California Code of Regulations
Title 13 - Motor Vehicles
Division 3 - Air Resources Board
Chapter 9 - Off-Road Vehicles and Engines Pollution Control Devices
Article 1 - Small Off-Road Engines
Section 2407 - New Engine Compliance and Production Line Testing-New Small off-Road Engine Selection, Evaluation, and Enforcement Action
Universal Citation: 13 CA Code of Regs 2407
Current through Register 2024 Notice Reg. No. 38, September 20, 2024
(a) Compliance Test Procedures.
(1) The Executive Officer may, with respect
to any new engine family or subgroup being sold, offered for sale, or
manufactured for sale in California, order an engine manufacturer to make
available for compliance testing and/or inspection one or more engines, and may
direct that the engines be delivered to the state board at 4001 Iowa Street,
Riverside, CA 92507 or where specified by the Executive Officer. The Executive
Officer may also, with respect to any new engine family or subgroup being sold,
offered for sale, or manufactured for sale in California, have an engine
manufacturer compliance test and/or inspect one or more engines at the engine
manufacturer's facility under the supervision of a CARB Enforcement Officer. As
appropriate, Health and Safety Code section
43024(b)
will inform CARB's requests. Engines must be selected at random from sources
specified by the Executive Officer according to a method approved by the
Executive Officer, that, insofar as practical, must exclude engines that would
result in an unreasonable disruption of the engine manufacturer's distribution
system.
(2) For all 1995 and
subsequent small off-road engines selected for compliance testing, the
selection and testing of engines and the evaluation of data must be made in
accordance with the procedures set forth herein.
(3) These procedures are applicable,
commencing with the 1995 calendar year, to any engine family or any subgroup
within an engine family selected for compliance testing pursuant to this
section.
(4) All testing must be
conducted in accordance with the applicable calendar year (for 1995-1999) or
model year (for 2000 and later) certification emission test procedures. Any
adjustable engine parameters must be set to values or positions that are within
the range available to the ultimate purchaser as determined by CARB Enforcement
Officer. For example, an engine carburetor with an adjustable idle fuel/air
mixture must be compliance tested at any mixture position requested by CARB
Enforcement Officer that is within the range of adjustment available to the
end-use operator. Engine service accumulation (i.e., break-in) before testing
may be performed on test engines to the same extent it is performed on
production line testing engines (See subsection (d)). No break-in or
modifications, adjustments, or special preparation or maintenance will be
allowed on engines chosen for compliance testing without the written consent of
the Executive Officer. Such consent must not be unreasonably withheld where
such adjustment or alteration is required to render the engine testable and
reasonably operative.
(5) If the
engine manufacturer elects to specify a different break-in or adjustments, they
may be performed by the engine manufacturer only upon written approval by the
Executive Officer and under the supervision of CARB personnel.
(6) Correction of damage or maladjustment
that may reasonably be found to have resulted from shipment of the engine is
permitted only after test of the engine, except where 100 percent of the engine
manufacturer's production is given that inspection or maintenance by the engine
manufacturer's own personnel. The engine manufacturer may request that the
engine be repaired from shipping damage, and be retested. If the Executive
Officer concurs, the engine may be retested, and the original test results may
be replaced by the after-repair test results.
(7) Engines must be randomly chosen from the
selected engine family or subgroup. Each chosen engine must be tested as
applicable, according to the "California Exhaust Emission Standards and Test
Procedures for 1995-2004 Small Off-Road Engines", adopted March 20, 1992, and
last amended July 26, 2004; the "California Exhaust Emission Standards and Test
Procedures for 2005-2012 Small Off-Road Engines," adopted July 26, 2004, and
last amended October 25, 2012; or, the collective "California Exhaust Emission
Standards and Test Procedures for New 2013 and Later Small Off-Road Engines;
Engine-Testing Procedures (Part 1054)," adopted October 25, 2012, and amended
January 1, 2023; and, the "California Exhaust Emission Standards and Test
Procedures for New 2013 and Later Small Off-Road Engines; Engine-Testing
Procedures (Part 1065)," adopted October 25, 2012, and amended January 1, 2023,
to determine its emissions. Unique specialty hardware and personnel normally
necessary to prepare the engine for the performance of the test as set forth in
the Procedures must be supplied by the engine manufacturer within seven days
after the request for such specialty hardware or personnel. Failure to supply
this unique specialty hardware or personnel may not be used by the engine
manufacturer as a cause for invalidation of the subsequent tests.
(8) The Executive Officer will find that a
group of engines has failed the compliance testing if the Executive Officer
finds that the emissions of any engine within the selected engine family or
subgroup exceed the applicable model year new engine emission standard for at
least one pollutant.
(9) If the
Executive Officer determines, in accordance with the procedures set forth in
Subsection (a) that an engine family or any subgroup within an engine family,
exceeds the emission standards for one or more pollutants, the Executive
Officer will:
(A) Notify the engine
manufacturer that the engine manufacturer may be subject to revocation or
suspension of the Executive Order authorizing sales and distribution of the
noncompliant engines in the State of California, or enjoined from any further
sales or distribution, of the noncompliant engines in the State of California
pursuant to Section
43017
of the Health and Safety Code. Prior to revoking or suspending the Executive
Order, or seeking to enjoin an engine manufacturer, the Executive Officer will
consider production line test results, if any, and any additional test data or
other information provided by the engine manufacturers and other interested
parties, including the availability of emission reductions credits to remedy
the failure.
(B) Notify the
equipment manufacturer that the equipment manufacturer may be subject to being
enjoined from any further sales, or distribution, of the equipment
manufacturer's equipment product line(s) that are, or utilize engines that are,
noncompliant with the applicable emission regulations pursuant to Section
43017
of the Health and Safety Code. Prior to revoking or suspending the Executive
Order, or seeking to enjoin an equipment manufacturer, the Executive Officer
will consider production line test results, if any, and any additional test
data or other information provided by the equipment manufacturer and other
interested parties, including the availability of emissions reduction credits
to remedy the failure.
(10) Engines selected for inspection must be
checked to verify the presence of those emissions-related components specified
in the engine manufacturer's application for certification, and for the
accuracy of any adjustments, part numbers and labels specified in that
application. If any engine selected for inspection fails to conform to any
applicable law in Part 5 (commencing with Section
43000)
of Division 26 of the Health and Safety Code, or any regulation adopted by the
state board pursuant thereto, other than an emissions standard applied to new
engines to determine "certification" as specified in Chapter 9, the Executive
Officer will:
(A) Notify the engine
manufacturer and may seek to revoke or suspend the Executive Order authorizing
sales and distribution or enjoin the engine manufacturer from any further
sales, or distribution, of the applicable noncompliant engine families or
subgroups within the engine families in the State of California pursuant to
Section
43017
of the Health and Safety Code. Before revoking or suspending the Executive
Order authorizing sales and distribution of the applicable noncompliant engine
families or subgroups within the State of California, or seeking to enjoin an
engine manufacturer, the Executive Officer will consider any information
provided by the engine manufacturer and other interested parties, including the
availability of emissions reductions credits to remedy the failure.
(B) Notify the equipment manufacturer and may
seek to revoke or suspend the Executive Order authorizing sales and
distribution or enjoin the equipment manufacturer from any further sales, or
distribution, in the State of California of the equipment manufacturer's
equipment product line(s) that are, or utilize engines that are, noncompliant
with the applicable emission regulations pursuant to Section
43017
of the Health and Safety Code. Before revoking or suspending the Executive
Order authorizing sales and distribution of the applicable noncompliant
equipment, or seeking to enjoin an equipment manufacturer, the Executive
Officer will consider any information provided by the equipment manufacturer
and other interested parties, including the availability of emissions
reductions credits to remedy the failure.
(b) 1996 and Subsequent Calendar (Model) Year Quality-Audit Production Line Test Procedures.
(1) Small off-road engines produced in the
1996 and subsequent calendar (or model) years, that have been certified for
sale in California, are subject to the quality-audit requirements specified in
(b) and (d). Each engine manufacturer must use the quality-audit test
procedures as specified in (b) and (d) unless it can satisfactorily provide an
alternate method that shows an equivalent assurance of compliance. The purpose
of providing alternate sampling, testing methods, and procedures is to help
reduce sample size and testing costs, while providing a reasonable assurance
that production engines comply with the applicable emission standards. The
engine manufacturer must submit the method of quality-audit to the Executive
Officer for approval no later than 90 days prior to 1996 calendar year
production, or any subsequent calendar or model year production, as applicable,
if a change is proposed.
(2) Engine
Sample Selection
(A) Except as provided in
subsection (b)(3), the engine manufacturer must randomly select one percent of
the California sales volume of engines from each engine family for
quality-audit testing. Additional engine sample criteria appear in subsection
(d)(3).
(B) The Executive Officer
may, upon notice to the engine manufacturer, require the sample rate to be
increased to a maximum of ten percent of production (not to exceed 30
additional engines or units of equipment) of the calendar quarterly production
of any engine family.
(3) Alternate Quality-Audit Engine Selection
Criteria for the 1996 Through 1999 Calendar Years
(A) An engine manufacturer may use the
alternate engine selection method outlined in this Subsection.
(B) Engines or equipment must be randomly
selected at a rate of 1.0 percent of engine family production at the beginning
of production. When test results of the first 10 engines or units of equipment
have been accumulated, an evaluation as indicated below must be made.
(C) Calculate the family mean and standard
deviation of each pollutant (HC, CO, NOx and PM, if
applicable). Identify engines or units of equipment that have emission levels
greater than three standard deviations above the mean. Eliminate these emission
data points and recalculate the mean and standard deviation. Continue the
calculation until there are no values greater than three standard deviations
above the mean. Count the number of these data points greater than the emission
standard (outliers). If the number of outliers is equal to or less than the
allowable number in Table 1 for each pollutant, the engine family is eligible
to continue to a second evaluation, shown in paragraph (D) below. Otherwise,
sampling must continue at a rate of 1.0 percent of production for the rest of
the month.
(D) If the allowable
outlier criterion is met, the family mean standard deviation, and sample size
determined for each contaminant before excluding any outliers, are substituted
in the following expression:
(E) If the expression is greater than C in
Table 2 below, and the engine manufacturer reasonably estimates that the
quarterly engine family production will exceed 5,000 engines or units of
equipment, the sampling rate for the remaining portion of the calendar month
following the date of selection of the last of the 10 engines or equipment is
10 per month, applied on a prorated basis. If the expression is greater than C
in Table 2 below, and the engine manufacturer reasonably estimates that the
quarterly engine family production will be 5,000 engines or units of equipment
or less, the sampling rate for the remaining portion of the calendar month
following the date of selection of the last of the 10 engines or equipment is 5
per month, applied on a prorated basis. If the expression is equal to or less
than C in Table 2, the sampling rate continues to be 1.0 percent of production
for the remaining portion of the month in which selection of the 10 engines or
equipment is completed. The value of C is a function of the coefficient of
variation (standard deviation/mean). The coefficient of variation and "C" must
be rounded to the number of decimal places shown in Table 2.
Table 1
|
Sample Size |
Allowable Outliers |
Sample Size |
Allowable Outliers |
|
1-32 |
1 |
430-478 |
11 |
|
33-68 |
2 |
479-528 |
12 |
|
69-107 |
3 |
529-578 |
13 |
|
108-149 |
4 |
579-629 |
14 |
|
150-193 |
5 |
630-680 |
15 |
|
194-238 |
6 |
681-731 |
16 |
|
239-285 |
7 |
732-783 |
17 |
|
286-332 |
8 |
784-835 |
18 |
|
333-380 |
9 |
836-887 |
19 |
|
381-429 |
10 |
888-939 |
20 |
Table 2
|
Coefficient of Variation |
C |
|
0.1 |
0.5 |
|
0.2 |
1.2 |
|
0.3 |
1.8 |
|
0.4 |
2.5 |
|
0.5 |
3.1 |
|
0.6 |
3.8 |
|
0.7 |
4.4 |
|
0.8 |
5.1 |
|
0.9 |
5.7 |
(F)
At the conclusion of each month of quarterly engine family production, the
emission test data must be evaluated in order to determine the sampling rate as
set forth in Paragraphs C and D above. This evaluation must utilize all test
data accumulated in the applicable quarter. The sample rate for the next month
of production must be determined as follows: ten (10) engines per month when
the engine manufacturer's estimated quantity of quarterly engine family
production is greater than 5,000; five (5) engines per month when the engine
manufacturer's estimated quantity of quarterly engine family production is
equal to or less than 5,000; or, one (1) percent of the quarterly engine family
production as determined by the sampling evaluation method set forth in
Paragraphs D and E.
(G) For each
subsequent quarter, the preceding sample selection method must be followed. The
sample rate determination for the first month of each subsequent quarter must
be based on the accumulated data from the previous quarter. The sample rate for
the succeeding months of the quarter must be determined as previously set
forth.
(H) If the start of
production does not coincide with the first of a quarter, the sequence for
sample rate determination must be followed, but references to remaining
calendar months may not be appropriate.
(I) Where an engine manufacturer has sampled
engines or equipment at a rate of 5 per month following a reasonable estimate
that the quarterly engine family production will be 5,000 engines or units of
equipment or less, and subsequently determines, or reasonably should determine
based on information available to the engine manufacturer, that the quarterly
engine family production will exceed 5,000 engines or units of equipment, the
engine manufacturer must increase the sampling rate for the quarter such that
the requirements of Paragraph D applicable to families reasonably estimated to
exceed a quarterly production of 5,000 engines or units of equipment are
satisfied.
(4)
Compliance Evaluation
(A) Each engine
manufacturer must review the test results of the first 10 test engines or
equipment of each engine family, from each calendar quarter of production or
from the start of calendar year production. It must also review the quarter's
cumulative test results of each engine family at the end of each month. If 10
or more engines or units of equipment have been tested, the engine manufacturer
must notify the Chief of the Emissions Certification and Compliance Division,
in writing within ten working days whenever an engine family exceeds an
emission standard.
(B) At the end
of the quarter, all of the data accumulated during the quarter are evaluated,
and the compliance of the engine family with the family emission limits or
emission standards, whichever is applicable, is determined. If a sample size
for a particular production quarter is fewer than ten engines, the data from
that quarter must be combined with all of the data from each successive quarter
of the calendar year until data from at least ten engines that have been
quality-audit tested are included in the quarterly evaluation. If the sample
size for the first quarter's production for a calendar year does not contain at
least ten engines, the data available for that quarter are evaluated. However,
compliance of the engine family with the family emission limits or emission
standards, whichever is applicable, is not determined until subsequent
quarterly production data is available that includes evaluations of at least
ten engines. If the sample size for the last final quarter's production for a
calendar year does not contain at least ten engines, the data from the last
final quarter must be combined with all the data from each preceding quarter of
the calendar year until the sample size contains at least ten
engines.
(C) When the average value
of any pollutant that is rounded off to the same number of significant digits
as is the standard, in accordance with ASTM E 29-93a (May 1993), exceeds the
applicable family emission limit or emission standard, whichever is applicable;
or, when the engine manufacturer's submitted data reveal that the production
line tests were performed improperly, the engine family may be determined to be
in noncompliance. The Executive Officer will follow the manufacturer
notification procedures in section (d)(5).
(D) A failed engine is one whose emission
test results for a regulated pollutant exceeds the emission standard or FEL, as
applicable.
(5) Reports
(A) Each engine manufacturer shall submit a
written report to CARB within 45 calendar days after the end of each calendar
quarter.
(B) The quarterly report
shall include the following:
1. The total
production and sample size for each engine family.
2. Engine identification numbers and
explanation of the identification code.
3. The applicable emissions standards or
Family Emission Limits for each engine family.
4. A description of each test engine or
equipment (i.e., date of test, engine family, engine size, engine or equipment
identification number, fuel system, dynamometer power absorber setting in
horsepower or kilowatts, engine code or calibration number, and test
location).
5. The exhaust emission
data for PM, CO, NOx and HC for each test engine or
equipment. The data reported shall provide two significant figures beyond the
number of significant figures in the applicable emission standard.
6. The retest emissions data, as described in
paragraph 5 above for any engine or unit of equipment failing the initial test,
and description of the corrective measures taken, including specific components
replaced or adjusted.
7. A
statistical analysis of the quality-audit test results for each engine family
stating:
a. Number of engines or units of
equipment tested.
b. Average
emissions and standard deviations of the sample for HC, CO,
NOx and PM.
8. Every aborted test data and reason for the
aborted test.
9. The applicable
quarterly report shall include the date of the end of the engine manufacturer's
calendar year (for 1995-1999) or model year (for 2000 and subsequent years)
production for an engine family.
10. The required information for all engine
families in production during the quarter regardless of sample size.
11. The start and stop dates of
batch-produced engine family production.
(C) Each engine manufacturer shall submit a
copy of the report that has been stored (e.g., computer discs), or may be
transmitted, in an electronically digitized manner, and in a format that is
specified by the Executive Officer. This electronically based submission is in
addition to the written submission of the report.
(c) 2000 and Subsequent Model Cumulative Sum Production Line Test Procedures.
(1) The 2000 and subsequent model year small
off-road engines, that have been certified for sale in California, are subject
to production line testing performed according to either the Cumulative Sum
requirements specified in (c) and (d), or to the Quality-Audit requirements
specified in paragraph (b) and (d). At the time of certification, the engine
manufacturer must designate which production line testing procedure, either
Quality-Audit or Cumulative Sum, it will use for the model year. If an engine
manufacturer uses the Cumulative Sum procedures, it must use the Cumulative Sum
test procedures as specified herein.
(2) Engine Sample Selection
(A) At the start of each model year, the
small off-road engine manufacturer will begin to randomly select engines from
each engine family for production line testing, according to the criteria
specified herein. Additional engine sample criteria appear in subsection
(d)(3).
1. For newly certified engine
families: After two engines are tested, the manufacturer will calculate the
required sample size for the model year according to the Sample Size Equation
in paragraph (B) of this section.
2. For carry-over engine families: After one
engine is tested, the manufacturer will combine the test with the last test
result from the previous model year and then calculate the required sample size
for the model year according to the Sample Size Equation in paragraph (B) of
this section.
(B)
1. Manufacturers will calculate the required
sample size for the model year for each engine family using the Sample Size
Equation below. N is calculated from each test result. The number N indicates
the number of tests required for the model year for an engine family. N, is
recalculated after each test. Test results used to calculate the variables in
the Sample Size Equation must be final deteriorated test results as specified
in paragraph (c)(4)(C).
where:
N = required sample size for the model year.
t95 = 95% confidence coefficient. It is dependent on the actual number of tests completed, n, as specified in the table in paragraph (B)2 of this section. It defines one-tail, 95% confidence intervals.
[SIGMA] = actual test sample standard deviation calculated from the following equation:
Xi = emission test result for an individual engine
x = mean of emission test results of the actual sample
FEL = Family Emission Limit, or emission standard if no Family Emission limit is established
n = The actual number of tests completed in an engine family
2. Actual Number of
Tests (n) & 1-tail Confidence Coefficients (t95)
|
n |
t95 |
n |
t95 |
n |
t95 |
|
2 |
6.31 |
12 |
1.80 |
22 |
1.72 |
|
3 |
2.92 |
13 |
1.78 |
23 |
1.72 |
|
4 |
2.35 |
14 |
1.77 |
24 |
1.71 |
|
5 |
2.13 |
15 |
1.76 |
25 |
1.71 |
|
6 |
2.02 |
16 |
1.75 |
26 |
1.71 |
|
7 |
1.94 |
17 |
1.75 |
27 |
1.71 |
|
8 |
1.90 |
18 |
1.74 |
28 |
1.70 |
|
9 |
1.86 |
19 |
1.73 |
29 |
1.70 |
|
10 |
1.83 |
20 |
1.73 |
30 |
1.70 |
|
11 |
1.81 |
21 |
1.72 |
[INFINITY] |
1.645 |
3.
A manufacturer must distribute the testing of the remaining number of engines
needed to meet the required sample size N, evenly throughout the remainder of
the model year.
4. After each new
test, the required sample size, N, is recalculated using updated sample means,
sample standard deviations and the appropriate 95% confidence
coefficient.
5. A manufacturer must
continue testing and updating each engine family's sample size calculations
according to paragraphs (B)1 through (B)4 of this section until a decision is
made to stop testing as described in paragraph (B)6 of this section or a
noncompliance decision is made pursuant to paragraph (c)(3)(A)5 of this
section.
6. If, at any time
throughout the model year, the calculated required sample size, N, for an
engine family is less than or equal to the actual sample size, n, and the
sample mean, x, for each regulated pollutant is less than or equal to the
emission standard (or FEL, as applicable) for that pollutant, the manufacturer
may stop testing that engine family except as required by paragraph
(c)(3)(A)6.
7. If, at any time
throughout the model year, the sample mean, x, for any regulated pollutant is
greater than the emission standard (or FEL, as applicable), the manufacturer
must continue testing that engine family at the appropriate maximum sampling
rate.
8. The maximum required
sample size for an engine family (regardless of the required sample size, N, as
calculated in paragraph (B)1 of this section) is thirty tests per model
year.
9. Manufacturers may elect to
test additional randomly chosen engines. All additional randomly chosen engines
tested in accordance with the testing procedures specified in the applicable
Emission Standards and Test Procedures, as set forth in Subsection
2403(d), must be
included in the Sample Size and Cumulative Sum equation calculations as defined
in paragraphs (B)1 and (c)(3)(A)1 of this section, respectively.
(C) The manufacturer must produce
and assemble the test engines using its normal production and assembly process
for engines to be distributed into commerce.
(D) No quality control, testing, or assembly
procedures will be used on any test engine or any portion thereof, including
parts and subassemblies, that have not been or will not be used during the
production and assembly of all other engines of that family, unless the
Executive Officer approves the modification.
(3) Calculation of the Cumulative Sum
Statistic
(A) Each engine manufacturer must
review the test results using the following procedure:
1. Manufacturers must construct the following
Cumulative Sum Equation for each regulated pollutant for each engine family.
Test results used to calculate the variables in the Cumulative Sum Equation
must be final deteriorated test results as defined in paragraph (c)(4)(C).
Ci = max [0 or (Ci-1 + Xi--(FEL + F))]
where:
Ci = The current Cumulative Sum statistic
Ci-1 = The previous Cumulative Sum statistic. Prior to any testing, the Cumulative Sum statistic = 0 (i.e. C0 = 0)
Xi = The current emission test result for an individual engine
FEL = Family Emission Limit, or emission standard if no Family Emission limit is established
F = 0.25 x [PHI]
After each test, Ci is compared to the action limit, H, the quantity that the Cumulative Sum statistic must exceed, in two consecutive tests, before the engine family may be determined to be in noncompliance for purposes of paragraphs (c)(3)(A)4 and (c)(3)(A)5.
H = The Action Limit. It is 5.0 x [PHI], and is a function of the standard deviation, [PHI].
[PHI] = The sample standard deviation and is recalculated after each test.
2. After
each engine is tested, the Cumulative Sum statistic must be promptly updated
according to the Cumulative Sum Equation in paragraph 1 of this
section.
3. If, at any time during
the model year, a manufacturer amends the application for certification for an
engine family as specified in Part I, Sections 28 and 29 of the 1995-2004
Emission Standards and Test Procedures, Subpart B, § 90.120 and §
90.122 of the 2005-2012 Emission Standards and Test Procedures, or Subpart C,
section 1054.225 of the "California Exhaust Emission Standards and Test
Procedures for New 2013 and Later Small Off-Road Engines; Engine-Testing
Procedures (Part 1054)," adopted October 25, 2012, and amended January 1, 2023,
as applicable, by performing an engine family modification (e.g., a change such
as a running change involving a physical modification to an engine, a change in
specification or setting, the addition of a new configuration, or the use of a
different deterioration factor), all previous sample size and Cumulative Sum
statistic calculations for the model year will remain unchanged.
4. A failed engine is one whose final
deteriorated test results pursuant to paragraph (c)(4)(C), for a regulated
pollutant exceeds the emission standard or the FEL, as applicable, for that
pollutant.
5. An engine family may
be determined to be in noncompliance, if at any time throughout the model year,
the Cumulative Sum statistic, Ci, for,
a regulated pollutant is greater than the action limit, H, for two consecutive
tests.
6. The engine manufacturer
must perform a minimum of two tests per engine family per quarter, regardless
of whether the conditions of paragraph (c)(2)(B)4 have been met.
7. All results from previous quarters of the
same model year must be included in the on-going Cumulative Sum analysis,
provided that the engine family has not failed (e.g., if three engines of a
family were tested in the first quarter, the first test of the second quarter
would be considered as the fourth test).
8. If the Cumulative Sum analysis indicates
that an engine family has failed, the engine manufacturer must notify the Chief
of the Emissions Certification and Compliance Division, in writing and by
telephone, within ten working days. Corrective action will be taken as noted in
paragraph (d)(5), below.
9. If a
manufacturer performs corrective action on a failed engine family and then
resumes production, all previous tests will be void, and Cumulative Sum
analysis will begin again with the next test.
(B) At the end of the quarter, or when the
Cumulative Sum analysis indicates that a decision has been made, the
manufacturer must provide all the data accumulated during the
quarter.
(4) Calculation
and Reporting of Test Results.
(A) Initial
test results are calculated following the applicable test procedure specified
in "California Exhaust Emission Standards and Test Procedures for 1995-2004
Small Off-Road Engines," "California Exhaust Emission Standards and Test
Procedures for 2005-2012 Small Off-Road Engines," or the "California Exhaust
Emission Standards and Test Procedures for New 2013 and Later Small Off-Road
Engines; Engine-Testing Procedures (Part 1054)," adopted October 25, 2012, and
amended January 1, 2023, as applicable. The manufacturer rounds these results,
in accordance with ASTM E29-93a, to the number of decimal places contained in
the applicable emission standard expressed to one additional significant
figure. (ASTM E29-93a has been incorporated by reference.)
(B) Final test results are calculated by
summing the initial test results derived in paragraph (A) of this section for
each test engine, dividing by the number of tests conducted on the engine, and
rounding in accordance with ASTM E29-93a to the same number of decimal places
contained in the applicable standard expressed to one additional significant
figure.
(C) The final deteriorated
test results for each test engine are calculated by applying the appropriate
deterioration factors, derived in the certification process for the engine
family, to the final test results, and rounding in accordance with ASTM E29-93a
to the same number of decimal places contained in the applicable standard
expressed to one additional significant figure.
(D) If, at any time during the model year,
the Cumulative Sum statistic exceeds the applicable action limit, H, in two
consecutive tests, the engine family may be determined to be in noncompliance
and the manufacturer must notify the Chief of the Emissions Certification and
Compliance Division and the Manager of the Off-Road Spark-Ignited Engine
Certification Section, 4001 Iowa Street, Riverside, CA 92507, within ten
working days of such exceedance by the Cumulative Sum statistic.
(E) Within 45 calendar days after the end of
each quarter, each engine manufacturer must submit to the Executive Officer a
report that includes the following information unless the Executive Officer has
approved the omission of some of the information:
1. The location and description of the
manufacturer's or other's exhaust emission test facilities that were utilized
to conduct testing reported pursuant to this section;
2. Total production and sample sizes,
N and n, for each engine family;
3. The applicable emissions standards or
Family Emission Limits for each engine family;
4. A description of the process to obtain
engines on a random basis;
5. A
description of the test engines or equipment (i.e., date of test, engine
family, engine size, engine or equipment identification number, fuel system,
dynamometer power absorber setting in horsepower or kilowatts, engine code or
calibration number, and test location);
6. The date of the end of the engine
manufacturer's model year production for each engine family;
7. For each test conducted,
a. A description of the test engine,
including:
i. Configuration and engine family
identification,
ii. Year, make, and
build date,
iii. Engine
identification number and explanation of the identification code, and
iv. Number of hours of service accumulated on
engine prior to testing;
b. Location where service accumulation was
conducted and description of accumulation procedure and schedule;
c. Test number, date, test procedure used,
initial test results before and after rounding, and final test results for all
exhaust emission tests, whether valid or invalid, and the reason for
invalidation, if applicable;
d. The
exhaust emission data for PM, CO, NOx and HC (or NMHC,
as applicable) for each test engine or equipment. The data reported must
provide two significant figures beyond the number of significant figures in the
applicable emission standard;
e.
The retest emissions data, as described in Paragraph 4 above for any engine or
unit of equipment failing the initial test, and description of the corrective
measures taken, including specific components replaced or adjusted;
f. A complete description of any adjustment,
modification, repair, preparation, maintenance, and/or testing that was
performed on the test engine, was not reported pursuant to any other part of
this article, and will not be performed on all other production
engines;
g. A Cumulative Sum
analysis, as required in paragraph (c)(3), of the production line test results
for each engine family;
h. Any
other information the Executive Officer may request relevant to the
determination whether the new engines being manufactured by the manufacturer do
in fact conform with the regulations with respect to which the Executive Order
was issued;
8. For each
failed engine as defined in paragraph (c)(3)(A)4, a description of the remedy
and test results for all retests;
9. Every aborted test data and reason for the
aborted test;
10. The start and
stop dates of batch-produced engine family production;
11. The required information for all engine
families in production during the quarter regardless of sample size;
and
(F) Each
manufacturer must submit a copy of the report that has been stored (e.g.,
computer disc), or may be transmitted, in an electronically digitized manner,
and in a format that is specified by the Executive Officer. This electronically
based submission is in addition to the written submission of the
report.
(d) Procedures Applicable to All Production Line Testing.
(1) Standards and Test Procedures. The
emission standards, exhaust sampling and analytical procedures are those
described in the applicable Emission Standards and Test Procedures, as set
forth in Subsection
2403(d), and are
applicable to engines tested only for exhaust emissions. The production line
test procedures are specified in conjunction with the applicable Emission
Standards and Test Procedures. An engine is in compliance with these production
line standards and test procedures only when all portions of these production
line test procedures and specified requirements from the applicable Emission
Standards and Test Procedures are fulfilled, except for the provisions as
follows:
(A) A handheld equipment engine
manufacturer, (or, a manufacturer of 2000 through 2004 model year engines 65 cc
or below, or a manufacturer of 2005 and subsequent model years engines 80 cc or
below,) may request that the Executive Officer allow the values of rated engine
power and speed determined in the engine family certification be used in lieu
of the determination of the engine power and speed of a production line engine.
This request must include a specification of the particular power absorption
device (e.g., dynamometer, water brake, etc.) used to apply the test load to
the production engines. An engine manufacturer must request and must receive
approval from the Executive Officer for this allowance before the production
line tests are conducted. The engine manufacturer should establish equivalent
assurance of compliance by providing emission data from a statistically valid
sample of engines for comparison between the proposed procedures and the
required procedures.
(B) Any
adjustable engine parameters must be set to any value or position that is
within the range available to the ultimate purchaser.
(2) California Air Resources Board (CARB)
personnel and mobile laboratories must have access to engine or equipment
assembly plants, distribution facilities, and test facilities for the purpose
of engine selection, testing, and observation. Scheduling of access must be
arranged with the designated engine manufacturer's representative and must not
unreasonably disturb normal operations (See Section 31 of the 1995-2004
Emission Standards and Test Procedures, Section 90.126 of the 2005-2012
Emission Standards and Test Procedures, or section 1054.821 of the "California
Exhaust Emission Standards and Test Procedures for New 2013 and Later Small
Off-Road Engines; Engine-Testing Procedures (Part 1054)," adopted October 25,
2012, and amended January 1, 2023, as applicable).
(3) Engine Sample Selection
(A) The engine manufacturer must randomly
select engines according to (b)(2) or (c)(2), as applicable, from each engine
family for production line testing. The engines must be representative of the
engine manufacturer's California sales. Each engine will be selected from the
end of the assembly line. All engine models within the engine family must be
included in the sample pool. Each selected engine for quality-audit testing
must pass the inspection test, by being equipped with the appropriate emission
control systems certified by CARB. The procedure for randomly selecting engines
or units of equipment must be submitted to the Chief, Emissions Certification
and Compliance Division, 4001 Iowa Street, Riverside, CA 92507, prior to the
start of production for the first year of production.
(B)
1.
Prior to the beginning of the 2000 model year, if an engine manufacturer cannot
provide actual California sales data, it must provide its total production and
an estimate of California sales at the end of the model year. The engine
manufacturer must also provide supporting material for its estimate.
2. For the 2000 and later model years, engine
manufacturers must provide actual California sales, or other information
acceptable to the Executive Officer, including, but not limited to, an estimate
based on market analysis and federal production or sales. Information
supporting the manufacturer's market analysis and any other information forming
the basis of a manufacturer's determination of sales must be provided to the
Executive Officer within 30 days upon request.
(4) Engine Preparation and Preconditioning
(A) No emissions tests may be performed on an
engine prior to the first production line test.
(B) The engine or unit of equipment must be
tested after the engine manufacturer's recommended break-in period. The engine
manufacturer must submit to the Executive Officer the schedule for engine
break-in and any changes to the schedule with each quarterly report. This
schedule must be adhered to for all production line testing within an engine
family and subgroup or engine family and assembly plant as
appropriate.
(C) If an engine or
unit of equipment is shipped to a remote facility for production line testing,
and adjustment or repair is necessary because of such shipment, the engine
manufacturer must perform the necessary adjustments or repairs only after the
initial test of the engine or equipment. Engine manufacturers must report to
the Executive Officer in the quarterly report, all adjustments or repairs
performed on engines or equipment prior to each test. In the event a retest is
performed, a request may be made to the Executive Officer, within ten days of
the production quarter, for permission to substitute the after-repair test
results for the original test results. The Executive Officer will either affirm
or deny the request by the engine manufacturer within ten working days from
receipt of the request.
(D) If an
engine manufacturer determines that the emission test results of an engine or
unit of equipment are invalid, the engine or equipment must be retested.
Emission results from all tests must be reported. The engine manufacturer must
include a detailed report on the reasons for each invalidated test in the
quarterly report.
(5)
Manufacturer Notification of Failure
(A) The
Executive Officer will notify the engine manufacturer that the engine
manufacturer may be subject to revocation or suspension of the Executive Order
authorizing sales and distribution of the noncompliant engines in the State of
California, or being enjoined from any further sales, or distribution, of the
noncompliant engines in the State of California pursuant to Section
43017
of the Health and Safety Code. Prior to revoking or suspending the Executive
Order, or seeking to enjoin an engine manufacturer, the Executive Officer will
consider all information provided by the engine manufacturer, and other
interested parties, including, but not limited to corrective actions applied to
the noncompliant engine family, and for 2000 and subsequent model year engines,
the availability of emissions reduction credits to remedy the
failure.
(B) The Executive Officer
will notify the equipment manufacturer that the equipment manufacturer may be
subject to revocation or suspension of the Executive Order authorizing sales
and distribution, or being enjoined from any further sales, or distribution, of
the equipment manufacturer's equipment product line(s) that are, or utilize
engines that are, noncompliant with the applicable emission regulations
pursuant to Section
43017
of the Health and Safety Code. Prior to revoking or suspending the Executive
Order, or seeking to enjoin an equipment manufacturer, the Executive Officer
will consider all information provided by interested parties, including, but
not limited to corrective actions applied to the noncompliant engine family,
and for 2000 and subsequent model year engines, the availability of emissions
reduction credits to remedy the failure.
(6) Suspension and Revocation of Executive
Orders.
(A) The Executive Order is
automatically suspended with respect to any engine failing pursuant to
paragraph (c)(3)(A)4 or (b)(4)(D) effective from the time that testing of that
engine is completed.
(B) The
Executive Officer may suspend the Executive Order for an engine family that is
determined to be in noncompliance pursuant to paragraph (c)(3)(A)5 or
(b)(4)(C). This suspension will not occur before fifteen days after the engine
family is determined to be in noncompliance. Before revoking or suspending the
Executive Order authorizing sales and distribution of the applicable
noncompliant engine families or subgroups within the State of California, or
seeking to enjoin an engine manufacturer, the Executive Officer will consider
any information provided by the engine manufacturer and other interested
parties, including the availability of emissions reductions credits to remedy
the failure.
(C) If the results of
testing pursuant to these regulations indicate that engines of a particular
family produced at one plant of a manufacturer do not conform to the
regulations with respect to which the Executive Order was issued, the Executive
Officer may suspend the Executive Order with respect to that family for engines
manufactured by the manufacturer at all other plants.
(D) Notwithstanding the fact that engines
described in the application for certification may be covered by an Executive
Order, the Executive Officer may suspend such Executive Order immediately in
whole or in part if the Executive Officer finds any one of the following
infractions to be substantial:
1. The
manufacturer refuses to comply with any of the requirements of this
section;
2. The manufacturer
submits false or incomplete information in any report or information provided
to the Executive Officer under this section;
3. The manufacturer renders inaccurate any
test data submitted under this section;
4. A CARB enforcement officer is denied the
opportunity to conduct activities authorized in this section and a warrant or
court order is presented to the manufacturer or the party in charge of the
facility in question;
5. A CARB
enforcement officer is unable to conduct activities authorized in paragraph
(d)(2) of this section because a manufacturer has located its facility in a
foreign jurisdiction where local law prohibits those activities.
(E) The Executive Officer will
notify the manufacturer in writing of any suspension or revocation of an
Executive Order in whole or in part. A suspension or revocation is effective
upon receipt of the notification or fifteen days from the time an engine family
is determined to be in noncompliance pursuant to paragraph (c)(3)(A)5 or
(b)(4)(C), whichever is later, except that the Executive Order is immediately
suspended with respect to any failed engines as provided for in paragraph (A)
of this section.
(F) The Executive
Officer may revoke an Executive Order for an engine family after the Executive
Order has been suspended pursuant to paragraph (B) or (C) of this section if
the proposed remedy for the nonconformity, as reported by the manufacturer to
the Executive Officer, is one requiring a design change or changes to the
engine and/or emission control system as described in the application for
certification of the affected engine family.
(G) Once an Executive Order has been
suspended for a failed engine, as provided for in paragraph (A) of this
section, the manufacturer must take the following actions before the Executive
Order is reinstated for that failed engine:
1.
Remedy the nonconformity;
2.
Demonstrate that the engine conforms to the emission standards by retesting the
engine in accordance with these regulations; and
3. Submit a written report to the Executive
Officer, after successful completion of testing on the failed engine, that
contains a description of the remedy and test results for each engine in
addition to other information that may be required by this part.
(H) Once an Executive Order for a
failed engine family has been suspended pursuant to paragraph (B), (C) or (D)
of this section, the manufacturer must take the following actions before the
Executive Officer will consider reinstating the Executive Order:
1. Submit a written report to the Executive
Officer that identifies the reason for the noncompliance of the engines,
describes the proposed remedy, including a description of any proposed quality
control and/or quality assurance measures to be taken by the manufacturer to
prevent future occurrences of the problem, and states the date on which the
remedies will be implemented; and
2. Demonstrate that the engine family for
which the Executive Order has been suspended does in fact comply with the
regulations of this part by testing as many engines as needed so that the
Cumulative Sum statistic, as calculated in paragraph (c)(3)(A)1, falls below
the action limit, or the average emissions from the Quality-Audit testing as
calculated in paragraph (b)(4)(C) remains below the emission standard or FEL,
as applicable. Such testing must comply with the provisions of this section. If
the manufacturer elects to continue testing individual engines after suspension
of an Executive Order, the Executive Order is reinstated for any engine
actually determined to be in conformance with the emission standards through
testing in accordance with the applicable test procedures, provided that the
Executive Officer has not revoked the Executive Order pursuant to paragraph (F)
of this section.
(I)
Once the Executive Order has been revoked for an engine family, if the
manufacturer desires to continue introduction into commerce of a modified
version of that family, the following actions must be taken before the
Executive Officer may issue an Executive Order for that modified family:
1. If the Executive Officer determines that
the proposed change(s) in engine design may have an effect on emission
performance deterioration, the Executive Officer will notify the manufacturer,
within five working days after receipt of the report in paragraph (H)1 of this
section, whether subsequent testing under this section will be sufficient to
evaluate the proposed change or changes or whether additional testing will be
required; and
2. After implementing
the change or changes intended to remedy the nonconformity, the manufacturer
must demonstrate that the modified engine family does in fact conform with the
regulations of this section by testing as many engines as needed from the
modified engine family so that the Cumulative Sum statistic, as calculated in
paragraph (c)(3)(A)1 falls below the action limit, or the average emissions
from the Quality-Audit testing as calculated in paragraph (b)(4) remains below
the emission standard or FEL, as applicable. When both of these requirements
are met, the Executive Officer will reissue the Executive Order or issue a new
Executive Order, as the case may be, to include that family. As long as the
Cumulative Sum statistic remains above the action limit, or the average
emissions from the Quality-Audit testing exceeds the emission standard or FEL,
as applicable, the revocation remains in effect.
(J) At any time subsequent to a suspension of
an Executive Order for a test engine pursuant to paragraph (A) of this section,
but not later than 15 days (or such other period as may be allowed by the
Executive Officer) after notification of the Executive Officer's decision to
suspend or revoke an Executive Order in whole or in part pursuant to paragraphs
(B), (C), or (F) of this section, a manufacturer may request a hearing as to
whether the tests have been properly conducted or any sampling methods have
been properly applied.
(K) Any
suspension of an Executive Order under paragraph (D) of this section:
1. must be made only after the manufacturer
concerned has been offered an opportunity for a hearing conducted in accordance
with all applicable requirements and;
2. need not apply to engines no longer in the
possession of the manufacturer.
(L) After the Executive Officer suspends or
revokes an Executive Order pursuant to this section and prior to the
commencement of a hearing, if the manufacturer demonstrates to the Executive
Officer's satisfaction that the decision to suspend or revoke the Executive
Order was based on erroneous information, the Executive Officer will reinstate
the Executive Order.
(M) To permit
a manufacturer to avoid storing non-test engines while conducting subsequent
testing of the noncomplying family, a manufacturer may request that the
Executive Officer conditionally reinstate the Executive Order for that family.
The Executive Officer may reinstate the Executive Order subject to the
following condition: the manufacturer must commit to recall all engines of that
family produced from the time the Executive Order is conditionally reinstated
if the Cumulative Sum statistic does not fall below the action limit, or the
average emissions from the Quality-Audit testing remains above the emission
standard or FEL, as applicable, and must commit to remedy any nonconformity at
no expense to the owner.
1. New
section filed 5-1-92; operative 6-1-92 (Register 92, No. 19).
2.
Amendment of subsections (a)(2)-(3), (a)(7), (b)(2), (b)(4)(A) and NOTE filed
10-4-93; operative 11-3-93 (Register 93, No. 41).
3. 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).
4. Amendment filed 7-24-95;
operative 7-24-95 pursuant to Government Code section 11343.4(d) (Register 95,
No. 30).
5. Amendment of section heading, section and NOTE filed
3-23-99; operative 3-23-99 pursuant to Government Code section 11343.4(d)
(Register 99, No. 13).
6. Amendment filed 9-20-2004; operative
10-20-2004 (Register 2004, No. 39).
7. Amendment of subsection
(a)(7) filed 12-11-2012; operative 1-10-2013 (Register 2012, No.
50).
8. Amendment of subsections (a)(2), (a)(4)-(5) and (a)(7),
repealer of subsections (a)(8) and (a)(10), subsection renumbering, amendment
of newly designated subsection (a)(8) and subsections (b)(3), (b)(4)(A)-(C),
(a)(5)(A), (a)(5)(B)3., (c)(2)(B)1., (c)(2)(B)9., (c)(3)(A)1., (c)(3)(A)3.,
(a)(3)(A)8., (c)(4)(A), (c)(4)(D)-(E), (c)(4)(E)3., (d)(1), (d)(2), (d)(3)(A),
(d)(3)(B)2., (d)(6)(D)4.-5. and amendment of NOTE filed 9-14-2022; operative
1-1-2023 (Register 2022, No. 37).
Note: Authority cited: Sections 39600, 39601, 43013, 43018, 43101, 43102 and 43104, Health and Safety Code. Reference: Sections 43013, 43017, 43018, 43024, 43101, 43102, 43104, 43150- 43154, 43205.5 and 43210- 43212, Health and Safety Code.
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