Cal. Code Regs. tit. 13 § 2706

Current through Register 2024 Notice Reg. No. 45, November 8, 2024

Section 2706 - Other Requirements

(a) Limit and Procedure for Measuring Nitrogen Dioxide (NO₂).

(1) In order for a diesel emission control strategy to be verified, effective January 1, 2007, the diesel emission control strategy must not increase emissions of NO₂ by more than an increment equivalent in mass to 30 percent of the baseline NOx emission level. Effective January 1, 2009, the increment is reduced to 20 percent of the baseline NOx emission level. The average of NO₂ emission levels from both the initial and final emissions tests described in Section 2704(g) is used to determine compliance with the NO₂ limit. For chassis dynamometer testing, only the NO₂ emission level over the UDDS cycle is used. The first NO₂ emission limit takes effect beginning on January 1, 2007. Diesel emission control strategies verified and installed prior to January 1, 2007 are exempted from this requirement. Those verified prior to January 1, 2007 will no longer be allowed for installation after January 1, 2007 unless they meet the appropriate NO₂ emission limit. After January 1, 2007, all diesel emission control strategies verified and installed must meet this requirement.

(2) NO₂ emissions are to be quantified by one of the following methods:

(A) Two chemiluminescence analyzers,

(B) A dual-path chemiluminescence analyzer, or

(C) An alternative method approved by the Executive Officer.

(3) Analyzer configuration and determination of NO₂ emission level. For (2)(A) and (2)(B), the analyzers are to be fed from a heated and conditioned sample path. If two chemiluminescence analyzers are employed, they are to be simultaneously fed from a common heated sample path. One instrument (or path) shall be set to NOx mode, while the second shall be set to nitric oxide (NO) mode. The instrument (or path) set to NOx mode receives a sample that has passed through an NO₂-to-NO converter, and the resultant concentration is designated as total NOx (NO+NO₂) in the sample. The instrument (or path) that is set to NO mode receives a sample that has not passed through the converter and quantifies the amount of NO only. The difference between NO and NOx is the amount of NO₂ in the sample. Both NO and NOx signals are recorded by an external data acquisition system at 1 Hertz. Using the average concentrations of NO and NOx over the entire test cycle, the conventional equation for calculating total NOx (Code of Federal Regulations, Title 40, part 86, Subpart N) is then used to generate a gram per mile or g/bhp-hr value for both NO and NOx. The resulting value for NO is then subtracted from that for NOx to determine the gram per mile or g/bhp-hr value for NO₂. The instrument for measuring NO and NOx must be calibrated in accordance with the NOx calibration procedure as described in the Code of Federal Regulations, Title 40, part 86, Subpart N.

(4) Pre-conditioning requirements. If the Executive Officer determines that a diesel emission control strategy has a propensity to increase emissions of NO₂ and that NO₂ emissions from a diesel emission control strategy could be affected by the presence of particulate matter or ash (as with a catalyzed diesel particulate filter), the strategy must be pre-conditioned according to the following procedure:

(A) Initial test (prior to service accumulation). Before conducting the initial emissions test, the unit being tested must be pre-conditioned as follows:

1. Install a new, unused unit on an engine that is an appropriate size for the unit, in a good state of maintenance, and certified to a PM standard equal to or more stringent than that of the engines in the emission control group for which the applicant seeks verification.

2. Operate the engine on one of the test cycles specified below for 25 to 30 hours. For on-road verifications, use either the FTP (hotstart) or UDDS cycle as identified in 2703(e), or the 13-mode Supplemental Emissions Test (SET) in the Code of Federal Regulations, Title 40, Part 86. For off-road and stationary verifications, use either the steady-state test cycle or the Nonroad Composite Transient Cycle (NRTC) (California Code of Regulations, Title 13, section 2423) from ARB off-road regulations. For up to 10 hours of the 25 to 30 hour period, beginning after at least the first three test cycle repetitions and ending before at least the last three test cycle repetitions, an applicant may alternatively:

a. Run the engine at high load such that the exhaust temperature is between 350 and 450 degrees Celsius, or

b. Alternate back and forth between high and low loads such that the exhaust temperature never exceeds 525 degrees Celsius and the low load operation does not result in significant soot accumulation at the end of the pre-conditioning period.

3. Measure and record the backpressure, exhaust temperature, date, and time on a second-by-second basis (1 Hertz) for the duration of the 25 to 30 hour pre-conditioning period.

4. Following the 25 to 30 hour period of operation, remove the unit from the pre-conditioning engine and install it on the emissions test engine, if applicable. Proceed with the initial emissions test and determine NO₂ⁱ, as defined in section 2706(a)(5). Determine the average backpressure over each of the emissions test repetitions and then average those values. The resulting average backpressure is compared with that of the aged unit per subsection (B), below.

(B) Final test (after the service accumulation). Before conducting the final emissions test, the aged unit may need to be pre-conditioned if the backpressure is too high. The applicant may either first perform the backpressure check described below or directly proceed with the final emissions test with the understanding that the test must be repeated if the backpressure is too high.

1. Backpressure check. Run one hot-start of the emissions test cycle with the aged unit installed on the emissions test engine. If using a chassis dynamometer, run the UDDS. Measure and record the backpressure on a second-by-second basis (1 Hertz) and determine the average. No pollutant measurements are necessary. Proceed with the emissions test as described in subsection (B)(3.) below if either the average backpressure is within 30 percent of the average backpressure recorded for the initial test unit or, for transient test cycles, the backpressure does not exceed 60 inches of water for more than two percent of the time, or, for steady-state test cycles, the backpressure never exceeds 60 inches of water. Otherwise, pre-condition the aged unit as described in subsection (B)(2.) below.

2. If the backpressure of the aged unit does not comply with the appropriate criterion described in subsection (B)(1.) above, burn off excess soot or clean out excess ash as necessary. Run an additional repetition of the emissions test cycle (hot-start) to check if the unit complies with the backpressure criterion. Repeat as necessary.

3. Conduct emissions testing with the aged unit. Determine NO₂^f, as defined in section 2706(a) (5.). If the backpressure does not comply with the appropriate criterion described in subsection (B)(1.) above, pre-condition the unit in accordance with subsection (B)(2.) and retest. If the backpressure check in subsection (B)(1.) was conducted prior to emissions testing and the unit was brought into compliance at that time, do not retest.

(C) In-use compliance testing. Before conducting in-use compliance emissions testing, the test units may need to be pre-conditioned. Using the required test cycle, measure and record the backpressure on a second-by-second basis (1 Hertz) over one hot-start test with a cleaned (or pre-conditioned per subsection (A) above) reference unit installed on the engine to be used for in-use compliance testing. The reference unit must be identical to the test units. Measure and record the backpressure of the test units retrieved from the field using the same engine and test cycle (one hot-start) as used with the reference unit. If the backpressure of a given test unit is either within 30 percent of the average backpressure recorded for the reference unit or, for transient test cycles, the backpressure does not exceed 60 inches of water for more than two percent of the time, or, for steady-state test cycles, the backpressure never exceeds 60 inches of water, it does not require pre-conditioning. Otherwise, the test units must be pre-conditioned following subsection (B) above. Other units may not be substituted for the selected test units.

(D) Determination of backpressure. The applicant must submit the actual recorded backpressure in an electronic format as measured on a second-by-second basis over each test run and over the 25 to 30 hour pre-conditioning period. Prior to calculating the average backpressure over a given test run, however, any negative values caused by the draw of the dilution tunnel must first be zeroed.

(5) Determination of compliance with the NO₂ limit. Compliance with the NO₂ limit is based on the average incremental increase in NO₂ emissions as determined by the following equation:

Percent Increase=100% x 0.5 x [(NO₂ⁱ - NO₂^b)+(NO₂^f - NO^2b)] / NOxb

Where "NO₂" and "NOx" stand for the mass-based emission rates of NO₂ and NOx, respectively, as determined in subsection (a)(3) above, and the superscripts "i", "f", and "b" stand for "initial test", "final test", and "baseline test", respectively. For in-use compliance testing, the equation is:

Percent Increase=100% x (NO₂^c - NO₂^b) / NOx^b

Where the superscript "c" stands for the in-use compliance emissions testing conducted with the unit installed on the test engine.

(6) Alternative Method to Measure NO₂. The applicant may request the Executive Officer to approve an alternative method in place of the required methods. In reviewing this request, the Executive Officer may consider all relevant information including, but not limited to, the following:

(A) Correlation of the alternative method with the methods stated in 2(A) or 2(B).

(B) Body of existing data generated using the alternative method.

(b) Limits on Other Pollutants.

(1) Limits on non-methane hydrocarbon (NMHC) and NOx. In order for a diesel emission control strategy to be verified, the applicant must comply with one of the following:

(A) The diesel emission control strategy must not increase the emissions of either NMHC or NOx by more than ten percent of the baseline emissions level as reported under section 2708 (a) except that NMHC emissions may be increased by up to 0.1 g/bhp-hr provided the increase does not cause the emissions to exceed the applicable NMHC emissions standard or 0.5 g/bhp-hr if no standard exists, or

(B) For strategies verified prior to July 1, 2006, the applicant must provide sufficient evidence to demonstrate that the sum of NMHC and NOx emissions with the strategy implemented does not exceed the baseline emission level sum of NMHC and NOx as reported under Section 2708(a); or

(C) For strategies verified on or after July 1, 2006, the applicant must provide atmospheric modeling data which indicates that widespread use of the strategy will not result in an increase in exposure of the public to ozone. The atmospheric model employed must be approved in advance by the Executive Officer.

(2) Limit on CO.

(A) On-road and Off-road (including portable) Engines. In order for a diesel emission control strategy to be verified, the diesel emission control strategy must not increase the emissions of CO greater than the current CO emission standards for new diesel engines adopted by the Air Resources Board and in effect at the time of verification.

(B) Stationary Engines. In order for a diesel emission control strategy to be verified, the diesel emission control strategy must either:

1. Meet the applicable CO standard for off-road engines of the same model year and maximum rated power as specified in the Off-Road Compression-Ignition Engine Standards (title 13, CCR, section 2423). If no standards have been established for an off-road engine of the same model year and maximum rated power as the stationary diesel-fueled CI engine, then the stationary diesel-fueled CI engine shall meet the Tier 1 standard in title 13, CCR, section 2423 for an off-road engine of the same maximum rated power, irrespective of the stationary diesel-fueled CI engine's model; Or

2. Not increase the emissions of CO by more than 10 percent of the baseline emissions level as reported under section 2708(a).

(3) Limit on Ammonia (NH₃). In order for a diesel emission control strategy to be verified, the diesel emission control strategy must not increase the emissions of ammonia to a level greater than 25 parts per million by volume at the tailpipe on average over any test cycle used to support emission reduction claims.

(A) Emissions of ammonia are to be quantified with a method subject to approval by the Executive Officer which employs Fourier Transform Infrared (FTIR) spectroscopy. The applicant may request the Executive Officer to approve an alternative method in place of the required method. In reviewing this request, the Executive Officer may consider all relevant information including, but not limited to, consistency with the method required by U.S. EPA and the body of existing data generated using the alternative method.

(B) If an applicant does not expect its diesel emission control strategy to increase emissions of ammonia, the applicant may request that the Executive Officer waive the requirement to conduct testing for ammonia emissions. In reviewing the request, the Executive Officer may consider all relevant information including, but not limited to, the principles of operation of the diesel emission control strategy, the existence of a mechanism for ammonia formation, and published emissions data from similar technologies.

(C) The strategy must be in compliance with applicable federal, state, and local government requirements relating to ammonia emissions, which may be more stringent than the limit presented here.

(4) Other Pollutants. In order for a diesel emission control strategy to be verified, the diesel emission control strategy must not increase the emissions of other pollutants by more than ten percent of the baseline emission level as reported under Section 2708(a).

(c) Fuel Additives. Diesel emission control strategies that use fuel additives must comply with section 2710 and meet the following additional requirements for verification. Fuel additives must be used in combination with a level 3 diesel particulate filter unless they can be proven to the satisfaction of the Executive Officer to be safe for use alone. In addition, the applicant must meet the following requirements:

(1) The applicant must submit the exact chemical formulation of the fuel additive,

(2) Diesel emission control strategies employing the dosing of an additive in conjunction with a diesel particulate filter must include an on-board monitor of the additive level in the reservoir, integrated with the diesel particulate filter. The on-board monitor for fuel additive must include indicators to notify the operator when the additive level becomes low and when the additive tank is empty. In addition, the on-board monitor must be capable of shutting off the supply of additive, if there is a detected diesel particulate filter problem,

(3) The applicant must submit to the Executive Officer environmental, toxicological, epidemiological, and other health-related data pertaining to the fuel additive every two years. The Executive Officer will review the data, including any new information, and may revoke the verification if the data indicate that the fuel additives cause, or are linked, to negative environmental, or health consequences.

(4) The applicant must conduct additional emission tests of fuel additives.

(A) Except as provided in (B) below, the additional emission tests must follow the same test procedures, test cycles, and number of test runs as indicated in section 2703, except that the concentration of the additive must be at least 50 ppm or 10 times higher than that specified for normal use, whichever is highest. In all other respects, the additive in the high concentration test solutions must be identical to that in the fuel additive submitted for verification.

(B) The applicant may petition to use a concentration less than that required in (A), above, if the higher dose would result in catastrophic damage to the engine. The applicant must supply information on the failure modes, and the level of the additive that would trigger failure. The applicant must also supply information and data supporting the highest feasible dose for testing. An increase in emissions is not by itself sufficient to justify a dose lower than that required in (A), above, and must be correlated to potential engine damage. After reviewing this information and any other relevant information, the Executive Officer shall determine if testing at a lower level could be accepted, or if testing must be conducted at 50 ppm or ten times the specified dose rate as required in (A).

(5) Fuel additives must be in compliance with applicable federal, state, and local government requirements. This requirement includes, but is not limited to, registration of fuel additives with the U.S. EPA. Registration of fuel additives with U.S. EPA must be completed prior to submission of an applicant's preliminary verification application.

(d) Alternative Diesel Fuels. Alternative diesel fuels must be in compliance with applicable federal, state, and local government requirements. This requirement includes, but is not limited to registration of the alternative diesel fuel with the U.S. EPA. Registration of alternative diesel fuels with U.S. EPA must be completed prior to submission of an applicant's preliminary verification application. The applicant must conduct additional emission tests of alternative diesel fuels if the Executive Officer determines that such tests are necessary. The Executive Officer may consider all factors including, but not limited to, fuel components that could adversely affect emissions reductions and/or the applications to which they are applied.

(e) Selective Catalytic Reduction (SCR) Systems. A diesel emission control strategy that uses an SCR system to reduce emissions of NOx has the following additional requirements:

(1) The diesel emission control strategy must include a system to monitor the amount of reductant available and notify the operator when the level is low. The notification must occur and be clearly visible to the operator while the vehicle or equipment is in use.

(2) The diesel emission control strategy must include a strong inducement to ensure that the operator maintains a constant supply of reductant to the SCR system. For example, the diesel emission control strategy may include a mechanism to de-rate the engine's maximum power output if the operator fails to refill the reductant tank. The inducement must be both resistant to tampering and strong enough to ensure an uninterrupted supply of reductant. The applicant must propose an inducement for approval by the Executive Officer.

(3) The diesel emission control strategy must include a means to ensure that the reductant present in the tank meets the specifications necessary for the SCR system to function properly. The applicant must propose a quality control strategy for approval by the Executive Officer.

(f) Operational Data Monitoring and Storage Requirements. The following requirements apply to all diesel emission control strategies that include exhaust aftertreatment:

(1) During emissions and durability testing, the applicant must:

(A) Measure and record exhaust backpressure and temperature pursuant to sections 2703 and 2704.

(B) Demonstrate that the backpressure caused by its diesel emission control strategy is within the engine manufacturer's specified limits, or will not result in any damage to the engine.

(2) If operation of the engine with the diesel emission control strategy installed will result in a gradual build-up of backpressure exceeding the engine's specified limits over time (such as due to the accumulation of ash in a filter), the applicant must submit information describing how to reduce the backpressure.

(3) All diesel emission control strategies that include a diesel particulate filter or other device that can cause exhaust backpressure to increase over time must be installed with a backpressure monitor to notify the operator of high backpressure conditions. The monitor must have a minimum of two stages of notification: when the high backpressure limit, as specified by the engine manufacturer or included in the verification application, is approached and when the high backpressure limit is reached or exceeded. These notifications must occur and be clearly visible to the operator while the vehicle or equipment is in use. Vehicles or equipment that can be operated from multiple locations by end-users must include a secondary notification system on the vehicle or equipment to alert the operator of a high backpressure condition. The applicant must identify the proposed high backpressure limits for the strategy in its application for verification. Each high backpressure notification event must be recorded pursuant to section 2706(f)(5).

(A) The final, maximum high backpressure notification must be non-resettable by the operator and must meet the following requirements:

1. If the notification is triggered, it must remain on until a qualified technician can examine the engine and filter to determine the cause of the high backpressure condition.

2. If the notification is triggered and the engine is subsequently turned off, it must immediately resume when the engine is turned back on.

3. If the notification is triggered and the notification system subsequently either loses power or otherwise becomes nonfunctional, the notification must immediately resume when the system becomes operational.

(4) The Executive Officer reserves the right to require monitors that identify low backpressure limits in those cases where failures leading to low backpressure are unlikely to be detected, or have the potential to cause environmental damage beyond that caused by the engine prior to being equipped with the emission control strategy (e.g., systems that introduce additives into the fuel).

(5) All backpressure monitors must include an electronic device that is able to do the following:

(A) Measure and record exhaust backpressure and exhaust gas temperature data. Each record must include the date and time of measurement.

(B) Have the capacity to record exhaust backpressure, exhaust temperature, date, and time data as described in (A) above for a period of at least 200 hours of actual engine operation without overwriting any stored data. Measurements must be recorded at least once every 30 seconds. Each record must consist of the instantaneous measured exhaust backpressure and exhaust gas temperature or an average of such measurements over no more than the preceding 30 seconds provided the maximum and minimum values are also recorded for the same averaging period.

(C) Have the capacity to record error codes and high backpressure codes for a period of at least 500 hours of actual engine operation without overwriting any stored data. Each record must include the code and the date and time it occurred.

(6) An applicant must submit to the Executive Officer at the time of application all software and hardware that are required to interface with the diesel emission control strategy and download and view all recorded data. All such software and hardware associated with a diesel emission control strategy that is already verified must be submitted to the Executive Officer by the applicant no later than six months following the effective date of this part of the regulation.

(g) Fuel and Oil Requirements. The applicant must specify the fuel and lubricating oil requirements necessary for proper functioning of the diesel emission control system. The applicant must also specify any consequences that will be caused by failure to comply with these requirements, as well as methods for reversing any negative consequences.

(h) Maintenance Requirements. The applicant must provide information on maintenance of the diesel emission control strategy as follows:

(1) The applicant must identify all normal maintenance requirements for the diesel emission control strategy. The applicant must specify the recommended intervals for cleaning and/or replacing components. Any components to be replaced within the defects warranty period must be covered with the original diesel emission control system package or provided free of charge to the customer at the appropriate maintenance intervals. Any normal maintenance items that the applicant does not intend to provide free of charge must be approved by the Executive Officer (the applicant is not required to submit cost information for these items). In addition, the applicant must specify procedures for proper handling of spent components and/or materials cleaned from the diesel emission control strategy. If any such materials are hazardous, the applicant must identify them as such in the owner's manual. For filter-based diesel emission control strategies, the applicant must include procedures for resetting any backpressure monitors after maintenance procedures are completed.

(2) The applicant must provide detailed maintenance information for a verified diesel emission control strategy to the owner upon delivery of the diesel emission control strategy. The information provided must be sufficient to enable an owner to conduct proper routine maintenance on the diesel emission control strategy without requiring that routine maintenance be provided exclusively by the applicant or the applicant's distributor. The required information includes, but is not limited to:

(A) Specific routine maintenance and cleaning procedures and timeframes.

(B) All performance criteria used to determine a proper state of maintenance, such as the pressure drop across a fully-cleaned diesel particulate filter.

(C) Any prohibitions or specific maintenance practices which may result in damage to the diesel emission control strategy.

(i) Component Swapping and Re-Designation Practices

(1) Component Swapping Practices. Applicants may authorize that components of a verified control strategy be moved from the original installation and transferred to another vehicle or equipment, provided the following provisions are met:

(A) Identical components that have the same part number may only be swapped between diesel emission control strategies that share a common diesel emission control strategy family name.

(B) Applicants must first receive written approval outlining the specific component eligible to be moved from the Executive Officer prior to approving any transfers.

(C) Recipient vehicle must be fitted with the same diesel emission control strategy.

(D) Component swapping must also comply with the requirements as described in subsection (i)(3).

(E) Donor vehicle/engine whose component has been moved must remain in compliance with the terms and conditions of the applicable Executive Order and have all diesel emission control strategy components present and functional.

(2) Device Re-Designation Practices. Applicants may authorize the complete removal of a verified diesel emission control strategy from the original installation to another vehicle or equipment within the end user's commonly owned fleet, provided the following provisions are met:

(A) Applicants must receive written approval from the Executive Officer prior to approving a diesel emission control strategy re-designation.

(B) Any party which removes a verified diesel emission control strategy from an engine/application must remove the verified diesel emission control strategy engine label. If the engine label cannot be removed whole, it must be destroyed.

(C) Any party which re-designates a device to another engine/application which was never previously retrofit with that exact diesel emission control strategy must obtain and properly install an appropriate diesel emission control strategy engine label.

(D) Any party which removes a verified diesel emission control strategy from an engine/application must ensure the engine/application returns to its original factory configuration.

(E) Diesel emission control strategies which are more than 10 years old based on the month and date of manufacture listed on the device label, or devices of unknown age, are not legal candidate systems for re-designation to a new engine/application.

(F) Diesel emission control strategy system re-designation must also comply with the requirements as described in subsection (i)(3).

(G) A diesel emission control strategy installed on a vehicle or piece of equipment that is repowered (see section 2701 (a)(38)) may remain installed provided:

1. The replacement engine meets all the terms and conditions of the diesel emission control strategy Executive Order,

2. The diesel emission control strategy is not more than 10 years old (based on month and date of manufacture), and

3. The appropriate diesel emission control strategy engine label is installed on the replacement engine.

(3) Additional Component Swapping and Re-designation Requirements. In addition to the specific requirements in subparts (1) and (2), the following requirements must be met prior to the approval of a component swap or device re-designation:

(A) Applicants must provide written information to the Executive Officer on approved swapping and re-designation practices and how the applicant intends to satisfy warranty and in-use compliance requirements.

(B) Applicants must provide instructions for assessing if the system still meets its verified emissions reductions (for PM and/or NOx), instructions for device movement to prevent installation on an inappropriate vehicle, and other information required by the Executive Officer to assess the request.

(C) The end user and installer must verify that the new recipient vehicle meets the terms of the original verification.

(D) Applicants must specify acceptable end user installation and reinstallation practices in the owner's manual and the installation manual (see section 2706 (l) and 2706(n)) and possible repercussions to the end user if such practices are done in an inappropriate manner.

(E) The applicant must agree to honor the original product warranty and warranty period (see sections 2702 and 2707) and must provide a written statement to the Executive Officer confirming continued support of the original product warranty.

(F) The installer must agree to honor the original installation warranty and warranty period (see section 2707). If the installer of either a swapped component or re-designated diesel emission control strategy is not the same as the installer who did the original installation of the diesel emission control strategy, the new installer must assume the installation warranty responsibilities defined in section 2707 for the remainder of the original warranty period or until another installer swaps the component or re-designates the diesel emission control strategy. If the original installation warranty has expired or has less than one year remaining, the installer must issue a new warranty to guard against potential installation defects. The new installation warranty must meet the requirements of section 2707 except that the minimum period is reduced to one year from the date of installation. Any transfer of a diesel emission control strategy or component by an installer that does not offer this installation warranty is not considered a valid installation.

(G) No party shall advertise, sell, lease, or offer for sale or lease, a used verified diesel emission control strategy.

(j) System Labeling.

(1) The applicant must ensure that identical, legible, and durable labels are affixed on both the diesel emission control strategy and the engine (or an alternate location approved by the Executive Officer) on which the verified diesel emission control strategy is installed except as noted in (3) below. All labels must be constructed and affixed so that they resist tampering and remain legible for the duration of the diesel emission control strategy's minimum warranty period. One label shall be welded, riveted, or otherwise permanently attached to the diesel emission control strategy and the other affixed to the engine in such a manner that it cannot be easily removed (e.g., bolted). The required labels must identify the name, address, and phone number of the manufacturer, the diesel emission control strategy family name (defined in (2) below) of the installed system, a unique serial number, and the month and year of manufacture. The month and year of manufacture are not required on the label if this information can be readily obtained from the applicant by reference to the serial number. The applicant and/or installer must ensure that the label is visible after installation. In the event that the original strategy label is damaged, destroyed, or missing, the device manufacture shall issue an ARB approved replacement. The replacement label must be identical to the original label with the exception of the words "REPLACEMENT LABEL" which must be included at the bottom line of information. A sample scale drawing of the original and replacement labels must be submitted with the verification application. The end user must notify the applicant in the event of a damaged, destroyed, or missing original strategy label. The applicant must issue a replacement label within 45 days of notification by an end user of a damaged, destroyed, or missing label. All labels must be approved by the Executive Officer and must only be used with an ARB verified diesel emission control strategy. Unless an alternative is approved by the Executive Officer, the label information must be in the following format:

Name, Address, and Phone Number of Manufacturer

Diesel Emission Control Strategy Family Name

Product Serial Number

ZZ-ZZ (Month and Year of manufacture, e.g., 06-02)

REPLACEMENT LABEL*

* "Replacement Label" to be used only when a replacement of the original label has been issued by the device manufacturer.

(2) Diesel Emission Control Strategy Family Name. Each diesel emission control strategy shall be assigned a family name defined as below:

CA/MMM/YYYY/PM#/N##/AP/XXXXX

CA: Designates a diesel emission control strategy verified in California.

MMM: Manufacturer code (assigned by the Executive Officer).

YYYY: Year of verification.

PM#: PM verification level 0, 1, 1+, 2, 2+, 3, or 3+ (e.g., PM3 means a level 3 PM emission control system).

N##: NOx verified reduction level in percent, if any (e.g., N25 means NOx reduction of 25 percent).

AP: Verified application that includes one of the following: On-road (ON), Off-road (OF), Stationary (ST), Marine (MA), Locomotive (LO), Transport Refrigeration Unit (TR), or Auxiliary Power System (AP).

XXXXX: Five alphanumeric character code issued by the Executive Officer.

(3) The applicant may request that the Executive Officer approve an alternative label format. In reviewing this request, the Executive Officer may consider all relevant information including, but not limited to, the informational content of an alternative label as proposed by the applicant.

(k) Additional Information. The Executive Officer may require the applicant to provide additional information about the diesel emission control strategy or its implementation when such information is needed to assess environmental impacts associated with its use.

(l) Owner's Manual. The applicant must provide a copy of the diesel emission control strategy owner's manual to the Executive Officer and, upon delivery of the diesel emission control strategy, to the end-user, which must clearly specify at least the following information:

(1) A Table of Contents located at the beginning of the owner's manual identifying the location of subsections (2) through (18) identified below.

(2) A statement alerting the end-user of their responsibility for maintaining the candidate engine such that it continues to meet the pre-installation compatibility assessment conditions identified in section 2706(t).

(3) Warranty statement including the warranty period over which the applicant is liable for any defects.

(4) Installation procedure and maintenance requirements for the diesel emission control strategy.

(5) An objective criteria for DECS ash removal (pressure drop across the filter, maximum clean filter weight, pre-installation filter weight comparison, etc.) for determination if a DECS is "cleaned" pursuant to section 2706(h)(2)(B)

(6) Possible backpressure range imposed on the engine.

(7) Fuel consumption penalty, if any.

(8) Fuel requirements including sulfur limit, if any.

(9) Handling and supply of additives, if any.

(10) Instructions for reading and resetting the backpressure monitor.

(11) Requirements for lubrication oil quality and maximum lubrication oil consumption rate.

(12) The following statements must be included verbatim in the owner's manual:

YOUR RIGHT TO MAINTENANCE INFORMATION

The Air Resources Board requires that (Applicant's name) provide detailed maintenance information for the diesel emission control system upon delivery to the end-user pursuant to section 2706(h)(2), Title 13, California Code of Regulations, at no additional cost to the owner. If you do not already have this information, contact (Applicant's chosen contact) at 1-800-xxx-xxxx.

THE IMPORTANCE OF ENGINE MAINTENANCE

Proper engine maintenance is critical for the proper functioning of your diesel emission control strategy. Failure to document proper engine maintenance, including oil consumption records, may be grounds for denial of a warranty claim for a failed component of a diesel emission control strategy.

THE IMPORTANCE OF PROPERLY MAINTAINING A DIESEL EMISSION CONTROL STRATEGY

Proper maintenance is critical for the diesel emission control strategy to function as intended. Failure to document proper diesel emission control strategy maintenance, including cleaning and/or ash removal of the system, replacement of consumables, and replacement of broken/failed parts, may be grounds for denial of a warranty claim for a failed component of a diesel emission control strategy.

(13) Contact information for replacement components and cleaning agents.

(14) Contact information to assist an end-user to determine proper ways to dispose of waste generated by the diesel emission control strategy (e.g., ash accumulated in filter-based systems). At a minimum, the owner's manual should indicate that disposal must be in accordance with all applicable Federal, State and local laws governing waste disposal.

(15) Appropriate methods of removing the diesel emission control strategy from the original installed configuration and installing the strategy on a different vehicle or piece of equipment, if such practices are allowed. The applicant must state possible repercussions to the end user if such practices are done in an inappropriate manner. (See section 2706(i)).

(16) Appropriate methods of swapping identical components in strategies that share the same diesel emission control strategy family name.

(17) Parts List. Those parts not covered by the warranty provisions of section 2707 must be specifically identified by a common description and part number.

(18) Notification of potential safety concerns associated with the operation of the diesel emission control strategy.

(m) Noise Level Control. Any diesel emission control strategy that replaces a muffler must continue to provide at a minimum the same level of exhaust noise attenuation as the muffler with which the vehicle was originally equipped by the vehicle or engine manufacturer. Applicants must ensure that the diesel emission control strategy complies with all applicable noise limits contained in Part 205, Title 40, Code of Federal Regulations and California Vehicle Code, Sections 27150, 27151 and 27200 through 27207, for the gross vehicle weight rating and year of manufacture of the vehicle for which the diesel emission control strategy is intended. All diesel emission control strategies must be in compliance with applicable local government requirements for noise control.

(n) Installation Manual. The applicant must provide a copy of the diesel emission control strategy installation manual that the applicant intends to provide to installers and/or owners. The installation manual must include sufficient detail to enable the installer to properly install the diesel emission control strategy such that the installation is free from defects in workmanship, materials, or operation which could cause any of the components of the diesel emission control strategy to fail and allow the installer to warrant the installation pursuant to section 2707(a)(2)(A).

(1) The installation manual must include the criteria that will be used by the applicant to authorize a person or company to install their verified diesel emission control strategy.

(2) The installation manual must also include the criteria that will be used by the applicant to revoke a person or company's authorization to install their diesel emission control strategy.

(o) Parts List. The applicant must include a list of all of the component parts of the diesel emission control strategy. All primary components must be listed, including, but not limited to, substrates, electronic control units, sensors, injectors, pumps, blowers, storage tanks, and notification lights. For each listed component, the applicant must give a description and identification number. The applicant must also clearly specify which parts, if any, are not covered by the warranty. Parts that may be excluded from warranty coverage are subject to approval by the Executive Officer.

(p) Multimedia Assessment for Fuel Strategies. Diesel emission control strategies which rely on fuel changes either through use of additives or through use of alternative diesel fuels must undergo an evaluation of the multimedia effects. No diesel emission control strategy that relies on the use of an additive or an alternative fuel may be verified unless a multimedia evaluation of the additive or alternative fuel has been conducted and the California Environmental Policy Council established by Public Resources Code section 71017 has determined that such use will not cause a significant adverse impact on the public health or the environment, pursuant to Health and Safety Code section 43830.8. No person shall sell, offer for sale, supply or offer for supply an alternative fuel or a diesel fuel in California that contains an additive for use in a verified diesel emission control strategy unless such a multimedia evaluation has been conducted and resulted in a determination that use of the alternative fuel or additive will not cause a significant adverse impact on the public health and the environment. The applicant shall bear the expense of conducting the multimedia assessment.

(q) Sales and Installation. No person or entity shall advertise, sell, lease, supply, offer for sale, represent, or install any device, apparatus, mechanism, or fuel based system as a verified diesel emission control strategy for or on any engine, vehicle or equipment that does not meet the terms and conditions of the strategy's Executive Order. The applicant, distributor, and/or installer must ensure that each verified diesel emission control strategy is supplied, sold, leased, and installed pursuant to the provisions of the Executive Order. Failure to follow the provisions of the Executive Order may result in revocation or suspension of the verification and/or any other remedy available under Part 5, Division 26 of the Health and Safety Code.

(r) Directionality Requirements for Diesel Emission Control Strategies.

(1) Every diesel emission control strategy must be installed as designed and specified by the manufacturer. For a diesel emission control strategy comprised of multiple exhaust aftertreatment parts, each aftertreatment part must be installed in the proper order relative to the exhaust flow.

(2) Diesel emission control strategies installed between February 19, 2009, and January 1, 2010

(A) The diesel emission control strategy must indicate the proper direction of exhaust flow so the end user or installer can clearly see how to properly install the device.

(3) Diesel emission control strategies installed on or after January 1, 2010

(A) The proper direction for exhaust to flow through the aftertreatment part of the diesel emission control strategy must be clearly indicated on the outside surface of the aftertreatment part using an arrow imprinted on or affixed to the aftertreatment part which is clearly visible and durable.

(B) The aftertreatment part must be constructed such that it can only be installed into the diesel emission control strategy in one unique direction relative to the exhaust flow and cannot be reversed.

(C) A diesel emission control strategy not meeting these requirements may be installed after January 1, 2010, provided that the diesel emission control strategy:

(i) Has a date of manufacture no later than December 31, 2009,

(ii) Complies with (r)(1) and (r)(2) above, and

(iii) Is installed no later than December 31 2011.

(D) Except for an aftertreatment part that reduces PM via a physical trapping mechanism, such as a diesel particulate filter, the applicant may request that the Executive Officer waive the requirements that an aftertreatment part indicate the flow direction and have unidirectional construction. In reviewing the request, the Executive Officer may consider all relevant information including, but not limited to, the symmetry of the aftertreatment part, potential for impaired performance as a result of different orientations relative to exhaust flow, and interaction with other parts.

(s) Verification of a diesel emission control strategy by the Air Resources Board does not release the applicant from complying with all other applicable legal requirements.

(t) Pre-Installation Compatibility Assessment. The applicant or authorized installer (i.e., the party conducting the pre-installation compatibility assessment) must be able to demonstrate, to the satisfaction of the Executive Officer, that a candidate engine being considered for retrofit is compatible with the verified diesel emission control strategy by ensuring that each candidate engine meets all the terms and conditions of the Executive Order prior to installation.

(1) Each applicant must establish specific criteria to determine the suitability of a candidate engine prior to installation and provide this information to their authorized installers. This must include but is not limited to: a smoke opacity limit, oil consumption limits, fuel inspection requirements, visual inspections, and other assessment criteria that may be used to determine that the candidate engine is appropriate for use with the diesel emission control strategy and that the candidate engine is in a proper state of maintenance and operating within the engine manufacturers specifications. Candidate engines that do not meet the suitability criteria or that have a smoke opacity measured in accordance with Society of Automotive Engineers J1667 test procedures that exceeds the limit established by the applicant must not be retrofit with the diesel emission control strategy.

(A) The applicant must select and define specific criteria (e.g., oil consumption limits, fuel inspection requirements, visual inspection requirements, ensure adherence to all the terms of the verification Executive Order, etc.) that can be used by the installer to ensure that the candidate engine is appropriate for use with the diesel emission control strategy.

(B) The applicant must select a smoke opacity limit measured in accordance with Society of Automotive Engineers J1667 (1996) test procedures that serves to prevent installation of a diesel emission control strategy on an engine that is not appropriate for use with the diesel emission control strategy.

(C) For a diesel emission control strategy that is already verified, the holder of the verification must establish and implement specific criteria, including a smoke opacity limit, which may be used to determine the suitability of a candidate engine no later than six months following the effective date of this part of the regulation.

(D) For engines that operate at a constant-speed or are otherwise designed such that they are unable to follow Society of Automotive Engineers J1667 (1996) test procedures, the applicant must propose an alternate criterion instead of a smoke opacity level to determine the suitability of a candidate engine prior to installation.

(2) For diesel emission control strategies that have exhaust gas temperature requirements for successful operation, the applicant or authorized installer (i.e., the party conducting the pre-installation compatibility assessment) must measure and record the exhaust gas temperature for each candidate engine to determine if the temperature requirements are satisfied. These measurements must represent the most challenging duty cycle (i.e., pattern of use) of the candidate engine with respect to the temperature requirements. Notwithstanding, the applicant is responsible for ensuring that the candidate engine is properly assessed. In lieu of logging data for each candidate engine, only the applicant may choose to data-log a representative number of candidate engines, provided the following requirements are met:

(A) The diesel emission control strategy is verified to reduce emissions of diesel particulate matter only,

(B) At least 5 representative engines must be data-logged from within each group of similar engines, or 10 percent of each group, whichever is larger. All engines in a group of 5 or fewer engines must be data-logged. Data from engines outside the group cannot be used to support retrofit of engines within the group. A group of engines is similar if:

1. All engines belong to the same common ownership fleet.

2. All engines have the same make and model.

3. All engines are certified to the same PM emissions standard.

4. The maximum power ratings of all engines fall within a range that does not exceed 100 horsepower. For example, all engines are rated to between 250 and 350 horsepower.

5. None of the engines have exhaust gas recirculation, or all of the engines have external exhaust gas recirculation, or all of the engines have internal exhaust gas recirculation.

6. All engines are installed in similar vehicles or equipment that perform a like function and have similar duty cycles. Examples of vehicle or equipment groups considered similar include solid waste collection vehicles, transit buses, class 8 tractors, excavators, wheel loaders, and back-up emergency generators.

(C) If the diesel emission control strategy is determined to be compatible with the candidate engine in its current application, the applicant or authorized installer (i.e., the party conducting the pre-installation compatibility assessment) must provide a written statement to the end user at the time of installation and, upon request, to the Executive Officer within 30 calendar days of the request, that includes:

1. A statement that the exhaust gas temperature profile of the candidate engine was found to satisfy the requirements of the diesel emission control strategy's Executive Order,

2. The date of this determination,

3. The name and contact information of the owner of the common ownership fleet,

4. The Executive Order number and the diesel emission control strategy family name,

5. The engine family name, engine make and model, and power rating of each candidate engine along with a unique identifier such as a vehicle identification number or an engine serial number,

6. A description of the vehicle or equipment type for each candidate engine,

7. Identification of which candidate engines were data-logged and the groups they represent,

8. Identification of the parameters used to define each group of similar engines,

9. The name of the authorized installer and the date of installation, and

10. A statement that any change in the duty cycle (i.e., pattern of use) used to measure the exhaust gas temperature profile of the candidate engine may cause the diesel emission control strategy to fail to meet the requirements of the strategy's Executive Order and information regarding how such a change will affect the performance of the strategy.

(D) In cases where representative sampling is selected, the party conducting the pre-installation compatibility assessment is still responsible for ensuring that all diesel emission control strategy installs comply with all the terms and conditions of the Executive Order.

(E) Data must be measured and recorded using a stand-alone data logging system that is independent of the diesel emission control strategy and must adhere to the following criteria:

1. The measured and recorded data must be representative of the actual duty cycle and operation of the candidate engine as best it can be anticipated at the time.

2. The exhaust gas temperature of the candidate engine must be measured at a point in the exhaust system that is within 6 inches of the proposed location of the inlet of the diesel emission control strategy.

3. The recorded exhaust gas temperature must have an accuracy of at least ±4 degrees Celsius. The temperature sensor must have a range sufficient to accommodate the highest exhaust gas temperature measured plus 10 percent without exceeding the sensor's full scale rating while ensuring that 90 percent of the measured values fall between 10 and 90 percent of the sensor's full scale rating.

4. The exhaust gas temperature of the candidate engine must be measured and recorded for a period that is long enough to determine the exhaust gas temperature profile associated with the candidate engine's duty cycle, but not less than 24 hours of representative, actual engine run time, unless the candidate engine is an Emergency Standby Engine permitted under the authority of a California Air District, as defined in section 39025 of the Health and Safety Code. Emergency standby engines with restricted use requirements may propose a period of less than 24 hours at the Executive Officer's discretion. The data logging strategy must include a means to accurately determine when the engine is actually running. This may include use of a data logging system that starts automatically when the engine starts and stops automatically when the engine stops, or a means to identify and remove data that correspond to the engine being off such as by simultaneously logging data from an engine RPM sensor or applying a temperature threshold that corresponds to a temperature just below the idle temperature of the engine.

5. The memory of the data logging system must be of sufficient size to ensure that data are not overwritten prior to retrieval.

6. All data must be recorded at a frequency of at least once every 5 seconds (0.2 Hertz)

7. At a minimum, the following parameters must be measured and recorded:

a. Exhaust gas temperature in degrees Celsius

b. Time and date for each data point

c. Other parameters deemed necessary by the Executive Officer to meet the terms and conditions of the Executive Order.

(3) At the Executive Officer's request, the applicant must submit all data used to determine the suitability of a candidate engine with a verified diesel emission control strategy. All logged data must be submitted electronically in Microsoft Excel or Microsoft Access or another format approved by the Executive Officer. The party conducting the pre-installation compatibility assessment must keep a record of the data used to determine the suitability of the candidate engine for the duration of the warranty period of the diesel emission control strategy and make the data available to the applicant and the Executive Officer upon request. These data must include all logged data, the date of the determination, the name and contact information of the end user, the date of installation, the name and contact information of the installer, the Executive Order number, the diesel emission control strategy family name, and clearly identify the candidate engine and vehicle or equipment using a unique identifier such as a vehicle identification number and an engine serial number along with the engine family name.

(4) Prior to installation of a diesel emission control strategy, the applicant or authorized installer (i.e., the party performing the installation of the diesel emission control strategy) must conduct a basic assessment of each candidate engine to ensure that it is appropriate for use with the diesel emission control strategy using the applicant criteria identified in section 2706(t)(1). The assessment must be performed no more than 15 days prior to installation. The party performing the installation of the diesel emission control strategy must maintain a record of all documentation used to make the determination that the candidate engine was appropriate for use with the diesel emission control strategy. All such records maintained by the party performing the installation of the diesel emission control strategy must be made available to the Executive Officer within thirty days upon written request.

(u) Requirements for Installers of Diesel Emissions Control Strategies

(1) Any party that installs a diesel emission control strategy must be authorized and trained by the party that holds the verification for the diesel emission control strategy.

(2) Any party that installs a diesel emission control strategy must comply with the pre-installation assessment requirements in section 2706(t).

(3) All installations must strictly adhere to the requirements of the party that holds the verification for the diesel emissions control strategy and must not relocate the original equipment manufacturers exhaust system:

(A) Over any occupied space (e.g., driver or passenger compartments); or

(B) That would result in any noncompliance with any applicable safety standards such as but not limited to Federal Motor Carrier Safety Administration, Subpart G, Miscellaneous parts and accessories, section 393.83 Exhaust systems; or

(C) Any other location deemed unacceptable by the applicant.

(4) Any party that installs a diesel emission control strategy must offer a warranty pursuant to section 2707(a)(2).

(v) Training Requirements. The applicant is responsible for developing training to ensure end-users can safely operate and maintain their diesel emission control strategy. This training must include, at a minimum: a review of the pre-installation compatibility assessment criteria results, the effects of engine maintenance on the strategy's performance, identification of all warning and/or fault alarms and appropriate end-user responses, and cleaning and maintenance information for the strategy. The applicant or their authorized installer is responsible for ensuring that this training is presented to the end-user before the vehicle, equipment, or engine is put back into service following the installation of the strategy and must be available to the end-user on an on-going basis (e.g., online training materials).

(w) Safety Considerations. The applicant must give consideration to safety and catastrophic failure in the design of the diesel emission control strategy. The Executive Officer addresses safety as follows:

(1) The applicant must provide an analysis of all potential safety and catastrophic failure issues associated with the use of the diesel emission control strategy including an analysis of all potential failure modes. This analysis must include, but is not limited to, the effects of: uncontrolled regeneration, improper maintenance, unfavorable operating conditions, use of inappropriate fuel, high exhaust temperatures, substrate failure, and sensor failures. For any potential safety or catastrophic failure issues identified, the applicant must provide a detailed description of the safety risk mitigation strategies that it employs.

(2) The Executive Officer may require additional safety testing and design modifications to the diesel emission control strategy both before and after verification of the diesel emission control strategy. In making these determinations, the Executive Officer may consider all relevant information including, but not limited to, the safety and catastrophic failure analysis provided by the applicant, system design, properties of the materials used by the diesel emission control strategy, field experience, and warranty report data. The Executive Officer may require that safety testing be conducted by an independent test facility that has appropriate safety testing experience.

(3) If the Executive Officer determines that an applicant has not made a satisfactory demonstration of the safety of its diesel emission control strategy, the Executive Officer may deny the applicant's request for verification or revoke an existing verification.

(x) Technical service bulletins, pre-installation compatibility assessment criteria, other service related information, or any other documentation that effects the proper operation and maintenance of the diesel emission control strategy provided to end-users, authorized installers, or distributors must be submitted concurrently to ARB. Submission of such information does not relieve applicants from the design modification requirements of section 2702(j) nor does it constitute ARB approval.

Cal. Code Regs. Tit. 13, § 2706

1. New section filed 5-12-2003; operative 6-11-2003 (Register 2003, No. 20).
2. Amendment of subsections (a)(1) and (a)(3), redesignation of portion of subsection (b)(2) as new subsection (b)(2)(A) and new subsections (b)(2)(B)-(b)(2)(B)2. filed 12-2-2004; operative 1-1-2005 (Register 2004, No. 49).
3. Amendment of subsections (a)(1) and (a)(3), new subsections (a)(4)-(a)(5), subsection renumbering, amendment of subsection (g)(2) and new subsection (l) filed 2-9-2007; operative 2-9-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 6).
4. Amendment filed 1-20-2009; operative 2-19-2009 (Register 2009, No. 4).
5. Amendment of section and NOTE filed 1-18-2011; operative 2-17-2011 (Register 2011, No. 3).
6. Amendment of section and NOTE filed 8-15-2013; operative 10-1-2013 (Register 2013, No. 33).

Note: Authority cited: Sections 39002, 39003, 39500, 39600, 39601, 39650- 39675, 40000, 43000, 43000.5, 43011, 43013, 43018, 43105, 43600, 43700 and 43830.8, Health and Safety Code. Reference: Sections 39650- 39675, 43000, 43009.5, 43013, 43018, 43101, 43104, 43105, 43106, 43107 and 43204- 43205.5, Health and Safety Code; and Title 17 California Code of Regulations Section 93000.

1. New section filed 5-12-2003; operative 6-11-2003 (Register 2003, No. 20).
2. Amendment of subsections (a)(1) and (a)(3), redesignation of portion of subsection (b)(2) as new subsection (b)(2)(A) and new subsections (b)(2)(B)-(b)(2)(B)2. filed 12-2-2004; operative 1-1-2005 (Register 2004, No. 49).
3. Amendment of subsections (a)(1) and (a)(3), new subsections (a)(4)-(a)(5), subsection renumbering, amendment of subsection (g)(2) and new subsection (l) filed 2-9-2007; operative 2-9-2007 pursuant to Government Code section 11343.4 (Register 2007, No. 6).
4. Amendment filed 1-20-2009; operative 2-19-2009 (Register 2009, No. 4).
5. Amendment of section and Note filed 1-18-2011; operative 2-17-2011 (Register 2011, No. 3).
6. Amendment of section and Note filed 8-15-2013; operative 10-1-2013 (Register 2013, No. 33).