(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 | |
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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). Click here to view image
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: |
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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 |
(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.Cal. Code Regs. Tit. 13, § 2437
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.
1. New section filed 10-19-99; operative 11-18-99 (Register 99, No. 43).
2. Change without regulatory effect amending subsections (a)(2), (a)(4), (a)(6), (b)(1)(B), (b)(2)(A), (c)(9), (d)(4), (f)(4)(D) and (f)(5) filed 7-16-2024 pursuant to section 100, title 1, California Code of Regulations (Register 2024, No. 29).