- |
|
| ALT 5% | 2019 and later |
|
| -- |
| ELSE>560kW | Interim | 2011-2014 | 0.20 |
| -- |
|
| Primary | 2015 and
later | 0.07 | 6.2 | -- |
|
| ALT
20% | 2015-2018 | 0.10 |
| -- |
|
| ALT 5% | 2019 and later |
|
| -- |
| Notes: |
|
|
|
|
|
4 Two alternate
NOx standards and corresponding FEL caps are available
for this category with corresponding alternate phase-in options. Two alternate
NOx+NMHC standards are also available; the FEL caps are
the previously applicable NOx+NMHC standards from Table
1a of this section.
5 The effective date of the
primary FEL cap follows the phase-in period and use of banked Tier 2
NOx credits of the selected NOx
FEL cap.
6 For manufacturers certifying
engines in this power category using a percentage phase-in/phase-out approach
instead of the ALT NOx or ALT
NOx+NMHC standards in Table 1b of §
2423(b)(1)(B),
the alternate NOx and NOx+NMHC
FEL caps in the table apply only in the 2014-2015 model years if certifying in
accordance with the provisions in § 1039.102(d)(1) of the 2011 and Later
Test Procedures, and only in the 2015 model year if certifying under §
1039.102(d)(2) of the 2011 and Later Test Procedures.
7 If neither the alternate
phase-in option nor banked Tier 2 credits are used, either
NOx standard, or the NOx+NMHC
standard, and corresponding FEL may be applied for this category.
8 The phase-out
NMHC+NOx FEL cap is 6.6 g/kW-hr for engines <225 kW,
and 6.4g/kW-hr for engines >= 225kW in this category.
9 For manufacturers certifying
engines in this power category using the percentage phase-in/phase-out approach
instead of the ALT NOx standard or the ALT
NOx+NMHC standard in Table 1b of §
2423(b)(1)(B),
the ALT NOx and ALT NOx+NMHC FEL
caps in the table apply only for the 2014 model year.
(C)
Split family provision.
For generating or using credits in the 56 [LESS THAN EQUAL TO] kW [LESS THAN
EQUAL TO] 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 2008-2010 Test Procedures or Part I-D of the 2011 and
Later Test Procedures, as applicable. 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 2008-2010 Test Procedures or Part I-D of the 2011
and Later Test Procedures as applicable, 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)
|
Maximum Rated Power
(kW) |
NMHC+NOx |
PM
| | |
| kW<8 | 4.6 | 0.48 | |
|
| 8[LESS THAN EQUAL
TO]kW<19 | 4.5 | 0.48 |
|
|
| 19[LESS THAN EQUAL
TO]kW<37 | 4.5 | 0.36 |
|
|
| 37[LESS THAN EQUAL
TO]kW<75 | 4.7 | 0.24 |
|
|
| 75[LESS THAN EQUAL
TO]kW<130 | 4.0 | 0.18 |
|
|
| 130[LESS THAN EQUAL TO]kW[LESS THAN EQUAL
TO]560 | 4.0 | 0.12 |
|
|
| kW>560 | 3.8 | 0.12 |
|
|
(B)
Additional standards. Blue Sky Series engines are subject to
all provisions that would otherwise apply under this part, except as specified
in (b)(4)(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 2008-2010 or 2011 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 2008-2010 or 2011 and Later Test Procedures as applicable, 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 2008-2010 or 2011 and
Later Test Procedures as applicable, 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
| Early
Introduction | Power
Category | Qualifying Standards
1 grams per
kilowatt-hour | Per-Engine
Incentive |
| Final Tier 4 | 19 [LESS THAN EQUAL TO] kW <
56 | 0.03 PM | 3 for 2 |
| PM-Only
2 | 56 [LESS THAN EQUAL
TO] kW < 560 | 0.02 PM | PM-Only |
| Final Tier 4 All | 19 [LESS THAN EQUAL TO] kW
< 56 | 0.03 PM / 4.7 NMHC+NOx | 3 for
2 |
|
| 56 [LESS THAN EQUAL TO] kW [LESS THAN EQUAL
TO] 560 | 0.02 PM / 0.40 NOx / 0.19 NMHC |
|
|
| GEN > 560 | 0.03 PM / 0.67
NOx / 0.19 NMHC |
|
|
| ELSE > 560 | 0.04 PM / 3.5
NOx / 0.19 NMHC |
|
| Ultra Low NOx | kW >=
19 | Final Tier 4 PM & NMHC / 0.20
NOx | 2 for 1 |
| Notes: |
|
|
|
1 All engines must meet the Tier
4 crankcase emissions requirements. Engines must certify using all test and
other requirements otherwise required for final Tier 4 standards such as for
transient and not-to-exceed limits.
2 Offsets must be earned prior
to the start of phase-in requirements (prior to 2013 for 19 [LESS THAN EQUAL
TO] kW < 56 engines, prior to 2012 for 56 [LESS THAN EQUAL TO] kW < 130
engines, prior to 2011 for 130 [LESS THAN EQUAL TO] kW [LESS THAN EQUAL TO] 560
engines, prior to 2015 for > 560 kW engines)
(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
|
Maximum Engine
Power |
Temporary Relief
Replacement Standards |
Delay End Date (Model
Year) |
| kW < 19 | Tier 2 | 2011 |
| 19 [LESS THAN EQUAL TO] kW < 37 | Interim
Tier 4 | 2016 |
| 37 [LESS THAN EQUAL TO] kW < 56 | See paragraph (7)(B) of this section for special provisions that
apply for engines in this power range. |
| 56 [LESS THAN EQUAL TO] kW < 130 | Tier
3 | 2015 |
(B)
The provisions of this paragraph (7) for engines 37 [LESS THAN EQUAL TO] 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 [LESS THAN
EQUAL TO] 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 [LESS
THAN EQUAL TO]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 2008-2010 or 2011 and Later Test Procedures as applicable 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
2008-2010 Test Procedures or Part I-D of the 2011 and Later Test Procedures as
applicable.
(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 2008-2010 or 2011 and Later Test Procedures as
applicable.
(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 2008-2010 or 2011 and Later Test Procedures as applicable, 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 2008-2010 or 2011 and Later Test Procedures as applicable. 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):
(1)
Percent-of-production
allowances.
(A)
Equipment
rated at or above 37kW and 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 2008-2010 or 2011 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
|
Power
Category |
7 Year Usage
Period |
Flexibility Standard
1 |
| < 19 kW | 2008-2014 | Tier 2 |
| 19 [LESS THAN EQUAL TO] kW < 56 | 2008-2014
2 | Tier 2 |
|
| 2012-2018 | 2008 Interim Tier 4 |
| 56 [LESS THAN EQUAL TO] kW <
130 | 2012-2018 | Tier 3 |
|
| 2014-2020 | 2012 Interim Tier 4 |
| 130 [LESS THAN EQUAL TO] KW [LESS THAN EQUAL TO]
560 | 2011-2017 | Tier 3 |
|
| 2014-2020 | 2011 Interim Tier 4 |
| > 560 kW | 2011-2017 | Tier 2 |
|
| 2015-2021 | 2011 Interim Tier 4 |
| Notes: |
|
|
1 Engines certified to FELs for
the flexibility standards indicated still comply with the emission Tier
requirements; however, engines using FELs greater than the applicable standards
must be off-set with sufficient ABT credits.
2 This usage period is not
available for allowances greater than or equal to 37 kW unless interim Tier 4
standards have been met starting in 2008.
(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 2008-2010 or 2011 and Later Test Procedures as applicable. 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 seven-year 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 2008-2010 or 2011 and
Later Test Procedures as applicable 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 or Tier 2 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
|
Maximum Engine
Power | |
Calendar
Years |
| kW < 19 | | 2007 |
| 19 [LESS THAN EQUAL TO] kW < 37 |
| 2006-2011 |
| 37 [LESS THAN EQUAL TO] kW < 56 |
| 2011 |
| 56 [LESS THAN EQUAL TO] kW < 75 |
| 2011 |
| 75 [LESS THAN EQUAL TO] kW < 130 |
| 2010-2011 |
| 130 [LESS THAN EQUAL TO] kW < 225 |
| 2010 |
| 225 [LESS THAN EQUAL TO] kW < 450 |
| 2008-2010 |
| 450 [LESS THAN EQUAL TO] kW [LESS THAN EQUAL TO]
560 |
| 2009-2010 |
| > 560 kW |
| -- |
(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, except that manufacturers
may omit the family emission limits from the label only if the limits are more
stringent than the emissions standards, 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. An e-mail
address and phone number to contact for further information, or a website that
includes this contact 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 [LESS
THAN EQUAL TO] kW [LESS THAN EQUAL TO] 560 if it claims allowances under the
provisions of Section
2423(d)(1)(C),
but may only request additional allowances for power categories 19 [LESS THAN
EQUAL TO] 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 Emissions
Certification and Compliance 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 [LESS THAN EQUAL TO] 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 [LESS THAN EQUAL TO] 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 [LESS THAN EQUAL TO] 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 [LESS THAN
EQUAL TO] 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 CARB 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
flexibility provisions will be used, a written notice informing CARB of the
manufacturer's intent to use flexibility allowances must be sent to the Chief
of the Emissions Certification and Compliance 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, telephone number, and e-mail address of a person to contact for more
information.
3. The calendar years
for which the Tier 4 flexibility provisions shall apply.
4. Each engine manufacturer's name and
address expected to produce 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 Emissions Certification and Compliance Division, or
designee, documenting the utilization of those allowances. In the report, the
manufacturer shall identify the total count 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, and, if available, California-directed production
volumes, corresponding to the number of equipment in each power category. If
the manufacturer(s) of the engine installed in the equipment has not already
been identified as required in §
2423(d)(7)(A)4.,
the equipment manufacturer shall identify the name and address of this engine
manufacturer(s) in the report. 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.
(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 2008-2010 Test Procedures or Part I-D of the 2011 and Later Test Procedures
as applicable. 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 CARB 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 2008-2010
or 2011 and Later Test Procedures, as applicable, 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 [LESS THAN EQUAL TO]
kW [LESS THAN EQUAL TO] 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
|
Power
Category |
Qualifying Standards
(g.kW-hr) |
Installation
Deadline |
Flexibility
Allowance |
| 19 [LESS THAN EQUAL TO] kW < 56 | 0.03 PM /
4.7 NMHC+NOx | December 31, 2012
1 | 1 for 1 |
| 56 [LESS THAN EQUAL TO] kW [LESS THAN EQUAL TO]
130 | 0.02 PM / 0.40 NOx / 0.19 NMHC | December 31, 2011 | 1
for 1 |
|
| 0.02 PM / 3.4 NOx / 0.19 NMHC
2 |
| 1 for
2 |
| 130 [LESS THAN EQUAL TO] kW [LESS THAN EQUAL TO]
560 | 0.02 PM / 0.40 NOx / 0.19 NMHC | December 31, 2010 | 1
for 1 |
|
| 0.02 PM / 2.0 NOx / 0.19 NMHC
2 |
| 1 for
2 |
| GEN > 560 | 0.03 PM / 0.67 NOx / 0.19
NMHC | December 31, 2014 | 1 for 1 |
| ELSE > 560 | 0.04 PM / 3.5 NOx / 0.19
NMHC | December 31, 2014 | 1 for 1 |
| Notes: |
|
|
|
1 The installation date for 37
[LESS THAN EQUAL TO] kW [LESS THAN EQUAL TO] 56 engines purchased from
manufacturers choosing to opt out of the 2008 model year Tier 4 standards and
instead comply with the Tier 4 standards beginning in 2012 would be December
31, 2011.
2 To be eligible, engines must
meet the 0.02 g/kW-hr PM standard and the alternate NOx standards.
(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, engine family name, 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 Emissions Certification and
Compliance 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 2008-2010 and 2011 and
Later Test Procedures apply as applicable.
(g)
Marinizers 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 § 1039.250 of the 2008-2010 Test Procedures or
Part I-D of the 2011 and Later Test Procedures, as applicable, 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 Emissions Certification and
Compliance 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).
(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 language in either (j)(1)(D)1., or (j)(1)(D)2. below,
or similar alternate language approved in advance by the Executive Officer:
1. If the replacement engine is built to a
configuration that was not subject to any emission standards under this Article
4, add a permanent label with your corporate name and trademark and the
following language:
"THIS ENGINE DOES NOT COMPLY WITH CALIFORNIA OFF-ROAD
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 reflecting when the earliest tier of emission
standards began to apply to engines of that size and type] MAY BE A VIOLATION
OF CALIFORNIA LAW SUBJECT TO CIVIL PENALTY."
Beginning January 1, 2013, the following additional
information shall also be included on the emission control label:
| ENGINE POWER: | {insert the advertised power of
the specific engine configuration or the applicable power category for the
engine family in kilowatts} |
| DATE OF MANUFACTURE: | {insert the engine build
date}" |
In lieu of including "Engine Power" or "Date of
Manufacture" on the emissions control label, manufacturers may provide this
information on a supplemental label attached to the engine in accordance with
the provisions of §
2424.
2. If the replacement engine is built to a
configuration that was subject to emission standards under this Article 4, add
a permanent label with your corporate name and trademark and the following
language:
"THIS ENGINE COMPLIES WITH CALIFORNIA OFF-ROAD EMISSION
REQUIREMENTS FOR [Identify the appropriate emission standards (by model year,
tier, or emission levels) for the replaced engine] ENGINES UNDER
13 CCR
2423(j). SELLING OR
INSTALLING THIS ENGINE FOR ANY PURPOSE OTHER THAN TO REPLACE A [Identify the
appropriate emission standards (by model year, tier, or emission levels) for
the replaced engine] OFF-ROAD ENGINE MAY BE A VIOLATION OF CALIFORNIA LAW
SUBJECT TO CIVIL PENALTY.
Beginning January 1, 2013, the following additional
information shall also be included on the emission control label:
| ENGINE POWER: | {insert the certified power in
kilo-watts of the specific engine configuration, if applicable, otherwise
insert advertised power in kilowatts} |
| REFERENCE FAMILY NAME: | {insert the engine
family name of the replacement engine as recorded in the Executive Order for
the engine family to which the replacement engine was originally
certified} |
| DATE OF MANUFACTURE: | {insert the engine build
date}" |
3.
In lieu of including "Engine Power," "Reference Family Name," or "Date of
Manufacture" on the emissions control label, manufacturers may provide this
information on a supplemental label attached to the engine in accordance with
the provisions of §
2424. Manufacturers may
alternately state the applicable power category in kilowatts for the certified
engine family on the emission control or supplemental label when indicating
"Engine Power." Additionally, manufacturers may indicate the "Emissions Tier"
of the replacement engine on the emissions control or supplemental label
instead of the "Reference Family Name." For the purpose of this section,
"Emissions Tier" is the emissions standard designation (e.g., Tier 1, Tier 2,
Tier 3, Tier 4i, Tier 4f) of the engine recorded in the Executive Order for the
engine family to which the replacement engine was originally certified.
Certified power means the configuration-specific power of the replacement
engine as originally identified in the application for certification of the
reference engine family (see § 1039.205(a)). Advertised power means engine
power as stated by the manufacturer in sales
literature.
(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 2008-2010 Test Procedures or Part I-F of the 2011 and
Later Test Procedures as applicable 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 relabeled 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.
(m)
Stockpiling
prohibition. Manufacturers may not circumvent the provisions of this
article by stockpiling engines with a date of manufacture preceding new or
changed emission standards by deviating from normal production and inventory
practices. For purposes of this paragraph (m), normal production and inventory
practices means those practices typically employed for similar engine families
in years in which emission standards do not change. The Executive Officer may
request the submission of routine production and inventory records from
manufacturers that document normal practices for up to eight years to aid in
determining whether or not a violation of this section has occurred. Other
stockpiling prohibitions in § 1068.103 and § 1068.105 of the 2011 and
Later Test Procedures, Part I-E, apply.
(n) Beginning with the 2024 model year,
manufacturers of auxiliary power units installed on tractors subject to GHG
emission standards specified in
17 CCR
§
95663(a)(2)(B) must
comply with the emission standards and certification requirements specified in
§ 1039.699 of the "California Exhaust Emission Standards and Test
Procedures for New 2011 and Later Tier 4 Off-Road Compression-Ignition Engines,
Part I-D," adopted October 20, 2005, as last amended September 9, 2021,
incorporated by reference herein. An "auxiliary power unit" has the definition
assigned in § 1039.801 of those test procedures.
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.
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.
