California Code of Regulations
Title 13 - Motor Vehicles
Division 3 - Air Resources Board
Chapter 9 - Off-Road Vehicles and Engines Pollution Control Devices
Article 4.7 - Spark-Ignition Marine Engines
Section 2446 - 2001 and Later Model Year Production-Line Test Procedures and Selective Enforcement Auditing Regulations for Spark-Ignition Marine Engines

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 Levels 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 HC+NOx 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:

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 model year 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.

1. For newly certified engine families: After two (2) engines are tested, the engine manufacturer will calculate the required sample size for the model year according to the Sample Size Equation in paragraph (c)(1)(B) of this section.

2. For carry-over engine families: After one engine is tested, the engine manufacturer must 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.

3. 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 Avenue, Riverside, CA 92507, before the start of production for the first year of production.

4.

1. Engine manufacturers must 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)(3)(C).

Click here to view image

where:

Click here to view image

where:

2. Actual Number of Tests (n) and 1-tail Confidence Coefficients (t95) are listed in Table 3 below:

3. An engine 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. An engine manufacturer must continue testing and updating each engine family's sample size calculations according to paragraphs (c)(1)(B)1. through (c)(1)(B)4. of this section until a decision is made to stop testing as described in paragraph (c)(1)(B)6. of this section or a noncompliance decision is made pursuant to paragraph (c)(2)(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 FEL for that pollutant, the engine manufacturer may stop testing that engine family except as required by paragraph (c)(2)(A)6.

7. If, at any time throughout the model year, the sample mean, x, for any regulated pollutant is greater than the FEL, the engine 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 (c)(1)(B)1. of this section) is thirty (30) tests per model year.

9. Engine manufacturers may elect to test additional randomly chosen engines. All additional randomly chosen engines tested in accordance with the testing procedures specified in the Test Procedures must be included in the Sample Size and Cumulative Sum equation calculations as defined in paragraphs (c)(1)(B)1. and (c)(2)(A)1. of this section, respectively.

1. Engine 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)(3)(C).

Ci = max[0 or (Ci-1 + Xi - (FELjx = F))]

where:

After each test, Ci is compared to the action limit, H, the quantity that the Cumulative Sum statistic must exceed, in two (2) consecutive tests, before the engine family may be determined to be in noncompliance for purposes of paragraphs (a)(2)(A)4. and (a)(2)(A)5.

2. After each engine is tested, the Cumulative Sum statistic must be promptly updated according to the Cumulative Sum Equation in paragraph (c)(2)(A)1. of this section.

3. If, at any time during the model year, an engine manufacturer amends the application for certification for an engine family as specified in Part I, section 28 or 29 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, 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)(3)(C), for a regulated pollutant exceeds the FEL 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 (2) 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)(1)(B)6. have been met. The Executive Officer may waive the requirement of this paragraph if the engine manufacturer does not have a failing engine family in the prior two model years of testing.

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 (c)(4)(E).

9. If an engine 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.

1. The location and description of the engine 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 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,

8. For each failed engine as defined in paragraph 7.d., above, 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; and

11. The required information for all engine families in production during the quarter regardless of sample size.

1. The engine manufacturer refuses to comply with any of the requirements of this section.

2. The engine manufacturer submits false or incomplete information in any report or information provided to the Executive Officer under this section.

3. The engine 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.

5. A CARB enforcement officer is unable to conduct activities authorized in paragraph (d)(2) of this section because an engine manufacturer has located its facility in a foreign jurisdiction where local law prohibits those activities.

1. Remedy the nonconformity;

2. Demonstrate that the engine conforms to its applicable FEL 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.

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 engine manufacturer to prevent future occurrences of the problem, and states the date on which the remedies will be implemented.

2. Demonstrate that the engine family for which the Executive Order has been suspended does in fact comply with the regulations of paragraphs (b) or (c), as applicable, by testing as many engines as needed so that the Cumulative Sum statistic, as calculated in paragraph (c)(2)(A)1., falls below the action limit, or the average emissions from the Quality-Audit testing as calculated in paragraph (b)(3)(A) remains below the FEL, as applicable. Such testing must comply with the provisions of paragraphs (b) or (c), as applicable. If the engine 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 (d)(5)(F) of this section.

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 engine manufacturer, within five (5) working days after receipt of the report in paragraph (d)(5)(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 engine manufacturer must demonstrate that the modified engine family does in fact conform with the regulations of paragraphs (b) or (c), as applicable, by testing as many engines as needed from the modified engine family so that the Cumulative Sum statistic, as calculated in paragraph (c)(2)(A)1., falls below the action limit, or the average emissions from the Quality-Audit testing as calculated in paragraph (b)(3)(A) remains below the FEL, as applicable. When this requirement is met, the Executive Officer will reissue the Executive Order or issue a new Executive Order, as the case may be, to include that family. The revocation of engine family executive orders issued based on Cumulative Sum testing results remains in effect as long as the Cumulative Sum statistic remains above the action limit.

1. must be made only after the engine manufacturer concerned has been offered an opportunity for a hearing pursuant to subchapter 1.25, Title 17, California Code of Regulations, and;

2. does not apply to engines no longer in the possession of the engine manufacturer.

1. The test order will specify the engine family to be selected for testing, the engine manufacturer's engine assembly plant or associated storage facility or port facility (for imported engines) from which the engines must be selected, the time and location at which engines must be selected, and the procedure by which engines of the specified family must be selected. The test order may specify the configuration to be audited and/or the number of engines to be selected per day. Engine manufacturers are required to select a minimum of four engines per day unless an alternate selection procedure is approved pursuant to paragraph (e)(2)(A), or unless total production of the specified configuration is less than four engines per day. If total production of the specified configuration is less than four engines per day, the engine manufacturer selects the actual number of engines produced per day.

2. The test order may include alternate families to be selected for testing at the Executive Officer's discretion in the event that engines of the specified family are not available for testing because those engines are not being manufactured during the specified time or are not being stored at the specified assembly plant, associated storage facilities, or port of entry.

3. If the specified family is not being manufactured at a rate of at least two (2) engines per day in the case of engine manufacturers specified in paragraph (e)(4)(G)(i) of this section, or one engine per day in the case of engine manufacturers specified in paragraph (e)(4)(G)(ii) of this section, over the expected duration of the audit, the Executive Officer or her or his designated representative may select engines of the alternate family for testing.

4. In addition, the test order may include other directions or information essential to the administration of the required testing.

1. Whenever the Executive Officer conducts a test on a test engine or the Executive Officer and engine manufacturer each conduct a test on the same test engine, the results of the Executive Officer's test are the official data for that engine.

2. Whenever the engine manufacturer conducts all tests on a test engine, the engine manufacturer's test data are accepted as the official data, provided that if the Executive Officer makes a determination based on testing conducted under paragraph (e)(2)(A) of this section that there is a substantial lack of agreement between the engine manufacturer's test results and the Executive Officer's test results, no engine manufacturer's test data from the engine manufacturer's test facility will be accepted for purposes of this subsection.

1. Notify the engine manufacturer in writing of the Executive Officer's determination that the test facility is inappropriate for conducting the tests required by this subsection and the reasons therefore; and

2. Reinstate any engine manufacturer's data upon a showing by the engine manufacturer that the data acquired under paragraph (e)(2) were erroneous and the engine manufacturer's data was correct.

1. For spark-ignition marine engines subject to the provisions of this subsection, the prescribed test procedures are the test procedures as specified in Part IV of the Test Procedures.

2. The Executive Officer may, on the basis of a written application by an engine manufacturer, prescribe test procedures other than those specified in paragraph 1. for any spark-ignition marine engine he or she determines is not susceptible to satisfactory testing using the procedures specified in paragraph 1.

1. The engine manufacturer may not adjust, repair, prepare, or modify the engines selected for testing and may not perform any emission tests on engines selected for testing pursuant to the test order unless this adjustment, repair, preparation, modification, and/or tests are documented in the engine manufacturer's engine assembly and inspection procedures and are actually performed or unless these adjustments and/or tests are required or permitted under this subsection or are approved in advance by the Executive Officer.

2. The Executive Officer may adjust or cause to be adjusted any engine parameter that the Executive Officer determines subject to adjustment for certification and Selective Enforcement Audit testing in accordance with Part I, section 18 of the Test Procedures, to any setting within the physically adjustable range of that parameter, as determined by the Executive Officer in accordance with section 18, prior to the performance of any tests. However, if the idle speed parameter is one which the Executive Officer has determined to be subject to adjustment, the Executive Officer may not adjust it to any setting that causes a lower engine idle speed than would have been possible within the physically adjustable range of the idle speed parameter if the engine manufacturer had accumulated 12 hours of service on the engine under paragraph (C) of this section, all other parameters being identically adjusted for the purpose of the comparison. The engine manufacturer may be requested to supply information needed to establish an alternate minimum idle speed. The Executive Officer, in making or specifying these adjustments, may consider the effect of the deviation from the engine manufacturer's recommended setting on emission performance characteristics as well as the likelihood that similar settings will occur on in-use engines. In determining likelihood, the Executive Officer may consider factors such as, but not limited to, the effect of the adjustment on engine performance characteristics and information from similar in-use engines.

1. Service accumulation must be performed in a manner using good engineering judgment to obtain emission results representative of normal production engines. This service accumulation must be consistent with the new engine break-in instructions contained in the applicable owner's manual.

2. The engine manufacturer must accumulate service at a minimum rate of 6 hours per engine during each 24-hour period, unless otherwise approved by the Executive Officer.

3. Service accumulation must be completed on a sufficient number of test engines during consecutive 24-hour periods to assure that the number of engines tested per day fulfills the requirements of paragraphs (G)1. and (G)2. below.

1. An engine manufacturer with projected spark-ignition marine engine sales for the California market for the applicable year of 20 or greater must complete emission testing at a minimum rate of two (2) engines per 24-hour period, including each voided test.

2. An engine manufacturer with projected spark-ignition marine engine sales for the California market for the applicable year of less than 20 must complete emission testing at a minimum rate of one engine per 24-hour period, including each voided test.

3. The Executive Officer may approve a lower daily rate of emission testing based upon a request by an engine manufacturer accompanied by a satisfactory justification.

1. The engine manufacturer may retest any engines tested during a Selective Enforcement Audit once a fail decision for the audit has been reached in accordance with paragraph (e)(5)(E).

2. The Executive Officer may approve retesting at other times based upon a request by the engine manufacturer accompanied by a satisfactory justification.

3. The engine manufacturer may retest each engine a total of three times. The engine manufacturer must test each engine or vehicle the same number of times. The engine manufacturer may accumulate additional service before conducting a retest, subject to the provisions of paragraph (C) of this paragraph (4).