Heavy‑Duty Certification Program

This page last updated January 11, 2017


Background

Description: Semi-trailer end dump truck - a semi tractor with a cargo trailer which uses a hydraulic hoist to lift the front of the trailer in order to dump the contents out the back end.

The Heavy‑Duty Certification Program is responsible for the certification of new incomplete or diesel-fueled medium‑duty vehicles certified using the engine test procedure, heavy‑duty engines, heavy‑duty vehicles, and urban buses (UB). This page provides a collection of emission-related certification and test procedures, regulations, test procedures, Manufacturers Advisory Correspondences (MACs), Mailouts, and related documents applicable to these engines and vehicles, and is primarily for the interest and needs of manufacturers and others that are required to obtain certification from ARB. For public-oriented materials, please visit our On‑Road Heavy‑Duty Vehicle Program page.


Announcements New Item
January 11, 2017
  • The document "Information Required for Review of Requests for Approvals of Heavy‑Duty Electric Vehicles and Non-Combustion Hybrid Vehicles" ( PDF ‑ 94K ) has been updated.

Certification Overview 

A manufacturer wishing to certify an engine or vehicle must demonstrate that the emission control systems are durable and that the exhaust emissions and evaporative emissions, as applicable, comply with the regulatory standards for the duration of the required useful life of the product. This demonstration is accomplished through durability and certification testing of the prototype certification engine(s) or vehicle(s), or through alternate means in limited circumstances as allowed by regulation. Compliance with on-board diagnostics, anti-tampering, fuel tank fill-pipe and openings, crankcase emissions, etc., as applicable, must be demonstrated also. An application for certification must be submitted to, and approved by, the Air Resources Board (ARB).


Production engines and vehicles must be identical in all material respects to the certification engine(s) and vehicle(s) for which the certification was granted. All emissions-related production running changes during production and field fixes must be approved. Production engines and vehicles must be properly labeled and the related emission control systems warranted for the emission warranty period specified by regulation. New and customer-owned production engines and vehicles are subject to compliance testing (by either the manufacturer or ARB) and warranty repairs reporting by the manufacturers, either of which can result in remedial actions.


Certification is granted only to the manufacturer of the engines and vehicles who controls the production specifications in order to ensure compliance of all production engines and vehicles. Certification can be granted to an importer only if the importer demonstrates that it has control of the production specifications. As an example, this demonstration can be effected by a contractual agreement between the original manufacturer and importer which gives the importer the sole authority to approve any changes to the specifications for production engines and vehicles. Importers lacking this control are subject to direct-import (a.k.a. gray-market) certification.


Application Process 

Manufacturers applying for certification for the first time must become registered with ARB. Please do the following:
  • Letter of Intent: A physical letter which states the intent of the manufacturer to certify with ARB and presents an overview of what will be certified.
  • Electronic Signatures Letter: A physical letter which includes the names and actual signatures of persons authorized to sign documents uploaded electronically to the Document Management System (DMS).
    Please see MAC 2007-01 ( PDF ‑ 88K ) for more information
  • EPA Manufacturer Code: Manufacturers wishing to certify engines or evaporative families must register with EPA as a manufacturer and receive an EPA manufacturer code. ARB requires manufacturers of heavy‑duty electric vehicles or heavy‑duty non-combustion hybrid vehicles to obtain an EPA manufacturer code also.
  • Document Management System (DMS): Email a completed DMS users spreadsheet ( XLS - 59K ), which lists the persons to be granted access to the online DMS, to Kimberly Pryor, Section Manager, or James Pang of the Compression-Ignition and Heavy‑Duty Certification Section. More information about ARB's DMS is available online on the OpenDMS webpage.
  • Letter of Authorization: A physical letter on the manufacturer's letterhead which authorizes specific consultant(s) to communicate with ARB on the manufacturer's behalf
When these items are completed, a staff engineer will be assigned to act as the primary contact with the manufacturer, including coordinating meetings, reviewing applications, and answering questions.

Manufacturers who have registered previously must notify ARB whenever there are any changes in the preceding items. In particular, when persons' permission to access DMS on behalf of a manufacturer is discontinued (e.g. assignment change or leaving the company), an updated version of the DMS users spreadsheet must be submitted to ARB so that user accounts can be deactivated. This process also applies to those persons listed on the electronic signature letter.


Presently, all applications are submitted as electronic copies of paper documents via the DMS. ARB is currently developing an electronic application submission system which will replace the current method. For more information, please visit the E‑Cert webpage. ARB does not accept Verify documents for certification review. Engine and vehicle families which are comprised of medium‑duty and heavy‑duty engines or vehicles must be certified for each category separately.


For engine certification ARB requires a PDF printout of the FileMaker Pro templates created by EPA ( Family Information Form, Test Information Form, and Supplemental Test Information Form: FP7 ‑ 104K, Engine Models Summary: FP7 ‑ 732K, Parts Summary: FP7 ‑ 144K).


For evaporative certification ARB encourages use of the "Large Engine Evaporative Emission Form" template given by EPA in the document "EPA Large Engine and Evaporative Certification Guidance", Appendix E ( PDF ‑ 345K ).


For GHG vehicle certification please use the EPA document "Greenhouse Gas Certification Template", OMB Control No: 2060-0678 ( XLSX ‑ 153K ).

All engine and vehicle applications, including evaporative and GHG vehicle applications, must declare and describe all Auxiliary Emission Control Devices (AECD's) using the template given in the document CCD-04-12 (HD) ( PDF ‑ 118K ). AECD's which are deemed to be defeat devices are strictly prohibited. The definitions of AECD's and defeat devices are located in 40 CFR part 86 in sections 082-2, 094-2, 000-2, and 004-2, 40 CFR 1036.801, 40 CFR 1037.801, and 40 CFR 86.094-2, respectively. There is additional guidance in the EPA documents VPCD-98-13 ( PDF ‑ 2023K ) and CCD-01-02 ( PDF ‑ 696K ).


For additional certification guidance please review the EPA documents EPA420-B-98-002, "Certification Guidance for Engines Regulated Under: 40 CFR Part 86 (On-Highway Heavy‑Duty Engines) and 40 CFR Part 89 (Nonroad CI Engines)" ( PDF ‑ 311K ) and EPA document "EPA Large Engine and Evaporative Certification Guidance" ( PDF ‑ 3580K ).


The regulations applicable to an application for certification depend on the engines or vehicles the manufacturer intends to certify, therefore, it is important that a manufacturer be familiar with the various regulations which may apply to their intended products; the most common regulations are listed below to promote this. A gentle warning: ignorance of an applicable regulation is not a valid justification for failure to comply. Also, the Compression Ignition and Heavy‑Duty (CIHD) Certification Checklist ( PDF ‑ 32K ) may be used as a list of what information may be required. Further information for specific application types are located in the sections below. ARB encourages manufacturers to annually present an overview, in a meeting or via conference call, what specific products they intend to certify during the model year. These "Certification Preview" meetings allow ARB to give specific feedback and regulatory guidance to manufacturers in a timely manner.


When an application is submitted to DMS, the assigned engineer will do a preliminary review of the material submitted and within 30 days will notify the manufacturer whether there is sufficient information to conduct a full review. If a full review is warranted, then the engineer will review the application and will, within another 30 days, either respond with substantive feedback or submit the application for review by peers and management prior to the Executive Order being signed. These timeframes are the outside limits ARB holds itself to, and experience has shown that nearly all applications are successfully processed is much less time. ARB encourages manufacturers to be responsive to any requests for additional information, additional test data, clarifications, etc. so that applications may be processed in a timely manner. Failure to respond to ARB requests will eventually lead to warnings, and ultimately, rejection of the application.


Please address all communication to the Division Chief of the Emissions Compliance, Automotive Regulations and Science Division. The proper mailing address is:
Chief,
Emissions Compliance, Automotive Regulations and Science Division
9480 Telstar Avenue, Suite 4
El Monte, CA 91731
It is acceptable to include an 'ATTN' line in the address if you wish the correspondence be routed to a particular person. Otherwise, it will be routed according to internal ARB rules.

Application Types 
Medium‑Duty Engines and Vehicles:
(incomplete or diesel of 8501‑14000 pound GVWR certified under engine test procedure)

Criteria:
  • 13 CCR 1956.8. Exhaust Emissions Standards and Test Procedures - 1985 and Subsequent Model Heavy‑Duty Engines and Vehicles.
  • "California Exhaust Emission Standards and Test Procedures for 2001 and Subsequent Model Passenger Cars, Light‑Duty Trucks, and Medium‑Duty Vehicles", as amended on September 27, 2010 ( PDF ‑ 609K )
  • FileMaker Pro templates created by EPA (Family Information Form, Test Information Form, and Supplemental Test Information Form: FP7 ‑ 104K, Engine Models Summary: FP7 ‑ 732K, Parts Summary: FP7 ‑ 144K)

Evaporative:
  • 13 CCR 1976. Standards and Test Procedures for Motor Vehicle Fuel Evaporative Emissions.
  • "California Evaporative Emission Standards and Test Procedures for 2001 and Subsequent Model Motor Vehicles," adopted August 5, 1999, last amended December 6, 2012. ( PDF ‑ 837K )
  • "Large Engine Evaporative Emission Form" template given by EPA in the document "EPA Large Engine and Evaporative Certification Guidance", Appendix E ( PDF ‑ 345K )

Greenhouse Gas (GHG):
  • 13 CCR 1956.8. Exhaust Emissions Standards and Test Procedures - 1985 and Subsequent Model Heavy‑Duty Engines and Vehicles.
  • 17 CCR 95663. Greenhouse Gas Exhaust Emission Standards and Test Procedures for New 2014 and Subsequent Model Heavy‑Duty Vehicles.
  • "California Greenhouse Gas Exhaust Emission Standards and Test Procedures for 2014 and Subsequent Model Heavy‑Duty Vehicles," adopted October 21, 2014. ( PDF ‑ 98K )
  • EPA document "Greenhouse Gas Certification Template", OMB Control No: 2060-0678 ( XLSX ‑ 153K )

On-board Diagnostics (OBD):
  • 13 CCR 1971. Engine Manufacturer Diagnostic System Requirements - 2007 and Subsequent Model‑Year Heavy‑Duty Engines.
  • 13 CCR 1971.1. On-Board Diagnostic System Requirements - 2010 and Subsequent Model‑Year Heavy‑Duty Engines.


Heavy‑Duty Engines and Vehicles:
(greater than 14000 pound GVWR certified under engine test procedure)

Criteria:
  • 13 CCR 1956.8. Exhaust Emissions Standards and Test Procedures - 1985 and Subsequent Model Heavy‑Duty Engines and Vehicles.
  • "California Exhaust Emission Standards and Test Procedures for 1987 through 2003 Model Heavy‑Duty Otto‑Cycle Engines and Vehicles", as amended on December 27, 2000 ( PDF -86K )
  • "California Exhaust Emission Standards and Test Procedures for 2004 and Subsequent Model Heavy‑Duty Otto‑Cycle Engines", adopted December 27, 2000, as amended on October 21, 2014 (PDF ‑ 251K )
  • "California Exhaust Emission Standards and Test Procedures for 1985 through 2003 Model Heavy‑Duty Diesel Engines and Vehicles", amended on December 12, 2002 ( PDF ‑ 102K )
  • "California Exhaust Emission Standards and Test Procedures for 2004 and Subsequent Model Heavy‑Duty Diesel Engines and Vehicles", adopted December 12, 2000, as amended on October 21, 2014 ( PDF ‑ 577K )
  • FileMaker Pro templates created by EPA (Family Information Form, Test Information Form, and Supplemental Test Information Form: FP7 ‑ 104K, Engine Models Summary: FP7 ‑ 732K, Parts Summary: FP7 ‑ 144K)

Evaporative:
  • 13 CCR 1976. Standards and Test Procedures for Motor Vehicle Fuel Evaporative Emissions.
  • "California Evaporative Emission Standards and Test Procedures for 2001 and Subsequent Model Motor Vehicles," adopted August 5, 1999, last amended December 6, 2012. ( PDF ‑ 837K )
  • "Large Engine Evaporative Emission Form" template given by EPA in the document "EPA Large Engine and Evaporative Certification Guidance", Appendix E ( PDF ‑ 345K )

Greenhouse Gas (GHG):
  • 13 CCR 1956.8(a)(7). Greenhouse Gas Emission Standards for new 2014 and Subsequent Model Heavy‑Duty Diesel Engines, Heavy‑Duty Natural Gas-Fueled and Liquefied-Petroleum-Gas-Fueled Engines Derived from Diesel‑Cycle Engines, and Heavy‑Duty Methanol-Fueled Diesel Engines.
  • 13 CCR 1956.8(c)(4). Greenhouse Gas Emission Standards for New 2016 and Subsequent Model Heavy‑Duty Otto‑Cycle Engines.
  • 17 CCR 95663. Greenhouse Gas Exhaust Emission Standards and Test Procedures for New 2014 and Subsequent Model Heavy‑Duty Vehicles.
  • "California Greenhouse Gas Exhaust Emission Standards and Test Procedures for 2014 and Subsequent Model Heavy‑Duty Vehicles," adopted October 21, 2014. ( PDF ‑ 98K )
  • EPA document "Greenhouse Gas Certification Template", OMB Control No: 2060-0678 ( XLSX ‑ 153K )

On-board Diagnostics (OBD):
  • 13 CCR 1971. Engine Manufacturer Diagnostic System Requirements - 2007 and Subsequent Model‑Year Heavy‑Duty Engines.
  • 13 CCR 1971.1. On-Board Diagnostic System Requirements - 2010 and Subsequent Model‑Year Heavy‑Duty Engines.

Heavy‑Duty Hybrid Electric Vehicles:
  • "California Interim Certification Procedures for 2004 and Subsequent Model Hybrid-Electric and Other Hybrid Vehicles in the Urban Bus and Heavy‑Duty Vehicle Classes", adopted October 24, 2002, as amended on October 21, 2014 ( PDF ‑ 217K )
  • Please visit the Heavy‑Duty Hybrid Electric Vehicle Certification Procedures webpage for more detailed information. All heavy‑duty hybrids must comply with the OBD regulations in order to be certified; contact the OBD section for more information.

Heavy‑Duty Electric Vehicles, Non-Combustion Hybrid Vehicles, and Electric Vehicle Powertrains:
  • California regulations for heavy‑duty zero-emission vehicles pertaining to criteria pollutants (HC, NOx, CO, PM) are still in the development process. During the interim, manufacturers may sell heavy‑duty electric vehicles and non-combustion hybrid vehicles in California without an Executive Order. Seperate programs within ARB or external agencies, however, may require confirmation that the vehicles are correctly identified as heavy‑duty electric vehicles or non-combustion hybrid vehicles (e.g. electric vehicles powered by a hydrogen fuel cell). Consequently, manufacturers may request an Approval letter which states that ARB confirms that the vehicle manufacturer has correctly identified those vehicles as heavy‑duty electric vehicles or non-combustion hybrid vehicles. Manufacturers must submit the information requested in the document "Information Required for Review of Requests for Approvals of Heavy‑Duty Electric Vehicles and Non-Combustion Hybrid Vehicles" ( PDF ‑ 93K ) in order for ARB to verify that the vehicles do not utilize combustion and do not emit any criteria pollutant exhaust emissions or fuel-based evaporative emissions.
  • California regulations for heavy-duty zero-emission vehicles pertaining to greenhouse gas pollutants (CO2, N2O, CH4, HFC, PFC, SF6) do exist in 17 CCR 95660-95664 and in 40 CFR 1037 (as incorporated). These regulations require that greenhouse gas (GHG) vehicle families be certified to be valid for sale in California. The grouping of electric vehicles into GHG vehicle families is distinct from grouping into vehicle families for criteria pollutants, therefore, the GHG vehicle family name must not be the same as the criteria vehicle family name. Specifically, characters 5-9 of the 12-character family name will be '2VOCV' or '2TRAC' for GHG vehicle families and must be '20000' for criteria pollutant vehicle families. Refer to the information required in the document referenced above for more information on the criteria family name. It is at the discretion of each accepting agency whether a GHG vehicle family Executive Order is sufficient or to require the vehicle manufacturer to also request an Approval letter for criteria pollutants.
  • Criteria family approvals are valid for new vehicles only. Manufacturers wishing to convert vehicles previously certified must follow ARB's Engine Change Policy. Contact by email Tony Martino, Section Manager, of the Aftermarket Parts section for more information.
  • Electrified off-road compression-ignition (OFCI) equipment (e.g. electric terminal trucks) do not meet the criteria of 'Off-road vehicle' or 'Off-road equipment' as defined in 13 CCR 2421, but do satisfy the criteria of 'Heavy-duty vehicle' as defined in 13 CCR 1900, if self-propelled and assigned a GVWR greater than 8500 lbs. Consequently, such electrified off-road heavy-duty vehicles are subject to the GHG regulations (if not exempted by 40 CFR 1037.631) and other requirements as on-road heavy-duty vehicles are.
  • View Issued Heavy‑Duty Approvals



Fuel-Fired Heaters:
  • California regulations require that Fuel-Fired Heaters comply with the Heavy‑Duty Diesel Engine Idling Requirements in 13 CCR 1956.8(a)(6)(D) and the Airborne Toxic Control Measure to Limit Diesel-Fueled Commercial Motor Vehicle Idling in 13 CCR 2485(c)(3)(B). Approval letters are issued for Fuel-Fired Heaters which comply with these requirements.
  • View Issued Heavy‑Duty Approvals


Regulations, Test Procedures, and Policies 

Additional standards for medium‑duty and heavy‑duty engines and vehicles are contained in California Code of Regulations, Title 13 and Title 17 and the following test procedures, as incorporated by reference. Section numbers of selected topics are listed for your convenience when performing a search on the regulations web page.

Emission Control Warranty:
  • 13 CCR 2035-2041, 2044.

Vehicle Emission Labeling:
  • 13 CCR 1965. Emission Control, Smog Index, and Environmental Performance Labels - 1979 and Subsequent Model-Year Motor Vehicles.
  • "California Motor Vehicle Emission Control and Smog Index Label Specifications for 1978 through 2003 Model Year Model Year Motorcycles, Light-, Medium-, and Heavy‑Duty Engines and Vehicles.", as amended on September 5, 2003. ( PDF ‑ 84K )
  • EPA Document CISD-2006-19, "New Examples of Vehicle Emission Control Information (VECI) Labels and Heavy‑Duty Engine Labels" ( PDF ‑ 153K )

Fill Pipes and Openings for Vehicle Fuel Tanks:
  • 13 CCR 2235. Specifications for Fill Pipes and Openings of Motor Vehicle Fuel Tanks.
  • "Specifications for Fill Pipes and Openings of Motor Vehicle Fuel Tanks.", adopted March 19, 1976, last amended January 22, 1990.( PDF ‑ 642K )
  • "Specifications For Fill Pipes And Openings Of 2015 And Subsequent Model Motor Vehicle Fuel Tanks.", adopted March 22, 2012.( PDF ‑ 69K )


Engine Family and Evaporative Family Naming:
  • EPA document EPA420-B-98-002, "Certification Guidance for Engines Regulated Under: 40 CFR Part 86 (On-Highway Heavy‑Duty Engines) and 40 CFR Part 89 (Nonroad CI Engines)", Appendix D ( PDF ‑ 311K )
  • EPA document CISD-07-03, "EPA Standardized Naming Conventions for Model Year 2009 and Later Engine Family and Test Group Names, Evaporative/Refueling Family Names, and Permeation Family Names" ( PDF ‑ 110K )
  • EPA document CD-12-01, "EPA Standardized Naming Conventions for Model Year 2013 and Later Heavy‑Duty Highway Vehicle Family Names" ( PDF ‑ 194K )
  • "Information Required for Review of Requests for Approvals of Heavy‑Duty Electric Vehicles and Non-Combustion Hybrid Vehicles" ( PDF ‑ 94K )


Assigned Deterioration Factors:
  • EPA document CCD-00-12, "REISSUE OF ASSIGNED DF'S FOR GASEOUS-FUELED VEHICLES AND ENGINES, formerly CD-95-14" ( PDF ‑ 2097K )
  • EPA document CCD-05-10, "Assigned Deterioration Factors" ( PDF ‑ 512K )
  • EPA document CD-12-07, "Assigned Deterioration Factors" ( PDF ‑ 37K )

Manufacturer Advisory Correspondence 
  • MAC 99-04: Tamper-Resistance Requirements for Diesel Injection Pumps ( PDF ‑ 406K )
  • MAC 07-01: Policy regarding the use of Electronic Signatures in the Air Resources Board's Document Management System for Certification ( PDF ‑ 88K )
  • MAC 07-03: Protocol for the Engine Shutdown System on New California Certified Heavy‑Duty Diesel Engines for 2008 and Subsequent Model Years ( PDF ‑ 101K )

Mailouts 
  • MSO 2007-03: New Requirement to Report Carbon Dioxide Emissions from 2008 and Subsequent Model Year California Certified Vehicles and Engines ( PDF ‑ 85K )
  • MSO 2012-02: Public Workshop to Discuss Current Alternative Fuel Conversion Requirements for New and Used Vehicles and Engines. (PDF ‑ 47K )

Reports 
ARB Heavy‑Duty Vehicle SCR Technology Field Evaluation

The California Air Resources Board (ARB) staff conducted field investigations into the implementation of 2010 model year (MY) on-road heavy‑duty diesel (HDD) engines equipped with Selective Catalytic Reduction (SCR).  The investigations included: (1) two surveys of diesel exhaust fluid (DEF) availability within the State of California, (2) a survey to determine whether truck operators driving 2010 MY SCR-equipped trucks on California roadways have tampered with SCR components or are not using DEF, (3) an examination of the types and effectiveness of SCR driver inducements employed on 2010 MY HDD vehicles, and (4) an examination of the emission impacts of HDD SCR-equipped vehicles when DEF has been depleted, diluted or the SCR system has been tampered with. All questions regarding this report should be directed to Ms. Annette Hebert, Chief, Mobile Source Operations Division, at (626) 450-6150.

ARB Heavy‑Duty Vehicle SCR Technology Field Evaluation - Second Study

The California Air Resources Board (ARB) staff conducted a second field study in 2011/2012 similar to the first study but with new heavy‑duty diesel (HDD) engines tested. The investigations included (1) a follow-up survey of diesel exhaust fluid (DEF) availability with the State of California, (2) roadside inspections to determine whether truck operators driving Selective Catalyst Reduction (SCR) equipped trucks on California roadways have tampered with SCR components or are not using DEF, (3) a re-evaluation of driver inducements on two SCR-equipped 2010 model year (MY) Cummins engines evaluated in the first study where error in programming and part malfunctions were found, (4) a continued evaluation of 2010+ MY NOx control strategies including an examination of the types and effectiveness of SCR driver inducements employed on SCR-equipped trucks, and (5) an examination of the emission impacts of HDD vehicles. All questions regarding this report should be directed to Mr. Tom Valencia, Manager, In-Use Compliance Section, Mobile Source Operations Division, (626) 575-6741.


Workshops 
Public Workshop to Discuss Current Alternative Fuel Conversion Requirements for New and Used Vehicles and Engines

The California Air Resources Board (ARB) staff hosted a public workshop to clarify ARB's current requirements regarding conversion of vehicles and engines to operate on alternative fuels. The United States Environmental Protection Agency (U.S. EPA) promulgated changes to its rules affecting alternative fuel converters in 2011, and since then ARB has received numerous inquiries regarding its requirements for conversion of vehicles and engines to alternative fuels. Manufacturers have requested guidance on how to certify and show compliance with the ARB regulations. The intent of the workshop was to clarify ARB's regulations and test procedures regarding conversion of vehicles and engines to operate on alternative fuels for new vehicles and engines and for vehicles and engines that have already been purchased (aftermarket). For more information, please read mail-out MSO #2012-02 ( PDF ‑ 47K )

Selective Catalytic Reduction Workshop for New Diesel Engines

The California Air Resources Board (ARB) held a workshop concerning selective catalytic reduction for new diesel engines on July 20, 2010.

Durability Demonstration Workshop for New Diesel Engines

The California Air Resources Board (ARB) held a workshop concerning durability demonstration and deterioration factors for new diesel engines on March 24, 2010.


Executive Orders 


This portion is still under development; check back soon!

Stay Informed 

Please sign up to the Mobile Source Mailouts and MAC list server.


Air Resources Board document management system, OpenDMS

Contact Us 

Manager: email Kimberly Pryor or phone (626) 575-6640

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