1 Appendix C

PROPOSED REGU LATION ORDER

Amend section 1971.5, title 13, California Co de of Regulations, to read as follows:

Note: The proposed amendments are shown in underline to indicate additions and
strikeout to indicate deletions from the existing regulatory te xt. Various portions of the regulations that are not modi fied by the proposed amendments are omitted fr om the text shown and indicated by “ * * * * ”.

§ 1971.5. Enforcement of Malfunction a nd Diagnostic System Requirements for 2010 and Subsequent Model-Year Heavy-Duty Engines.

(a) General.
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(3) Definitions

. The definitions applicable to these rule s 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 inco rporated by reference herein. The following definitions are specifically applicable to section 1971.5 and take precedence over any contrary definitions.
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“ OBD Emission Testing ” refers to testing condu cted 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 o f, or an additive to, a tailpipe emission
standard or an absolute meas urement from an applicable emission test cycle (e.g., 1.5 times the app licable federal test procedure (FTP) emission standards, PM standard plus 0.02 g/bhp-hr , PM level of 0.03 g/bhp- hr as measured from an applicable emission test cycle).

* * * * (b) Testing Procedures for ARB-Conducted Testing.
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### (3) Engine Selection for ARB-Conducted Enforcement Testing

. * * * * (C) Protocol for Procuring Engines for Test Sample Group. (i) For OBD emission and ratio testi ng, 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 t he engine class. The method used shall ensure that engines are recrui ted from more than one source. Methods used may include obtaining list s of engine owners from specific2 sources (e.g., engine manufacturers, mo tor 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 Offi cer under Cal. Code Regs., title 13, section 2137 (e.g., obtaining lists of a ll vehicles in the motor vehicle class within a specified geographical ar ea, mailing postcards soliciting participation of vehicles within the spec ified area, selecting vehicles from those that responded to the solicitati on, inspecting selected vehicles to determine whether appropriate to incl ude in sample group, etc.). In selecting engines for OBD emission te sting, the Executive Officer shall include only engines meeti ng 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 fo rth in section (b)(3)(D)(ii) below.
* * * * (D) Engines to be included in a Test Sample Group.

* * * * (ii) In selecting engines to be included in a test sample group for enforcement OBD ratio testing, the Executive Offi cer 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 oper ation 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), suffici ent engine operation data shall mean
the denominator meets the criteria set forth in sections (b)(3)(D)(ii)1. through 5. below. For monitors requi red 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 hav e a denominator
that meets the crit eria set forth in sections (b)(3)(D)(ii)1. through 5. below after undergoing testi ng as set forth in secti on (b)(4)(C)(ii) below. Specifically, the denominator, as def ined in Cal. Code Regs., title 13, section 1971.1(d)(4.3), for the moni tor to be tested must have a value equal to or greater than:

1. 150 for gasoline evaporativ e system and secondary air system monitors, and gasoline monito rs 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 3. 50 for diesel PM filter moni tors, and NMHC converting catalyst monitors, PM sensor monitors, a nd PM sensor heater monitors and other diesel monitors using a denominator incremented in accordance with Cal. Code Regs., title 13, section 1971.1(d)(4.3.2)(E), (F), (G) or (H), or
4. 150 for diesel monitors utiliz ing 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.) and
not covered in section (b)(3)(D)(ii)3. above, or
5. 300 for all other diesel moni tors not covered under sections (b)(3)(D)(ii)3. and 4. above.
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(6) Finding of Nonconformance after Enforcement Testing

. After conducting enforcement testing pur suant to section (b)(4) above, the Executive Officer shall make a finding ofnonconformance of the OBD system in the identified engine class under the respec tive 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 consider ed nonconforming if the emission test results indicate that 50 percent or more of the engines in the test sample group do not properly illu minate the MIL when emissions exceed 2.0 times the malfunc tion criteria (e.g., 5.0 times the standard if
the malfunction criterion is 2.5 ti mes the standard) on the applicable standard (i.e., FTP or SET).
* * * * (ii) For 2013 through 2015 model year engines: a. All engines classified as OBD parentand child ratings subject to Cal. Code Regs., title 13, sect ion 1971.1(d)(7.2.2) shall be considered to be nonconforming if the emission test resu lts indicate that 50 percent or more of the engines in the test samp le group do not pr operly illuminate
the MIL when emissions exceed 2.0 ti mes the malfunction criteria (e.g.,
4.0 times the standard if the malfunction criterion is 2.0 times the standard) on the applicable stand ard (i.e., FTP or SET).
* * * * (iii) For 2016 through 2018 model year engines:
a. PM filter monitors on engines subject to the malf unction criteria of Cal. Code Regs., title 13, sections 197 1.1(e)(8.2.1)(CD) and (E) shall be considered to be nonconforming if the em ission test results indicate that 50 percent or more of the engines in the test sample group do not properly illuminate t he MIL when emissions exceed 2.0 times the malfunction criteria (e.g., PM emissi on level of 0.06 g/bhp-hr if the4 malfunction criterion is 0.03 g/bhp-hr) on either any 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 sha ll 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 cr iterion is 2.0 times the standard) on either any of the applicabl e standards (i.e., FTP or SET). c. Monitors on engines not covered undersections (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 ei ther any of the applicable standards (i.e., FTP or SET). (iv) For 2019 and subsequent model year engines, any engine shall be considered nonconforming if the result s of the tests indicate that 50 percent or more of the engines in the test sample do not properly
illuminate the MIL when emissions ex ceed the malfunction criteria on either any of the applicable st andards (i.e., FTP or SET). (v) The Executive Officer may not consider an OBD system nonconforming solely due to a failure or deteriora tion 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 ce rtified to a ratio of 0.100 in accordance with Cal. Code Regs., titl e 13, section 1971.1(d)(3.2.2) and
PM filter filter ing performance monitors (section 1971.1(e)(8.2.1)) and missing substrate monitors (section 1971.1(e)(8.2.5)) on 2016 through 2018 model year engines shall be considered nonconforming if the data collected from the engines in the test sa mple group indicate either that the average in-use monitor performance rati o for one or more of the monitors in the test sample group is less than 0.050 or that 66.0 pe rcent 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) Except as provided above in section (b)(6)(B)(i) above, 2016 and subsequent model year engines certified to a ratio of 0.100 in accordance with Cal. Code Regs., title 13, secti on 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 perf ormance 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.

* * * *5 (ii) Engines shall be considered nonconf orming 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 r equirements 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 off- board equipment designed to access the following parameters via the standards referenced in Cal. Code Regs., title 13, section 1971.1 for 2013 and subseque nt model year engines cannot
obtain valid and correct data fo r the following parameters:
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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. C ode Regs., title 13, section 1971.1(d)(2.1.2) during the MIL functi onal check and, if applicable Cal. Code Regs., title 13, sect ion 1971.1(h)(4.1.36) during the MIL readiness status check;
* * * * (d) Remedial Action.
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(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 nonconfo rming OBD system if enforcement testing conducted pursuant to sections (b) or (c) above or information
received from the manufac turer indicates that: (i) For major monitors r equired to meet the in-use performance ratio pursuant to Cal. Code Regs., title 13, sect ion 1971.1(d)(3.2) and subject to the
nonconformance criteria of secti on (b)(6)(B)(ii) on 2016 and subsequent model year engines, the average in-use monitor performance ratio for one or more of the major m onitors in the test sample group is less than or equal to 33.0 percent of the applicabl e required minimum ratio established in Cal. Code Regs., title 13, secti on 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 sa me major m onitor. (ii) For major monitors required to i ndicate a malfunction before emissions exceed a certain emission threshold, when the engine is tested in a vehicle and operated so as to re asonably encounter all monitoring
conditions disclosed in the manufacture r’s certification application, the OBD system is unable to detect and illumi nate the MIL for a malfunction of a component/system monito red by the major monitor prior to emissions exceeding:6 a. For 2013 through 2015 model year OBD parent and child ratings subject to the “full OBD” requirem ent under Cal. Code Regs., title 13, section 1971.1(d)(7.2.2), three ti mes the applicable major monitor malfunction criteria (e.g., if the ma lfunction criteria is 2.5 times the applicable standard, recall would be required when emissions exceed 7.5 times the applicable standard, or ifthe 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 emi ssions exceeded 0.09 g-bhp-hr). b. For 2016 through 2018 model year engines: 1. For engine ratings previously cert ified to Cal. Code Regs., title 13, section 1971.1(d)(7.2.3) for “ext rapolated OBD” in the 2013 through 2015 model years, three times the applicable major monitor malfunction criteria (e.g., if the ma lfunction 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 Ca l. Code Regs., title 13, sections 1971.1(e)(8.2.1)(CD) and (E) (e.g., if the malfunction criteria is the PM standard plus 0.02 g/bhp-hr a nd the PM standar d is 0.01 g/bhphr, recall would be required when emissions exceeded 0.09 g-bhphr) and two times the malfunction cr iteria for all other applicable major monitors. c. For 2019 and subsequent model year engines, two times the applicable major monitor malfunction cr iteria (e.g., if the ma lfunction criteria is 2.5 times the applicable standards, recall would be required when
emissions exceed 5.0 times t he applicable standards). (iii) For misfire monitor: a. Gasoline misfire monitor: For 2016 and subsequent model year gasoline engines, the monitor for misf ire causing catalyst damage is unable to properly detect and illuminate the MIL for misf ire rates that are more than 20 percent age 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).
b. Diesel misfire monitor: For 2019 and subsequent model year diesel engines, the misfire monitor is unable to properly detect and illuminate
the MIL for misfire rates that are more than 10 percentage points greater than the misfire malfunction cr iteria specified in section Cal. Code Regs., title 13, sect ion 1971.1(e)(2.2.2) (e.g ., misfire rate more than 15 percent if the misfire malfunction criteria is 5 percent). (iv) For 2016 and subsequent model year gasoline engines, when the engine is tested in a vehicle and operated so as to reasonably encounter all7 monitoring conditions disclosed in the manufacturer’s certification application, the evaporative system monitor is unable to detect and
illuminate the MIL for a cumulative l eak 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 requi red orifice in Cal. Code Regs., title 13, section 1971.1(f)(7.2.2)(B). (v) When the engine is tested in a vehi cle and operated so as to reasonably encounter all monitoring conditions di sclosed in the manufacturer’s certification application, the OBD syst em cannot detect and illuminate the MIL for a malfunction of a component that effectively disables a major monitor and the major monitor, by bei ng 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 MI L for malfunctions thatcause FTP emissions
to exceed two times the malfunction criteria). (vi) For 2013 and subsequent model yeardiesel 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 PM filter monitor is unable to detect and illuminate the MIL for any of the following: a. a missing substrate fault in accordance with title 13, CCR section 1971.1(e)(8.2.5); or
b. a malfunction of the PM filter that causes PM emissions to be equal to or greater than the emission level of the engine, as measured from an applicable emission test cycle (i.e., FTP or SET), with the PM filter substrate completely removed. (vi)(vii) The engine class cannot be tested so as to obtain valid test results in
accordance with the criter ia identified in section (b)(6)(C)(ii) due to the nonconforming OBD II system.

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NOTE: Authority cited: Sections 39010, 39600, 39601, 43000.5, 43013, 43016, 43018, 43100, 43101, 43104, 43105, 43105.5, 43106, 43154, 43211, and 43 212, 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.