California Code of Regulations
Title 13 - Motor Vehicles
Division 3 - Air Resources Board
Chapter 9 - Off-Road Vehicles and Engines Pollution Control Devices
Article 4.5 - Off-Road Large Spark-Ignition Engines
Section 2437 - New Engine Compliance and Production Line Testing - New Off-Road Large Spark-Ignition Engines Selection, Evaluation, and Enforcement Action
Universal Citation: 13 CA Code of Regs 2437
Current through Register 2024 Notice Reg. No. 38, September 20, 2024
(a) Compliance Test Procedures
(1) These procedures apply,
commencing with the 2001 model year, to any large off-road spark-ignition
engine family group (as defined in Sections 2 and 11 of the "California Exhaust
Emission Standards and Test Procedures for New 2001 and Later Off-Road Large
Spark-ignition Engines") or any subgroup within an engine family group selected
for compliance testing pursuant to this section, with an engine displacement
greater than 1.0 liter, that have been certified to the applicable emission
standards pursuant to Section
2433(b). 2002 and
later model year large off-road spark-ignition engines with engine displacement
less than or equal to 1.0 liter must comply with the new engine compliance test
procedures set forth in the California Code of Regulations, Title 13, Section
2407.
(2) The Executive Officer may, with respect
to any new engine family group 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 a reasonable number of
engines, and may direct that the engines be delivered to the California Air
Resources Board at the Southern California Headquarters, Mary D. Nichols
Campus, 4001 Iowa Avenue, Riverside, CA 92507 or where specified by the
Executive Officer. The Executive Officer may also, with respect to any new
engine family group or subgroup being sold, offered for sale, or manufactured
for sale in California, have a manufacturer compliance test and/or inspect a
reasonable number of engines at the manufacturer's facility under the
supervision of a CARB Enforcement Officer. Engines must be representatively
selected from sources specified by the Executive Officer according to a method
approved by him/her, that insofar as practical must exclude engines that would
result in an unreasonable disruption of the manufacturer's distribution system.
To the extent practical, the Executive Officer must test a representative
configuration (as defined in Section 3 of the "California Exhaust Emission
Standards and Test Procedures for New 2001 and Later Off-Road Large
Spark-ignition Engines") from the engine family group in order to minimize
manufacturers' expense and inconvenience in testing different engine
configurations.
A subgroup of an engine family group may be selected for compliance testing only if the Executive Officer has reason to believe that the emissions characteristics of that subgroup are substantially in excess of the emissions of the engine family group as a whole.
(3) For all 2001 and subsequent model year
off-road large spark-ignition 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.
(4) For manufacturers that have more than one
engine family group, the California Air Resources Board or its designated
laboratory may procure and test at the manufacturer's expense no more than one
engine family group per year, if compliance testing is required.
Notwithstanding the above, if a manufacturer fails to demonstrate compliance with the emission standards after one engine family group has been tested, CARB or its designated laboratory may test additional engine family groups at the manufacturer's expense, until compliance is demonstrated on one engine family group or all of a manufacturer's engine family groups have been tested. However, CARB may conduct engine enforcement testing pursuant to the engine test procedures specified in Section 2433, at its own expense. In such an instance, the Executive Officer must order testing only in those cases where evidence such as production line test data or in-use test data indicate that engines may not be in compliance.
(5) All testing must be conducted in
accordance with the applicable model year certification emission test
procedures. Break-in before testing may be performed on test engines to the
same extent it is performed on production-line testing engines (See subsection
(b)). 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.
(6) If the manufacturer elects to specify a
different break-in or adjustments, they will be performed by the manufacturer
under the supervision of CARB personnel.
(7) Correction of damage or maladjustment
that may reasonably be found to have resulted from shipment of the engine is
permitted only after testing the engine, except where 100 percent of the
manufacturer's production is given that inspection or maintenance by the
manufacturer's own personnel. Exceptions are allowed in the cases where the
damage results in the engine being unsafe to operate, inoperable, or unable to
complete the emission test. Additionally, an exception is allowed if the damage
results in engine performance deficiencies that would be obvious in customer
service and that would cause the customer to seek repair of the engine. The
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.
(8) Engines must be
randomly chosen from the selected engine family group or subgroup. Prior to the
start of testing, manufacturers must indicate that sampling plan (as described
in paragraphs (9) and (10), below) they will use. Once testing has begun,
manufacturers may not switch to the other sampling plan; the generated test
results will be final. Each chosen engine must be tested according to the
"California Exhaust Emission Standards and Test Procedures for New 2001 and
Later Off-Road Large Spark-ignition Engines" ("Test Procedures") 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 Test
Procedures must be supplied by the manufacturer within seven days after
request. Failure to supply this unique specialty hardware or personnel may not
be used by the manufacturer as a cause for invalidation of the subsequent
tests.
(9) Engines must be tested
in groups of five until a "Pass" or Fail" decision is reached for each
pollutant independently for the engine family or subgroup in accordance with
the following table:
| Number of Engines Tested | Decide "Fail" If "U" is greater than or equal to | Decide "Pass" If "U" is less than or equal to | |||
| 5 | 2.18 | -0.13 | |||
| 10 | 2.11 | 0.51 | |||
| 15 | 2.18 | 0.88 | |||
| 20 | 2.29 | 1.16 | |||
where:
| xi | = | the projected emissions of one pollutant for the ith engine tested. |
| µo | = | the applicable calendar year emission standard for that pollutant. |
| n | = | the number of engines tested. |
(10) The Executive Officer will find that a
group of engines has failed the compliance testing pursuant to the above table
if the Executive Officer finds that the average emissions of the engines within
the selected engine family or subgroup exceed the applicable calendar year new
engine emission standard for at least one pollutant.
(11) If no decision for a pollutant or
pollutants can be reached after 20 engines have been tested, the Executive
Officer will not make a "Fail" decision for the selected engine family or
subgroup on the basis of these 20 tests alone. Under these circumstances the
Executive Officer will elect to test 10 additional engines. If the average
emissions from the 30 engines tested exceed any one of the exhaust emission
standards for which a "Pass" decision has not been previously made, the
Executive Officer will render a "Fail" decision.
(12) 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 manufacturer and other interested
parties. In addition, the engine manufacturer may be subject to, on a per
engine basis, any and all remedies available under Part 5, Division 26 of the
Health and Safety Code, sections
43000
et seq.
(B) Notify the equipment
manufacturer that the equipment 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 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. In addition, the equipment manufacturer may be subject to,
on a per engine basis, any and all remedies available under Part 5, Division 26
of the Health and Safety Code, sections
43000
et seq.
(13) 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. In addition,
the engine manufacturer may be subject to, on a per engine basis, any and all
remedies available under Part 5, Division 26 of the Health and Safety Code,
sections
43000
et seq.
(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. Prior to 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. In addition, the equipment manufacturer may be
subject to, on a per engine basis, any and all remedies available under Part 5,
Division 26 of the Health and Safety Code, sections
43000
et seq.
(b) 2001 and Subsequent Model Cumulative Sum Production Line Test Procedures
(1) The 2001 and subsequent model year
off-road large spark-ignition engines with an engine displacement of greater
than 1.0 liter, that have been certified to the applicable emission standards
pursuant to Section
2433(b), are
subject to production line testing performed according to the requirements
specified in this section. The 2002 and subsequent model year off-road large
spark-ignition engines with an engine displacement of less than or equal to 1.0
liter, that have been certified for sale in California, must comply with
production line testing performed according to the requirements set forth in
the California Code of Regulations, Title 13, Section
2407.
(A) Standards and Test Procedures. The
emission standards, exhaust sampling and analytical procedures are those
described in the Test Procedures, and are applicable to engines tested only for
exhaust emissions. The production line test procedures are specified in
conjunction with the 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 Test
Procedures are fulfilled, except any adjustable engine parameters may be set to
any value or position that is within the range available to the ultimate
purchaser.
(B) 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 Test
Procedures).
(2) Engine
Sample Selection.
(A) At the start of each
quarter for the model year, the engine manufacturer will begin to randomly
select engines from each engine family for production line testing, according
to the criteria specified herein. 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 production line 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 Avenue, Riverside, CA 92507, prior to the
start of production for the first year of production.
(i) 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 (4) of this subsection.
(ii) 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 (4) of
this subsection.
(iii) Beginning
with the 2006 model year, a manufacturer may annually request of the Executive
Officer a reduction in production line testing for an engine family. In making
such request, the manufacturer must demonstrate that the engine family's
production line test data is consistent and in-use compliance data is
consistent for the previous year(s) and in compliance with the emission
standards in Section
2433. If the Executive Officer
determines that a reduction is warranted, the manufacturer may test as few as
one production engine during the subject model year.
(B) 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.
(3)
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.
(4)
(A) 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 (d)(3).
Where:
| N | = | required sample size for the model year. |
| t95 | = | 95% confidence coefficient. It is dependent on the number of tests completed, n, as specified in the table in paragraph (C) of this section. It defines one-tail, 95% confidence intervals. |
| [SIGMA] | = | test sample standard deviation calculated from the following equation: |
Where:
| Xi | = | emission test result for an individual engine |
| x | = | mean of emission test results of the sample |
| STD | = | emission standard |
| n | = | The number of tests completed in an engine family |
(B) Reserved
(C) 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 | 8 | 1.645 |
(D) 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.
(E) After each new test, the required sample
size, N, is recalculated using updated sample means, sample standard deviations
and the appropriate 95% confidence coefficient.
(F) A manufacturer must continue testing and
updating each engine family's sample size calculations according to paragraphs
(4)(A) through (4)(F) of this section until a decision is made to stop testing
as described in paragraph (4)(G) of this section or a noncompliance decision is
made pursuant to (c)(6).
(G) 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 sample size, n, and the sample
mean, x, for HC + NOx is less than or equal to the emission standard, the
manufacturer may stop testing that engine family.
(H) If, at any time throughout the model
year, the sample mean, x, for HC + NOx is greater than the emission standard,
the manufacturer must continue testing that engine family at the appropriate
maximum sampling rate.
(I) The
maximum required sample size for an engine family (regardless of the required
sample size, N, as calculated in paragraph (4)(A) of this section) is thirty
tests per model year.
(J)
Manufacturers may elect to test additional randomly chosen engines. All
additional randomly chosen engines tested in accordance with the testing
procedures specified in Emission Standards and Test Procedures must be included
in the Sample Size and Cumulative Sum equation calculations as defined in
section (b), respectively.
(K)
Small volume manufacturers may limit the number of engines tested to one
percent of their California production. Compliance would be determined based on
the available test data.
(5) The manufacturer must produce and
assemble the test engines using its normal production and assembly process for
engines to be distributed into commerce.
(6) 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 in production or assembly
procedures.
(c) Calculation of Cumulative Sum (CumSum) Statistic. Each engine manufacturer must review the test results using the following procedure:
(1) Manufacturers must construct the
following CumSum equation for each regulated pollutant for each engine family.
Test results used to calculate the variables in the CumSum Equation must be
final deteriorated test results as defined in (d)(3).
Ci = max[0 OR (Ci-1 + Xi - (STD + F))]
Where:
| Ci | = | The current CumSum statistic |
| Ci-1 | = | The previous CumSum statistic. Prior to any testing, the CumSum statistic = 0 (i.e. C0 = 0) |
| Xi | = | The current emission test result for an individual engine |
| STD | = | Emission standard |
| F | = | 0.25 x s |
(2) After each test,
Ci is compared to the action limit, H, the quantity
which the CumSum statistic must exceed, in two consecutive tests, before the
engine family may be determined to be in noncompliance for purposes of
paragraph (c).
| H | = | The Action Limit. It is 5.0 x s, and is a function of the standard deviation, s. |
| [SIGMA] | = | is the sample standard deviation and is recalculated after each test. |
(3) After each engine is tested, the CumSum
statistic shall be promptly updated according to the CumSum Equation in
paragraph (1) of this subsection.
(4) If, at any time during the model year, a
manufacturer amends the application for certification for an engine family as
specified in Sections 17 and 18 of the Test Procedures by performing an engine
family modification (i.e. 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, changes in calibration, or the use of a
different deterioration factor), all previous sample size and CumSum statistic
calculations for the model year will remain unchanged.
(5) A failed engine is one whose final
deteriorated test result for a regulated pollutant exceeds the emission
standard for that pollutant.
(6) An
engine family may be determined to be in noncompliance, if at any time
throughout the model year, the CUMSUM statistic, Ci, for
a regulated pollutant is greater than the action limit, H, for two consecutive
tests.
(7) The engine manufacturer
must perform a minimum of two (2) tests per engine family per quarter of
production, regardless of whether the conditions of sample size have been
met.
(8) All results from the
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).
(9) 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 (10) working days. Corrective action will be taken as
noted in paragraphs (e) and (f) below.
(10) 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.
(11) 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.
(d) Calculation and reporting of test results.
(1) Initial
test results are calculated following the applicable test procedure. 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.)
(2)
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.
(3) 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.
(4)
If, at any time during the model year, the CumSum 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
Emissions Certification and Compliance Division, 4001 Iowa Avenue, Riverside,
CA 92507, within ten (10) working days of such exceedance by the Cum Sum
statistic.
(5) Within 30 calendar
days of the end of each quarter, each engine manufacturer must submit to the
Executive Officer a report which includes the following information:
(A) The location and description of the
manufacturer's or other's exhaust emission test facilities which were utilized
to conduct testing reported pursuant to this section;
(B) Total production and sample sizes, N and
n, for each engine family;
(C) The
applicable emissions standards for each engine family.
(D) A description of the process to obtain
engines on a random basis;
(E) A
description of the test engines. (i.e., date of test, engine family, engine
size, engine or equipment identification number, fuel system, dynamometer power
absorber setting in horsepower, engine code or calibration number, and test
location).
(F) The date of the end
of the engine manufacturer's model year production for each engine
family.
(G) For each test
conducted,
(i) A description of the test
engine, including:
(a) Configuration and
engine family identification,
(b)
Year, make, and build date,
(c)
Engine identification number, and
(d) Number of hours of service accumulated on
engine prior to testing;
(ii) Location where service accumulation was
conducted and description of accumulation procedure and schedule;
(iii) 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;
(iv) A
complete description of any adjustment, modification, repair, preparation,
maintenance, and/or testing which 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;
(v) The exhaust emission data for HC+NOx (or
NMHC+NOx, as applicable) and CO for each test engine or equipment. The data
reported must provide two significant figures beyond the number of significant
figures in applicable emission standards.
(vi) The retest emission data, as described
in paragraph (d) above for any engine or unit of equipment failing the initial
test, and description of the corrective actions and measures taken, including
specific component replaced or adjusted.
(vii) A CumSum analysis, as required in
paragraph (c), of the production line test results for each engine
family;
(viii) 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;
(ix) For each failed engine
as defined in paragraph (c), a description of the remedy and test results for
all retests.
(x) Every aborted test
data and reason for the aborted test.
(xi) The start and stop dates of
batch-produced engine family production.
(xii) The required information for all engine
families in production during the quarter regardless of sample size;
and
(xiii) The following signed
statement and endorsement by an authorized representative of the manufacturer:
This report is submitted pursuant to this article. This production line testing program was conducted in complete conformance with all applicable regulations under the Test Procedures. No emission-related changes to production processes or quality control procedures for the engine family tested have been made during this production line testing program that affect engines from the production line. All data and information reported herein is, to the best of (Company Name) knowledge, true and accurate. I am aware of the penalties associated with violations of the California Code of Regulations and the regulations thereunder. (Authorized Company Representative.)
(H) 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.
(e) Manufacturer Notification of Failure.
(1) 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, or seeking to
enjoin an engine manufacturer, and other interested parties, including, but not
limited to corrective actions applied to the noncompliant engine family. In
addition, the engine manufacturer may be subject to, on a per engine basis, any
and all remedies available under Part 5, Division 26 of the Health and Safety
Code, sections
43000
et seq.
(2) 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 of the noncompliant equipment in the State of California, or
being enjoined from any further sales, or distribution, of the noncompliant
equipment product line(s) that are, or utilize engines that are, noncompliant
with the applicable emission regulations in the State of California pursuant to
Section
43017
of the Health and Safety Code. Prior to revoking or suspending, or seeking to
enjoin an equipment manufacturer, and other interested parties, including, but
not limited to corrective actions applied to the noncompliant engine family. In
addition, the equipment manufacturer may be subject to, on a per engine basis,
any and all remedies available under Part 5, Division 26 of the Health and
Safety Code, sections
43000
et seq.
(f) Suspension and revocation of Executive Order.
(1) The
Executive Order is automatically suspended with respect to any engine failing
pursuant to paragraph (c)(5) effective from the time that testing of that
engine family is completed.
(2) The
Executive Officer may suspend the Executive Order for an engine family which is
determined to be in noncompliance pursuant to paragraph (c)(6). This suspension
will not occur before fifteen days after the engine family is determined to be
in noncompliance.
(3) 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 this and all other plants.
(4) Notwithstanding the fact that engines
described in the application for certification may be covered by an Executive
Order, the Executive Officer may suspend such certificate immediately in whole
or in part if the Executive Officer finds any one of the following infractions
to be substantial:
(A) The manufacturer
refuses to comply with any of the requirements of this subpart.
(B) The manufacturer submits false or
incomplete information in any report or information provided to the Executive
Officer under this subpart.
(C) The
manufacturer renders inaccurate any test data submitted under this
subpart.
(D) A CARB enforcement
officer is denied the opportunity to conduct activities authorized in this
subpart and a warrant or court order is presented to the manufacturer or the
party in charge of the facility in question.
(5) The Executive Officer may suspend such
certificate immediately in whole or in part if the Executive Officer finds that
a CARB enforcement officer is unable to conduct activities authorized in this
Section and the Test Procedures because a manufacturer has located its facility
in a foreign jurisdiction where local law prohibits those activities.
(6) The Executive Officer shall 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)(5) or (c)(6), whichever is
later, except that the certificate is immediately suspended with respect to any
failed engines as provided for in paragraph (a) of this section.
(7) The Executive Officer may revoke an
Executive Order for an engine family after the certificate 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 or emission control system
as described in the application for certification of the affected engine
family.
(8) 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
certificate is reinstated for that failed engine:
(A) Remedy the nonconformity;
(B) Demonstrate that the engine conforms to
the emission standards by retesting the engine in accordance with these
regulations; and
(C) Submit a
written report to the Executive Officer, after successful completion of testing
on the failed engine, which contains a description of the remedy and test
results for each engine in addition to other information that may be required
by this part.
(9) 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
certificate:
(A) Submit a written report to
the Executive Officer which identifies the reason for the noncompliance of the
engines, describes the proposed remedy, including a description of any proposed
quality control 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.
(B)
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 CumSum statistic falls below the action
limit. Such testing must comply with the provisions of this Part. If the
manufacturer elects to continue testing individual engines after suspension of
a certificate, the certificate 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 certificate pursuant to paragraph (f) of this
section.
(10) 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 a certificate for that modified family:
(A) If the Executive Officer determines that
the proposed change(s) in engine design may have an effect on emission
performance deterioration, the Executive Officer shall notify the manufacturer,
within five working days after receipt of the report in paragraph (9)(A) of
this section, whether subsequent testing under this subpart will be sufficient
to evaluate the proposed change or changes or whether additional testing will
be required; and
(B) 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 part by testing as many engines as needed
from the modified engine family so that the CumSum statistic, as calculated per
aforementioned method, falls below the action limit. When both of these
requirements are met, the Executive Officer shall reissue the certificate or
issue a new certificate, as the case may be, to include that family. As long as
the CumSum statistic remains above the action limit, the revocation remains in
effect.
(11) 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.
(12) Any suspension of an Executive Order
under paragraph (f)(4) of this section:
(A)
must be made only after the manufacturer concerned has been offered an
opportunity for a hearing conducted in accordance with all applicable
requirements and;
(B) need not
apply to engines no longer in the possession of the manufacturer.
(13) 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 shall
reinstate the Executive Order.
(14)
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 CumSum statistic does not fall below the action limit and must commit to
remedy any nonconformity at no expense to the owner.
Note: Authority cited: Sections 39600, 39601, 43013, 43017, 43018, 43101, 43102 and 43104, Health and Safety Code. Reference: Sections 43013, 43017, 43018, 43101, 43102, 43104, 43105, 43150- 43154, 43205.5 and 43210- 43212, Health and Safety Code.
Note: Authority cited: Sections 39600, 39601, 43013, 43017, 43018, 43101, 43102, and 43104, Health and Safety Code. Reference: Sections 43013, 43017, 43018, 43101, 43102, 43104, 43105, 43150- 43154, 43205.5 and 43210- 43212, Health and Safety Code.
Disclaimer: These regulations may not be the most recent version. California may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
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