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Final Regulation Order 

Adopt new section 1971.5, title 13, California Code of Regulations 

(Note: All of the text below is new language shown in plain text with major section 

headings and definition terms shown in italics to be added to title 13, California 

Code of Regulations) 

§ 1971.5. Enforcement of Malfunction and Diagnostic System Requirements 

for 2010 and Subsequent Model-Year Heavy-Duty Engines. 

 (a) General. 

(1) Applicability. 

(A) These procedures shall be used to assure compliance with the 

requirements of California Code of Regulations (Cal. Code Regs.), title 

13, section 1971.1 for all 2010 and subsequent model year heavy-duty 

engines equipped with OBD systems that have been certified for sale 

in California. 

(B) Engines manufactured prior to the 2010 model year are covered by the 

general enforcement and penalty provisions of the Health and Safety 

Code, and the specific provisions of Cal. Code Regs., title 13, section 

1971 and section 2111 through section 2149. 

(2) Purpose. 

The purpose of this section is to establish the enforcement protocol that 

shall be used by the Air Resources Board (ARB) to assure that engines 

certified for sale in California are equipped with OBD systems that 

properly function and meet the purposes and requirements of Cal. Code 

Regs., title 13, section 1971.1. 

(3) Definitions. 

The definitions applicable to these rules include those set forth in Health 

and Safety Code section 39010 et seq. and in Cal. Code Regs., title 13, 

section 1900(b) and section 1971.1(c), which are incorporated by 

reference herein. The following definitions are specifically applicable to 

section 1971.5 and take precedence over any contrary definitions. 

“Days”, when computing any period of time, unless otherwise noted, 

means normal working days that a manufacturer is open for business. 

“Engine Class” means a group or set of engines subject to 

enforcement testing that have been determined by the Executive Officer to 

share common or similar hardware, software, OBD monitoring strategy, or 

emission control strategy. 

“Engine Manufacturer” means the manufacturer granted certification to 

sell engines in the State of California. 

“Executive Officer” means the Executive Officer of ARB or his or her 

authorized representative. 

“Influenced OBD-Related Recall” means an inspection, repair, 

adjustment, or modification program initiated and conducted by a 
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manufacturer as a result of enforcement testing conducted by the ARB or 

any other information for the purpose of correcting any nonconforming 

OBD system for which direct notification of vehicle or engine owners is 

necessary. 

“Major Monitor” means those monitors covered by the requirements set 

forth in Cal. Code Regs., title 13, section 1971.1(e), (f), and (g)(4). 

 “Nonconforming OBD System” means an OBD system on a 

production engine that has been determined not to comply with the 

requirements of Cal. Code Regs., title 13, section 1971.1. For purposes of 

section 1971.5, an engine class shall be considered nonconforming 

irrespective of whether engines in the engine class, on average, meet 

applicable tailpipe or evaporative emission standards. 

“OBD Emission Testing” refers to testing conducted to determine 

compliance with the malfunction criteria in Cal. Code Regs., title 13, 

section 1971.1(e) through (g) that are based on a multiple of, or an 

additive to, a tailpipe emission standard or an absolute measurement from 

an applicable emission test cycle (e.g., 1.5 times the applicable federal 

test procedure (FTP) emission standards, PM standard plus 0.02 g/bhp-hr, 

PM level of 0.03 g/bhp-hr as measure from an applicable emission test 

cycle). 

“OBD Ratio Testing” refers to testing conducted to determine 

compliance with the required in-use monitor performance ratio in Cal. 

Code Regs., title 13, section 1971.1(d)(3.2.2). 

“Ordered OBD-Related Recall” means an inspection, repair, 

adjustment, or modification program required by ARB to be conducted by 

the manufacturer to correct any nonconforming OBD system for which 

direct notification of vehicle or engine owners is necessary. 

“Quarterly Reports” refer to the following calendar periods: January 1 – 

March 31; April 1 – June 30; July 1 – September 30; October 1 – 

December 31. 

“Test Sample Group” means a group of production engines in a 

designated engine class that are equipped with OBD systems and are 

selected and tested as part of the enforcement testing program set forth in 

sections (b) and (c). 

“Voluntary OBD-Related Recall” means an inspection, repair, 

adjustment, or modification program voluntarily initiated and conducted by 

a manufacturer to correct any nonconforming OBD system for which direct 

notification of vehicle or engine owners is necessary. 

(b) Testing Procedures for ARB-Conducted Testing. 

(1) Purpose. 

To assure that OBD systems on production engines comply with the 

requirements of Cal. Code Regs., title 13, section 1971.1, ARB may 

periodically evaluate engines from an engine class.
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(2) Preliminary Testing and Evaluation. 

(A) As part of his or her evaluation of engines to determine compliance 

with the requirements of Cal. Code Regs., title 13, section 1971.1, the 

Executive Officer may routinely conduct testing on any production 

engines that have been certified for sale in California. 

(B) Based upon such testing or any other information, including data from 

California or other state heavy duty inspection programs, warranty 

information reports, and field information reports, the Executive Officer 

may conduct enforcement testing pursuant to sections (b)(3) through 

(5) below. 

(3) Engine Selection for ARB-Conducted Enforcement Testing. 

(A) Determining the Engine Class. 

(i) Upon deciding to conduct enforcement testing, the Executive Officer 

shall determine the engine class to be tested. In determining the 

scope of the engine class to be tested, the Executive Officer shall 

consider the similarities and differences in the OBD systems of 

potentially affected engines. Among other things, the Executive 

Officer shall consider whether engines share similar computer 

hardware and software, calibrations, or OBD monitoring and 

emission control strategies. 

(ii) The default engine class is the engine family or OBD group used by 

the manufacturer to certify the engines to be tested. However, 

upon concluding that a subgroup of engines differs from other 

engines in the identified engine family or OBD group and that a 

reasonable basis exists to believe that the differences may directly 

impact the type of testing that will be performed, the Executive 

Officer may determine that a subgroup of the engine family or OBD 

group is the appropriate engine class for testing. 

(iii) Similarly, upon concluding that engines from several engine 

families or OBD groups (which may include engine families or OBD 

groups from different model years) share such common 

characteristics that a reasonable basis exists to believe that results 

of enforcement testing may be applicable to an engine class larger 

than a specific engine family or OBD group, the Executive Officer 

may determine that the appropriate engine class includes more 

than one engine family or OBD group. 

(iv) Except for testing to determine if an OBD system has been 

designed to deactivate based on age and/or mileage (Cal. Code 

Regs., title 13, section 1971.1(d)(1.3)), the Executive Officer may 

not conduct testing of an engine class whose engines, on average, 

exceed the defined full useful life of the engine class. For purposes 

of the determination of this average, the Executive Officer shall use 

the accrual rates appropriate for engines in the engine class 

considering the vehicle weight class, usage type, and other 

subcategories as defined and used by EMFAC2007, which is 

incorporated by reference herein.
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(B) Size of Test Sample Group. 

After determining the engine class to be tested, the Executive Officer 

shall determine the appropriate number of engines to include in the 

test sample group for enforcement testing in accordance with the 

following guidelines: 

(i) For OBD emission testing, the Executive Officer shall follow the 

provisions of Cal. Code Regs., title 13, section 2137 regarding test 

sample size. In accordance with section 2137, the Executive 

Officer shall test 10 engines that have been procured following the 

protocol of section (b)(3)(C) below and meet the selection criteria of 

section (b)(3)(D)(i) below to determine the emissions characteristics 

of the engine class being tested.

(ii) For OBD ratio testing, the Executive Officer shall collect data from a 

test sample group of 30 engines that have been procured following 

the protocol of section (b)(3)(C) below and meet the selection 

criteria of section (b)(3)(D)(ii) below to determine the in-use OBD 

monitoring performance of the engine class being tested. 

(iii) In determining compliance with any other requirements of Cal. 

Code Regs., title 13, section 1971.1 (e.g., diagnostic connector 

location, communication protocol standards, MIL illumination 

protocol, evaporative system diagnostics, etc.), the Executive 

Officer shall determine, on a case by case basis, the number of 

engines meeting the selection criteria of section (b)(3)(D)(iii) 

needed to assure that the results of such testing may be 

reasonably inferred to the engine class. The Executive Officer’s 

determination shall be based upon the nature of the

nonconformance and the scope of the engine class. The test 

sample group could be as few as two test engines. 

(C) Protocol for Procuring Engines for Test Sample Group. 

 (i) For OBD emission and ratio testing, the Executive Officer shall 

determine the appropriate manner for procuring engines. In making 

his or her determination, the Executive Officer shall consider the 

nature of the nonconformance and the scope of the engine class. 

The method used shall ensure that engines are recruited from more 

than one source. Methods used may include obtaining lists of 

engine owners from specific sources (e.g., engine manufacturers, 

motor vehicle registration records) and soliciting participation from 

owners, discussing with fleet or rental operations to locate engines 

in the engine class, or using methods used by the manufacturer to 

procure engines for the manufacturer-run heavy duty diesel in-use 

testing program established pursuant to 70 Federal Register 34594 

to procure engines consistent with the procurement process 

followed by the Executive Officer under Cal. Code Regs., title 13, 

section 2137 (e.g., obtaining lists of all vehicles in the motor vehicle 

class within a specified geographical area, mailing postcards 

soliciting participation of vehicles within the specified area, 
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selecting vehicles from those that responded to the solicitation, 

inspecting selected vehicles to determine whether appropriate to 

include in sample group, etc.). In selecting engines for OBD 

emission testing, the Executive Officer shall include only engines 

meeting the criteria set forth in section (b)(3)(D)(i) below. For OBD 

ratio testing, the Executive Officer shall include only engines 

meeting the criteria set forth in section (b)(3)(D)(ii) below. 

(ii) For all other testing, the Executive Officer shall, on a case by case 

basis, determine the appropriate manner for procuring engines. In 

making his or her determination, the Executive Officer shall 

consider the nature of the nonconformance and the scope of the 

engine class. The Executive Officer may procure engine(s) by any 

means that assures effective collection and testing of engines (e.g., 

rental car agencies, fleet vehicles, etc.), but shall not include any 

vehicle for which a reasonable basis exists that a vehicle operator’s 

driving or maintenance habits would substantially impact test 

results to determine nonconformance. In all cases, however, the 

selection process must ensure proper selection of engines in 

accord with section (b)(3)(D)(iii) below. 

(D) Engines to be included in a Test Sample Group. 

(i) In selecting engines to be included in a test sample group for 

enforcement OBD emission testing, the Executive Officer shall 

include only engines that: 

a. Are certified to the requirements of Cal. Code Regs., title 13, 

section 1971.1 and California exhaust emission standards. 

b. Are registered for operation in the United States. 

c. Have mileage that is less than 75 percent of the certified full 

useful life mileage and have an age of less than the certified full 

useful life age for the subject vehicles. 

d. Have not been tampered with or equipped with add-on or 

modified parts that would cause the OBD system not to comply 

with the requirements of Cal. Code Regs., title 13, section 1971.1 

or would have a permanent effect on exhaust emission 

performance 

e. Have not been subjected to abuse (e.g., racing, overloading, 

misfueling), neglect, improper maintenance, or other factors that 

would cause the OBD system not to comply with the 

requirements of Cal. Code Regs., title 13, section 1971.1 or 

would have a permanent effect on exhaust emission 

performance.

f. Have no detected or known malfunction(s) unrelated to the 

monitor or system being evaluated that would affect the 

performance of the OBD system. At its discretion, ARB may 

elect to repair an engine with a detected or known malfunction 

and then include the engine in the test sample group. 

g. Have had no major repair to the engine resulting from a collision. 
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h. Have no problem that might jeopardize the safety of laboratory 

personnel. 

(ii) In selecting engines to be included in a test sample group for 

enforcement OBD ratio testing, the Executive Officer shall include 

only engines that: 

a. Are certified to the requirements of Cal. Code Regs., title 13, 

section 1971.1. 

b. Have collected sufficient engine operation data for the monitor to 

be tested. For monitors required to meet the in-use monitor 

performance ratio and to track and report ratio data pursuant to 

Cal. Code Regs., title 13, section 1971.1(d)(3.2), sufficient 

engine operation data shall mean the denominator meets the 

criteria set forth in sections (b)(3)(D)(ii)1. through 5. below. For 

monitors required to meet the in-use monitor performance ratio 

but not required to track and report ratio data pursuant to Cal. 

Code Regs., title 13, section 1971.1(d)(3.2), sufficient engine 

operation data shall mean that engines that have a denominator 

that meets the criteria set forth in sections (b)(3)(D)(ii)1. through 

5. below after undergoing testing as set forth in section 

(b)(4)(C)(ii) below. Specifically, the denominator, as defined in 

Cal. Code Regs., title 13, section 1971.1(d)(4.3), for the monitor 

to be tested must have a value equal to or greater than: 

1. 150 for gasoline evaporative system and secondary air 

system monitors, and gasoline monitors utilizing a 

denominator incremented in accordance with Cal. Code 

Regs., title 13, section 1971.1(d)(4.3.2)(D), (E), and (F) (e.g., 

cold start monitors, variable valve timing and/or control 

system monitors, etc.), or 

2. 300 for gasoline catalyst, oxygen sensor, EGR, and all other 

component monitors. 

3. 50 for diesel PM filter and NMHC converting catalyst 

monitors, and other diesel monitors using a denominator 

incremented in accordance with Cal. Code Regs., title 13, 

section 1971.1(d)(4.3.2)(G) or (H), or 

4. 150 for diesel monitors utilizing a denominator incremented in 

accordance with Cal. Code Regs., title 13, section 

1971.1(d)(4.3.2)(D), (E), or (F) (e.g., cold start monitors, 

comprehensive component output component monitors, 

etc.), or 

5. 300 for all other diesel monitors not covered under sections 

(b)(3)(D)(ii)3. and 4. above. 

c. Have not been tampered with or equipped with add-on or 

modified parts that would cause the OBD system not to comply 

with the requirements of Cal. Code Regs., title 13, section 

1971.1. 
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d. Have mileage and age that are less than or equal to the certified 

full useful life mileage and age for the subject engines. 

(iii) In selecting engines to be included in a test sample group for 

enforcement testing of any other requirement of Cal. Code Regs., 

title 13, section 1971.1 (not covered by sections (b)(3)(D)(i) or (ii) 

above), the Executive Officer shall include only engines that: 

a. Are certified to the requirements of Cal. Code Regs., title 13, 

section 1971.1. 

b. Have not been tampered with or equipped with add-on or 

modified parts that would cause the OBD system not to comply 

with the requirements of Cal. Code Regs., title 13, section 

1971.1. 

c. Have no detected or known malfunction(s) unrelated to the 

monitor or system being evaluated that would affect the 

performance of the OBD system. At its discretion, ARB may 

elect to repair an engine with a detected or known malfunction 

and then include the engine in the test sample group. 

d. Have mileage and age that are less than or equal to the certified 

full useful life mileage and age for the subject engines. 

(iv) If the Executive Officer discovers, by either evidence presented by 

the manufacturer as provided in section (b)(7) or on his or her own, 

that an engine fails to meet one or more of the applicable criteria of 

section (b)(3)(D)(i) through (iii), the Executive Officer shall remove 

the engine from the test sample group. The Executive Officer may 

replace any engine removed with an additional engine selected in 

accordance with sections (b)(3)(C) and (D) above. Test results 

relying on data from the removed engine shall be recalculated 

without using the data from the removed engine. 

(4) Enforcement Testing Procedures. 

(A) Prior to conducting any testing under section (b)(4), the Executive 

Officer may replace components monitored by the OBD system with 

components that are sufficiently deteriorated or simulated to cause 

malfunctions that exceed the malfunction criteria established pursuant 

to Cal. Code Regs., title 13, section 1971.1(e) through (g) in a properly 

operating system. The Executive Officer may not use components 

deteriorated or simulated to represent failure modes that could not 

have been foreseen to occur by the manufacturer (e.g., the use of 

leaded gasoline in an unleaded gasoline engine, etc.). Upon request 

by the Executive Officer, the manufacturer shall make available all test 

equipment used by the manufacturer in development, calibration, or 

demonstration testing (e.g., malfunction simulators, deteriorated 

“threshold” components, etc.) necessary to duplicate testing done by 

the manufacturer to determine the malfunction criteria used for major 

monitors subject to OBD emission testing. 
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(B) OBD Emission Testing. After the test sample group has been selected 

and procured, the Executive Officer may perform one or more of the 

following tests: 

(i) Emission testing with the test procedures used by the Executive 

Officer for in-use testing of compliance with exhaust emission 

standards in accordance with Cal. Code Regs., title 13, section 

1956.8(b) and (d). 

(ii) On-road or engine or chassis dynamometer testing with the engine 

being operated in a manner that reasonably ensures that all of the 

monitoring conditions disclosed in the manufacturer's certification 

application for the tested monitor are encountered.

(C) OBD Ratio Testing. 

(i) For OBD ratio testing of monitors required to meet the in-use 

monitor performance ratio and track and report ratio data pursuant 

to Cal. Code Regs., title 13, section 1971.1(d)(3.2), after the test 

sample group has been selected and procured, the Executive 

Officer shall download the data from monitors required to track and 

report such data. 

(ii) For OBD ratio testing of monitors required to meet the in-use 

monitor performance ratio but not required to track and report ratio 

data pursuant to Cal. Code Regs., title 13, section 1971.1(d)(3.2), 

after the test sample group has been selected and procured, the 

Executive Officer shall collect data by installing instrumentation or 

data-logging equipment on the engines/vehicles. After installation 

of the equipment, the engines/vehicles shall be returned to the 

engine/vehicle owner/operator to continue to operate the 

engine/vehicle until the minimum denominator criteria (see section 

(b)(3)(D)(ii)b.) are satisfied. The Executive Officer shall then 

calculate the ratio from the data collected in accordance with the 

requirements of Cal. Code Regs., title 13, section 1971.1(d)(3.2) to 

allow the Executive Officer to effectively determine the in-use 

monitor performance ratio. 

(D) Testing for compliance with any other requirement of Cal. Code Regs., 

title 13, section 1971.1. After the test sample group has been selected 

and procured, the Executive Officer may perform one or more of the 

following tests: 

(i) Emission testing on the applicable FTP or supplemental emission 

test (SET) cycle or other applicable emission test cycle used for 

measuring exhaust or evaporative emissions; 

(ii) On-road or engine or chassis dynamometer testing with the engine 

being operated in a manner that reasonably ensures that all of the 

monitoring conditions disclosed in the manufacturer's certification 

application for the tested monitor are encountered; or 

(iii) Any other testing determined to be necessary by the Executive 

Officer. This may include, but is not limited to, the use of special 
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test equipment to verify compliance with standardization 

requirements. 

(5) Additional Testing. 

(A) Based upon testing of the engine class in section (b)(4) above and 

after review of all evidence available at the conclusion of such testing, 

the Executive Officer may elect to conduct further testing of a subgroup 

of engines from the engine class if the Executive Officer has 

determined that: 

(i) A subgroup of tested engines differs sufficiently enough from other 

engines in the tested engine class, and 

(ii) A reasonable basis exists to believe that the identified differences 

may indicate that the subgroup may be nonconforming whereas the 

tested engine class as a whole is not. 

(B) Hereinafter all references to engine class shall be applicable to the 

subgroup meeting the conditions of section (b)(5)(A) above. 

(C) In any testing of a subgroup of engines under section (b)(5), the 

Executive Officer shall follow the engine selection and testing 

procedures set forth in sections (b)(3) and (4) above. 

(6) Finding of Nonconformance after Enforcement Testing. 

After conducting enforcement testing pursuant to section (b)(4) above, the 

Executive Officer shall make a finding of nonconformance of the OBD 

system in the identified engine class under the respective tests for the 

applicable model year(s) as follows: 

(A) OBD Emission Testing. 

(i) For 2010 through 2012 model year engines: 

a. Engines certified as an OBD parent rating (i.e., the engine rating 

subject to the “full OBD” requirement under Cal. Code Regs., title 

13, section 1971.1(d)(7.1.1)), shall be considered nonconforming 

if the emission test results indicate that 50 percent or more of the 

engines in the test sample group do not properly illuminate the 

MIL when emissions exceed 2.0 times the malfunction criteria 

(e.g., 5.0 times the standard if the malfunction criterion is 2.5 

times the standard) on the applicable standard (i.e., FTP or 

SET). 

b. In determining an engine to be nonconforming, the Executive 

Officer shall use: 

1. The test cycle and standard determined and identified by the 

manufacturer at the time of certification in accordance with 

Cal. Code Regs., title 13, section 1971.1(d)(6.1) as the most 

stringent for purposes of determining OBD system 

nonconformance with the applicable standard in section 

(b)(6)(A)(i)a. and 

2.The adjustment factors determined by the manufacturer at the 

time of certification in accordance with Cal. Code Regs., title 

13, section 1971.1(d)(6.2) for purposes of determining OBD 

system nonconformance in section (b)(6)(A)(i)a. 
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c. Engines certified as an OBD child rating (i.e., the engine ratings 

subject to the “extrapolated OBD” requirement under Cal. Code 

Regs., title 13, section 1971.1(d)(7.1.2)), may not be considered 

nonconforming based on testing emission levels. 

(ii) For 2013 through 2015 model year engines: 

a. All engines classified as OBD parent and child ratings subject to 

Cal. Code Regs., title 13, section 1971.1(d)(7.2.2) shall be 

considered to be nonconforming if the emission test results 

indicate that 50 percent or more of the engines in the test sample 

group do not properly illuminate the MIL when emissions exceed 

2.0 times the malfunction criteria (e.g., 4.0 times the standard if 

the malfunction criterion is 2.0 times the standard) on the 

applicable standard (i.e., FTP or SET). 

b. In determining compliance, the Executive Officer shall use only 

the test cycle and standard determined and identified by the 

manufacturer at the time of certification in accordance with Cal. 

Code Regs., title 13, section 1971.1(d)(6.1) as the most stringent 

for purposes of determining OBD system nonconformance with 

the applicable standard in section (b)(6)(A)(ii)a. 

c. All other engines and engine ratings may not be considered 

nonconforming based on the emission levels of the tests. 

(iii) For 2016 through 2018 model year engines: 

a. PM filter monitors on engines subject to the malfunction criteria 

of Cal. Code Regs., title 13, section 1971.1(e)(8.2.1)(C) shall be 

considered to be nonconforming if the emission test results 

indicate that 50 percent or more of the engines in the test sample 

group do not properly illuminate the MIL when emissions exceed 

2.0 times the malfunction criteria (e.g., PM emission level of 

0.06 g/bhp-hr if the malfunction criterion is 0.03 g/bhp-hr) on 

either of the applicable standards (i.e., FTP or SET). 

b. Monitors on engines and engine ratings previously certified to 

Cal. Code Regs., title 13, section 1971.1(d)(7.2.3) for 

extrapolated OBD in the 2013 through 2015 model years shall be 

considered nonconforming if the emission test results indicate 

that 50 percent or more of the engines in the test sample group 

do not properly illuminate the MIL when emissions exceed 2.0 

times the malfunction criteria (e.g., 4.0 times the standard if the 

malfunction criterion is 2.0 times the standard) on either of the 

applicable standards (i.e., FTP or SET). 

c. Monitors on engines not covered under sections (b)(6)(A)(iii)a. 

and b. above shall be considered nonconforming if the emission 

test results indicate that 50 percent or more of the engines in the 

test sample group do not properly illuminate the MIL when 

emissions exceed the malfunction criteria on either of the 

applicable standards (i.e., FTP or SET). 
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(iv) For 2019 and subsequent model year engines, any engine shall be 

considered nonconforming if the results of the tests indicate that 50 

percent or more of the engines in the test sample do not properly 

illuminate the MIL when emissions exceed the malfunction criteria 

on either of the applicable standards (i.e., FTP or SET). 

(v) The Executive Officer may not consider an OBD system 

nonconforming solely due to a failure or deterioration mode of a 

monitored component or system that could not have been 

reasonably foreseen to occur by the manufacturer. 

(B) OBD Ratio Testing. 

(i) 2013 through 2015 model year engines certified to a ratio of 0.100 in 

accordance with Cal. Code Regs., title 13, section 1971.1(d)(3.2.2) 

shall be considered nonconforming if the data collected from the 

engines in the test sample group indicate either that the average inuse monitor performance ratio for one or more of the monitors in 

the test sample group is less than 0.050 or that 66.0 percent or 

more of the engines in the test sample group have an in-use 

monitor performance ratio of less than 0.050 for the same monitor. 

(ii) 2016 and subsequent model year engines certified to a ratio of 

0.100 in accordance with Cal. Code Regs., title 13, section 

1971.1(d)(3.2.2) shall be considered nonconforming if the data 

collected from the engines in the test sample group indicate either 

that the average in-use monitor performance ratio for one or more 

of the monitors in the test sample group is less than 0.088 or that 

66.0 percent or more of the engines in the test sample group have 

an in-use monitor performance ratio of less than 0.100 for the same 

monitor. 

(C) All Other OBD Testing. 

(i) Engines shall be considered nonconforming if the results of the 

testing indicate that at least 30 percent of the engines in the test 

sample group do not comply with the same requirement of Cal. 

Code Regs., title 13, section 1971.1. 

(ii) Engines shall be considered nonconforming if the results of the 

testing indicate that at least 30 percent of the engines in the test 

sample group do not comply with one or more of the requirements 

of Cal. Code Regs., title 13, section 1971.1 while the engine is 

running and while in the key on, engine off position such that offboard equipment designed to access the following parameters via 

the standards referenced in Cal. Code Regs., title 13, section 

1971.1 for 2013 and subsequent model year engines cannot obtain 

valid and correct data for the following parameters: 

a. The current readiness status from all on-board computers 

required to support readiness status in accordance with Society 

of Automotive Engineers J1979 (SAE J1979) or J1939 (SAE 

J1939) as incorporated by reference in Cal. Code Regs., title 13, 

section 1971.1(h)(1) and section 1971.1(h)(4.1); 
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b. The current MIL command status while the MIL is commanded 

off and while the MIL is commanded on in accordance with SAE 

J1979/J1939 and Cal. Code Regs., title 13, section 

1971.1(h)(4.2), and in accordance with SAE J1979/J1939 and 

Cal. Code Regs., title 13, section 1971.1(d)(2.1.2) during the MIL 

functional check and, if applicable Cal. Code Regs., title 13, 

section 1971.1(h)(4.1.3) during the MIL readiness status check; 

c. The current permanent fault code(s) in accordance with SAE 

J1979/J1939 and Cal. Code Regs., title 13, section 

1971.1(h)(4.4); 

d. The data stream parameters for: engine speed and OBD 

requirements to which the engine is certified as required in Cal. 

Code Regs., title 13, section 1971.1(h)(4.2) and in accordance 

with SAE J1979/J1939; 

e. The CAL ID, CVN, ESN, and VIN as required in Cal. Code 

Regs., title 13, sections 1971.1(h)(4.6), (h)(4.7), and (h)(4.8) and 

in accordance with SAE J1979/J1939; or 

f. The proper identification of all data identified in (b)(6)(C)(ii)a. 

through (b)(6)(C)(ii)e. as supported or unsupported as required in 

Cal. Code Regs., title 13, section 1971.1(h)(4) and in accordance 

with SAE J1979/J1939. 

(iii) If the finding of nonconformance under section (b)(6)(C)(i) above 

concerns engines that do not comply with the requirements of Cal. 

Code Regs., title 13, section 1971.1(d)(4) or (5) (e.g., numerators 

or denominators are not properly being incremented), it shall be 

presumed that the nonconformance would result in an OBD ratio 

enforcement test result that would be subject to an ordered OBDrelated recall in accord with the criterion in section (d)(3)(A)(i). The 

manufacturer may rebut such a presumption by presenting 

evidence in accord with section (b)(7)(C)(iii) below that 

demonstrates to the satisfaction of the Executive Officer that the 

identified nonconformance would not result in an ordered OBDrelated recall under section (d)(3)(A)(i). 

(7) Executive Officer Notification to the Manufacturer Regarding 

Determination of Nonconformance. 

(A) Upon making the determination of nonconformance in section (b)(6) 

above, the Executive Officer shall notify the manufacturer in writing. 

(B) The Executive Officer shall include in the notice: 

(i) a description of each group or set of engines in the engine class 

covered by the determination; 

(ii) the factual basis for the determination, including a summary of the 

test results relied upon for the determination; 

(iii) a statement that the Executive Officer shall provide to the 

manufacturer, upon request and consistent with the California 

Public Records Act, Government Code section 6250 et seq., all 

records material to the Executive Officer’s determination; 
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(iv) a provision allowing the manufacturer no less than 90 days from 

the date of issuance of the notice to provide the Executive Officer 

with any information contesting the findings set forth in the notice; 

and 

(v) a statement that if a final determination is made that the engine 

class is equipped with a nonconforming OBD system, the 

manufacturer may be subject to appropriate remedial action, 

including recall and monetary penalties. 

(C) Within the time period set by the Executive Officer in section 

(b)(7)(B)(iv) and any extensions of time granted under section 

(b)(7)(H), the manufacturer shall provide the Executive Officer, 

consistent with paragraphs (i) through (iii) below, with any test results, 

data, or other information derived from engine testing that may rebut or 

mitigate the results of ARB testing, including any evidence that an 

engine class, if determined to be nonconforming, should be exempted 

from mandatory recall. (See section (d)(3)(B) below.). 

(i) For OBD emission testing and OBD ratio testing:

a. The manufacturer may submit evidence to demonstrate that 

engines in the test sample group used by the Executive Officer 

were inappropriately selected, procured, or tested in support of a 

request to have engines excluded from the test sample group in 

accordance with section (b)(3)(D)(iv). 

b. If the manufacturer elects to conduct additional testing of engines 

in the engine class and submit the results of such testing to the 

Executive Officer, the manufacturer shall: 

1. Present evidence that it has followed the procurement and 

test procedures set forth in sections (b)(3) and (4) above, or 

2. If the manufacturer elects to use different procurement and 

testing procedures, submit a detailed description of the 

procedures used and evidence that such procedures provide 

an equivalent level of assurance that the results are 

representative of the engine class. 

(ii) If the manufacturer objects to the size of the test sample group or 

the method used to procure engines in the test sample group used 

by the Executive Officer pursuant to section (b)(3)(B)(iii) or 

(b)(3)(C)(ii), the manufacturer shall set forth what it considers to be 

the appropriate size and procurement method, the reasons 

therefore, and test data from engines that confirm the 

manufacturer’s position. 

(iii) If the manufacturer elects to present evidence to overcome the 

presumption of nonconformance in section (b)(6)(C)(iii) above, the 

manufacturer shall demonstrate that the engines in the engine 

class comply with in-use monitor performance ratio requirements of 

Cal. Code Regs., title 13, section 1971.1(d)(3.2) by presenting: 

a. Evidence in accord with the procurement and testing 

requirements of sections (b)(3) and (4). 
14

b. Any other evidence that provides an equivalent level of proof that 

engines operated in California comply with the in-use monitor 

performance ratio requirements. 

(D) The Executive Officer may accept any information submitted by a 

manufacturer pursuant to section (b)(7)(C) above after the time 

established for submission of such information has passed if the 

manufacturer could not have reasonably foreseen the need for 

providing the information within the time period provided. Otherwise, 

the Executive Officer is not required to accept late information. In 

determining whether to accept late information, the Executive Officer 

will consider the lateness of the submission, the manufacturer’s 

reasons for why such information was not timely presented, the 

materiality of the information to the Executive Officer’s final 

determination, and what effect any delay may have on effective 

enforcement and the health and welfare of the State. 

(E) The requirements of section (b)(7) shall not be construed to abridge 

the manufacturer’s right to assert any privilege or right provided under 

California law. 

(F) After receipt of any information submitted by the manufacturer 

pursuant to section (b)(7)(C) above, the Executive Officer shall 

consider all information submitted by the manufacturer and may 

conduct any additional testing that he or she believes is necessary. 

(G) Final Determination. 

(i) Within 60 days after completing any additional testing that the 

Executive Officer deemed necessary under section (b)(7)(F) above, 

the Executive Officer shall notify the manufacturer of his or her final 

determination regarding the finding of nonconformity of the OBD 

system in the engine class. The determination shall be made after 

considering all of the information collected and received, including 

all information that has been received from the manufacturer. 

(ii) The notice must include a description of each engine family(ies), 

OBD group(s), or subgroups thereof, that has been determined to 

have a nonconforming OBD system and set forth the factual bases 

for the determination. 

(H) Extensions. The Executive Officer may for good cause extend the time 

requirements set forth in section (b)(7). In granting additional time to a 

manufacturer, the Executive Officer shall consider, among other things, 

any documentation submitted by the manufacturer regarding the time 

that it reasonably believes is necessary to conduct its own testing, why 

such information could not have been more expeditiously presented, 

and what effect any delay caused by granting the extension may have 

on effective enforcement and the health and welfare of the State. The 

Executive Officer shall grant a manufacturer a reasonable extension of 

time upon the manufacturer demonstrating that despite the exercise of 

reasonable diligence, the manufacturer has been unable to produce 

relevant evidence in the time initially provided. 
15

(c) Manufacturer Self-Testing. 

(1) Purpose. 

To assure that OBD systems on production engines certified on an engine 

dynamometer are able to detect a fault before emissions exceed the 

malfunction criteria established in Cal. Code Regs., title 13, sections 

1971.1(e) through (g), engine manufacturers shall evaluate engines for 

each model year, starting with the 2010 model year.

(2) Engine Selection for Manufacturer Self-Testing. 

(A) After OBD certification of all engines in the model year, a manufacturer 

shall submit a listing to the Executive Officer of all of the engine 

families and engine ratings within each family certified for that model 

year. The Executive Officer will then select the engine family(ies) and 

the specific engine rating within the engine family(ies) that the 

manufacturer shall use as a test engine for the test sample group to 

provide emission test data. 

(i) For 2013 through 2015 model year engines, the Executive Officer 

may not select engines from OBD child ratings subject to 

“extrapolated OBD” under Cal. Code Regs., title 13, section 

1971.1(d)(7.2.3). 

(B) Number of test engines. 

(i) For the 2010 model year, a manufacturer shall provide emission test 

data of a test engine from the OBD parent rating. 

(ii) For the 2013 and subsequent model years, a manufacturer 

certifying one to five engine families in a model year shall provide 

emission test data of a test engine from one engine rating. A 

manufacturer certifying six to ten engine families in a model year 

shall provide emission test data from test engines from two engine 

ratings. A manufacturer certifying eleven or more engine families in 

a model year shall provide emission test data of test engines from 

three engine ratings. The Executive Officer may waive the 

requirement for submittal of data of one or more of the test engines 

if data have been previously submitted for all of the engine ratings. 

(C) Engines to be included in test sample group. 

(i) In selecting engines to be included in a test sample group for 

manufacturer self-testing, the manufacturer shall include only 

engines that: 

a. Are certified to the requirements of Cal. Code Regs., title 13, 

section 1971.1 and California exhaust emission standards. 

b. Are used in vehicles registered for operation in the United States. 

c. Have mileage that is between 70 to 80 percent of the certified full 

useful life mileage and an age of less than the certified full useful 

life age for the subject engines. 

d. Have not been tampered with or equipped with add-on or 

modified parts that would cause the OBD system not to comply 

with the requirements of Cal. Code Regs., title 13, section 1971.1 
16

or would have a permanent effect on exhaust emission 

performance. 

e. Have not been subjected to abuse (e.g., overloading, misfueling) 

neglect, improper maintenance, or other factors that would cause 

the OBD system not to comply with the requirements of Cal. 

Code Regs., title 13, section 1971.1 or would have a permanent 

effect on exhaust emission performance.

f. Have no detected or known malfunction(s) unrelated to the 

monitor or system being evaluated that would affect the 

performance of the OBD system. With request to and approval 

from the Executive Officer, the manufacturer may elect to repair 

an engine with a detected or known malfunction and then include 

the engine in the test sample group. 

g. Have had no major repair to the engine resulting from a collision. 

h. Have no problem that might jeopardize the safety of laboratory 

personnel. 

(ii) If the manufacturer discovers, by either evidence presented by the 

Executive Officer or on its own, that an engine fails to meet one or 

more of the applicable criteria of section (c)(2)(C)(i), the 

manufacturer shall notify the Executive Officer of its findings and 

request approval to remove the engine from the test sample group. 

If approved by the Executive Officer, the manufacturer shall replace 

any engine removed with an additional engine selected in 

accordance with section (c)(2)(C)(i). Test results relying on data 

from the removed engine shall be recalculated without using the 

data from the removed engine. 

(3) Compliance/Enforcement Testing Procedures. 

(A) Within three calendar years after the model year of the engine (e.g., by 

the end of calendar year 2013 for a 2010 model year engine), the 

engine manufacturer shall complete the testing required under section 

(c)(3). 

(B) Prior to conducting any testing under section (c)(3), the engine 

manufacturer shall replace components monitored by the OBD system 

with components that are sufficiently deteriorated or simulated to 

cause malfunctions that exceed the malfunction criteria established 

pursuant to Cal. Code Regs., title 13, sections 1971.1(e) through (g) in 

a properly operating system. The engine manufacturer may not use 

components deteriorated or simulated to represent failure modes that 

could not have been foreseen to occur by the manufacturer (e.g., the 

use of leaded gasoline in an unleaded engine, etc.). 

(C) After the test engine(s) has been selected and procured under section 

(c)(2) above, the engine manufacturer shall perform emission testing 

for all applicable components/systems according to the certification 

demonstration testing requirements of Cal. Code Regs., title 13, 

sections 1971.1(i)(3) and (i)(4). 
17

(D) No modifications or replacement of components to make the engine 

compatible with engine dynamometer testing (e.g., replacement of an 

air-to-air charge cooler with a water-to-air charge cooler) shall be done 

without approval by the Executive Officer. The Executive Officer shall 

approve such requests upon the manufacturer documenting the 

technical need for such a modification or replacement and providing 

engineering data or analysis demonstrating that any such modified part 

will be configured to simulate the current performance of the actual 

part removed from the engine (e.g., the water-to-air cooler must be 

configured to perform similarly to the air-to-air cooler in its current state 

of aging/deterioration, not to the performance specifications of the airto-air cooler when new or to the manufacturer’s specifications or 

performance characteristics used on the water-to-air cooler when the 

engine was originally certified). 

(E) Upon request of the manufacturer, the Executive Officer may extend 

the deadline set forth in section (c)(3)(A) or reduce the minimum 

mileage required in section (c)(2)(C)(i)c. upon finding that the 

manufacturer has demonstrated good cause for the requested 

extension or mileage reduction. 

(F) Upon request of the manufacturer, the Executive Officer may approve 

other compliance/enforcement testing protocols for (c)(3). The 

Executive Officer shall approve the request upon the manufacturer 

demonstrating that other testing protocol will provide comparable 

assurance that the in-use engines comply with the malfunction criteria 

established pursuant to Cal. Code Regs., title 13, sections 1971.1(e) 

through (g). 

(4) Additional Testing. 

(A) If the results of the OBD emission tests conducted under section (c)(3) 

indicate that the OBD system properly illuminates the MIL for all 

component/system monitors before emissions exceed the malfunction 

criteria defined in Cal. Code Regs., title 13, sections 1971.1(e) through 

(g), no further testing is required. 

(B) If the results of the OBD emission tests conducted under section (c)(3) 

indicate that OBD system does not properly illuminate the MIL for one 

or more of the component/system monitor(s) before emissions exceed 

the malfunction criteria defined in Cal. Code Regs., title 13, sections 

1971.1(e) through (g), the engine manufacturer shall conduct further 

testing on additional engines. 

(i) Within six months after the completion of testing required in section 

(c)(3), the engine manufacturer shall emission test an additional 

four engines from the same engine rating and engine family as the 

test engine. 

(ii) The engine manufacturer shall only be required to test the 

component/system monitor(s) for which the OBD emission test 

results in (b)(3) exceeded the malfunction criteria defined in Cal. 

Code Regs., title 13, sections 1971.1(e) through (g). 
18

(C) For manufacturers subject to section (c)(4)(B) above, no further testing 

is required if the results of the OBD emission tests conducted under 

section (c)(4)(B) indicate that OBD system properly illuminates the MIL 

for the tested component/system monitor(s) before emissions exceed 

the malfunction criteria defined in Cal. Code Regs., title 13, sections 

1971.1(e) through (g) on three or more of the additional test engines. 

(D) For manufacturers subject to section (c)(4)(B) above, if the results of 

the OBD emission tests conducted under section (c)(4)(B) indicate that 

the OBD system does not properly illuminate the MIL for one or more 

of the tested component/system monitor(s) before emissions exceed 

the malfunction criteria defined in Cal. Code Regs., title 13, sections 

1971.1(e) through (g) on two or more of the additional test engines, the 

engine manufacturer shall conduct further testing. 

(i) Within six months after the completion of testing required in section 

(c)(4)(B), the engine manufacturer shall test an additional five 

engines from the same engine rating and engine family as the 

previously tested engines. 

(ii) The engine manufacturer shall test only the component/system 

monitor(s) for which the OBD emission test results exceeded the 

malfunction criteria defined in Cal. Code Regs., title 13, sections 

1971.1(e) through (g). 

(E) In any testing of the additional engines under section (c)(4), the engine 

manufacturer shall follow the engine selection and testing procedures 

set forth in sections (c)(2) and (c)(3) above. 

(5) ARB Authority to Observe Testing. The Executive Officer may elect to 

have ARB personnel observe the testing under sections (c)(3) and (c)(4) 

above. 

(A) During conducting of the test procedures described in sections (c)(3) 

and (c)(4) above, an engine manufacturer, upon receipt of prior notice, 

must admit or cause to be admitted during operating hours any ARB 

personnel that has presented proper credentials to any of the following: 

(i) Any facility where tests or procedures or activities connected with 

such tests or procedures are performed; 

(ii) Any facility where a manufacturer procures, inspects, screens, 

removes from vehicles, works on, configures, or modifies engines 

for testing; and 

(iii) Any facility where any record or other document relating to any of 

the above is located. 

(B) Upon admission to any facility referred to in section (c)(5)(A) above, 

any ARB personnel must be allowed to: 

(i) Inspect and monitor any part or aspect of such procedures, 

activities, and testing facilities, including monitoring engine 

preconditioning, emissions tests, and break-in, maintenance, and 

engine storage procedures; 

(ii) Verify correlation or calibration of test equipment; 
19

(iii) Inspect and make copies of any such records, designs, or other 

documents; and 

(iv) Inspect and/or photograph any part or aspect of any such tested 

engine and any components or equipment used in the testing 

thereof. 

(C) Any ARB personnel must be furnished by those in charge of a facility 

being inspected with such reasonable assistance as may be necessary 

to discharge any function listed in section (c)(5)(B) above. The engine 

manufacturer is required to cause those in charge of a facility operated 

for its benefit to furnish such reasonable assistance without charge to 

ARB irrespective of whether or not the engine manufacturer controls 

the facility. 

(D) The duty to admit or cause to be admitted any ARB personnel applies 

whether or not the engine manufacturer owns or controls the facility in 

question and applies both to the domestic and foreign engine 

manufacturers and facilities. If ARB personnel are prohibited from 

admission, the Executive Officer may reject any data produced by the 

manufacturer and may presume that the tested engines do not 

conform to certification standards. In such circumstances, the 

Executive Officer may suspend or revoke the engine’s certification or 

take other necessary corrective action. 

(E) For purposes of section (c)(5): 

(i) “Presentation of credentials” means a display of a document 

designating a person as an ARB employee. 

(ii) Where engine, component, or engine storage areas or facilities are 

concerned, “operating hours” means all times during which 

employees are at work in the vicinity of the area or facility and have 

access to it. 

(iii) Where facilities or areas other than those covered by paragraph 

(c)(5)(E)(ii) above are concerned, “operating hours” means all times 

during which an assembly line is in operation or during which 

testing, maintenance, break-in procedure, production or compilation 

of records, or any other procedure or activity is being conducted 

related to certification testing, translation of designs from the test 

stage to the production stage, or engine manufacture or assembly. 

(iv) “Reasonable assistance” includes providing clerical, copying, 

interpretation and translation services, making personnel available 

upon request to inform ARB personnel of how the facility operates 

and to answer questions, and performing requested emissions test 

on any engine that is being, has been, or will be used for 

certification testing. Such tests must be nondestructive, but may 

require appropriate break-in. Upon service of a written request 

from the Executive Officer for the appearance of any employee at a 

facility qualified for reasonable assistance, the engine manufacturer 

shall cause the personal appearance of such qualified employee to 

appear before and assist ARB personnel. 
20

(6) Manufacturer Reporting of Self-Testing Results to the Executive Officer. 

(A) Within 30 days after completing the testing under section (c)(3), the 

manufacturer shall submit a report of the results of all the testing to the 

Executive Officer for review. If further testing is required under section 

(c)(4), an additional report shall be submitted within 30 days of 

completing the additional testing. The report(s) must include the 

following: 

(i) A description of each test engine and the engine family and engine 

rating to which the test engine belongs to; 

(ii) A description of the test sequence (e.g., the number and types of 

preconditioning cycles) used for each testing; 

(iii) A description of the modified or deteriorated components used for 

fault simulation with respect to each testing; and 

(iv) The test results of all testing done under sections (c)(3) and (c)(4) 

for each test engine, consisting of: 

a. the weighted emission test results for all measured pollutants for 

each test; and 

b. the OBD data specified by Cal. Code Regs., title 13, section 

1971.1(i)(4.3.2) collected prior to (or immediately after) each 

engine shut-down during the testing of sections (c)(3) and (c)(4) 

including the preconditioning cycles. 

(7) Finding of Nonconformance after Manufacturer Self-Testing. 

After the engine manufacturer has conducted testing pursuant to sections 

(c)(3) and (c)(4) and the Executive Officer has received the test results 

pursuant to section (c)(6) above, the Executive Officer shall make a 

finding of nonconformance of the OBD system in the engine class 

according to the criteria of section (b)(6)(A). 

(8) Executive Officer Notification to the Manufacturer Regarding 

Determination of Nonconformance. 

Upon making the determination of nonconformance in section (c)(7) 

above, the Executive Officer shall follow the procedures and requirements 

of section (b)(7). 

(d) Remedial Action. 

(1) Voluntary OBD-Related Recalls. 

If a manufacturer initiates a voluntary OBD-related recall campaign, the 

manufacturer shall notify the Executive Officer of the recall at least 45 

days before owner notification is to begin. The manufacturer shall also 

submit a voluntary OBD-related recall plan for approval, as prescribed 

under section (e)(1) below. A voluntary recall plan shall be deemed 

approved unless disapproved by the Executive Officer within 30 days after 

receipt of the recall plan. 

(2) Influenced OBD-Related Recalls. 

(A) Upon being notified by the Executive Officer, pursuant to section 

(b)(7)(G), that an engine class is equipped with a nonconforming OBD 

system, the manufacturer may, within 45 days from the date of service 
21

of such notification, elect to conduct an influenced OBD-related recall 

of all engines within the engine class for the purpose of correcting the 

nonconforming OBD systems. Upon such an election, the 

manufacturer shall, within 45 days from the date of such election, 

submit an influenced OBD-related recall plan for approval, as 

prescribed under section (e)(1) below. 

(B) If a manufacturer does not elect to conduct an influenced OBD-related 

recall under section (d)(2)(A) above, the Executive Officer may order 

the manufacturer to undertake appropriate remedial action, up to and 

including the recall and repair of the nonconforming OBD systems. 

(3) Ordered Remedial Action-Mandatory Recall. 

(A) Except as provided in sections (d)(3)(B) below, the Executive Officer 

shall order the recall and repair of all engines in an engine class that 

have been determined to be equipped with a nonconforming OBD 

system if enforcement testing conducted pursuant to sections (b) or (c) 

above or information received from the manufacturer indicates that: 

(i) For major monitors required to meet the in-use performance ratio 

pursuant to Cal. Code Regs., title 13, section 1971.1(d)(3.2) on 

2016 and subsequent model year engines, the average in-use 

monitor performance ratio for one or more of the major monitors in 

the test sample group is less than or equal to 33.0 percent of the 

applicable required minimum ratio established in Cal. Code Regs., 

title 13, section 1971.1(d)(3.2.2) (e.g., if the required ratio is 0.100, 

less than or equal to a ratio of 0.033) or 66.0 percent or more of the 

vehicles in the test sample group have an in-use monitor 

performance ratio of less than or equal to 33.0 percent of the 

applicable required minimum ratio established in Cal. Code Regs., 

title 13, section 1971.1(d)(3.2.2) for the same major monitor. 

(ii) For major monitors required to indicate a malfunction before 

emissions exceed a certain emission threshold, when the engine is 

tested in a vehicle and operated so as to reasonably encounter all 

monitoring conditions disclosed in the manufacturer’s certification 

application, the OBD system is unable to detect and illuminate the 

MIL for a malfunction of a component/system monitored by the 

major monitor prior to emissions exceeding: 

a. For 2013 through 2015 model year OBD parent and child ratings 

subject to the “full OBD” requirement under Cal. Code Regs., title 

13, section 1971.1(d)(7.2.2), three times the applicable major 

monitor malfunction criteria (e.g., if the malfunction criteria is 2.5 

times the applicable standard, recall would be required when 

emissions exceed 7.5 times the applicable standard, or if the 

malfunction criteria is the PM standard plus 0.02 g/bhp-hr and 

the PM standard is 0.01 g/bhp-hr, recall would be required when 

emissions exceeded 0.09 g-bhp-hr). 

b. For 2016 through 2018 model year engines: 
22

1. For engine ratings previously certified to Cal. Code Regs., 

title 13, section 1971.1(d)(7.2.3) for “extrapolated OBD” in the 

2013 through 2015 model years, three times the applicable 

major monitor malfunction criteria (e.g., if the malfunction 

criteria is 2.5 times the applicable standard, recall would be 

required when emissions exceed 7.5 times the applicable 

standard, or if the malfunction criteria is the PM standard plus 

0.02 g/bhp-hr and the PM standard is 0.01 g/bhp-hr, recall 

would be required when emissions exceeded 0.09 g-bhp-hr), 

and 

2. For all other engine ratings, three times the malfunction 

criteria for PM filter monitors subject to Cal. Code Regs., title 

13, section 1971.1(e)(8.2.1)(C) (e.g., if the malfunction criteria 

is the PM standard plus 0.02 g/bhp-hr and the PM standard is 

0.01 g/bhp-hr, recall would be required when emissions 

exceeded 0.09 g-bhp-hr) and two times the malfunction 

criteria for all other applicable major monitors. 

c. For 2019 and subsequent model year engines, two times the 

applicable major monitor malfunction criteria (e.g., if the 

malfunction criteria is 2.5 times the applicable standards, recall 

would be required when emissions exceed 5.0 times the 

applicable standards). 

(iii) For 2016 and subsequent model year gasoline engines, the 

monitor for misfire causing catalyst damage is unable to properly 

detect and illuminate the MIL for misfire rates that are more than 20 

percentage points greater than the misfire rates disclosed by the 

manufacturer in its certification application as causing catalyst 

damage (e.g., if the disclosed misfire rate is 12 percent, recall 

would be required if the misfire rate is greater than 32 percent 

without proper detection). 

(iv) For 2016 and subsequent model year gasoline engines, when the 

engine is tested in a vehicle and operated so as to reasonably 

encounter all monitoring conditions disclosed in the manufacturer’s 

certification application, the evaporative system monitor is unable to 

detect and illuminate the MIL for a cumulative leak or leaks in the 

evaporative system equivalent to that caused by an orifice with a 

diameter of at least 1.5 times the diameter of the required orifice in 

Cal. Code Regs., title 13, section 1971.1(f)(7.2.2)(B). 

(v) When the engine is tested in a vehicle and operated so as to 

reasonably encounter all monitoring conditions disclosed in the 

manufacturer’s certification application, the OBD system cannot 

detect and illuminate the MIL for a malfunction of a component that 

effectively disables a major monitor and the major monitor, by being 

disabled, meets the criteria for recall identified in sections 

(d)(3)(A)(ii) or (iv) above (e.g. is unable to detect and illuminate the 
23

MIL for malfunctions that cause FTP emissions to exceed two times 

the malfunction criteria). 

(vi) The engine class cannot be tested so as to obtain valid test results 

in accordance with the criteria identified in section (b)(6)(C)(ii) due 

to the nonconforming OBD II system. 

(B) An engine class shall not be subject to mandatory recall if the 

Executive Officer determines that, even though a monitor meets a 

criterion set forth in section (d)(3)(A)(i)-(vi) for mandatory recall: 

(i) The OBD system can still detect and illuminate the MIL for all 

malfunctions monitored by the nonconforming monitor (e.g., 

monitor “A” is non-functional but monitor “B” is able to detect all 

malfunctions of the component(s) monitored by monitor “A”). 

(ii) The monitor meets the criterion solely due to a failure or 

deterioration mode of a monitored component or system that could 

not have been reasonably foreseen to occur by the manufacturer. 

(iii) The failure or deterioration of the monitored component or system 

that cannot be properly detected causes the engine to be 

unoperable (e.g., engine stalls continuously or the transmission will 

not shift out of first gear, etc.) or causes an overt indication such 

that the operator is certain to respond and have the problem 

corrected (e.g., illumination of an over-temperature warning light or 

charging system light that uncorrected will result in an undriveable 

vehicle, etc.). 

(C) A motor vehicle class that is not subject to mandatory recall pursuant 

to paragraph (d)(3)(B) may still be subject to remedial action pursuant 

to section (d)(4) below. 

(4) Other Ordered Remedial Action. 

(A) If the Executive Officer has determined based upon enforcement 

testing conducted pursuant to sections (b) or (c) above or information 

received from the manufacturer that an engine class is equipped with a 

nonconforming OBD system and the nonconformance does not fall 

within the provisions of section (d)(3), he or she may require the 

manufacturer to undertake remedial action up to and including recall of 

the affected engine class. 

(B) In making his or her findings regarding remedial action, the Executive 

Officer shall consider the capability of the OBD system to properly 

function. This determination shall be based upon consideration of all 

relevant circumstances including, but not limited to, those set forth 

below. 

(i) Whether the manufacturer identified and informed ARB about the 

nonconformance(s) or whether ARB identified the 

nonconformance(s) prior to being informed by the manufacturer. 

(ii) The number of nonconformances. 

(iii) If the identified nonconformance(s) is with a major monitor(s), the 

nature and extent of the nonconformance(s), including: 
24

a. the degree to which the in-use monitor performance ratio(s) is 

below the required ratio(s) specified in Cal. Code Regs., title 13, 

section 1971.1(d)(3.2.2), and 

b. the amount of the emission exceedance(s) over the established 

malfunction criteria set forth in Cal. Code Regs., title 13, sections 

1971.1(e) through (g) before a malfunction is detected and the 

MIL is illuminated. 

(iv) If the identified nonconformance(s) is with a non-major monitor, the 

nature and extent of the nonconformance(s), including: 

a. the degree to which the in-use monitor performance ratio(s) 

(where applicable) is below the required ratio(s) specified in Cal. 

Code Regs., title 13, section 1971.1(d)(3.2.2), 

b. the degree to which the monitored component must be 

malfunctioning or exceed the established malfunction criteria set 

forth in Cal. Code Regs., title 13, sections 1971.1(e) through (g) 

before a malfunction is detected and the MIL is illuminated, and 

c. the effect that the nonconformance(s) has on the operation of a 

major monitor(s). 

(v) The impact of the nonconformance on vehicle or engine owners 

(e.g., cost of future repairs, driveability, etc.) and the ability of the 

service and repair industry to make effective repairs (e.g., difficulty 

in accessing fault information, diagnosing the root cause of a 

failure, etc.). 

(vi) The degree to which the identified nonconformance(s) complicates, 

interferes with, disrupts, or hampers a service technician’s or 

inspector’s ability to perform a California heavy-duty vehicle or 

engine inspection. 

(vii) The failure of the data link connector of the engine class to meet 

the requirements of Cal. Code Regs., title 13, section 1971.1(h)(2). 

(viii) The failure of the crankcase ventilation system in the engine class 

to comply with the requirements of Cal. Code Regs., title 13, 

section 1971.1(g)(2). 

(ix) The failure of the cooling system monitor in the engine class to 

properly verify that the cooling system reaches the highest enable 

temperature used for any other monitor when the engine is 

operated in a vehicle in the monitoring conditions disclosed in the 

manufacturer's certification application, or failure to comply with any 

requirement in Cal. Code Regs., title 13, section 1971.1(g)(1). 

(x) The estimated frequency that a monitor detects a malfunction and 

illuminates the MIL when no component malfunction is present (i.e., 

false MILs). 

(xi) The estimated frequency that a monitor fails to detect a malfunction 

and illuminate the MIL when the monitoring conditions, as set forth 

in the manufacturer’s approved certification application, have been 

satisfied and a faulty or deteriorated monitored component is 

present (i.e., false passes). 
25

(xii) Whether the manufacturer submitted false, inaccurate, or 

incomplete documentation regarding the identified nonconformance 

at the time of certification pursuant to Cal. Code Regs., title 13, 

section 1971.1(j) and the extent to which the false, inaccurate, or 

incomplete documentation was material to the granting of 

certification. 

(C) In making the determination, the average tailpipe and evaporative 

emissions of engines within the affected engine class shall not be 

considered. 

(5) Assessment of Monetary Penalties. 

The Executive Officer may seek penalties pursuant to the applicable 

provisions of the Health and Safety Code for violations of the requirements 

of Cal. Code Regs., title 13, section 1971.1 or for production engines 

otherwise failing to be equipped with OBD systems that have been 

certified by ARB. In determining the penalty amounts that ARB may seek, 

the Executive Officer shall consider all relevant circumstances including 

the factors set forth below: 

(A) Whether the manufacturer self-reported the nonconformity or ARB 

discovered the nonconformity independent of the manufacturer. 

(B) The nature and degree of the nonconformity and whether the 

manufacturer should reasonably have discovered the nonconformity 

and taken corrective action by voluntary OBD-related recall or running 

changes during the production year. 

(C) The economic benefits, if any, gained by the manufacturer from not 

complying with the provisions of Cal. Code Regs., title 13, section 

1971.1. 

(D) The manufacturer’s history of compliance with the OBD requirements. 

(E) The preventative efforts taken by the manufacturer to avoid 

nonconformance, including any programs followed by the manufacturer 

to ensure compliance. 

(F) The manufacturer’s efforts to correct the nonconformity once it was 

identified. 

(G) The innovative nature and magnitude of effort, including the cost of 

any other proposed remedial action, necessary to correct the 

nonconformity. 

(H) The deterrent effect of the penalty. 

(I) Whether the manufacturer has failed to provide complete and accurate 

information required to be submitted at the time of certification 

pursuant to Cal. Code Regs., title 13, section 1971.1(j). 

(J) The nature and degree that OBD systems on production engines differ 

from the systems that have been certified by ARB. 

(6) Notice to Manufacturer for an Ordered Remedial Action. 

(A) The Executive Officer shall immediately notify the manufacturer upon 

the Executive Officer determining the type of remedial action to be 

taken. 
26

(B) For remedial actions other than the assessment of monetary penalties, 

the notice must: 

(i) specifically set forth the remedial action that is being ordered, 

(ii) include a description of the engine family(ies), OBD group(s), or 

subgroup(s) thereof, that has been determined to have a 

nonconforming OBD system, 

(iii) set forth the factual bases for the determination, and 

(iv) designate a date at least 45 days from the date of receipt of such 

notice by which the manufacturer shall submit a plan, pursuant to 

section (e)(1) below, outlining the remedial action to be undertaken 

consistent with the Executive Officer’s order. Except as provided in 

section (d)(7)(C) below, all plans shall be submitted to the Chief, 

Mobile Source Operations Division, 9528 Telstar Avenue, Suite 4, 

El Monte, California 91731, within the time limit specified in the 

notice. The Executive Officer may grant the manufacturer an 

extension of time for good cause. 

(C) For cases in which ARB elects to seek monetary penalties pursuant to 

authority granted under the Health and Safety Code, the Executive 

Officer shall issue a notice to the manufacturer that he or she will be 

filing a complaint in the appropriate administrative or civil court forum 

seeking penalties against the manufacturer for violations of Cal. Code 

Regs., title 13, section 1971.1. The notice must include a description 

of the engine family(ies), OBD group(s), or subgroup(s) thereof, that 

have been determined to have a nonconforming OBD system and set 

forth the factual bases for the determination. 

(7) Availability of Public Hearing to Contest Remedial Actions Other than 

Determination to Seek Monetary Penalties. 

(A) Within 45 days from the date of receipt of the notice that is required 

under section (d)(6) above, the manufacturer may request a public 

hearing pursuant to the procedures set forth in Cal. Code Regs., title 

17, section 60055.1, et seq., to contest the findings of nonconformity, 

the necessity for, or the scope of any ordered remedial action. 

Pursuant to those procedures, the Executive Officer has the initial 

burden of presenting evidence that those parts of the Executive 

Officer’s determination specifically challenged are supported by the 

facts and applicable law. (Cal. Code Regs., title 17, §60055.32(d)(1).) 

Each issue of controversy shall be decided based upon the 

preponderance of the evidence presented at the hearing. (Cal. Code 

Regs., title 17, §60055.32(h).) 

(B) Notwithstanding the provisions of Cal. Code Regs., title 17, section 

60055.17(a)(1), administrative hearings conducted pursuant to a 

request filed under section (c)(7)(A) above shall be referred to the 

Office of Administrative Hearings, which shall otherwise follow the 

procedures established in Cal. Code Regs., title 17, section 60055.1 et 

seq. 
27

(C) If a manufacturer requests a public hearing pursuant to section 

(d)(7)(A) above and if the Executive Officer’s determination of 

nonconformity is confirmed at the hearing, the manufacturer shall 

submit the required remedial action plan in accordance with section 

(e)(1) below within 30 days after receipt of the Board’s decision. 

(e) Requirements for Implementing Remedial Actions. 

(1) Remedial Action Plans. 

(A) A manufacturer initiating a remedial action (voluntary, influenced, or 

ordered), other than payment of monetary penalties, shall develop a 

remedial action plan that contains the following information, unless 

otherwise specified: 

(i) A description of each engine family, OBD group, or subgroup 

thereof covered by the remedial action, including the number of 

engines, the engine families, or subgroups within the identified 

class(es), the make(s), model(s), and model years of the covered 

engines, and such other information as may be required to identify 

the covered engines. 

(ii) A description of the nonconforming OBD system and, in the case of 

a recall (whether voluntary, influenced, or ordered), the specific 

modifications, alterations, repairs, adjustments, or other changes to 

correct the nonconforming OBD system, including data and/or 

engineering evaluation supporting the specific corrections. 

(iii) A description of the method that the manufacturer will use to 

determine the names and addresses of vehicle or engine owners 

and the manufacturer’s method and schedule for notifying the 

service facilities and vehicle or engine owners of the remedial 

action. 

(iv) A copy of all instructions that the manufacturer will use to notify 

service facilities about the required remedial action and the specific 

corrections, if any, that will be required to be made to the 

nonconforming OBD systems. 

(v) A description of the procedure to be followed by vehicle/engine 

owners to obtain remedial action for the nonconforming OBD 

system. This must include the date on or after which the owner can 

have required remedial action performed, the time reasonably 

necessary to perform the labor to remedy the nonconformity, and 

the designation of facilities at which the nonconformity can be 

remedied. 

(vi) If some or all of the nonconforming OBD systems are to be 

remedied by persons other than dealers or authorized warranty 

agents of the manufacturer, a description of such class of service 

agents and what steps, including a copy of all instructions mailed to 

such service agents, the manufacturer will take to assure that such 

agents are prepared and equipped to perform the proposed 

remedial action. 
28

(vii) A copy of the letter of notification to be sent to vehicle or engine 

owners. 

(viii) A proposed schedule for implementing the remedial action, 

including identified increments of progress towards full 

implementation. 

(ix) A description of the method that the manufacturer will use to 

assure that an adequate supply of parts will be available to initiate 

the remedial action campaign on the date set by the manufacturer 

and that an adequate supply of parts will continue to be available 

throughout the campaign. 

(x) A description and test data of the emission impact, if any, that the 

proposed remedial action may cause to a representative engine 

from the engine class to be remedied. 

(xi) A description of the impact, if any, and supporting data and/or 

engineering evaluation that the proposed remedial action will have 

on fuel economy, driveability, performance, and safety of the 

engine class covered by the remedial action. 

(xii) Any other information, reports, or data which the Executive Officer 

may reasonably determine to be necessary to evaluate the 

remedial action plan. 

(B) Approval and Implementation of Remedial Action Plans. 

(i) If the Executive Officer finds that the remedial action plan is 

designed effectively to address the required remedial action and 

complies with the provisions in section (e)(1)(A) above, he or she 

shall notify the manufacturer in writing within 30 days of receipt of 

the plan that the plan has been approved. 

(ii) The Executive Officer shall approve a voluntary, influenced, or 

ordered remedial action plan if the plan contains the information 

specified in section (e)(1)(A) above and is designed to notify the 

vehicle or engine owner and implement the remedial action in an 

expeditious manner. 

(iii) In disapproving an ordered remedial action plan, the Executive 

Officer shall notify the manufacturer in writing of the disapproval 

and the reasons for the determination. The manufacturer shall 

resubmit a revised remedial action plan that fully addresses the 

reasons for the Executive Officer’s disapproval within 10 days of 

receipt of the disapproval notice. 

(iv) Upon receipt of the approval notice of the ordered remedial action 

plan from the Executive Officer, the manufacturer shall, within 45 

days of receipt of the notice, begin to notify vehicle or engine 

owners and implement the remedial action campaign. 

(v) If the Executive Officer disapproves a voluntary or influenced 

remedial action plan, the manufacturer shall either accept the 

proposed modifications to the plan as suggested by the Executive 

Officer, resubmit a revised remedial action plan that fully addresses 

the reasons for the Executive Officer’s disapproval within 30 days 
29

or be subject to an Executive Officer order that the manufacturer 

undertake appropriate remedial action pursuant to section (d)(2)(B) 

above. 

(vi) Upon receipt of the voluntary or influenced remedial action 

approval notice from the Executive Officer, the manufacturer shall 

begin to notify vehicle or engine owners and implement the 

remedial action campaign according to the schedule indicated in 

the remedial action plan. 

(2) Eligibility for Remedial Action. 

(A) The manufacturer may not condition a vehicle or engine owner’s 

eligibility for remedial action required under section 1971.5 on the 

proper maintenance or use of the engine. 

(B) The manufacturer shall not be obligated to repair a component which 

has been modified or altered such that the remedial action cannot be 

performed without additional cost. 

(3) Notice to Owners. 

(A) The manufacturer shall notify owners of vehicles or engines in the 

engine class covered by the remedial order. The notice must be made 

by first-class mail or by such other means as approved by the 

Executive Officer. When necessary, the Executive Officer may require 

the use of certified mail for ordered remedial actions to assure effective 

notification. 

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

vehicle or engine owners, including motor vehicle registration lists 

available from the California Department of Motor Vehicles and 

commercial sources such as R.L. Polk & Co. 

(C) The notice must contain the following: 

(i) For ordered remedial actions, a statement: “The California Air 

Resources Board has determined that your (vehicle or engine) (is 

or may be) equipped with an improperly functioning on-board 

emission-related diagnostic system that violates established 

standards and regulations that were adopted to protect your health 

and welfare from the dangers of air pollution.” 

(ii) For voluntary and influenced remedial actions, a statement: “Your 

(vehicle or engine) (is or may be) equipped with an improperly 

functioning on-board emission-related diagnostic system that 

violates (California or California and Federal) standards and 

regulations” if applicable as determined by the Executive Officer. 

(iii) A statement that the nonconformity of any such engines will be 

remedied at the expense of the manufacturer. 

(iv) A statement that eligibility for remedial action may not be denied 

solely on the basis that the vehicle or engine owner used parts not 

manufactured by the original equipment engine manufacturer, or 

had repairs performed by outlets other than the engine 

manufacturer’s franchised dealers. 
30

(v) Instructions to the vehicle or engine owners on how to obtain 

remedial action, including instructions on whom to contact (i.e., a 

description of the facilities where the vehicles or engines should be 

taken for the remedial action), the first date that a vehicle or engine 

may be brought in for remedial action, and the time that it will 

reasonably take to correct the nonconformity. 

(vi) The statement: “In order to assure your full protection under the 

emission warranty provisions, it is recommended that you have 

your (vehicle or engine) serviced as soon as possible. Failure to do 

so could be determined as lack of proper maintenance of your 

(vehicle or engine).” 

(vii) A telephone number for vehicle or engine owners to call to report 

difficulty in obtaining remedial action. 

(viii) A card to be used by a vehicle or engine owner in the event the 

vehicle or engine to be recalled has been sold. Such card should 

be addressed to the manufacturer, have postage paid, and shall 

provide a space in which the owner may indicate the name and 

address of the person to whom the vehicle or engine was sold or 

transferred. 

(ix) If the remedial action involves recall, the notice must also provide: 

a. A clear description of the components that will be affected by the 

remedial action and a general statement of the measures to be 

taken to correct the nonconformity. 

b. A statement that such nonconformity, if not corrected, may cause 

the vehicle or engine to fail an emission inspection. 

c. A statement describing the adverse effects, if any, of an 

uncorrected nonconforming OBD system on the performance, 

fuel economy, or durability of the engine. 

d. A statement that after remedial action has been taken, the 

manufacturer will have the service facility issue a certificate 

showing that the engine has been corrected under the recall 

program, and that such a certificate will be required to be 

provided to the Department of Motor Vehicles as a condition for 

vehicle registration. 

(D) A notice sent pursuant to this section or any other communication sent 

to vehicle or engine owners or dealers may not contain any statement, 

expressed or implied, that the OBD system is compliant or that the 

OBD system will not degrade air quality. 

(E) The Executive Officer shall inform the manufacturer of any other 

requirements pertaining to the notification under section (e)(3) which 

the Executive Officer has determined as reasonable and necessary to 

assure the effectiveness of the recall campaign. 

(4) Label Indicating that Recall Repairs Have Been Performed. 

(A) If the required remedial action involves recall of engine family(ies), 

OBD group(s), or subgroup(s) thereof, the manufacturer shall require 
31

those who perform inspections and/or recall repairs to affix a label to 

each vehicle that has been inspected and/or repaired. 

(B) The label must be placed in a location approved by the Executive 

Officer and must be fabricated of a material suitable for such location 

in which it is installed and which is not readily removable. 

(C) The label must contain the remedial action campaign number and a 

code designating the facility at which the remedial action or inspection 

to determine the need for remedial action was performed. 

(5) Proof of Performance of Remedial Action Certificate. 

If the required remedial action involves a recall, the manufacturer shall 

provide, through its service agents, to owners of vehicles or engines that 

have had the remedial action performed a certificate that confirms that the 

engine has been recalled and that required inspection and/or repairs have 

been performed. The Executive Officer shall prescribe a format for the 

certificate, which shall be consistent with the format required in Cal. Code 

Regs., title 13, section 2117 and section 2129. 

(6) Record Keeping and Reporting Requirements. 

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

Executive Officer to conduct an analysis of the adequacy of the 

remedial action. 

(B) Unless otherwise specified by the Executive Officer, the manufacturer 

shall report on the progress of the remedial action campaign by 

submitting reports for eight consecutive quarters commencing with the 

quarter immediately after the recall campaign begins. The reports 

shall be submitted no later than 25 days after the close of each 

calendar quarter to: Chief, Mobile Source Operations Division, 9528 

Telstar Avenue, Suite 4, El Monte, California 91731. For each recall 

campaign, the quarterly report must contain the following: 

(i) The engine family and the remedial action campaign number 

designated by the manufacturer and a brief description of the 

nature of the campaign. 

(ii) The date owner notifications began and date completed. 

(iii) The number of engines involved in the remedial action campaign. 

(iv) The number of engines known or estimated to be equipped with 

the nonconforming OBD system and an explanation of the means 

by which this number was determined. 

(v) The number of engines inspected during the campaign since its 

inception. 

(vi) The number of engines found to be affected by the nonconformity 

during the campaign since its inception. 

(vii) The number of engines receiving remedial action during the 

campaign since its inception. 

(viii) The number of engines determined to be unavailable for 

inspection or remedial action, during the campaign since its 

inception, due to exportation, theft, scrapping, or other reasons 

(specify). 
32

(ix) The number of engines, during the campaign since its inception, 

determined to be ineligible for remedial action under section 

(e)(2)(B). 

(x) An initial list, using the following data elements and designated 

positions, indicating all vehicles or engines subject to recall that the 

manufacturer has not been invoiced for, or a subsequent list 

indicating all engines subject to the recall that the manufacturer has 

been invoiced for since the previous report. The list must be 

supplied in a standardized computer format to be specified by the 

Executive Officer. The data elements must be written in “ASCII” 

code without a comma separating each element. For example: 

XTY32A71234E-9456123408-25-91A. The add flag (see below) 

should reflect the vehicles or engines for which the manufacturer 

has not been invoiced and the delete flag should reflect changes 

since the previous report. The Executive Officer may change the 

frequency or format of this submittal depending on the needs of 

enforcement. The Executive Officer may not, however, require a 

frequency or format for this submittal that is different in any way 

from the frequency or format determined by the Executive Officer 

as required for reporting of data in Cal. Code Regs., title 13, section 

2119(a)(10) and section 2133(a)(10). 

 Data Elements Positions 

• File Code (designated by DMV) 1 

• License Plate Number 2-8 

• Last three VIN positions 9-11 

• Recall ID Number 12-17 

• Mfg. ID Number 18-22 

 (Mfg. Occupational License Number) 

• Recall Start Date (mmddyyyy) 23-30 

• Add or Delete Flag (A/D) 31 

• Complete VIN if personalized license plate 32-48 

 (File Code “L” or “S”) 

(xi) A copy of any service bulletins issued during the reporting period 

by the manufacturer to franchised dealerships or other service 

agents that relate to the nonconforming OBD system and the 

remedial action and have not previously been reported to the 

Executive Officer. 

(xii) A copy of all communications transmitted to vehicle or engine 

owners that relate to the nonconforming OBD systems and the 

required remedial action and have not been previously reported to 

the Executive Officer. 

(C) If the manufacturer determines that any of the information submitted to 

the Executive Officer pursuant to section (e) has changed or is 
33

incorrect, the manufacturer shall submit the revised information, with 

an explanation. 

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

as computer information, storage devices, or card files, and shall make 

available to the Executive Officer or his or her authorized 

representative upon request, the names and addresses of vehicle or 

engine owners: 

(i) To whom notification was sent; 

(ii) Whose engines were repaired or inspected under the recall 

campaign; 

(iii) Whose engines were determined not to be eligible for remedial 

action because the engines were modified, altered, or unavailable 

due to exportation, theft, scrapping, or other reason specified in the 

answer to sections (e)(6)(B)(viii) and (ix). 

(E) The information gathered by the manufacturer to compile the reports 

required by these procedures must be retained for no less than one 

year beyond when engines within the engine class, on average, 

exceed the defined full useful life of the engines and must be made 

available to authorized personnel of ARB upon request. 

(F) The filing of any report under the provisions of these procedures must 

not affect the manufacturer’s responsibility to file reports or 

applications, obtain approval, or give notice under any other provisions 

of law. 

(7) Extension of Time. 

Upon request of the manufacturer, the Executive Officer may extend any 

deadline set forth in section 1971.5(e) upon finding that the manufacturer 

has demonstrated good cause for the requested extension. 

(f) Penalties for Failing to Comply with the Requirements of Section (e).

(1) In addition to the penalties that may be assessed by the Executive Officer 

pursuant to section (d) because of a manufacturer’s failure to comply with 

the requirements of Cal. Code Regs., title 13, section 1971.1, a 

manufacturer may be subject to penalties pursuant to section 43016, 

Health and Safety Code for failing to comply with the requirements of 

section (e). 

(2) If a manufacturer fails to comply with a voluntary or influenced remedial 

action plan, the Executive Officer may order remedial action pursuant to 

section (d) above. 

NOTE: Authority cited: Sections 39600, 39601, 43000.5, 43013, 43016, 43018, 43100, 43101, 

43104, 43105, 43105.5, 43106, 43154, 43211, and 43212, Health and Safety Code. Reference: 

Sections 39002, 39003, 39010, 39018, 39021.5, 39024, 39024.5, 39027, 39027.3, 39028, 39029, 

39031, 39032, 39032.5, 39033, 39035, 39037.05, 39037.5, 39038, 39039, 39040, 39042, 

39042.5, 39046, 39047, 39053, 39054, 39058, 39059, 39060, 39515, 39600,-39601, 43000, 

43000.5, 43004, 43006, 43013, 43016, 43018, 43100, 43101, 43102, 43104, 43105, 43105.5, 

43106, 43150, 43151, 43152, 43153, 43154, 43155, 43156, 43204, 43211, and 43212, Health 

and Safety Code.