Cal. Code Regs. Tit. 13, § 2423 - Exhaust Emission Standards and Test Procedures - Off-Road Compression-Ignition Engines
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.
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.
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.
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.
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 |
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)
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 |
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.
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 | -- |
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.
"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).
Notwithstanding, the Executive Officer may require additional information as deemed necessary before making a determination for relief.
"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.
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.
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).
"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.
"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}" |
"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.
"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.
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.
Notes
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.
2. Change without regulatory effect repealing article heading and amending Note filed 12-22-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 52).
3. Amendment of section heading and section filed 12-28-2000; operative 12-28-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 52).
4. Amendment filed 12-7-2005; operative 1-6-2006 (Register 2005, No. 49).
5. Editorial correction of Table 1b (Register 2011, No. 21).
6. Amendment filed 12-11-2012; operative 1-10-2013 (Register 2012, No. 50).
7. New subsection (n) filed 12-22-2021; operative
8. Editorial correction of Tables 1a, 1b and 2a (Register 2024, No. 4).
9. Change without regulatory effect amending subsections (d)(6)(B), (d)(7), (d)(7)(A), (d)(7)(B), (d)(8), (f)(1) and (h)(1) filed 7-16-2024 pursuant to section 100, title 1, California Code of Regulations (Register 2024, No. 29).
State regulations are updated quarterly; we currently have two versions available. Below is a comparison between our most recent version and the prior quarterly release. More comparison features will be added as we have more versions to compare.
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.
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.
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.
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.
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 |
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)
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 |
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.
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 | -- |
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.
"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).
Notwithstanding, the Executive Officer may require additional information as deemed necessary before making a determination for relief.
"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.
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.
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).
"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.
"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}" |
"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.
"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.
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.
Notes
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.
2. Change without regulatory effect repealing article heading and amending Note filed 12-22-93 pursuant to title 1, section 100, California Code of Regulations (Register 93, No. 52).
3. Amendment of section heading and section filed 12-28-2000; operative 12-28-2000 pursuant to Government Code section 11343.4(d) (Register 2000, No. 52).
4. Amendment filed 12-7-2005; operative 1-6-2006 (Register 2005, No. 49).
5. Editorial correction of Table 1b (Register 2011, No. 21).
6. Amendment filed 12-11-2012; operative 1-10-2013 (Register 2012, No. 50).
7. New subsection (n) filed 12-22-2021; operative
8. Editorial correction of Tables 1a, 1b and 2a (Register 2024, No. 4).
9. Change without regulatory effect amending subsections (d)(6)(B), (d)(7), (d)(7)(A), (d)(7)(B), (d)(8), (f)(1) and (h)(1) filed 7-16-2024 pursuant to section 100, title 1, California Code of Regulations (Register 2024, No. 29).