FINAL REGULATION ORDER, PART 2 (continued) 

Adopt “California Exhaust and Evaporative Emission Standards and Test Procedures 

for New 2010 and Later Off-Road Large Spark-ignition Engines (2010 and Later Test 

Procedure 1048),” to read: 
1

State of California 

AIR RESOURCES BOARD 

PROPOSED CALIFORNIA EXHAUST AND EVAPORATIVE EMISSION STANDARDS 

AND TEST PROCEDURES FOR NEW 2010 AND LATER OFF-ROAD

 LARGE SPARK-IGNITION ENGINES 

(2010 and Later Test Procedure 1048) 

Adopted: March 2, 2007 

NOTE: This document incorporates by reference Title 40, Code of Federal Regulations 

(CFR), Part 1048 – CONTROL OF EMISSIONS FROM NEW, LARGE NONROAD 

SPARK-IGNITION ENGINES, Subparts A, B, C, F, G, H, and I, including Appendix I 

and II to Part 1048 as amended on July 13, 2005 (Federal Register, Volume 70, pages 

40465 through 40486), and the internally referenced subparts of 40 CFR Part 86, 40 

CFR Part 1065, and 40 CFR Part 1068. Sections that have been included in their 

entirety are set forth with the section number and title. California provisions that replace 

specific federal provisions are denoted by the words “DELETE” for the federal language 

and “REPLACE WITH” or “ADD” for the California regulations. The symbols “* * * * *” 

and “...” mean that the remainder of the CFR text for a specific section, which is not 

shown in these regulations, has been included by reference, with only the printed text 

changed. Federal regulations that are not listed are not part of the California 

regulations. 

This document is all newly adopted text.
2

PART 1048 – CONTROL OF EMISSIONS FROM NEW, LARGE NONROAD SPARKIGNITION ENGINES 

Subpart A—Overview and Applicability 

§1048.1 Does this part apply to me? 

* * * * * 

(b) DELETE AND REPLACE WITH: 

This part 1048 applies for engines built on or after January 1, 2010. You need not 

follow this part for engines you produce before January 1, 2010. See §1048.101 

through 1048.115, and the definition of model year in §1048.801 for more information 

about the timing of new requirements. 

* * * * * 

(d) DELETE AND REPLACE WITH: 

Engines with a maximum engine power at or below 19 kW are covered by Title 13, 

California Code of Regulations, Chapter 9, Article 1, Small Off-Road Engines 

§1048.5 Which engines are excluded from this part’s requirements? 

This part does not apply to the following nonroad engines: 

(a) DELETE AND REPLACE WITH: 

Engines that are subject to the requirements of Title 13, California Code of Regulations, 

Chapter 9, Article 3, Off-Highway Recreational Vehicles and Engines, including any 

related provisions and guidelines that are applicable to Off-Highway Recreational 

Vehicles and Engines. 

(b) DELETE AND REPLACE WITH: 

Propulsion marine engines. See Title 13, California Code of Regulations, Chapter 9, 

Article 4.7, Spark-Ignition Marine Engines. This part applies with respect to auxiliary 

marine engines. 

§1048.10 How is this part organized? 

* * * * * 

 

(b) DELETE AND REPLACE WITH: 

Subpart B of this part describes the emission standards and other requirements that 

must be met to certify engines under this part. 
3

§1048.15 Do any other regulation parts affect me? 

* * * * * 

(b)(2) DELETE AND REPLACE WITH: 

Certification Procedures for Aftermarket Parts for Off-road Vehicles, Engines, 

Equipment, Chapter 9, Article 4.7, sections 2470 – 2476, Title 13, California Code of 

Regulations 

* * * * * 

(b)(6) DELETE AND REPLACE WITH: 

Procedures for In-Use Engine Recalls for Large Off-Road Spark-Ignition Engines with 

an Engine Displacement Greater Than 1.0 Liter, Chapter 9, Article 4.5, section 2439, 

Title 13, California Code of Regulations 

* * * * * 

(b)(7) DELETE AND REPLACE WITH: 

Administrative Procedures – Hearings, Subchapter 1, Article 1, Sections 60040 – 

60094, Title 17, California Code of Regulations 

ADD: 

(b)(8) 

Large Spark-Ignition (LSI) Engine Fleet Requirements, Chapter 15, Article 2, sections 

2775, 2775.1, and 2775.2, Title 13, California Code of Regulations 

§1048.20 What requirements from this part apply to excluded stationary 

engines? 

Subpart B—Emission Standards and Related Requirements 

§1048.101 What exhaust emission standards must my engines meet? 

* * * * * 

(a) DELETE AND REPLACE WITH: 

Emission standards for transient testing. Starting in the 2010 model year, transient 

exhaust emissions from your engines may not exceed the following emission standards: 

(1) Measure emissions using the applicable transient test procedures described in 

subpart F of this part. 

DELETE AND REPLACE WITH: 

(a)(2) Exhaust Emission Standards. Exhaust emissions from off-road large spark-ignition 

engines manufactured for sale, sold, or offered for sale in California, or that are 
4

introduced, delivered or imported into California for introduction into commerce, must not 

exceed: 

Exhaust Emission Standards 

(grams per brake horsepower-hour) 

[grams per kilowatt-hour](1)

Model Year Engine 

Displacement 

Durability 

Period 

HC + NOx Carbon 

Monoxide 

2010 and 

subsequent ≤1.0 liter 

1,000 

hours or 2 

years 

9.0 

[12.0] 

410 

[549] 

2010 and 

subsequent(

2) 

> 1.0 liter 

5000 

hours or 7 

years 

0.6 

[0.8] 

15.4 

[20.6] 

Note: (1) Pollutant emissions reported to ARB by manufacturers must be in grams per kilowatthour. 

 (2) Small volume manufacturers are required to comply with these emission standards in 

2013. 

For severe-duty engines, the HC+NOx standard is 2.7 g/kW-hr and the CO standard is 

130.0 g/kW-hr. The following engines are not subject to the transient standards in this 

paragraph (a): 

A. High-load engines. 

B. Engines with maximum engine power above 560 kW. 

C. Engines with maximum test speed above 3400 rpm. 

* * * * * 

(e) Fuel types. DELETE AND REPLACE WITH: 

(e) Fuel types and Test Fuel 

(1) Fuel types. 

The exhaust emission standards in this section apply for engines using each type of 

fuel specified in 40 CFR part 1065, subpart H, on which the engines in the engine 

family are designed to operate, except for engines certified under §1048.625. For 

engines certified under §1048.625, the standards of this section apply to emissions 

measured using the specified test fuel. You must meet the numerical emission 

standards for hydrocarbons in this section based on the following types of hydrocarbon 

emissions for engines powered by the following fuels: 

(A) Gasoline- and LPG-fueled engines: THC emissions. 

(B) Natural gas-fueled engines: NMHC emissions. 

(C) Alcohol-fueled engines: THCE emissions. 

* * * * * 
5

ADD: 

(2) Test Fuel. 

(A) If the engine is a gasoline-fueled large spark-ignition engine, then the test fuel used 

shall be consistent with the fuel specifications as outlined in the "California Exhaust 

Emission Standards and Test Procedures for 2001 and Subsequent Model Passenger 

Cars, Light-Duty Trucks, and Medium-Duty Vehicles," as of January 1, 2006 (last 

amended August 4, 2005) incorporated by reference in Section 1961(d), Title 13, CCR). 

 The California fuel specifications are contained in the California Code of Regulations, 

Title 13, Chapter 5, Article 1, Sections 2260-2272. If the engine is tested using the U.S. 

EPA test fuel, consistent with the fuel specifications as outlined in Title 40 Code of 

Federal Register, Part 1065, subpart H, the manufacturer shall demonstrate that the 

emission test results complies with these Test Procedures. 

(B) If the engine is not a gasoline-fueled large spark-ignition engine, then the test fuel 

used shall be consistent with the fuel specifications as outlined in the "California 

Exhaust Emission Standards and Test Procedures for 2001 and Subsequent Model 

Passenger Cars, Light-Duty Trucks, and Medium-Duty Vehicles," as of January 1, 2006 

(last amended August 4, 2005) incorporated by reference in Section 1961(d), Title 13, 

CCR). The California fuel specifications are contained in the California Code of 

Regulations, Title 13, Chapter 5, Article 3, Sections 2290- 2293.5. If the engine is 

tested using the U.S. EPA test fuel, consistent with the fuel specifications as outlined in 

Title 40 Code of Federal Register, Part 1065, subpart H, the manufacturer shall 

demonstrate that the emission test results complies with these Test Procedures. 

(C) During all engine tests, the engine shall employ a lubricating oil consistent with the 

engine manufacturer's specifications for that particular engine. These specifications 

shall be recorded and declared in the certification application. 

(f) DELETE AND REPLACE WITH: 

Large spark-ignition engines, one liter or less. Engines with total displacement at or 

below 1000 cc shall comply with the requirements of Title 13, California Code of 

Regulations, Chapter 9, Article 4.5, Off-Road Large Spark-Ignition Engines. 

* * * * * 

§1048.105 What evaporative emission standards and requirements apply? 

§1048.110 How must my engines diagnose malfunctions? 

§1048.115 What other requirements must my engines meet? 

Engines subject to this part must meet the following requirements: 

(a) DELETE AND REPLACE WITH: 

Crankcase emissions. No crankcase emissions shall be discharged directly into the 

ambient atmosphere from any new 2001 or later engines subject to the provisions of 

this part. 
6

* * * * * 

§1048.120 What emission-related warranty requirements apply to me? 

DELETE AND REPLACE WITH: 

PART 1 

(a) Applicability. This section applies to new 2010 and later model year off-road large 

spark-ignition engines with engine displacement greater than 1.0 liter that are certified 

to the applicable emission standards. The warranty period begins on the date the 

engine or equipment is delivered to an ultimate purchaser. The use of alternative fuels 

must not void the warranties on any engine certified to use such fuel. 

(b) General Emissions Warranty Coverage. The manufacturer of each off-road large 

spark-ignition engine must warrant to the ultimate purchaser and each subsequent 

purchaser that the engine is: 

(1) Designed, built, and equipped so as to conform with all applicable regulations 

adopted by the Air Resources Board pursuant to its authority in Chapters 1 and 2, Part 

5, Division 26 of the Health and Safety Code; and 

(2) Free from defects in materials and workmanship which cause the failure of a 

warranted part to be identical in all material respects to the part as described in the 

engine manufacturer's application for certification for a period of 3 years or 2,500 hours, 

whichever occurs first. 

(3) Free from defects in materials and workmanship which cause the failure of a highcost warranted part to be identical in all material respects to the part as described in the 

engine manufacturer's application for a period of five years or 3,500 hours of operation, 

whichever occurs first. 

(A) Each manufacturer shall identify in its application for certification the "highpriced" warranted parts which (i) are included on the Board's "Emission Warranty 

Parts List" as last amended February 22, 1985, incorporated herein by 

reference, and (ii) have an individual replacement cost, at the time of 

certification, exceeding the cost limit defined in subsection (B). The replacement 

cost shall include the cost of the part, labor and standard diagnosis. The costs 

shall be those of the highest-cost metropolitan area of California. 

(B) The dollar value of a high cost part shall be based on the following formula: 
7

Cost Limitn = $300 * ( CPIn-2 /118.3) 

where, 

Cost Limitn is the cost limit for the applicable model year of the engine rounded to the 

nearest ten dollars. 

n is the model year of the new engines. 

n-2 is the calendar year two years prior to the model year of the new engines. 

CPI= is the annual average nationwide urban consumer price index published by the 

United States Bureau of Labor Statistics. 

(C) The cost limit shall be reviewed annually by the Executive Officer. The 

highest-cost metropolitan area in California shall be identified by the Executive 

Officer for use in this subsection. If a manufacturer seeks certification of an 

engine before the applicable annual average CPI is available, the cost limit shall 

be calculated using the average of the monthly nationwide urban CPI figures for 

the most recent twelve month period for which figures have been published by 

the United States Bureau of Labor Statistics. 

(D) Each manufacturer shall submit to the Executive Officer the documentation 

used to identify the "high-priced" warranted parts required in this subsection. The 

documentation shall include the estimated retail parts costs, labor rates in dollars 

per hour, and the labor hours necessary to diagnosis and replace the parts. 

(4) In the absence of a device to measure hours of use, the engine must be warranted 

for a period of the years noted above in subsections (2) and (3). If a device to measure 

hours is used, the engine must be warranted for the number of hours or the number of 

years noted above in subsections (2) and (3), whichever occurs first. 

(c) The warranty on emissions-related parts must be interpreted as follows: 

(1) Any warranted part that is not scheduled for replacement as required maintenance 

in the written instructions required by Subsection (e) must be warranted for the warranty 

period defined in Subsection (b)(2) and (b)(3). If any such part fails during the period of 

warranty coverage, it must be repaired or replaced by the engine manufacturer 

according to Subsection (4) below. Any such part repaired or replaced under the 

warranty must be warranted for the remaining warranty period. 

(2) Any warranted part that is scheduled only for regular inspection in the written 

instructions required by Subsection (e) must be warranted for the warranty period 

defined in Subsection (b)(2) and (b)(3). A statement in such written instructions to the 

effect of "repair or replace as necessary" must not reduce the period of warranty 
8

coverage. Any such part repaired or replaced under warranty must be warranted for the 

remaining warranty period. 

(3) Any warranted part that is scheduled for replacement as required maintenance in 

the written instructions required by Subsection (e) must be warranted for the period of 

time prior to the first scheduled replacement point for that part. If the part fails prior to 

the first scheduled replacement, the part must be repaired or replaced by the engine 

manufacturer according to Subsection (4) below. Any such part repaired or replaced 

under warranty must be warranted for the remainder of the period prior to the first 

scheduled replacement point for the part. 

(4) Repair or replacement of any warranted part under the warranty provisions of this 

article must be performed at no charge to the owner at a warranty station. 

(5) Notwithstanding the provisions of Subsection (4) above, warranty services or repairs 

must be provided at all manufacturer distribution centers that are franchised to service 

the subject engines. 

(6) The owner must not be charged for diagnostic labor that leads to the determination 

that a warranted part is in fact defective, provided that such diagnostic work is 

performed at a warranty station. 

(7) The engine manufacturer must be liable for damages to other engine components 

proximately caused by a failure under warranty of any warranted part. 

(8) Throughout the engine's warranty period defined in Subsection (b)(2) and (b)(3), the 

engine manufacturer must maintain a supply of warranted parts sufficient to meet the 

expected demand for such parts. 

(9) Any replacement part, as defined in Section 1900(b)(13), Title 13, may be used in 

the performance of any maintenance or repairs and must be provided without charge to 

the owner. It is not necessary for replacement parts to be the same brand or by the 

same manufacturer as the original part sold with the engine. Such use must not reduce 

the warranty obligations of the engine manufacturer. 

(10) Add-on or modified parts, as defined in Section 1900(b)(1) and (b)(10), Title 13, 

that are not exempted by the Air Resources Board may not be used. The use of any 

non-exempted add-on or modified parts will, at the discretion of the engine 

manufacturer, be grounds for disallowing a warranty claim made in accordance with this 

article. The engine manufacturer must not be liable under this article to warrant failures 

of warranted parts caused by the use of a non-exempted add-on or modified part. 

(11) The Executive Officer may request and, in such case, the engine manufacturer 

must provide, any documents that describe that manufacturer's warranty procedures or 

policies. 
9

(d) Each manufacturer must include a copy of the following emission warranty parts list 

with each new engine, using those portions of the list applicable to the engine. 

(1) Fuel Metering System 

(A) Fuel injection system. 

(B) Air/fuel ratio feedback and control system. 

(C) Carburetor system (internal parts and/or pressure regulator or fuel mixer or 

injection system). 

(D) Cold start enrichment system. 

(2) Air Induction System 

(A) Intake manifold or air intake system. 

(B) Air mass sensor assembly. 

(C) Turbocharger/supercharger systems. 

(3) Exhaust Gas Recirculation (EGR) System 

(A) EGR valve body, and carburetor spacer if applicable. 

(B) EGR rate feedback and control system. 

(4) Air injection System 

(A) Air pump or pulse valve. 

(B) Valves affecting distribution of flow. 

(C) Distribution manifold. 

(5) Catalyst or Thermal Reactor System 

(A) Catalytic converter. 

(B) Thermal reactor. 

(C) Exhaust manifold. 

(6) Positive Crankcase Ventilation (PCV) System. 

(A) PCV Valve. 

(B) Oil Filler Cap. 

(7) Ignition Control System 

(A) Engine Control Module (ECM). 

(B) Ignition module(s). 

(8) Miscellaneous items Used in Above Systems 

(A) Vacuum, temperature, and time sensitive valves and switches. 

(B) Sensors used for electronic controls. 

(C) Hoses, belts, connectors, assemblies, clamps, fittings, tubing, sealing 

gaskets or devices, and mounting hardware. 

(D) Pulleys, belts and idlers. 
10

(e) Each manufacturer must furnish with each new engine written instructions for the 

maintenance and use of the engine by the owner. The instructions must be consistent 

with this article and applicable regulations contained herein. 

(f) Each manufacturer must submit the documents required by Subsections (d) and (e) 

with the manufacturer's preliminary application for engine certification for approval by 

the Executive Officer. Approval by the Executive Officer of the documents required by 

Subsections (d) and (e) must be a condition of certification. The Executive Officer must 

approve or disapprove the documents required by Subsections (d) and (e) within 90 

days of the date such documents are received from the manufacturer. Any disapproval 

must be accompanied by a statement of the reasons therefor. In the event of 

disapproval, the manufacturer may file for an adjudicative hearing under Title 17, 

California Code of Regulation, Division 3, Chapter 1, Subchapter 1.25 to review the 

decision of the Executive Officer. 

(g) In the application, each manufacturer must include a statement concerning proper 

maintenance of the engine to maximize emissions performance. The statement must 

include, but not be limited to, information on air filter care and replacement schedule, 

proper fueling and fuel mixing, engine maintenance, and a maintenance schedule to 

ensure that the owner returns to a servicing center to check for deposits, debris 

build-up, etc. 

(h) Each engine, including all parts of its emission-control system must meet the 

requirements of California Code of Regulations, Title 13, Chapter 9, Article 4.5, Section 

2436, Emission Control System Warranty Statement. 

PART 2 

(a) Each manufacturer must furnish a copy of the following statement with each new 

off-road large spark-ignition engine with engine displacement greater than 1.0 liter, that 

have been certified to the applicable emission standards pursuant to Section 2433(b), 

using those portions of the statement applicable to the engine. Each manufacturer must 

furnish a copy of the warranty statement as set forth in the California Code of 

Regulations, Title 13, Section 2406(a) with each new off-road large spark-ignition 

engine with engine displacement less than or equal to 1.0 liter, using those portions of 

the statement applicable to the engine. 

CALIFORNIA EMISSION CONTROL WARRANTY STATEMENT 

YOUR WARRANTY RIGHTS AND OBLIGATIONS 

The California Air Resources Board (and manufacturer's name, optional) is pleased to 

explain the emission control system warranty on your (model year(s)) (equipment type 

or off-road large spark-ignition) engine. In California, new off-road large spark-ignition 

(LSI) engines must be designed, built and equipped to meet the State's stringent antismog standards. (Manufacturer's name) must warrant the emission control system on 
11

your engine for the periods of time listed below provided there has been no abuse, 

neglect or improper maintenance of your engine. 

Your emission control system may include parts such as the carburetor, regulator or 

fuel-injection system, ignition system, engine computer unit (ECM), catalytic converter 

and air induction system. Also included may be sensors, hoses, belts, connectors and 

other emission-related assemblies. 

Where a warrantable condition exists, (manufacturer's name) will repair your LSI engine 

at no cost to you including diagnosis, parts and labor. MANUFACTURER'S 

WARRANTY COVERAGE: The (model year(s)) off-road large spark-ignition engines 

are warranted for (warranty period). If any emission-related part on your engine is 

defective, the part will be repaired or replaced by (manufacturer's name). OWNER'S 

WARRANTY RESPONSIBILITIES: - As the off-road LSI engine owner, you are 

responsible for the performance of the required maintenance listed in your owner's 

manual. (Manufacturer's name) recommends that you retain all receipts covering 

maintenance on your off-road engine, but (manufacturer's name) cannot deny warranty 

solely for the lack of receipts or for your failure to ensure the performance of all 

scheduled maintenance. - As the off-road large spark-ignition engine owner, you should 

however be aware that (manufacturer's name) may deny you warranty coverage if your 

off-road large spark-ignition engine or a part has failed due to abuse, neglect, improper 

maintenance or unapproved modifications. - Your engine is designed to operate on 

(specific fuel(s)).Use of any other fuel may result in your engine no longer operating in 

compliance with California's emissions requirements. - You are responsible for initiating 

the warranty process. The ARB suggests that you present your off-road large sparkignition engine to a (manufacturer's name) dealer as soon as a problem exists. The 

warranty repairs should be completed by the dealer as expeditiously as possible. 

If you have any questions regarding your warranty rights and responsibilities, you 

should contact (Insert chosen manufacturer's contact) at 1-XXX-XXX-XXXX. 

(b) Warranty statement furnishing requirements. 

(1) Commencing with the 2001 model year for large off-road large spark-ignition 

engines with engine displacement greater than 1.0 liter, each manufacturer must 

furnish with each new engine a warranty statement that generally describes the 

obligations and rights of the engine manufacturer and owner under this article. Engine 

manufacturers must also include in the warranty statement a phone number the 

customer may use to obtain their nearest franchised service center. 

(2) Commencing with the 2002 model year for large off-road large spark-ignition 

engines with engine displacement less than or equal to 1.0 liter, each manufacturer 

must furnish with each new engine a warranty statement as set forth in the California 

Code of Regulations, Title 13, Section 2406(b). 
12
13

(c) Each manufacturer must submit the documents required by Subsections (a) and (b) 

with the manufacturer's preliminary application for new engine certification for approval 

by the Executive Officer. The Executive Officer may reject or require modification of the 

documents to the extent the submitted documents do not satisfy the requirements of 

Subsections (a) and (b). Approval by the Executive Officer of the documents required 

by Subsections (a) and (b) must be a condition of certification. The Executive Officer 

must approve or disapprove the documents required by Subsections (a) and (b) within 

90 days of the date such documents are received from the manufacturer. Any 

disapproval must be accompanied by a statement of the reasons therefor. In the event 

of disapproval, the manufacturer may petition the Board to review the decision of the 

Executive Officer. 

§1048.125 What maintenance instructions must I give to buyers? 

§1048.130 What installation instructions must I give to equipment 

manufacturers? 

§1048.135 How must I label and identify the engines I produce? 

* * * * * 

(c)(9) DELETE AND REPLACE WITH: 

Contain the maintenance specifications and adjustments recommended by the engine 

manufacturer, including, as applicable: spark plug gap width, valve lash, ignition timing, 

idle air/fuel mixture setting procedure and value (e.g., idle CO, idle speed drop), and 

high idle speed. These specifications must indicate the proper transmission position (if 

applicable) during tune-up and what accessories, if any, should be in operation, and 

what systems, if any (e.g., vacuum advance, air pump), should be disconnected during 

the tune-up. If the manufacturer does not recommend adjustment of the foregoing 

specifications, the manufacturer must include in lieu of the “specifications” the single 

statement “No other adjustments needed.” For all engines, the instructions for tune-up 

adjustments must be sufficiently clear on the label to preclude the need for a mechanic 

or equipment owner to refer to another document in order to correctly perform the 

adjustments. 

* * * * * 

(17) DELETE AND REPLACE WITH: 

If your engines are certified to the optional lower-emission standards in §1048.140, 

state: “OLES.” 

* * * * * 

ADD: 
14

(g) Engine labels must meet the requirements of California Code of Regulations, Title 

13, Chapter 9, Article 4.5, Section 2434, Emission Control Labels − 2001 and Later OffRoad Large Spark-Ignition Engines and must also include evaporative warranty 

information as described in California Code of Regulations, Title 13, Chapter 15, 

Article 1, Section 2759. 

§1048.140 What are the provisions for certifying Blue Sky Series engines? 

DELETE SECTION AND REPLACE WITH: 

§1048.140 What are the provisions for certifying optional lower-emission 

engines? 

DELETE AND REPLACE WITH:

This section defines optional exhaust-emission standards for engines equipped with 

superior emission control systems. These engines, designated as “optional 

lower-emission standard” or “OLES” engines, must meet all the requirements in this 

part that apply to 2010 model year engines and one of the standards in the following 

table. These engines must also meet all testing and reporting requirements: 

Optional Exhaust Emission Standards for 

 Hydrocarbons plus Oxides of Nitrogen (HC+NOx) and Carbon Monoxide (CO) 

in grams per brake horsepower-hour (grams per kilowatt-hour) 

Standard – g/bhp-hr (g/kW-hr) 

Model Year Engine 

Displacement 

Durability 

Period HC+NOx CO 

0.4 (0.5) 

2010 and 0.2 (0.3) 

subsequent > 1.0 liter 

5000 

hours or 

7 years 

0.1 (0.1) 

15.4 (20.6) 

Note: (1) Pollutant emissions reported to ARB by manufacturers must be in grams per 

kilowatt-hour. 

If you certify an engine family under this section, it is subject to all the requirements of 

this part as if these voluntary standards were mandatory. 

§1048.145 Are there interim provisions that apply only for a limited time? 

(a) DELETE 

Subpart C—Certifying Engine Families 

§1048.201 What are the general requirements for obtaining a certificate of 

conformity? 

§1048.205 What must I include in my application? 
15 

* * * * * 

(aa) DELETE AND REPLACE WITH: 

Name an agent for service of process located in the United States. Service on this 

agent constitutes service on you or any of your officers or employees for any action by 

the California Air Resources Board. 

§1048.210 May I get preliminary approval before I complete my application? 

§1048.220 How do I amend the maintenance instructions in my application?

§1048.225 How do I amend my application for certification to include new or 

modified engines? 

§1048.230 How do I select engine families? 

* * * * * 

(f) DELETE 

§1048.235 What emission testing must I perform for my application for a 

certificate of conformity? 

§1048.240 How do I demonstrate that my engine family complies with exhaust 

emission standards? 

* * * * * 

(c) DELETE AND REPLACE WITH: 

To compare emission levels from the emission-data engine with the applicable 

emission standards, apply deterioration factors to the measured emission levels for 

each pollutant. Specify the deterioration factors based on emission measurements 

using four significant figures, consistent with good engineering judgment. For example, 

your deterioration factors must take into account any available data from in-use testing 

with similar engines (see subpart E of this part). Apply deterioration factors as follows: 

* * * * * 

(2) DELETE 

* * * * * 

§1048.245 How do I demonstrate that my engine family complies with 

evaporative emission standards? 

§1048.250 What records must I keep and make available to ARB? 
16 

* * * * * 

ADD: 

(e) Maintain certification engines for a period of two years. 

§1048.255 When may EPA deny, revoke, or void my certificate of conformity? 

Subpart D—Testing Production-line Engines 

§1048.301 When must I test my production-line engines? 

DELETE AND REPLACE WITH: 

(a) Compliance Test Procedures 

(1) These procedures apply, commencing with the 2001 model year, to any large offroad 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 state board at 

the Haagen- Smit Laboratory, 9528 Telstar Avenue, El Monte, California 91731 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 

an ARB 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. 
17 

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 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, the ARB 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, the ARB 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 ARB 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 
18 

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: 

n 

Σ (xi - μo ) 

U = I = 1 

n 

(Σ (xi - μo )2

 )0.5

I = 1 

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 
19 

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 
20 

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 
21 

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) Air Resources Board (ARB) 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 the 

ARB. The procedure for randomly selecting engines or units of equipment must be 

submitted to the Chief, Mobile Source Operations Division, 9528 Telstar Avenue, 

El Monte, CA, 91731, 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 
22 

(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). 

 1 + 

(x - STD)

(t x )

 = N

95

2











 σ

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. 

σ = test sample standard deviation calculated from the following 

equation: 
23 

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 (t 95) 

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 ∞ 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. 

1 - n

( X x - )

 = 

2 ∑ i σ
24 

(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). 
25 

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 × σ 

(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 × σ, and is a function of the standard 

deviation, σ. 

σ = is the sample standard deviation and is recalculated after each test. 
26 

(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, C i, 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 Mobile Source Operations 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.) 
27 

(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 Mobile Sources 

Operations Division and the Manager of the New Vehicle Audit Section, 9528 Telstar 

Ave., El Monte, CA 91731, 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, 
28 

(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: 
29 

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. 
30 

(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) An ARB 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 an ARB 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. 
31 

(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 
32 

(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. 

§1048.305 How must I prepare and test my production-line engines? 

DELETE 

§1048.310 How must I select engines for production-line testing? 

DELETE 
33 

§1048.315 How do I know when my engine family fails the production-line testing 

requirements? 

DELETE 

§1048.320 What happens if one of my production-line engines fails to meet 

emission standards? 

DELETE 

§1048.325 What happens if an engine family fails the production-line 

requirements? 

DELETE 

§1048.330 May I sell engines from an engine family with a suspended certificate 

of conformity? 

DELETE 

§1048.335 How do I ask EPA to reinstate my suspended certificate? 

DELETE 

§1048.340 When may EPA revoke my certificate under this subpart and how may 

I sell these engines again? 

(a) We may revoke your certificate for an engine family in the following cases: 

* * * * * 

(2) DELETE AND REPLACE WITH: 

Your engine family fails to comply with the requirements of this subpart and your 

proposed remedy to address a suspended certificate under §1048.301 is 

inadequate to solve the problem or requires you to change the engine’s design or 

emission-control system. 

(b) To sell engines from an engine family with a revoked certificate of conformity, you 

must modify the engine family and then show it complies with the requirements of this 

part. 

(1) DELETE AND REPLACE WITH: 

If we determine your proposed design change may not control emissions for the 

engine’s full useful life, we will tell you within ten working days after receiving your 

report. In this case we will decide whether production-line testing will be enough for 

us to evaluate the change or whether you need to do more testing. 

* * * * * 

§1048.345 What production-line testing records must I send to EPA? 

DELETE 

§1048.350 What records must I keep? 
34 

DELETE 

Subpart E—Testing In-use Engines 

§1048.401 What testing requirements apply to my engines that have gone into 

service?

§1048.405 How does this program work? 

§1048.410 How must I select, prepare, and test my in-use engines? 

DELETE AND REPLACE WITH: 

(a) This section applies to new 2010 and later model year off-road large spark-ignition 

engines with engine displacement greater than 1.0 liter. 

(b) Manufacturer In-Use Testing Program. 

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. An engine is in compliance with these 

standards and test procedures only when all portions of these in-use test procedures 

and specified requirements from the Test Procedures are fulfilled, except that any 

adjustable engine parameters must be set to the nominal value or position as indicated 

on the engine label. 

(1) Within a manufacturer's model-year engine production period, the ARB will identify 

those engine families, and the specific configurations within an engine family, that the 

manufacturer must subject to in-use testing as described below. For each model year, 

ARB may identify a number of engine families that is no greater than 25 percent of the 

number of engine families to which this article is applicable. For those manufacturers 

producing three or less engine families in a model year, ARB may designate a 

maximum of one engine family per model year for in-use testing. 

(2) For each engine family identified by ARB, engine manufacturers must perform 

emission testing of an appropriate sample of in-use engines from each engine family. 

Manufacturers must submit data from this in-use testing to ARB. 

(3) An engine manufacturer must test in-use engines from each engine family identified 

by ARB. All engines selected by the manufacturer for testing must be identified by the 

manufacturer, and a list of the selected engines must be submitted to the Executive 

Officer, prior to the onset of testing. Engines to be tested must have accumulated a 

minimum of 0.50 (50 percent) of the family's certified useful life period. The number of 

engines to be tested by a manufacturer will be determined by the following method: 

(A) a minimum of four engines per family, provided that no engine fails any emission 

standard. For each exceedance, two additional engines must be tested until the total 
35 

number of engines equals ten. 

(B) For engine families of less than 500 engines (national production) for the identified 

model year or for engine manufacturers who make less than or equal to 2,000 engines 

nationally for that model year, a minimum of two (2) engines per family provided that no 

engine fails any emission standard. For each failing engine, two more engines shall be 

tested until the total number of engines equals ten (10). 

(C) If an engine family was certified using carryover emission data and has been 

previously tested under paragraphs (b)(3)(A) or (b)(3)(B) of this section (and a recall for 

that family has not occurred), then only one engine for that family must be tested. If that 

one engine fails any emission standard, testing must be conducted as outlined in 

subsections (b)(3)(A) or (b)(3)(B), whichever is appropriate. 

(4) The Executive Officer may approve an alternative to manufacturer in-use testing, 

where: 

(A) Engine family production is less than or equal to 200 per year, nationally; 

(B) Engines cannot be obtained for testing because they are used substantially in 

vehicles or equipment that are not conducive to engine removal such as large vehicles 

or equipment from which the engine cannot be removed without dismantling either the 

engine, vehicle, or equipment; or 

(C) Other compelling circumstances associated with the structure of the industry and 

uniqueness of engine applications. Such alternatives shall be designed to determine 

whether the engine family is in compliance. 

(5) The engine manufacturer shall procure in-use engines which have been operated 

between 0.50 and 1.0 times the certified engine's useful life period. The engine 

manufacturer may test engines from more than one model year in a given year. The 

manufacturer shall submit a plan for testing within twelve calendar months after 

receiving notice that ARB has identified a particular engine family for testing and shall 

complete testing of such engine family within 24 calendar months from the date of 

approval of the plan by ARB. Test engines may be procured from sources associated 

with the engine manufacturer (i.e., manufacturer-established fleet engines, etc.) or from 

sources not associated with the manufacturer (i.e., consumer-owned engines, 

independently owned fleet engines, etc.). 

(c) Maintenance, procurement and testing of in-use engines. 

(1) A test engine must have a maintenance and use history representative of in-use 

conditions. 

(A) To comply with this requirement a manufacturer must obtain information from the 

end users regarding the accumulated usage, maintenance, repairs, operating 
36 

conditions, and storage of the test engines. 

(B) Documents used in the procurement process must be maintained as required. 

(2) The manufacturer may perform minimal restorative maintenance on components of 

a test engine that are not subject to parameter adjustment. Maintenance may include 

only that which is listed in the owner's instructions for engines with the amount of 

service and age of the acquired test engine. Repairs may be performed on a test 

engine with prior Executive Officer approval. Documentation of all maintenance, repairs, 

defects, and adjustments shall be maintained and retained as required. 

(3) At least one valid emission test, according to the Test Procedure, is required for 

each in-use engine. 

(4) The Executive Officer may waive portions or requirements of the test procedure, if 

any, that are not necessary to determine in-use compliance. 

(5) If a selected in-use engine fails to comply with any applicable emission standards, 

the manufacturer shall determine the reason for noncompliance. The manufacturer 

must report within 72 hours after the completion of the test specifying the emission 

results and identifying the pollutant which failed to comply with the emission standard. 

The manufacturer must report all such reasons of noncompliance within fifteen 

business days of completion of testing. Additional time beyond the initial fifteen days 

may be granted providing that the manufacturer receives prior approval from the 

Executive Officer. The reports may be filed electronically or mailed to the following 

address: Chief of Mobile Source Operations Division, 9528 Telstar Avenue, El Monte, 

CA 91731. 

(6) At the discretion of the Executive Officer, an engine manufacturer may test more 

engines than the minima described in paragraph (b)(3) of this section or may concede 

failure before testing a total of ten engines. Upon conceding failure the manufacturer 

shall proceed with a voluntary recall program as specified in Section 2439. 

(7) The Executive Officer will consider failure rates, average emission levels and the 

existence of any defects, among other factors, in determining whether to pursue 

remedial action under this subpart. The Executive Officer may order a recall pursuant to 

Section 2439 before testing reaches the tenth engine whenever the Executive Officer 

has determined, based on production-line test results or in-use test results, 

enforcement testing results, or any other information, that a substantial number of a 

class or category of equipment or engines produced by that manufacturer, although 

properly maintained and used, contain a failure in an emission-related component 

which, if uncorrected, may result in the equipments' or engines' failure to meet 

applicable standards over their useful lives; or whenever a class or category of 

equipment or engines within their useful lives, on average, do not conform to the 

emission standards prescribed pursuant to Part 5 (commencing with Section 43000) of 

Division 26 of the Health and Safety Code, or any regulation adopted by the state board 
37 

pursuant thereto, other than an emissions standard applied to new engines to 

determine "certification" as specified in Chapter 9, as applicable to the model year of 

such equipment or engines. 

(8) Prior to an ARB-ordered recall, the manufacturer may perform a voluntary emissions 

recall pursuant to Article 4.5, Section 2439(b). Such manufacturer is subject to the 

reporting requirements in subsection (d) below. 

(9) Once ARB determines that a substantial number of engines fail to conform with the 

requirements, the manufacturer will not have the option of a voluntary emissions recall. 

(d) In-use test program reporting requirements. 

(1) The manufacturer shall electronically submit to the Executive Officer within three 

months of completion of testing all emission testing results generated from the in-use 

testing program. The following information must be reported for each test engine: 

(A) engine family, 

(B) model, 

(C) engine serial number or alternate identification, as applicable, 

(D) date of manufacture, 

(E) estimated hours of use, 

(F) date and time of each test attempt, 

(G) results (if any) of each test attempt, 

(H) results of all emission testing, 

(I) summary of all maintenance, repairs, and adjustments performed, 

(J) summary (if any) of all ARB pre-approved modifications and repairs, 

(K) determinations of noncompliance or compliance. 

(2) The manufacturer must electronically submit the results of its in-use testing with a 

pre-approved information heading. The Executive Officer may exempt manufacturers 

from this requirement upon written request with supporting justification. 

(3) All testing reports and requests for approvals made under this subpart shall be sent 

to the Executive Officer. 
38 

(4) The Executive Officer may require modifications to a manufacturer's in-use testing 

programs. 

§1048.415 What happens if in-use engines do not meet requirements? 

DELETE AND REPLACE WITH: 

Procedures for In-Use Engine Recalls for Large Off-Road Spark-Ignition Engines with 

an Engine Displacement Greater Than 1.0 Liter. 

(a) The recall procedures in this section apply as set forth in Title 13, California Code of 

Regulations, Sections 2433 and 2438. 

(b) Voluntary Emissions Recall 

(1) When any manufacturer initiates a voluntary emission recall, the manufacturer shall 

notify the Executive Officer of the recall at least 30 days before owner notification is to 

begin. The manufacturer shall also submit to the Executive Officer a voluntary recall 

plan for approval, as prescribed in the following: 

(A)(i) a description of each class or category of engines to recall, including the number 

of engines to be recalled, the engine family or a sub-group thereof, the model year, and 

such other information as may be required to identify the engines: 
39 

(ii) a description of the specific modifications, alterations, repairs, corrections, 

adjustments, or other changes to be made to correct the engines affected by the 

nonconformity; 

(iii) a description of the method by which the manufacturer will notify engine owners 

including copies of any letters of notification to be sent to engine owners; 

(iv) a description of the proper maintenance or use, if any, upon which the manufacturer 

conditions eligibility for repair under the recall plan, and a description of the proof to be 

required of an engine owner to demonstrate compliance with any such conditions; 

(v) a description of the procedure to be followed by engine owners to obtain correction 

of the nonconformity. This shall include designation of the date on or after which the 

owner can have the nonconformity remedied, the time reasonably necessary to perform 

the labor to remedy the nonconformity, and the designation of facilities at which the 

nonconformity can be remedied; 

(vi) a description of the class of persons other than dealers and authorized warranty 

agents of the manufacturer who will remedy the nonconformity; 

(vii) a description of the system by which the manufacturer will assure that an adequate 

supply of parts is available to perform the repair under the plan; or 

(B)(i) a description of each class or category of engines subject to recall, including the 

number of engines subject to being recalled, the engine family or a sub-group thereof, 

the model year, and such other information as may be required to identify the engines; 

(ii) a description of the method by which the manufacturer will use the in-use emissions 

credit, averaging, banking, and trading program, as described in Section 2438(e), to 

remedy the nonconformity. 

(2) Voluntary Recall Progress Report. A manufacturer who initiates a voluntary emission 

recall campaign pursuant to paragraph (b)(1)(A) of this section must submit at least one 

report on the progress of the recall campaign. This report shall be submitted to the 

Executive Officer by the end of the fifth quarter, as defined in Section 2112(j), Chapter 

2, Title 13 of the California Code of Regulations, following the quarter in which the 

notification of equipment or engine owners was initiated, and include the following 

information: 

(A) Engine family involved and recall campaign number as designated by the 

manufacturer. 

(B) Date owner notification was begun, and date completed. 

(C) Number of equipment or engines involved in the recall campaign. 
40 

(D) Number of equipment or engines known or estimated to be affected by the 

nonconformity. 

(E) Number of equipment or engines inspected pursuant to the recall plan and found to 

be affected by the nonconformity. 

(F) Number of inspected equipment or engines. 

(G) Number of equipment or engines receiving repair under the recall plan. 

(H) Number of equipment or engines determined to be unavailable for inspection or 

repair under the recall plan due to exportation, theft, scrapping, or for other reasons 

(specify). 

(I) Number of equipment or engines determined to be ineligible for recall action due to 

removed or altered components. 

(J) A listing of the identification numbers of equipment or engines subject to recall but 

for whose repair the manufacturer has not been invoiced. This listing shall be supplied 

in a standardized computer data storage device to be specified by the Executive 

Officer. 

(K) Any service bulletins transmitted to dealers which relate to the nonconformity and 

which have not previously been submitted. 

(L) All communications transmitted to equipment or engine owners which relate to the 

nonconformity and which have not previously been submitted. 

(3) The information gathered by the manufacturer to compile the reports must be 

retained for not less than seven years from the date of the manufacture of the engines 

and must be made available to the Executive Officer or designee of the Executive 

Officer upon request. 

(4) A voluntary recall plan shall be deemed approved unless disapproved by the 

Executive Officer within 20 business days after receipt of the recall plan. 

(5) Under a voluntary recall program, initiated and conducted by a manufacturer or its 

agent or representative as a result of in-use enforcement testing or other evidence of 

noncompliance provided or required by the Board to remedy any nonconformity, the 

capture rate shall be at a minimum 55 percent of the equipment or engine within the 

subject engine family or a sub-group thereof. The manufacturer shall comply with the 

capture rate by the end of the fifth quarter, as defined in Section 2112(j), Chapter 2, 

Title 13 of the California Code of Regulations, following the quarter in which the 

notification of equipment or engine owners was initiated. If the manufacturer cannot 

correct the percentage of equipment specified in the plan by the applicable deadlines, 

the manufacturer must use good faith efforts through other measures, subject to 
41 

approval by the Executive Officer, to bring the engine family into compliance with the 

standards. If the Executive Officer does not approve the manufacturer's efforts, the 

manufacturer shall propose mitigation measures to offset the emissions of the 

unrepaired equipment within 45 days from the last report filed pursuant to paragraph 

(b)(2), above. The Executive Officer shall approve such measures provided that: 

(A) The emission reductions from the recalled and repaired equipment or engines and 

the mitigation measures are equivalent to achieving the capture rate; and 

(B) The emission reductions from the mitigation measures are real and verifiable; and 

(C) The mitigation measures are implemented in a timely manner. 

(c) Initiation and Notification of Ordered Emission-Related Recalls. 

(1) A manufacturer shall be notified whenever the Executive Officer has determined, 

based on production-line test results or in-use test results, enforcement testing results, 

or any other information, that a substantial number of a class or category of equipment 

or engines produced by that manufacturer, although properly maintained and used, 

contain a failure in an emission-related component which, if uncorrected, may result in 

the equipments' or engines' failure to meet applicable standards over their useful lives; 

or whenever a class or category of equipment or engines within their useful lives, on 

average, do not conform to the emission standards prescribed pursuant to 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, 

as applicable to the model year of such equipment or engines. 

(2) It shall be presumed for purposes of this section that an emission-related failure will 

result in the exceedance of emission standards unless the manufacturer presents 

evidence in accordance with the procedures set forth in subsections (A), (B), and (C) 

which demonstrates to the satisfaction of the Executive Officer that the failure will not 

result in exceedance of emission standards within the useful life of the equipment or 

engine. 

(A) In order to overcome the presumption of noncompliance set forth in paragraph 

(c)(2) above, the average emissions of the equipment and engines with the failed 

emission-related component must comply with applicable emission standards. A 

manufacturer may demonstrate compliance with the emission standards by following 

the procedures set forth in either paragraphs (c)(2)(B) or (c)(2)(C) of this section. 

(B) A manufacturer may test properly maintained in-use equipment with the failed 

emission-related component pursuant to the applicable certification emission tests 

specified in Section 2433, Title 13 of the California Code of Regulations. The emissions 

shall be projected to the end of the equipment's or engine's useful life using in-use 

deterioration factors. The in-use deterioration factors shall be chosen by the 
42 

manufacturer from among the following: 

(i) "Assigned" in-use deterioration factors provided by the ARB on a manufacturer's 

conditions; request and based on ARB in-use testing; or, 

(ii) deterioration factors generated during certification, provided adjustments are made 

to account for equipment aging, customer hour usage-accumulation practices, type of 

failed component, component failure mode, effect of the failure on other emissioncontrol components, commercial fuel and lubricant quality, and any other factor which 

may affect the equipment's or engine's operating or, 

(iii) subject to approval by the Executive Officer, a manufacturer-generated deterioration 

factor. Such deterioration factor must based on in-use data generated from certification 

emission tests performed on properly maintained and used equipment in accordance 

with the procedures set forth in Section 2433 of Title 13 of the California Code of 

Regulations, and the equipment from which it was derived must be representative of the 

in-use fleet with regard to emissions performance and equipped with similar emission 

control technology as equipment with the failed component. 

(C) In lieu of the equipment or engine emission testing described in subsection (B) 

above and subject to approval by the Executive Officer, a manufacturer may perform an 

engineering analysis, laboratory testing or bench testing, when appropriate, to 

demonstrate the effect of the failure. 

(3) The notification shall include a description of each class or category of equipment or 

engines encompassed by the determination of nonconformity, shall set forth the factual 

basis for the determination and shall designate a date at least 45 business days from 

the date of receipt of such notification by which the manufacturer shall submit a plan to 

remedy the nonconformity. 

(4) Availability of Public Hearing. 

(A) The manufacturer may request a public hearing pursuant to the procedures set forth 

in Subchapter 1.25, Division 3, Chapter 1, Title 17, California Code of Regulations to 

contest the finding of nonconformity and the necessity for or the scope of any ordered 

corrective action. 

(B) If a manufacturer requests a public hearing pursuant to subsection (A) above, and if 

the Executive Officer's determination of nonconformity is confirmed at the hearing, the 

manufacturer shall submit the recall plan required by Section 2439 within 30 days after 

receipt of the Board's decision. 

(5) Ordered Recall Plan. 

(A) Unless a public hearing is requested by the manufacturer, a recall plan shall be 

submitted to the Chief, Mobile Source Operations Division, 9528 Telstar Avenue, 
43 

El Monte, CA 91731, within the time limit specified in the notification. The Executive 

Officer may grant the manufacturer an extension upon good cause shown. 

(B) The recall plan shall contain the following: 

(i) A description of each class or category of equipment or engine to be recalled, 

including the engine family or sub-group thereof, the model-year, the make, the model, 

and such other information as may be required to identify the equipment or engines to 

be recalled. 

(ii) A description of the nonconformity and the specific modifications, alterations, 

repairs, corrections, adjustments or other changes to be made to bring the equipment 

or engines into conformity including a brief summary of the data and technical studies 

which support the manufacturer's decision regarding the specific corrections to be 

made. 

(iii) A description of the method by which the manufacturer will determine the names 

and addresses of equipment or engine owners and the method by which they will be 

notified. 

(iv) A description of the procedure to be followed by equipment or engine owners to 

obtain correction of the nonconformity including the date on or after which the owner 

can have the nonconformity remedied, the time reasonably necessary to perform the 

labor required to correct the nonconformity, and the designation of facilities at which the 

nonconformity can be remedied. The repair shall be completed within a reasonable time 

designated by the Executive Officer from the date the owner delivers the equipment or 

engine for repair. This requirement becomes applicable on the date designated by the 

manufacturer as the date on or after which the owner can have the nonconformity 

remedied. 

(v) If some or all of the nonconforming equipment or engines are to be remedied by 

persons other than dealers or authorized warranty agents of the manufacturer, a 

description of such class of persons and a statement indicating that the participating 

members of the class will be properly equipped to perform such remedial action. 

(vi) The capture rate required for each class or category of equipment or engine to be 

recalled. Under recalls based on exceedance of emission standards, the capture rate 

shall be at a minimum 80 percent of the equipment or engine within the subject engine 

family. 

(vii) The plan may specify the maximum incentives (such as a free tune-up or specified 

quantity of free fuel), if any, the manufacturer will offer to induce equipment or engine 

owners to present their equipment for repair, as evidence that the manufacturer has 

made a good faith effort to repair the percentage of equipment or engines specified in 

the plan. The plan shall include a schedule for implementing actions to be taken 

including identified increments of progress towards implementation and deadlines for 
44 

completing each such increment. 

(viii) A copy of the letter of notification to be sent to equipment or engine owners. 

(ix) A description of the system by which the manufacturer will assure that an adequate 

supply of parts will be available to perform the repair under the recall plan including the 

date by which an adequate supply of parts will be available to initiate the repair 

campaign, and the method to be used to assure the supply remains both adequate and 

responsive to owner demand. 

(x) A copy of all necessary instructions to be sent to those persons who are to perform 

the repair under the recall plan. 

(xi) A description of the impact of the proposed changes on fuel economy, operation, 

performance and safety of each class or category of equipment or engines to be 

recalled and a brief summary of the data, technical studies, or engineering evaluations 

which support these descriptions. 

(xii) A description of the impact of the proposed changes on the average emissions of 

the equipment or engines to be recalled based on noncompliance described in 

subsection (c)(1), above. The description shall contain the following: 

(1.) Average noncompliance emission levels. 

(2.) Average emission reduction or increase per pollutant resulting from the recall 

repair. These averages shall be verified by the manufacturer by applying the proposed 

recall repairs to two or more in-use equipment or engines representing the average 

noncompliance emission levels. Only those equipment or engines with baseline 

emission levels within 25 percent of the average emission levels of noncomplying 

pollutant(s) established under the in-use enforcement test program may be used by 

manufacturers to verify proposed recall repairs. The Executive Officer may allow the 

use of equipment or engines exceeding these upper averaging noncompliance limits if 

none which meet the limits can be reasonably procured. 

(3.) An estimate of the average emission level per pollutant for a class or category of 

equipment or engines after repair as corrected by the required capture rate. The 

estimated average emission level shall comply with the applicable emission standards. 

If the average emissions levels achieved by applying the average emission reduction 

per equipment or engine after repair and the estimated capture rate, do not achieve 

compliance with the emissions standards, a manufacturer shall propose other 

measures to achieve average emissions compliance. 

(xiii) Any other information, reports, or data which the Executive Officer may reasonably 

determine to be necessary to evaluate the recall plan. 

(6) Approval and Implementation of Recall Plan. 
45 

(A) If the Executive Officer finds that the recall plan is designed effectively to correct the 

nonconformity and complies with the provisions of this Section, he or she will so notify 

the manufacturer in writing. Upon receipt of the approval notice from the Executive 

Officer, the manufacturer shall commence implementation of the approved plan. 

Notification of equipment or engine owners and the implementation of recall repairs 

shall commence within 45 days of the receipt of notice unless the manufacturer can 

show good cause for the Executive Officer to extend the deadline. 

(B) If the Executive Officer does not approve the recall plan or the mitigation measures 

provided in this Section as submitted, the Executive Officer shall order modification of 

the plan or mitigation measures with such changes and additions as he or she 

determines to be necessary. The Executive Officer shall notify the manufacturer in 

writing of the disapproval and the reasons for the disapproval. 

(C) The manufacturer may contest the Executive Officer's disapproval by requesting a 

public hearing pursuant to the procedures set forth in Subchapter 1.25, Division 3, 

Chapter 1, Title 17, California Code of Regulations. As a result of the hearing, the 

Board may affirm, overturn or modify the Executive Officer's action. In its decision, 

affirming or modifying, the Board shall specify the date by which the manufacturer shall 

commence notifying equipment or engine owners and implementing the required recall 

repairs. 

(D) If no public hearing is requested in accordance with (C) above, the manufacturer 

shall incorporate the changes and additions required by the Executive Officer and shall 

commence notifying equipment or engine owners and implementing the required recall 

repairs within 60 days of the manufacturer's receipt of the Executive Officer's 

disapproval. 

(7) Notification of Owners. 

(A) Notification to equipment or engine owners shall be made by first class mail or by 

such other means as approved by the Executive Officer provided, that for good cause, 

the Executive Officer may require the use of certified mail to ensure an effective 

notification. 

(B) The manufacturer shall use all reasonable means necessary to locate equipment or 

engine owners provided, that for good cause, the Executive Officer may require the 

manufacturer to use motor equipment registration lists, as applicable, available from 

State or commercial sources to obtain the names and addresses of equipment or 

engine owners to ensure effective notification. 

(C) The Executive Officer may require subsequent notification by the manufacturer to 

equipment or engine owners by first class mail or other reasonable means provided, 

that for good cause, the Executive Officer may require the use of certified mail to 

ensure effective notification. 
46 

(D) The notification of equipment or engine owners shall contain the following: 

(i) The statement: "The California Air Resources Board has determined that your 

(equipment or engine) (is or may be) releasing air pollutants which exceed (California or 

California and Federal) standards. These standards were established to protect your 

health and welfare from the dangers of air pollution." 

(ii) A statement that the nonconformity of any such equipment or engines will be 

remedied at the expense of the manufacturer. 

(iii) A statement that eligibility may not be denied solely on the basis that the equipment 

or engine owner used parts not manufactured by the original equipment manufacturer, 

or had repairs performed by outlets other than the equipment or engine manufacturer's 

franchised dealers. 

(iv) A clear description of the components which will be affected by the recall action and 

a general statement of the measures to be taken to correct the nonconformity. 

(v) [Reserved] 

(vi) A description of the adverse effects, if any, that an uncorrected nonconformity 

would have on the performance, fuel economy, or driveability of the equipment or 

engine or to the function of other engine components. 

(vii) A description of the procedure which the equipment or engine owner should follow 

to obtain correction of the nonconformity including the date on or after which the owner 

can have the nonconformity remedied, the time reasonably necessary to correct the 

nonconformity, and a designation of the facilities located in California at which the 

nonconformity can be remedied. 

(viii) After the effective date of the recall enforcement program referred to above, a 

statement that a certificate showing that the equipment has been repaired under the 

recall program shall be issued by the service facilities and that such a certificate may be 

required as a condition of equipment registration or operation, as applicable. 

(ix) A card to be used by a equipment or engine owner in the event the equipment or 

engine to be recalled has been sold. Such card should be addressed to the 

manufacturer, have postage paid, and shall provide a space in which the owner may 

indicate the name and address of the person to whom the equipment or engine was 

sold. 

(x) The statement: "In order to ensure your full protection under the emission warranty 

made applicable to your (equipment or engine) by State or Federal law, and your right 

to participate in future recalls, it is recommended that you have your (equipment or 

engine) serviced as soon as possible. Failure to do so could be determined to be a lack 
47 

of proper maintenance of your (equipment or engine)". 

(xi) A telephone number provided by the manufacturer, which may be used to report 

difficulty in obtaining recall repairs. 

(xii) The manufacturer shall not condition eligibility for repair on the proper maintenance 

or use of the equipment except for strong or compelling reasons and with approval of 

the Executive Officer; however, the manufacturer shall not be obligated to repair a 

component which has been removed or altered so that the recall action cannot be 

performed without additional cost. 

(xiii) No notice sent pursuant to Section (D), nor any other communication sent to 

equipment or engine owners or dealers shall contain any statement, express or implied, 

that the nonconformity does not exist or will not degrade air quality. 

(xiv) The manufacturer shall be informed of any other requirements pertaining to the 

notification under this section which the Executive Officer has determined are 

reasonable and necessary to ensure the effectiveness of the recall campaign. 

(8) Repair Label. 

(A) The manufacturer shall require those who perform the repair under the recall plan to 

affix a label to each equipment or engine repaired or, when required, inspected under 

the recall plan. 

(B) The label shall be placed in a location as approved by the Executive Officer and 

shall be fabricated of a material suitable for such location and which is not readily 

removable. 

(C) The label shall contain the recall campaign number and a code designating the 

facility at which the repair, inspection for repair, was performed. 

(9) Proof of Correction Certificate. The manufacturer shall require those who perform 

the recall repair to provide the owner of each equipment or engine repaired with a 

certificate, through a protocol and in a format prescribed by the Executive Officer, which 

indicates that the noncomplying equipment or engine has been corrected under the 

recall program. This requirement shall become effective and applicable upon the 

effective date of the recall enforcement program referred to in this section, above. 

(10) Capture Rates and Alternative Measures. 

The manufacturer shall comply with the capture rate specified in the recall plan as 

determined pursuant to this Section, above, by the end of the fifth quarter, as defined in 

Section 2112(j), Chapter 2, Title 13 of the California Code of Regulations, following the 

quarter in which the notification of equipment or engine owners was initiated. If, after 

good faith efforts, the manufacturer cannot correct the percentage of equipment 
48 

specified in the plan by the applicable deadlines and cannot take other measures to 

bring the engine family into compliance with the standards, the manufacturer shall 

propose mitigation measures to offset the emissions of the unrepaired equipment within 

45 days from the last report filed pursuant to Section 2439(c)(13), below. The Executive 

Officer shall approve such measures provided that: 

(A) The emission reductions from the recalled and repaired equipment or engines and 

the mitigation measures are equivalent to achieving the capture rate; and 

(B) The emission reductions from the mitigation measures are real and verifiable; and 

(C) The mitigation measures are implemented in a timely manner. 

(11) Preliminary Tests. The Executive Officer may require the manufacturer to conduct 

tests on components and equipment or engines incorporating a proposed correction, 

repair, or modification reasonably designed and necessary to demonstrate the 

effectiveness of the correction, repair, or modification. 

(12) Communication with Repair Personnel. The manufacturer shall provide to the 

Executive Officer a copy of all communications which relate to the recall plan directed to 

dealers and other persons who are to perform the repair. Such copies shall be mailed 

to the Executive Officer contemporaneously with their transmission to dealers and other 

persons who are to perform the repair under the recall plan. 

(13) Recordkeeping and Reporting Requirements. 

(A) The manufacturer shall maintain sufficient records to enable the Executive Officer to 

conduct an analysis of the adequacy of the recall campaign. For each class or category 

of equipment or engine, the records shall include, but need not be limited to, the 

following: 

(i) Engine family involved and recall campaign number as designated by the 

manufacturer. 

(ii) Date owner notification was begun, and date completed. 

(iii) Number of equipment or engines involved in the recall campaign. 

(iv) Number of equipment or engines known or estimated to be affected by the 

nonconformity. 

(v) Number of equipment or engines inspected pursuant to the recall plan and found to 

be affected by the nonconformity. 

(vi) Number of inspected equipment or engines. 
49 

(vii) Number of equipment or engines receiving repair under the recall plan. 

(viii) Number of equipment or engines determined to be unavailable for inspection or 

repair under the recall plan due to exportation, theft, scrapping, or for other reasons 

(specify). 

(ix) Number of equipment or engines determined to be ineligible for recall action due to 

removed or altered components. 

(x) A listing of the identification numbers of equipment or engines subject to recall but 

for whose repair the manufacturer has not been invoiced. This listing shall be supplied 

in a standardized computer data storage device to be specified by the Executive 

Officer. The frequency of this submittal, as specified in subsection (C) below, may be 

changed by the Executive Officer depending on the needs of recall enforcement. 

(xi) Any service bulletins transmitted to dealers which relate to the nonconformity and 

which have not previously been submitted. 

(xii) All communications transmitted to equipment or engine owners which relate to the 

nonconformity and which have not previously been submitted. 

(B) If the manufacturer determines that the original responses to subsections (A)(iii) and 

(iv) of these procedures are incorrect, revised figures and an explanatory note shall be 

submitted. Responses to subsections (A)(v), (vi), (vii), (viii), and (ix) shall be cumulative 

totals. 

(C) Unless otherwise directed by the Executive Officer, the information specified in 

subsection (A) of these procedures shall be included in six quarterly reports or two 

annual reports, beginning with the quarter in which the notification of owners was 

initiated, or until all nonconforming equipment or engines involved in the campaign have 

been remedied, whichever occurs sooner. Such reports shall be submitted no later than 

25 days after the close of each calendar quarter. 

(D) The manufacturer shall maintain in a form suitable for inspection, such as computer 

information storage devices or card files, and shall make available to the Executive 

Officer or his or her authorized representative upon request, lists of the names and 

addresses of equipment or engine owners: 

(i) To whom notification was given; 

(ii) Who received remedial repair or inspection under the recall plan; and 

(iii) Who were denied eligibility for repair due to removed or altered components. 

(E) The records and reports required by these procedures shall be retained for not less 

than one year beyond the useful life of the equipment or engines involved, or one year 
50 

beyond the reporting time frame specified in subsection (C) above, whichever is later. 

(14) Penalties. 

Failure by a manufacturer to carry out all recall actions ordered by the Executive Officer 

pursuant to Sections 2439(c) of these procedures is a violation of Health and Safety 

Code Section 43013 and 43105 and shall subject the manufacturer, on a per engine 

basis, to any and all remedies available under Part 5, Division 26 of the Health and 

Safety Code, sections 43000 et seq. 

(d) Extension of Time. The Executive Officer may extend any deadline in the plan if he 

or she finds in writing that a manufacturer has shown good cause for such extension. 

(e) The Executive Officer may waive any or all of the requirements of these procedures 

if he or she determines that the requirement constitutes an unwarranted burden on the 

manufacturer without a corresponding emission reduction. 

§1048.420 What in-use testing information must I report to EPA? 

DELETE 

§1048.425 What records must I keep? 

DELETE 

Subpart F—Test Procedures 

§1048.501 How do I run a valid emission test? 

§1048.505 How do I test engines using steady-state duty cycles, including 

ramped-modal testing? 

§1048.510 Which duty cycles do I use for transient testing? 

§1048.515 What are the field-testing procedures? 

Subpart G—Compliance Provisions 

§1048.601 What compliance provisions apply to these engines? 

§1048.605 What provisions apply to engines certified under the motor-vehicle 

program? 

§1048.610 What provisions apply to vehicles certified under the motor-vehicle 

program? 
51 

§1048.615 What are the provisions for exempting engines designed for lawn and 

garden applications? 

DELETE 

§1048.620 What are the provisions for exempting large engines fueled by natural 

gas? 

§1048.625 What special provisions apply to engines using noncommercial fuels? 

§1048.630 What are the provisions for exempting engines used solely for 

competition? 

§1048.635 What special provisions apply to branded engines? 

Subpart H—[Reserved] 

Subpart I—Definitions and Other Reference Information 

§1048.801 What definitions apply to this part? 

The following definitions apply to this part. The definitions apply to all subparts unless 

we note otherwise. All undefined terms have the meaning the Act gives to them. The 

definitions follow: 

* * * * * 

All-terrain vehicle has the meaning given in 40 CFR 1051.801 

DELETE AND REPLACE WITH: All-terrain vehicle has the meaning given in 

Title 13, California Code of Regulations, Chapter 9, Article 3, Off-Highway Recreational 

Vehicles and Engines. 

* * * * * 

Blue Sky Series engine 

DELETE 

* * * * * 

Designated Compliance Officer means the Manager, Engine Programs Group 

(6405-J), U.S. Environmental Protection Agency, 1200 Pennsylvania Ave., NW, 

Washington, DC 20460. 

DELETE AND REPLACE WITH: 

 Designated Compliance Officer means the Executive Officer of the California Air 

Resources Board or a designee of the Executive Officer. 
52 

Designated Enforcement Officer means the Director, Air Enforcement Division 

(2242A), U.S. Environmental Protection Agency, 1200 Pennsylvania Ave., NW, 

Washington, DC 20460. 

DELETE AND REPLACE WITH: 

Designated Enforcement Officer means any officer or employee of the California Air 

Resources Board so designated in writing by the Executive Officer or by the Executive 

Officer's designee. 

* * * * * 

High-cost warranted part means a component covered by the emission-related 

warranty with a replacement cost (at the time of certification) exceeding $400 (in 1998 

dollars). Adjust this value using the most recent annual average consumer price index 

information published by the U.S. Bureau of Labor Statistics. For this definition, 

replacement cost includes the retail cost of the part plus labor and standard diagnosis. 

DELETE AND REPLACE WITH: 

High-cost warranted part means a component covered by the emission-related 

warranty with a replacement cost derived by the formula in section 

§1048.120(b)(3)(B). 

* * * * * 

Low-hour means relating to an engine with stabilized emissions and represents the 

undeteriorated emission level. This would generally involve less than 300 hours of 

operation. 

DELETE 

* * * * * 

Small-volume engine manufacturer means a company with fewer than 200 

employees. This includes any employees working for parent or subsidiary companies. 

DELETE AND REPLACE WITH: 

Small-volume manufacturer means an engine manufacturer that produces a total of 

less than 2000 large spark-ignition engines annually for sale in the United States of 

America. 

* * * * * 

§1048.805 What symbols, acronyms, and abbreviations does this part use? 

§1048.810 What materials does this part reference?

§1048.815 What provisions apply to confidential information? 

DELETE AND REPLACE WITH: 

(a) Clearly show what you consider confidential by marking, circling, bracketing, 

stamping, or some other method. 
53 

(b) We will store your confidential information as described in 40 CFR part 2. Also, we 

will disclose it only as specified in 40 CFR part 2. This applies both to any information 

you send us and to any information we collect from inspections, audits, or other site 

visits. 

(c) If you send us a second copy without the confidential information, we will assume it 

contains nothing confidential whenever we need to release information from it. 

(d) If you send us information without claiming it is confidential, we may make it 

available to the public without further notice to you, as described in 40 CFR 2.204. 

§1048.820 How do I request a hearing from the executive officer of the ARB? 

DELETE AND REPLACE WITH: 

(a) You may request a hearing under certain circumstances, as described elsewhere in 

this part. To do this, you must file a written request, including a description of your 

objection and any supporting data, within 30 days after we make a decision. 

(b) For a hearing you request under the provisions of this part, we will approve your 

request if we find that your request raises a substantial factual issue. 

(c) If we agree to hold a hearing, we will use the procedures specified in 

§1048.15(b)(7). 

Appendix I to Part 1048—Large Spark-ignition (SI) Transient Cycle for Constant-Speed 

Engines 

Appendix II to Part 1048—Large Spark-ignition (SI) Composite Transient Cycle