1

APPENDIX A: MANUFACTURER STANDARDS AND TEST PROCEDU RES

Part 5

Proposed Regulation Order Part 5: Adoption of incor porated “California Exhaust and

Standards and Test Procedures for New 2010 and Late r Off-Road Large Spark-Ignition Engines” (40 CFR, Part 1048)23 State of California

AIR RESOURCES BOARD

PROPOSED CALIFORNIA EXHAUST AND EVAPORATIVE EMISSIO N STANDARDS

AND TEST PROCEDURES FOR NEW 2010 AND LATER OFF-ROAD LARGE

SPARK-IGNITION ENGINES

2010 Emission Standards

Adopted: [insert date of adoption]

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 Appen dix I and II to Part 1048 as amended on July 13, 2005 (Fe deral 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 word s “DELETE” for the federal language and “REPLACE WITH” or “ADD” for the California regu lations. The symbols “* * * * *”

and “...” mean that the remainder of the CFR text f or a specific section, which is not shown in these regulations, has been included by re ference, with only the printed text changed. Federal regulations that are not listed ar e not part of the California regulations. Text in Italics is provided as rationale for replacement language.

This document is all newly adopted text. [The italicized text in brackets describes the purpose of the California provisions.]4

PART 1048 – CONTROL OF EMISSIONS FROM NEW, LARGE NO NROAD 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 afte r January 1, 2010. You need not follow this part for engines you produce before Jan uary 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.

[Applicability is changed to January 1, 2010 to coi ncide with introduction of the 0.8 g/kW-hr standard. Additionally, the reference to § 1048.145 is removed because that section has been deleted; see §1048.145 for deletio n rationale.]

* * * * *

(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

[The language was changed to reference appropriate California standards for Small Off-Road Engines, which are more stringent than the EPA standards.]

§1048.5 Which engines are excluded from this part’ s requirements? This part does not apply to the following nonroad e ngines:

(a) DELETE AND REPLACE WITH: Engines that are subject to the requirements of Tit le 13, California Code of Regulations, Chapter 9, Article 3, Off-Highway Recreational Vehi cles and Engines, including any related provisions and guidelines that are applicab le to Off-Highway Recreational Vehicles and Engines.

[The language was changed to reference appropriate ARB regulations for Off-Highway Recreational Vehicles and Engines]

(b) DELETE AND REPLACE WITH: Propulsion marine engines. See Title 13, Californi a Code of Regulations, Chapter 9, Article 4.7, Spark-Ignition Marine Engines. This p art applies with respect to auxiliary marine engines.5

[The language was changed to reference appropriate ARB regulations for Marine Engines]

§1048.10 How is this part organized?

* * * * *

(b) DELETE AND REPLACE WITH:

Subpart B of this part describes the emission stand ards and other requirements that must be met to certify engines under this part.

[The reference to §1048.145 is removed because that section has been deleted]

§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, Chap ter 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

(b)(8) ADD Large Spark-Ignition (LSI) Engine Fleet Requirement s, Chapter 15, Article 2, sections 2775, 2775.1, and 2775.2, Title 13, California Code of Regulations6

§1048.20 What requirements from this part apply to excluded stationary engines?

Subpart B—Emission Standards and Related Requiremen ts

§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 transien t test procedures described in subpart F of this part.

(2) The HC+NOx standard is 0.8 g/kW-hr and the CO s tandard is 20.6 g/kW-hr. For severe-duty engines, the HC+NOx standard is 0.8 g/k W-hr and the CO standard is 130.0 g/kW-hr. The following engines are not subjec t 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.

[The language adds the new HC+NOx emission standardof 0.8 grams per kilowatthour]

* * * * *

(e) Fuel types . DELETE AND REPLACE WITH: Fuel types (a)

* * * * *

ADD

(b) Test Fuel. (1) 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 " 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 refer ence in Section 1961(d), Title 13, CCR). The California fuel specifications are conta ined in the California Code of Regulations, Title 13, Chapter 5, Article 1, Sectio ns 2260-2272. If the engine is tested using the U.S. EPA test fuel, consistent with the f uel specifications as outlined in Title7

40 Code of Federal Register, Part 1065, subpart H, the manufacturer shall demonstrate that the emission test results complies with these Test Procedures. (2) If the engine is not a gasoline-fueled large sp ark-ignition engine, then the test fuel used shall be consistent with the fuel specificatio ns as outlined in the " 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 refer ence in Section 1961(d), Title 13, CCR). The California fuel specifications are contai ned in the California Code of Regulations, Title 13, Chapter 5, Article 3, Sectio ns 2290- 2293.5. If the engine is tested using the U.S. EPA test fuel, consistent wit h the fuel specifications as outlined in Title 40 Code of Federal Register, Part 1065, subpa rt H, the manufacturer shall demonstrate that the emission test results complies with these Test Procedures. (3) During all engine tests, the engine shall emplo y a lubricating oil consistent with the engine manufacturer's specifications for that parti cular engine. These specifications

shall be recorded and declared in the certification application.

(f) DELETE AND REPLACE WITH: Small engines . Engines with total displacement at or below 1000 cc may comply with the requirements of Title 13, California Code of Re gulations, Chapter 9, Article 1, Small Off-Road Engines and Chapter 15, Article 1, Evapora tive Emission Requirements for Off-Road Equipment instead of complying with the re quirements of this part, as described in §1048.615.

[The language was changed to reference appropriate California standards for Small Off-Road Engines, which are more stringent than the EPA standards.]

* * * * *

§1048.105 What evaporative emission standards and requirements apply?

§1048.110 How must my engines diagnose malfunction s?

§1048.115 What other requirements must my engines meet? Engines subject to this part must meet the followin g requirements: (a) DELETE AND REPLACE WITH:

Crankcase emissions . No crankcase emissions shall be discharged direc tly into the ambient atmosphere from any new 2001 or later engin es subject to the provisions of this part.

[The EPA allows crankcase emissions to be added to the exhaust. This is inconsistent with the existing LSI regulation and ARB policy.]

* * * * *8

§1048.120 What emission-related warranty requireme nts 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 gre ater 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 pur chaser. The use of alternative fuels must not void the warranties on any engine certifie d to use such fuel.

(b) General Emissions Warranty Coverage. The manufa cturer 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 resp ects 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 f ive years or 3,500 hours of operation,

whichever occurs first.

(A) Each manufacturer shall identify in its applica tion for certification the "highpriced" warranted parts which (i) are included on t he Board's "Emission Warranty Parts List" as last amended February 22, 1985, inco rporated 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 are a of California.

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

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

where,

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

nearest ten dollars.9

n is the model year of the new engines.

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

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

United States Bureau of Labor Statistics.

(C) The cost limit shall be reviewed annually by th e Executive Officer. The highest-cost metropolitan area in California shall be identified by the Executive

Officer for use in this subsection. If a manufactur er 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 nati onwide urban CPI figures for the most recent twelve month period for which figur es 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 pa rts costs, labor rates in dollars per hour, and the labor hours necessary to diagnosi s 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 subsection s (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), which ever occurs first.

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

(1) Any warranted part that is not scheduled for re placement 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 re paired or replaced under the warranty must be warranted for the remaining warran ty period.

(2) Any warranted part that is scheduled only for r egular inspection in the written instructions required by Subsection (e) must be war ranted for the warranty period defined in Subsection (b)(2) and (b)(3). A statemen t in such written instructions to the effect of "repair or replace as necessary" must not reduce the period of warranty 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 replac ement 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 r epaired or replaced by the engine manufacturer according to Subsection (4) below. Any such part repaired or replaced10

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 und er 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 c enters that are franchised to service the subject engines.

(6) The owner must not be charged for diagnostic la bor that leads to the determination that a warranted part is in fact defective, provide d that such diagnostic work is performed at a warranty station.

(7) The engine manufacturer must be liable for dama ges to other engine components proximately caused by a failure under warranty of a ny 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 warra nted parts sufficient to meet the expected demand for such parts.

(9) Any replacement part, as defined in Section 190 0(b)(13), Title 13, may be used in the performance of any maintenance or repairs and m ust be provided without charge to the owner. It is not necessary for replacement part s to be the same brand or by the same manufacturer as the original part sold with th e engine. Such use must not reduce the warranty obligations of the engine manufacturer

.

(10) Add-on or modified parts, as defined in Sectio n 1900(b)(1) and (b)(10), Title 13, that are not exempted by the Air Resources Board ma y 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-exemp ted 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 manu facturer's warranty procedures or policies.

(d) Each manufacturer must include a copy of the fo llowing emission warranty parts list with each new engine, using those portions of the l ist 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 pressu re regulator or fuel mixer or injection system).11

(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 applic able. (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, f ittings, tubing, sealing gaskets or devices, and mounting hardware. (D) Pulleys, belts and idlers.

(e) Each manufacturer must furnish with each new en gine written instructions for the maintenance and use of the engine by the owner. The instructions must be consistent with this article and applicable regulations contai ned herein.

(f) Each manufacturer must submit the documents req uired by Subsections (d) and (e) with the manufacturer's preliminary application for engine certification for approval by the Executive Officer. Approval by the Executive Of ficer of the documents required by Subsections (d) and (e) must be a condition of cert ification. The Executive Officer must approve or disapprove the documents required by Sub sections (d) and (e) within 90 days of the date such documents are received from t he manufacturer. Any disapproval12

must be accompanied by a statement of the reasons t herefor. In the event of disapproval, the manufacturer may file for an adjud icative 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 incl ude a statement concerning proper maintenance of the engine to maximize emissions per formance. The statement must include, but not be limited to, information on air filter care and replacement schedule, proper fueling and fuel mixing, engine ma intenance, and a maintenance

schedule to ensure that the owner returns to a serv icing center to check for deposits, debris build- up, etc.

PART 2

(a) Each manufacturer must furnish a copy of the fo llowing statement with each new off-road large spark-ignition engine with engine di splacement greater than 1.0 liter, that have been certified to the applicable emission stan dards 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 for th in the California Code of Regulations, Title 13, Section 2406(a) with each ne w 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 manufacture r's name, optional) is pleased to explain the emission control system warranty on you r (model year(s)) (equipment type or off-road large spark-ignition) engine. In Califo rnia, 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 your engine for the periods of time listed below pr ovided 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 comp uter unit (ECM), catalytic converter and air induction system. Also included may be sens ors, 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 la bor. MANUFACTURER'S WARRANTY COVERAGE: The (model year(s)) off-road lar ge spark-ignition engines are warranted for (warranty period). If any emissio n-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 en gine owner, you are13

responsible for the performance of the required mai ntenance listed in your owner's manual. (Manufacturer's name) recommends that you r etain all receipts covering maintenance on your off-road engine, but (manufactu rer'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 spar k-ignition engine owner, you should however be aware that (manufacturer's name) may den y 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 eng ine 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 pre sent your off-road large sparkignition engine to a (manufacturer's name) dealer a s 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 r ights and responsibilities, you should contact (Insert chosen manufacturer's contac t) at 1-XXX-XXX-XXXX.

(b) Warranty statement furnishing requirements.

(1) Commencing with the 2001 model year for large o ff-road large spark-ignition engines with engine displacement greater than 1.0 l iter, each manufacturer must furnish with each new engine a warranty statement t hat generally describes the obligations and rights of the engine manufacturer a nd owner under this article. Engine manufacturers must also include in the warranty sta tement a phone number the customer may use to obtain their nearest franchised service center.

(2) Commencing with the 2002 model year for large o ff-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 statem ent as set forth in the California Code of Regulations, Title 13, Section 2406(b).

(c) Each manufacturer must submit the documents req uired 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 c ertification. The Executive Officer must approve or disapprove the documents required b y Subsections (a) and (b) within 90 days of the date such documents are received fro m the manufacturer. Any disapproval must be accompanied by a statement of t he reasons therefor. In the event of disapproval, the manufacturer may petition the B oard to review the decision of the

Executive Officer.

[The entire section has been replaced with existing ARB warranty provisions. The ARB warranty program is generally more prescriptive and provides greater protection to the buyer]1415

§1048.125 What maintenance instructions must I giv e to buyers?

§1048.130 What installation instructions must I gi ve to equipment

manufacturers?

§1048.135 How must I label and identify the engine s I produce?

* * * * *

(c) The label must–

* * * * *

(9) DELETE AND REPLACE WITH: Contain the maintenance specifications and adjustme nts 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 indicat e 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 pum p), should be disconnected during the tune-up. If the manufacturer does not recommen d adjustment of the foregoing specifications, the manufacturer must include in li eu of the “specifications” the single statement “No other adjustments needed.” For all e ngines, 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.

[Our warranty provisions are more prescriptive and provide greater protection to the buyer]

* * * * *

(17) DELETE AND REPLACE WITH: If your engines are certified to the optional lower -emission standards in §1048.140,

state: “OLES.”

[The new language refers to the ARB’s “Optional Low Emission Standards.” See justification for this change in §1048.140]

* * * * *

(g) ADD:

Engine labels must also include evaporative warrant y information as described in California Code of Regulations, Title 13, Chapter 1 5, Article 1, Section 275916

§1048.140 What are the provisions for certifying o ptional lower-emission engines?

DELETE AND REPLACE WITH: This section defines optional lower-emission standa rds for engines equipped with superior emission control systems. These engines, d esignated as “OLES” engines, must meet all the requirements in this part that ap ply 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 kilow att-hour)

Standard – g/bhp-hr (g/kW-hr) Model Year Engine

Displacement Durability

Period HC+NOx CO

0.4 (0.5)

0.2 (0.3) 2010 and subsequent > 1.0 liter 5000

hours or 7 years 0.1 (0.1) 15.4 (20.6)

(a) DELETE

(b) DELETE

(c) DELETE

(d) If you certify an engine family under this sect ion, it is subject to all the requirements of this part as if these voluntary standards were m andatory.

[We have replaced the Blue Sky standards in §1048.1 40 with our optional loweremission standards that are based on a previously e stablished manufacturer’s advisory correspondence or MAC. While not identical, our op tional lower-emission standards are generally consistent with the EPA’s HC+NOx Blue Sky standards.]

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

[§1048.145 allows for the generation of offset cred its. This is inconsistent with current ARB policy and has been deleted.]17

Subpart C—Certifying Engine Families

§1048.201 What are the general requirements for ob taining a certificate of conformity?

§1048.205 What must I include in my application?

* * * * *

(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 off icers or employees for any action by

the California Air Resources Board.

[The revised language provides the ARB the ability to serve process]

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

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

§1048.225 How do I amend my application for certif ication to include new or modified engines?

§1048.230 How do I select engine families?

* * * * *

(f) DELETE

[ The language has been deleted as the current LSI pr ogram and ARB policy does not allow manufacturers to divide engine families i nto subfamilies with multiple

standards. ]

§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 fami ly complies with exhaust

emission standards?

* * * * * (c) DELETE AND REPLACE WITH: To compare emission levels from the emission-data e ngine 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 goo d engineering judgment. For example,18

your deterioration factors must take into account a ny available data from in-use testing with similar engines (see subpart E of this part). Apply deterioration factors as follows:

* * * * *

(2) DELETE

[ARB policy is to use a more conservative multiplic ative deterioration factor]

* * * * *

§1048.245 How do I demonstrate that my engine fami ly complies with evaporative emission standards?

§1048.250 What records must I keep and make availa ble to ARB?

* * * * *

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

[ARB policy, as expressed in other motor vehicle re gulations, requires engine manufacturers to maintain certification engines for a specified period.]

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

Subpart D—Testing Production-line Engines

§1048.301 When must I test my production-line engi nes?

DELETE AND REPLACE WITH:

(a) Compliance Test Procedures

(1) These procedures apply, commencing with the 200 1 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 Pro cedures for New 2001 and Later Off-Road Large Spark-ignition Engines") or any subg roup within an engine family group selected for compliance testing pursuant to this se ction, 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 y ear 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 s ale in California, order an engine19

manufacturer to make available for compliance testi ng 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, E l Monte, California 91731 or where specified by the Executive Officer. The Execu tive Officer may also, with respect to any new engine family group or subgroup being so ld, offered for sale, or manufactured for sale in California, have a manufac turer 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 represe ntatively selected from sources specified by the Executive Officer according to a m ethod approved by him/her, that insofar as practical must exclude engines that woul d result in an unreasonable disruption of the manufacturer's distribution syste m. To the extent practical, the Executive Officer must test a representative config uration (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 i n testing different engine configurations.

A subgroup of an engine family group may be selecte d for compliance testing only if the

Executive Officer has reason to believe that the em issions characteristics of that subgroup are substantially in excess of the emissio ns 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 procedu res set forth herein.

(4) For manufacturers that have more than one engin e 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 c ompliance testing is required.

Notwithstanding the above, if a manufacturer fails to demonstrate compliance with the emission standards after one engine family group ha s been tested, the ARB or its designated laboratory may test additional engine fa mily groups at the manufacturer's expense, until compliance is demonstrated on one en gine family group or all of a manufacturer's engine family groups have been teste d. However, the ARB may conduct engine enforcement testing pursuant to the engine t est 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 producti on line test data or in-use test data indicate that engines may not be in compliance.

(5) All testing must be conducted in accordance wit h the applicable model year certification emission test procedures. Break-in be fore testing may be performed on test engines to the same extent it is performed on produ ction-line testing engines (See subsection (b)). No break-in or modifications, adju stments, or special preparation or maintenance will be allowed on engines chosen for c ompliance testing without the20

written consent of the Executive Officer. Such cons ent must not be unreasonably withheld where such adjustment or alteration is req uired to render the engine testable and reasonably operative.

(6) If the manufacturer elects to specify a differe nt 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 o nly 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. Ex ceptions 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 exc eption is allowed if the damage results in engine performance deficiencies that wou ld 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 d amage, and be retested. If the Executive Officer concurs, the engine may be retest ed, and the original test results may be replaced by the after-repair test results.

(8) Engines must be randomly chosen from the select ed engine family group or subgroup. Prior to the start of testing, manufactur ers must indicate that sampling plan (as described in paragraphs (9) and (10), below) th ey 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 accordi ng to the "California Exhaust

Emission Standards and Test Procedures for New 2001 and Later Off-Road Large Spark-ignition Engines" ( "Test Procedures") to det ermine 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 Pr ocedures must be supplied by the manufacturer within seven days after request. Failu re to supply this unique specialty hardware or personnel may not be used by the manufa cturer 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 fam ily 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 1.1621

where:

n

Σ (x i - μ o )

U = I = 1

n ( Σ (x i - μ o ) 2 ) 0.5

I = 1

x i = the projected emissions of one pollutant for th e ith engine tested.

μ o = the applicable calendar year emission standard for that pollutant. n = the number of engines tested.

(10) The Executive Officer will find that a group o f engines has failed the compliance testing pursuant to the above table if the Executiv e Officer finds that the average emissions of the engines within the selected engine family or subgroup exceed the applicable calendar year new engine emission standa rd for at least one pollutant.

(11) If no decision for a pollutant or pollutants c an 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 t est 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 accord ance with the procedures set forth in Subsection (a) that an engine family, or any subgro up 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 aut horizing 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 man ufacturer, 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.22

(B) Notify the equipment manufacturer that the equi pment 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 manufactur er'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 enjoi n an equipment manufacturer, the Executive Officer will consider production line tes t 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 ma y 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 checke d to verify the presence of those emissions-related components specified in the engin e manufacturer's application for certification, and for the accuracy of any adjustme nts, part numbers and labels specified in that application. If any engine select ed for inspection fails to conform to any applicable law in Part 5 (commencing with Section 4 3000) of Division 26 of the Health and Safety Code, or any regulation adopted by the s tate board pursuant thereto, other than an emissions standard applied to new engines t o 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 n oncompliant engine families or subgroups within the engine families in the State o f California pursuant to Section 43017 of the Health and Safety Code. Before revokin g or suspending the Executive Order authorizing sales and distribution of the app licable noncompliant engine families or subgroups within the State of California, or see king to enjoin an engine manufacturer, the Executive Officer will consider a ny information provided by the engine manufacturer and other interested parties. I n addition, the engine manufacturer may be subject to, on a per engine basis, any and a ll 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 distributio n, 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 regulatio ns pursuant to Section 43017 of the Health and Safety Code. Prior to revoking or suspen ding the Executive Order authorizing sales and distribution of the applicabl e 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, any23

and all remedies available under Part 5, Division 2 6 of the Health and Safety Code, sections 43000 et seq.

(b) 2001 and Subsequent Model Cumulative Sum Produc tion Line Test Procedures

(1) The 2001 and subsequent model year off-road lar ge 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 i n 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, th at have been certified for sale in California, must comply with production line testin g performed according to the requirements set forth in the California Code of Re gulations, Title 13, Section 2407.

(A) Standards and Test Procedures. The emission sta ndards, exhaust sampling and analytical procedures are those described in the Te st Procedures, and are applicable to engines tested only for exhaust emissions. The prod uction line test procedures are specified in conjunction with the Test Procedures. An engine is in compliance with these production line standards and test procedures only when all portions of these production line test procedures and specified requi rements from the Test Procedures are fulfilled, except any adjustable engine paramet ers 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 f acilities, and test facilities for the purpose of engine selection, testing, and observati on. Scheduling of access must be arranged with the designated engine manufacturer's representative and must not unreasonably disturb normal operations (See Test Pr ocedures).

(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 b e 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 li ne testing must pass the inspection test, by being equipped with the appropriate emissi on control systems certified by the ARB. The procedure for randomly selecting engines o r units of equipment must be submitted to the Chief, Mobile Source Operations Di vision, 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 mod el year according to the Sample Size Equation in paragraph (4) of this subsection.24

(ii) For carry-over engine families: After one engi ne 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 ye ar according to the Sample Size Equation in paragraph (4) of this subsection.

(iii) Beginning with the 2006 model year, a manufac turer may annually request of the Executive Officer a reduction in production line te sting for an engine family. In making such request, the manufacturer must demonstrate tha t 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 standar ds in Section 2433. If the Executive Officer determines that a reduction is warranted, t he manufacturer may test as few as one production engine during the subject model year

.

(B) Engine manufacturers must provide actual Califo rnia sales, or other information acceptable to the Executive Officer, including, but not limited to, an estimate based on market analysis and federal production or sales.

(3) Engine Preparation and Preconditioning

(A) No emissions tests may be performed on an engin e 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 manufacture r must submit to the Executive Officer the schedule for engine break-in and any ch anges 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 beca use of such shipment, the engine manufacturer must perform the necessary adjustments or repairs only after the initial test of the engine or equipment. Engine manufacture rs 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 pr oduction quarter, for permission to substitute the after-repair test results for the or iginal test results. The Executive Officer will either affirm or deny the request by the engin e manufacturer within ten working days from receipt of the request.

(D) If an engine manufacturer determines that the e mission test results of an engine or unit of equipment are invalid, the engine or equipm ent 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.25

(4)(A) Manufacturers will calculate the required sa mple 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. T est results used to calculate the variables in the Sample Size Equation must be final deteriorated test results as specified in (d)(3).

1 + STD)

- (x ) x t ( = N 95 2

      σ

Where: N = required sample size for the model year.

t 95 = 95% confidence coefficient. It is dependent on the number of tests

completed, n, as specified in the table in paragrap h (C) of this section. It defines one-tail, 95% confidence inter vals.

σ = test sample standard deviation calculated from the following

equation:

Where:

X i = 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 fami ly

(B) Reserved

(C) Number of Tests (n) & 1-tail Confidence Coeffic ients (t 95)

n t 95 n t 95 n t 95

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 1 - n ) x - X (

= 2

i ∑

σ26 n t 95 n t 95 n t 95

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 t he remaining number of engines needed to meet the required sample size N, evenly t hroughout the remainder of the model year.

(E) After each new test, the required sample size, N, is recalculated using updated sample means, sample standard deviations and the ap propriate 95% confidence

coefficient.

(F) A manufacturer must continue testing and updati ng each engine family's sample size calculations according to paragraphs (4)(A) th rough (4)(F) of this section until a decision is made to stop testing as described in pa ragraph (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 s ample size, n, and the sample mean, x, for HC + NOx is less than or equal to the emissi on 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 manufacture r 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) o f this section) is thirty tests per model year.

(J) Manufacturers may elect to test additional rand omly chosen engines. All additional randomly chosen engines tested in accordance with t he testing procedures specified in

Emission Standards and Test Procedures must be incl uded in the Sample Size and Cumulative Sum equation calculations as defined in section (b), respectively.27

(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 d istributed into commerce.

(6) No quality control, testing, or assembly proced ures will be used on any test engine or any portion thereof, including parts and subasse mblies, that have not been or will not be used during the production and assembly of all o ther engines of that family, unless the Executive Officer approves the modification in production or assembly procedures.

(c) Calculation of Cumulative Sum (CumSum) Statisti c. Each engine manufacturer must review the test results using the following procedu re:

(1) Manufacturers must construct the following CumS um 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 res ults as defined in (d)(3).

C i = max[0 OR ( C i-1 + X i - ( STD + F ))]

Where:

C i = The current CumSum statistic

C i-1 = The previous CumSum statistic. Prior to any te sting, the CumSum

statistic = 0 (i.e. C 0 = 0)

X i = The current emission test result for an individu al engine

STD = Emission standard

F = 0.25 × σ

(2) After each test, C i is compared to the action limit, H, the quantity w hich the CumSum statistic must exceed, in two consecutive tests, be fore the engine family may be determined to be in noncompliance for purposes of p aragraph (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 recalcul ated after each test.

(3) After each engine is tested, the CumSum statist ic shall be promptly updated according to the CumSum Equation in paragraph (1) o f this subsection.

(4) If, at any time during the model year, a manufa cturer amends the application for certification for an engine family as specified in Sections 17 and 18 of the Test28

Procedures by performing an engine family modificat ion (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, ch anges in calibration, or the use of a different deterioration factor), all previous sampl e size and CumSum statistic calculations for the model year will remain unchang ed.

(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 non compliance, 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 consecuti ve tests.

(7) The engine manufacturer must perform a minimum of two (2) tests per engine family per quarter of production, regardless of whether th e conditions of sample size have

been met.

(8) All results from the previous quarters of the s ame 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 te st).

(9) If the Cumulative Sum analysis indicates that a n engine family has failed, the engine manufacturer must notify the Chief of the Mobile So urce Operations Division in writing and by telephone, within ten (10) working days. Cor rective action will be taken as noted in paragraphs (e) and (f) below.

(10) If a manufacturer performs corrective action o n 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 Cumulat ive Sum analysis indicates that a decision has been made, the manufacturer must provi de all the data accumulated during the quarter.

(d) Calculation and reporting of test results.

(1) Initial test results are calculated following t he applicable test procedure. The manufacturer rounds these results, in accordance wi th ASTM E29- 93a, to the number of decimal places contained in the applicable emiss ion standard expressed to one additional significant figure. (ASTM E29-93a has be en incorporated by reference.)

(2) Final test results are calculated by summing th e 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 same29

number of decimal places contained in the applicabl e standard expressed to one additional significant figure.

(3) The final deteriorated test results for each te st engine are calculated by applying the appropriate deterioration factors, derived in the c ertification 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 appl icable standard expressed to one additional significant figure.

(4) If, at any time during the model year, the CumS um statistic exceeds the applicable action limit, H, in two consecutive tests, the engi ne 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 Vehi cle Audit Section, 9528 Telstar Ave., El Monte, CA 91731, within ten (10) working d ays of such exceedance by the

Cum Sum statistic.

(5) Within 30 calendar days of the end of each quar ter, each engine manufacturer must submit to the Executive Officer a report which incl udes the following information:

(A) The location and description of the manufacture r's or other's exhaust emission test facilities which were utilized to conduct testing r eported pursuant to this section;

(B) Total production and sample sizes, N and n, for each engine family;

(C) The applicable emissions standards for each eng ine 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 sys tem, dynamometer power absorber setting in horsepower, engine code or calibration n umber, and test location).

(F) The date of the end of the engine manufacturer' s model year production for each engine family.

(G) For each test conducted,

(i) A description of the test engine, including:

(a) Configuration and engine family identification,

(b) Year, make, and build date,

(c) Engine identification number, and

(d) Number of hours of service accumulated on engin e prior to testing;30

(ii) Location where service accumulation was conduc ted and description of accumulation procedure and schedule;

(iii) Test number, date, test procedure used, initi al test results before and after rounding, and final test results for all exhaust em ission tests, whether valid or invalid, and the reason for invalidation, if applicable;

(iv) A complete description of any adjustment, modi fication, 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 wil l not be performed on all other production engines;

(v) The exhaust emission data for HC+NOx (or NMHC+N Ox, as applicable) and CO for each test engine or equipment. The data reported mu st provide two significant figures beyond the number of significant figures in applica ble emission standards.

(vi) The retest emission data, as described in para graph (d) above for any engine or unit of equipment failing the initial test, and des cription of the corrective actions and measures taken, including specific component replac ed 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 manufac tured by the manufacturer do in fact conform with the regulations with respect to w hich 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 abor ted test.

(xi) The start and stop dates of batch-produced eng ine family production.

(xii) The required information for all engine famil ies in production during the quarter regardless of sample size; and

(xiii) The following signed statement and endorseme nt by an authorized representative

of the manufacturer:

This report is submitted pursuant to this article. This production line testing program was conducted in complete conformance with all appl icable regulations under the Test Procedures. No emission-related changes to producti on processes or quality control procedures for the engine family tested have been m ade during this production line testing program that affect engines from the produc tion line. All data and information31

reported herein is, to the best of (Company Name) k nowledge, true and accurate. I am aware of the penalties associated with violations o f the California Code of Regulations and the regulations thereunder. (Authorized Company Representative.)

(H) Each manufacturer must submit a copy of the rep ort that has been stored (e.g., computer disc), or may be transmitted, in an electr onically 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 ma nufacturer that the engine manufacturer may be subject to revocation or suspen sion of the Executive Order authorizing sales and distribution of the noncompli ant engines in the State of California, or being enjoined from any further sales, or distri bution, of the noncompliant engines in the State of California pursuant to Section 43017 o f 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 c orrective 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 suspen sion of the Executive Order authorizing sales and distribution of the noncompli ant equipment in the State of California, or being enjoined from any further sale s, or distribution, of the noncompliant equipment product line(s) that are, or utilize engi nes that are, noncompliant with the applicable emission regulations in the State of Cal ifornia pursuant to Section 43017 of the Health and Safety Code. Prior to revoking or su spending, or seeking to enjoin an equipment manufacturer, and other interested partie s, including, but not limited to corrective actions applied to the noncompliant engi ne family. In addition, the equipment manufacturer may be subject to, on a per engine bas is, 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 tim e that testing of that engine family is completed.

(2) The Executive Officer may suspend the Executive Order for an engine family which is determined to be in noncompliance pursuant to pa ragraph (c)(6). This suspension will not occur before fifteen days after the engine fami ly is determined to be in noncompliance.32

(3) If the results of testing pursuant to these reg ulations indicate that engines of a particular family produced at one plant of a manufa cturer do not conform to the regulations with respect to which the Executive Ord er was issued, the Executive Officer may suspend the Executive Order with respect to tha t 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 in formation in any report or information provided to the Executive Officer under this subpart.

(C) The manufacturer renders inaccurate any test da ta submitted under this subpart.

(D) An ARB enforcement officer is denied the opport unity to conduct activities authorized in this subpart and a warrant or court o rder is presented to the manufacturer or the party in charge of the facility in question.

(5) The Executive Officer may suspend such certific ate 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 manufact urer in writing of any suspension or revocation of an Executive Order in whole or in par t. A suspension or revocation is effective upon receipt of the notification or fifte en days from the time an engine family is determined to be in noncompliance pursuant to parag raph (c)(5) or (c)(6), whichever is later, except that the certificate is immediately s uspended with respect to any failed engines as provided for in paragraph (a) of this se ction.

(7) The Executive Officer may revoke an Executive O rder for an engine family after the certificate has been suspended pursuant to paragrap h (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 applica tion for certification of the affected engine family.

(8) Once an Executive Order has been suspended for a failed engine, as provided for in paragraph (a) of this section, the manufacturer mus t take the following actions before the certificate is reinstated for that failed engin e:

(A) Remedy the nonconformity;33

(B) Demonstrate that the engine conforms to the emi ssion standards by retesting the engine in accordance with these regulations; and

(C) Submit a written report to the Executive Office r, after successful completion of testing on the failed engine, which contains a desc ription of the remedy and test results for each engine in addition to other information th at may be required by this part.

(9) Once an Executive Order for a failed engine fam ily has been suspended pursuant to paragraph (b), (c) or (d) of this section, the manu facturer must take the following

actions before the Executive Officer will consider reinstating the certificate:

(A) Submit a written report to the Executive Office r which identifies the reason for the noncompliance of the engines, describes the propose d remedy, including a description of any proposed quality control or quality assuranc e measures to be taken by the manufacturer to prevent future occurrences of the p roblem, and states the date on which the remedies will be implemented.

(B) Demonstrate that the engine family for which th e 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 fall s below the action limit. Such testing must comply with the provisions of this Par t. If the manufacturer elects to continue testing individual engines after suspensio n 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 ap plicable test procedures, provided

that the Executive Officer has not revoked the cert ificate 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 be fore the Executive Officer may issue a certificate for that modified family:

(A) If the Executive Officer determines that the pr oposed change(s) in engine design may have an effect on emission performance deterior ation, the Executive Officer shall notify the manufacturer, within five working days a fter receipt of the report in paragraph (9)(A) of this section, whether subsequent testing under this subpart will be sufficient to evaluate the proposed change or changes or whether additional testing will be required;

and

(B) After implementing the change or changes intend ed to remedy the nonconformity,

the manufacturer must demonstrate that the modified engine family does in fact conform with the regulations of this part by testin g 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 may34

be, to include that family. As long as the CumSum s tatistic remains above the action limit, the revocation remains in effect.

(11) At any time subsequent to a suspension of an E xecutive 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 Executiv e Order in whole or in part pursuant to paragraphs (b), (c), or (f) of this section, a m anufacturer may request a hearing as to whether the tests have been properly conducted or a ny sampling methods have been properly applied.

(12) Any suspension of an Executive Order under par agraph (f)(4) of this section:

(A) must be made only after the manufacturer concer ned has been offered an opportunity for a hearing conducted in accordance w ith all applicable requirements and;

(B) need not apply to engines no longer in the poss ession of the manufacturer.

(13) After the Executive Officer suspends or revoke s an Executive Order pursuant to this section and prior to the commencement of a hea ring, if the manufacturer

demonstrates to the Executive Officer's satisfactio n that the decision to suspend or

revoke the Executive Order was based on erroneous i nformation, 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 ma nufacturer may request that the Executive Officer conditionally reinstate the Execu tive 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 reinstate d if the CumSum statistic does not fall below the action limit and must commit to remedy an y nonconformity at no expense to

the owner.

[The replacement language provides for Greater and more accurate testing, as proposed in the ARB production line testing, is nec essary in order to ensure the emissions benefit prior to the equipment going in-u se. The ARB has found that the proposed level of production line testing is necess ary and provides an appropraite

balance with the economic costs to ensure a robust control program.]

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

DELETE

[Replaced by 2437 language in §1048.301]35

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

DELETE

[Replaced by 2437 language in §1048.301]

§1048.315 How do I know when my engine family fail s the production-line testing requirements?

DELETE

[Replaced by 2437 language in §1048.301]

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

emission standards?

DELETE

[Replaced by 2437 language in §1048.301]

§1048.325 What happens if an engine family fails t he production-line requirements?

DELETE

[Replaced by 2437 language in §1048.301]

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

DELETE

[Replaced by 2437 language in §1048.301]

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

DELETE

[Replaced by 2437 language in §1048.301]

§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 f amily in the following cases:

* * * * *

(2) DELETE AND REPLACE WITH: Your engine family fails to comply with the require ments 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.36

(b) To sell engines from an engine family with a r evoked certificate of conformity, you must modify the engine family and then show it comp lies 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 produc tion-line testing will be enough for us to evaluate the change or whether you need to do more testing.

[Subsection (a)(2) is modified to correct the refer ence from §1048.325 to §1048.301]

* * * * *

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

DELETE

[Replaced by 2437 language in §1048.301]

§1048.350 What records must I keep?

DELETE

[Replaced by 2437 language in §1048.301]

[All sections referring to production line testing have been replaced with existing the ARB program. The ARB production line testing progr am provides greater assurance that engines will maintain their emissions during t heir useful life.]

Subpart E—Testing In-use Engines

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

service?

* * * * *

(b) We may approve an alternate plan for showing th at in-use engines comply with the requirements of this part if one of the following i s true: (1) DELETE AND REPLACE WITH:

You produce a total of less than 2000 large spark-i gnition engines annually for sale

in the United States of America.

[The language has been revised to make the definiti on for small volume manufacturer definition consistent with other ARB regulations.]

* * * * *37

§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 mode l year off-road large spark-ignition engines with engine displacement greater than 1.0 l iter.

(b) Manufacturer In-Use Testing Program.

Standards and Test Procedures. The emission standar ds, exhaust sampling and analytical procedures are those described in the Te st Procedures, and are applicable to engines tested only for exhaust emissions. An engin e is in compliance with these standards and test procedures only when all portion s 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 nom inal value or position as indicated on the engine label.

(1) Within a manufacturer's model-year engine produ ction period, the ARB will identify those engine families, and the specific configurati ons within an engine family, that the manufacturer must subject to in-use testing as desc ribed below. For each model year, ARB may identify a number of engine families that i s 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, engin e 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 tes ting to ARB.

(3) An engine manufacturer must test in-use engines from each engine family identified by ARB. All engines selected by the manufacturer fo r testing must be identified by the manufacturer, and a list of the selected engines mu st 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 certif ied useful life period. The number of engines to be tested by a manufacturer will be dete rmined 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 engin es must be tested until the total number of engines equals ten.

(B) For engine families of less than 500 engines (n ational production) for the identified model year or for engine manufacturers who make les s 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 failin g engine, two more engines shall be tested until the total number of engines equals ten (10).38

(C) If an engine family was certified using carryov er 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 mus t be conducted as outlined in subsections (b)(3)(A) or (b)(3)(B), whichever is ap propriate.

(4) The Executive Officer may approve an alternativ e 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 eng ine removal such as large vehicles or equipment from which the engine cannot be remove d 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 alternative s shall be designed to determine whether the engine family is in compliance.

(5) The engine manufacturer shall procure in-use en gines which have been operated between 0.50 and 1.0 times the certified engine's u seful life period. The engine manufacturer may test engines from more than one mo del 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 particul ar engine family for testing and shall complete testing of such engine family within 24 ca lendar months from the date of approval of the plan by ARB. Test engines may be pr ocured from sources associated with the engine manufacturer (i.e., manufacturer-es tablished 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 h istory representative of in-use

conditions.

(A) To comply with this requirement a manufacturer must obtain information from the end users regarding the accumulated usage, maintena nce, repairs, operating 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 restorativ e maintenance on components of a test engine that are not subject to parameter adj ustment. Maintenance may include only that which is listed in the owner's instructio ns for engines with the amount of39

service and age of the acquired test engine. Repair s may be performed on a test engine with prior Executive Officer approval. Docum entation of all maintenance, repairs, defects, and adjustments shall be maintained and re tained 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 req uirements of the test procedure, if any, that are not necessary to determine in-use com pliance.

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

the manufacturer shall determine the reason for non compliance. 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 no ncompliance within fifteen business days of completion of testing. Additional time beyond the initial fifteen days may be granted providing that the manufacturer rece ives prior approval from the Executive Officer. The reports may be filed electro nically 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 sp ecified in Section 2439.

(7) The Executive Officer will consider failure rat es, average emission levels and the existence of any defects, among other factors, in d etermining whether to pursue remedial action under this subpart. The Executive O fficer may order a recall pursuant to Section 2439 before testing reaches the tenth engin e whenever the Executive Officer has determined, based on production-line test resul ts or in-use test results, enforcement testing results, or any other informati on, 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 wh enever 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 (c ommencing with Section 43000) of Division 26 of the Health and Safety Code, or any r egulation 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.

(8) Prior to an ARB-ordered recall, the manufacture r may perform a voluntary emissions recall pursuant to Article 4.5, Section 2439(b). Su ch manufacturer is subject to the reporting requirements in subsection (d) below.40

(9) Once ARB determines that a substantial number o f engines fail to conform with the requirements, the manufacturer will not have the op tion 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 testin g 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 identificatio n, 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 adjust ments performed,

(J) summary (if any) of all ARB pre-approved modifi cations 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 Off icer may exempt manufacturers from this requirement upon written request with sup porting justification.

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

to the Executive Officer.

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

programs.

[All sections referring to in-use compliance have b een replaced with existing the ARB program. The ARB in-use compliance program provi des greater assurance that engines will maintain their emissions during their useful life.]41

§1048.415 What happens if in-use engines do not me et 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 emi ssion recall, the manufacturer shall notify the Executive Officer of the recall at least 30 days be fore owner notification is to begin. The

manufacturer shall also submit to the Executive Off icer a voluntary recall plan for approval, as prescribed in the following:

(A)(i) a description of each class or category of e ngines 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 engi nes:

(ii) a description of the specific modifications, a lterations, repairs, corrections, adjustments, or other changes to be made to correct the engines aff ected by the nonconformity;

(iii) a description of the method by which the manu facturer 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 a ny such conditions;

(v) a description of the procedure to be followed b y engine owners to obtain correction of the nonconformity. This shall include designation of th e date on or after which the owner can have the nonconformity remedied, the time reasonably nec essary 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 th an dealers and authorized warranty agents of the manufacturer who will remedy the nonconformity;

(vii) a description of the system by which the manu facturer 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 e ngines subject to recall, including the number of engines subject to being recalled, the engine famil y or a sub-group thereof, the model year, and such other information as may be required to identi fy the engines;42

(ii) a description of the method by which the manuf acturer will use the in-use emissions credit, averaging, banking, and trading program, as describ ed in Section 2438(e), to remedy the nonconformity.

(2) Voluntary Recall Progress Report. A manufacture r who initiates a voluntary emission recall campaign pursuant to paragraph (b)(1)(A) of this se ction 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 211 2(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 informatio n:

(A) Engine family involved and recall campaign numb er as designated by the manufacturer.

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

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

(D) Number of equipment or engines known or estimat ed to be affected by the nonconformity.

(E) Number of equipment or engines inspected pursua nt 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, scrappin g, 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 equi pment 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 wh ich 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 su bmitted.

(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 manufact ure of the engines and must be made available to the Executive Officer or designee of the Executi ve Officer upon request.43

(4) A voluntary recall plan shall be deemed approve d unless disapproved by the Executive Officer within 20 business days after receipt of th e 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 te sting or other evidence of noncompliance provided or required by the Board to remedy any non conformity, the capture rate shall be at a minimum 55 percent of the equipment or engine withi n the subject engine family or a sub-group thereof. The manufacturer shall comply with the cap ture 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 equip ment specified in the plan by the applicable deadlines, the manufacturer must use good faith eff orts through other measures, subject to approval by the Executive Officer, to bring the eng ine family into compliance with the standards. If the Executive Officer does not approve the manuf acturer'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 r epaired equipment or engines and the mitigation measures are equivalent to achieving the capture rate; and

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

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

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

(1) A manufacturer shall be notified whenever the E xecutive 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 o r category of equipment or engines produced by that manufacturer, although properly maintained and used, contain a failure in an emissionrelated component which, if uncorrected, may result in the equipments' or engines' failure to meet applicable standards over their useful lives; or wh enever a class or category of equipment or engines within their useful lives, on average, do n ot 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 "certi fication" as specified in Chapter 9, as applicable to the model year of such equipment or e ngines.

(2) It shall be presumed for purposes of this secti on that an emission-related failure will result in

the exceedance of emission standards unless the man ufacturer 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 fail ure will not result in exceedance of emission standards within the useful life of the equipment o r engine.44

(A) In order to overcome the presumption of noncomp liance 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 m anufacturer may demonstrate compliance with the emission standards by following the proced ures 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 emissionrelated component pursuant to the applicable certif ication emission tests specified in Section 2433, Title 13 of the California Code of Regulation s. 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 manufa cturer from among the following:

(i) "Assigned" in-use deterioration factors provide d by the ARB on a manufacturer's conditions; request and based on ARB in-use testing; or,

(ii) deterioration factors generated during certifi cation, provided adjustments are made to account for equipment aging, customer hour usage-accumulati on practices, type of failed component, component failure mode, effect of the failure on ot her emission-control components, commercial fuel and lubricant quality, and any other factor wh ich 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 cont rol technology as equipment with the failed

component.

(C) In lieu of the equipment or engine emission tes ting described in subsection (B) above and subject to approval by the Executive Officer, a man ufacturer 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 4 5 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 p ursuant to the procedures set forth in Subchapter 1.25, Division 3, Chapter 1, Title 17, C alifornia Code of Regulations to contest the finding of nonconformity and the necessity for or t he scope of any ordered corrective action.45

(B) If a manufacturer requests a public hearing pur suant 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 24 39 within 30 days after receipt of the Board's

decision.

(5) Ordered Recall Plan.

(A) Unless a public hearing is requested by the man ufacturer, a recall plan shall be submitted to the Chief, Mobile Source Operations Division, 9528 Telstar Avenue, 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 equi pment 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 equi pment or engines to be recalled.

(ii) A description of the nonconformity and the spe cific modifications, alterations, repairs, corrections, adjustments or other changes to be mad e to bring the equipment or engines into conformity including a brief summary of the data an d technical studies which support the manufacturer's decision regarding the specific corr ections to be made.

(iii) A description of the method by which the manu facturer will determine the names and addresses of equipment or engine owners and the met hod 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 necessa ry to perform the labor required to correct the nonconformity, and the designation of facilitie s at which the nonconformity can be remedied. The repair shall be completed within a reasonable t ime 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 manufactur er as the date on or after which the owner can have the nonconformity remedied.

(v) If some or all of the nonconforming equipment o r engines are to be remedied by persons other than dealers or authorized warranty agents of the m anufacturer, a description of such class of persons and a statement indicating that the partici pating members of the class will be properly equipped to perform such remedial action.

(vi) The capture rate required for each class or ca tegory of equipment or engine to be recalled.

Under recalls based on exceedance of emission stand ards, the capture rate shall be at a minimum 80 percent of the equipment or engine within the su bject engine family.46

(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 ma nufacturer has made a good faith effort to repair the percentage of equipment or engines speci fied in the plan. The plan shall include a schedule for implementing actions to be taken inclu ding identified increments of progress towards implementation and deadlines for completing each such increment.

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

(ix) A description of the system by which the manuf acturer 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 initi ate 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 ch anges 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 en gineering evaluations which support these descriptions.

(xii) A description of the impact of the proposed c hanges on the average emissions of the equipment or engines to be recalled based on noncom pliance described in subsection (c)(1), above. The description shall contain the following:

(1.) Average noncompliance emission levels.

(2.) Average emission reduction or increase per pol lutant resulting from the recall repair. These averages shall be verified by the manufacturer by a pplying the proposed recall repairs to two or more in-use equipment or engines representing the a verage noncompliance emission levels. Only those equipment or engines with baseline emission l evels within 25 percent of the average emission levels of noncomplying pollutant(s) establ ished under the in-use enforcement test program may be used by manufacturers to verify prop osed 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 reasona bly 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 require d capture rate. The estimated average emission level shall comply with the applicable emission sta ndards. 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 w ith the emissions standards, a manufacturer shall propose other measures to achieve average emi ssions compliance.

(xiii) Any other information, reports, or data whic h the Executive Officer may reasonably47

determine to be necessary to evaluate the recall pl an.

(6) Approval and Implementation of Recall Plan.

(A) If the Executive Officer finds that the recall plan is designed effectively to correct the nonconformity and complies with the provisions of t his Section, he or she will so notify the manufacturer in writing. Upon receipt of the approv al notice from the Executive Officer, the manufacturer shall commence implementation of the a pproved plan. Notification of equipment or engine owners and the implementation of recall repa irs 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 r ecall 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 Offi cer's disapproval by requesting a public hearing pursuant to the procedures set forth in Sub chapter 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 decis ion, affirming or modifying, the Board shall specify the date by which the manufacturer shall co mmence 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 t he Executive Officer and shall commence notifying equipment or engine owners and implementi ng 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 shal l 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 engi ne owners to ensure effective notification.

(C) The Executive Officer may require subsequent no tification by the manufacturer to equipment or engine owners by first class mail or other reaso nable means provided, that for good cause, the Executive Officer may require the use of certified mail to ensure effective notification.48

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

(i) The statement: "The California Air Resources Bo ard has determined that your (equipment or engine) (is or may be) releasing air pollutants whi ch exceed (California or California and
Federal) standards. These standards were establishe d 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 denie d solely on the basis that the equipment or engine owner used parts not manufactured by the ori ginal equipment manufacturer, or had repairs performed by outlets other than the equipment or en gine manufacturer's franchised dealers.

(iv) A clear description of the components which wi ll be affected by the recall action and a general statement of the measures to be taken to co rrect 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 o f the equipment or engine or to the function of other engine components.

(vii) A description of the procedure which the equi pment or engine owner should follow to obtain correction of the nonconformity including th e date on or after which the owner can have the nonconformity remedied, the time reasonably nec essary 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 enfor cement program referred to above, a statement that a certificate showing that the equipment has b een repaired under the recall program shall be issued by the service facilities and that such a ce rtificate may be required as a condition of equipment registration or operation, as applicable.

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

recalled has been sold. Such card should be address ed to the manufacturer, have postage paid, and shall provide a space in which the owner may in dicate the name and address of the person to whom the equipment or engine was sold.

(x) The statement: "In order to ensure your full pr otection under the emission warranty made applicable to your (equipment or engine) by State o r Federal law, and your right to participate in future recalls, it is recommended that you have you r (equipment or engine) serviced as soon as possible. Failure to do so could be determined to b e a lack of proper maintenance of your (equipment or engine)".

(xi) A telephone number provided by the manufacture r, which may be used to report difficulty in49

obtaining recall repairs.

(xii) The manufacturer shall not condition eligibil ity for repair on the proper maintenance or use of the equipment except for strong or compelling re asons and with approval of the Executive

Officer; however, the manufacturer shall not be obl igated 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 statemen t, express or implied, that the nonconformity does not exist or will not degrade air quality.

(xiv) The manufacturer shall be informed of any oth er 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 perfor m 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 appr oved 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 num ber and a code designating the facility at which the repair, inspection for repair, was perfor med.

(9) Proof of Correction Certificate. The manufactur er shall require those who perform the recall repair to provide the owner of each equipment or en gine repaired with a certificate, through a protocol and in a format prescribed by the Executiv e Officer, which indicates that the noncomplying equipment or engine has been corrected under the recall program. This requirement shall become effective and applicable u pon the effective date of the recall enforcement program referred to in this section, ab ove.

(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 Regul ations, following the quarter in which the notification of equipment or engine owners was init iated. If, after good faith efforts, the manufacturer cannot correct the percentage of equip ment specified in the plan by the applicable deadlines and cannot take other measures to bring t he engine family into compliance with the standards, the manufacturer shall propose mitigatio n measures to offset the emissions of the unrepaired equipment within 45 days from the last r eport filed pursuant to Section 2439(c)(13), below. The Executive Officer shall approve such mea sures provided that:50

(A) The emission reductions from the recalled and r epaired equipment or engines and the mitigation measures are equivalent to achieving the capture rate; and

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

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

(11) Preliminary Tests. The Executive Officer may r equire the manufacturer to conduct tests on components and equipment or engines incorporating a proposed correction, repair, or modification reasonably designed and necessary to d emonstrate the effectiveness of the correction, repair, or modification.

(12) Communication with Repair Personnel. The manuf acturer shall provide to the Executive Officer a copy of all communications which relate t o 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 dealer s and other persons who are to perform the repair under the recall plan.

(13) Recordkeeping and Reporting Requirements.

(A) The manufacturer shall maintain sufficient reco rds 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 numb er as designated by the manufacturer.

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

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

(iv) Number of equipment or engines known or estima ted to be affected by the nonconformity.

(v) Number of equipment or engines inspected pursua nt to the recall plan and found to be affected by the nonconformity.

(vi) Number of inspected equipment or engines.

(vii) Number of equipment or engines receiving repa ir 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, sc rapping, or for other reasons (specify).

(ix) Number of equipment or engines determined to b e ineligible for recall action due to removed or altered components.51

(x) A listing of the identification numbers of equi pment 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, ma y be changed by the Executive Officer depending on the needs of recall enforcement.

(xi) Any service bulletins transmitted to dealers w hich relate to the nonconformity and which have not previously been submitted.

(xii) All communications transmitted to equipment o r engine owners which relate to the nonconformity and which have not previously been su bmitted.

(B) If the manufacturer determines that the origina l 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 Offi cer, the information specified in subsection (A) of these procedures shall be included in six qu arterly reports or two annual reports, beginning with the quarter in which the notification of owner s 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 da ys after the close of each calendar quarter.

(D) The manufacturer shall maintain in a form suita ble for inspection, such as computer information storage devices or card files, and shal l make available to the Executive Officer or his or her authorized representative upon request, list s of the names and addresses of equipment or engine owners:

(i) To whom notification was given;

(ii) Who received remedial repair or inspection und er 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 proce dures shall be retained for not less than one year beyond the useful life of the equipment or eng ines involved, or one year beyond the reporting time frame specified in subsection (C) ab ove, whichever is later.

(14) Penalties.

Failure by a manufacturer to carry out all recall a ctions ordered by the Executive Officer pursuant to Sections 2439(c) of these procedures is a violat ion 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 a nd Safety Code, sections 43000 et seq.

(d) Extension of Time. The Executive Officer may ex tend any deadline in the plan if he or she52

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

(e) The Executive Officer may waive any or all of t he requirements of these procedures if he or she determines that the requirement constitutes an unwarranted burden on the manufacturer without a corresponding emission reduction.

[All sections referring to in-use compliance have b een replaced with existing the ARB program. The ARB in-use compliance program provi des greater assurance that engines will maintain their emissions during their useful life.]53

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

DELETE

[Replaced by 2438-9 language in §1048.410-415]

[The language is not necessary as information regar ding the reporting of in-use testing is already contained in §1048.415.]

§1048.425 What records must I keep?

DELETE

[Replaced by 2438-9 language in §1048.410-415;The p rovisions contained in §1048.415 include submittal of an electronic report to ARB; as such, there is no need to retain records.]

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 thes e engines?

§1048.605 What provisions apply to engines certifie d under the motor-vehicle program?

§1048.610 What provisions apply to vehicles certif ied under the motor-vehicle program?

§1048.615 What are the provisions for exempting en gines designed for lawn and garden applications?

* * * * *

(a) (3) DELETE AND REPLACE WITH: The engine must be in an engine family that has a v alid executive order showing that it meets emission standards for Class II engines under Title 13, California Code of54

Regulations, Chapter 9, Article 1, Small Off-Road E ngines and Chapter 15, Article 1, Evaporative Emission Requirements for Off-Road Equi pment.

* * * * *

(d) DELETE AND REPLACE WITH: Engines exempted under this section are subject to all the requirements affecting engines under Title 13, California Code of Regulati ons, Chapter 9, Article 1, Small OffRoad Engines and Chapter 15, Article 1, Evaporative Emission Requirements for OffRoad Equipment. The requirements and restrictions of Title 13, California Code of Regulations, Chapter 9, Article 1, Small Off-Road E ngines and Chapter 15, Article 1, Evaporative Emission Requirements for Off-Road Equi pment apply to anyone manufacturing these engines, anyone manufacturing e quipment that uses these engines, and all other persons in the same manner a s if these engines had a total maximum engine power at or below 19 kW.

§1048.620 What are the provisions for exempting la rge engines fueled by natural gas?

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

§1048.630 What are the provisions for exempting en gines used solely for competition?

§1048.635 What special provisions apply to branded engines?

Subpart H—[Reserved]

Subpart I—Definitions and Other Reference Informati on

§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 me aning 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, Arti cle 3, Off-Highway Recreational Vehicles and Engines.

[EPA’s definition is inconsistent with the existing California definition for Off-Highway Recreational Vehicles and Engines]

* * * * *55

Blue Sky Series engine

DELETE

[The ARB is proposing to replace the Blue Sky stand ards with their own optional lower emission standards; see §1048.140].

* * * * *

Designated Compliance Officer means the Manager, Engine Programs Group (6405-J), U.S. Environmental Protection Agency, 120 0 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 Offi cer.

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 Ai r Resources Board so designated in writing by the Exe cutive 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 ce rtification) 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 S tatistics. For this definition, replacement cost includes the retail cost of the pa rt 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 for mula in section §1048.120(b)(3)(B).

[The definition has been replaced to reflect existi ng ARB warranty provisions. The ARB warranty program is generally more prescriptive and provides greater protection to the buyer.]

* * * * *

Low-hour

means relating to an engine with stabilized emissi ons and represents the undeteriorated emission level. This would generall y involve less than 300 hours of operation.

DELETE56

[ARB certification is based on zero-hour emission t esting]

* * * * *

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 annuall y for sale in the United States of

America.

* * * * *

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

§1048.810 What materials does this part reference?

§1048.815 What provisions apply to confidential in formation? (a) Clearly show what you consider confidential by marking, circling, bracketing, stamping, or some other method. (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 confid ential information, we will assume it contains nothing confidential whenever we need to r elease 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 y ou, as described in 40 CFR 2.204.

§1048.820 How do I request a hearing from the exec utive officer of the ARB? (a) You may request a hearing under certain circums tances, as described elsewhere in this part. To do this, you must file a written req uest, including a description of your objection and any supporting data, within 30 days a fter 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 subst antial factual issue. (c) If we agree to hold a hearing, we will use the procedures specified in §1048.15(b)(7).57

Appendix I to Part 1048—Large Spark-ignition (SI) T ransient Cycle for Constant-Speed Engines Appendix II to Part 1048—Large Spark-ignition (SI) Composite Transient Cycle