Current through Register 2024 Notice Reg. No. 38, September 20, 2024
(a) The applicant must demonstrate, to the
satisfaction of the Executive Officer, the durability of the applicant's diesel
emission control strategy through an actual field or laboratory-based
demonstration combined with chassis or engine dynamometer-based emission tests.
(1) A laboratory-based durability
demonstration is not acceptable as the primary durability data used to support
verification with an emission control group that includes on-road, off-road, or
APU applications. The applicant may request that the Executive Officer consider
a laboratory-based durability demonstration as secondary supporting data. In
evaluating such a request, the Executive Officer may consider all relevant
information including, but not limited to, the degree to which the proposed
laboratory-based demonstration simulates real-world conditions and subjects the
diesel emission control strategy to operating conditions that are either
favorable or unfavorable for proper operation based on its design.
(2) If the applicant chooses a
laboratory-based durability demonstration, an additional field demonstration
will be required to demonstrate in-field compatibility (pursuant to section
2705).
(3) If the applicant has demonstrated the
durability of the identical strategy in a prior verification or has
demonstrated durability through field experience, the applicant may request
that the Executive Officer accept the previous demonstration in fulfillment of
this requirement. In evaluating such a request, the Executive Officer may
consider all relevant information including, but not limited to, the similarity
of baseline emissions and application duty cycles, the relationship between the
emission control group used in previous testing and the current emission
control group, the number of engines tested, evidence of successful operation
and user acceptance, and published reports.
(b) Demonstrating Durability on an Emission
Control Group Basis.
(1) If the Executive
Officer determines that the applicant has requested more than one emission
control group, the applicant must propose a test plan that includes one or more
durability test engines and applications that are representative of the least
favorable conditions (e.g., PM levels, NOx-to-PM ratios, engine size) within
the requested emission control groups for the diesel emission control strategy
to demonstrate compliance with the requirements of the Procedure.
(2) The applicant must select an appropriate
test engine and application based on the proposed emission control group.
Attributes of the emission control group which determine an appropriate test
engine and application include, but are not limited to:
(A) Certification category (e.g., on-road or
off-road)
(B) Certified emission
levels (e.g., PM levels, NOx-to-PM ratios)
(C) Certified aftertreatment (e.g., diesel
oxidation catalyst, diesel particulate filter)
(D) Exhaust gas recirculation (e.g., none,
internal or external)
(E) Engine
size (e.g., displacement, rated horsepower, exhaust flow rate)
(F) Exhaust temperature profile
(G) Vehicle or equipment usage
(H) Vehicle or equipment type (e.g.,
rubber-tired or crawler)
(c) Engine Selection and Sizing.
(1) Subject to the approval of the Executive
Officer, the applicant may choose the engine and application to be used in the
durability demonstration. The engine and application must be representative of
the emission control group for which verification is sought. The applicant must
identify the test engine and vehicle, if applicable, by providing the engine
family name, make, model, model year, PM and NOx certification levels if
applicable, and vehicle identification number. The applicant must also describe
the applications for which the diesel emission control strategy is intended to
be used by giving examples of in-use vehicles or equipment, characterizing
typical duty cycles, indicating any fuel requirements, and/or providing other
application-related information.
(2) The selected engine need not be the same
as the engine used for emission testing, but if the applicant does use the same
engine, the emission testing may also be used for the initial durability
tests.
(3) Emissions of
NO2 from the emissions test engine must not exceed 15
percent of the total baseline NOx emissions by mass. If there is a special
category of engines with NO2 emission levels that
normally exceed 15 percent, this requirement may be adjusted for those engines
at the discretion of the Executive Officer.
(4) The diesel emission control strategy must
be appropriately sized for the durability test engine(s) and vehicle(s) based
on the sizing information provided in the application and must be approved by
the Executive Officer. If the sizing methodology or the test unit and engine
combination indicated in the test plan approval letter changes during testing
or during the application review process, the application will be re-evaluated
and a new test plan approval letter, which may include additional testing, must
be issued by ARB before any further testing commences. Any testing conducted
prior to the sizing change may be rejected at the Executive Officer's
discretion.
(5) If a diesel
emission control strategy includes both single and multiple filter designs, the
sizing of both designs is subject to the requirements and conditions in section
2703(c)(1). Both
single and multiple configurations require complete emissions and durability
testing (see section
2704) unless:
(A) The multiple-filter design has only one
filter per exhaust manifold,
(B)
The multiple filter design involves multiple filters housed within one can.
Additional testing requirements for this configuration are at the discretion of
the Executive Officer.
(C) The
applicant demonstrates to the satisfaction of the Executive Officer that full
testing of one configuration is worst case and therefore sufficient to support
verification of the other configuration.
(d) Test Fuel.
(1) The test fuel must meet the
specifications in the California Code of Regulations (sections
of Title
132280 through
2283 of Title 13), with the
exception of the sulfur content or other properties previously identified by
the applicant and approved by the Executive Officer. The Executive Officer may
approve test fuel(s) that do not comply with sections
of Title
132280 through
2283 of Title 13 of the California
Code of Regulations if the fuel(s) are determined to be, based on sound science
and engineering, representative of commercially available fuel typically used
for the intended application(s).
(2) If operation or performance of a diesel
emission control strategy is affected by fuel sulfur content, the sulfur
content of the test fuel must be no less than 66 percent of the stated maximum
sulfur content for the diesel emission control strategy, unless
(A) the testing is performed with fuel
containing 15 ppmw or less sulfur for verification on 15 ppmw or less sulfur
diesel fuel, or
(B) the testing is
performed with diesel fuel commercially available in California for
verification on CARB diesel fuel (i.e., fuel meeting the specifications in
Title 13, California Code of Regulations, sections
2280 through
2283).
(3) Baseline testing may be conducted with
commercially available diesel fuel or diesel fuel with 15 ppmw or less sulfur.
Baseline and control tests must be performed using the same fuel unless the
control fuel is specified as a component of the emission control
strategy.
(4) The test fuel (or
batch of fuel purchased) must be analyzed using American Society for Testing
and Materials (ASTM) test methods listed in Table 6 (See section
2710), which are incorporated
herein by reference. At a minimum, sulfur content, aromatic content, polycyclic
aromatic hydrocarbons, nitrogen content, and cetane number must be reported.
The Executive Officer may ask for additional properties to be reported if
evidence suggests those properties may affect functioning of the diesel
emission control strategy.
(e) Service Accumulation. The durability
demonstration consists of an extended service accumulation period in which the
diesel emission control strategy is implemented in the field or in a laboratory
accepted by the Executive Officer, with emission reduction testing before and
after the service accumulation. Service accumulation begins after the first
emission test and concludes before the final emission test. The
pre-conditioning period required in section
2703(c) cannot be
used to meet the service accumulation requirements.
(1) Minimum Durability Demonstration Periods.
The minimum durability demonstration periods are shown in Table 3, below.
Table 3. Minimum Durability Demonstration
Periods
| Engine
Type | Minimum Durability Demonstration
Period |
| On-Road | 50,000 miles or |
|
| 1000 hours |
| Off-Road (including portable engines) | 1000
hours |
| Stationary, Marine, TRUs, and APUs |
|
| Stationary |
|
| Emergency | 500 hours |
| Locomotives | 3000 hours |
(2)
Temperature and Backpressure Measurement Requirements. For strategies that
include exhaust aftertreatment, engine backpressure, exhaust temperature, and
engine speed must be measured and recorded for 1000 hours or over the entire
durability period (whichever is shorter). The applicant must propose a
measurement and recording protocol for approval by the Executive Officer. The
protocol may include, but is not limited to, measurement and recording of
values once every few seconds, or higher frequency measurement with recording
of averages, minima, and maxima over longer time intervals. The data must
include an accurate date and time stamp that corresponds with periods of actual
engine operation. Data must be submitted electronically in columns as a
spreadsheet or text file or another format approved by the Executive Officer.
Failure to submit in an approved format will terminate the application
process.
(3) NOx Emissions
Measurement Requirements. For strategies that include exhaust aftertreatment to
reduce emissions of NOx, the mass emissions of NOx both upstream and downstream
of the aftertreatment device must be measured and recorded for at least the
first and last 100 hours of the durability period. The applicant must propose a
measurement method for approval by the Executive Officer. The method may
include, but is not limited to, the use of NOx sensors before and after the
device. Measurements of NOx emissions must occur on at least a 1 Hertz basis.
Data must be recorded as averages over time intervals no greater than 10
seconds. The data must include an accurate date and time stamp that corresponds
with periods of actual engine operation. Data must be submitted electronically
in columns as a text file or another format approved by the Executive
Officer.
(4) Electronic System
Codes. Error codes, fault codes, and high backpressure codes, as defined in the
applicant's test plan approval letter, that are generated by a diesel emission
control strategy's electronic control system and/or operational monitoring
system during the durability demonstration must be submitted with the date and
time each code occurs.
(5) Fuel for
Durability Demonstrations. The fuel used during durability demonstrations
should be equivalent to the test fuel, or a fuel with properties less favorable
to the durability of the emission control strategy. Durability demonstrations
may, at the applicant's option and with the Executive Officer's approval,
include intentional misfueling events so that data on the effects of misfueling
may be obtained.
(6) Industrial
Safety Requirements. The installation of a diesel emission control strategy on
an off-road vehicle or piece of equipment used for a durability demonstration
within California must conform to all applicable industrial safety regulations
(California Code of Regulations, Title 8, Division 1, Chapter 4). If all
off-road durability demonstrations are conducted outside of California, at
least one must conform to these regulations.
(7) Photographic Documentation. For each
durability demonstration, the applicant must submit digital photographs in
electronic format of the following:
(A) The
vehicle or piece of equipment before installation of the diesel emission
control strategy. Photographs must show:
1.
The entire vehicle or piece of equipment.
2. A close-up of the location in which the
diesel emission control strategy will be installed.
3. All available vehicle or equipment
identification including the make, model, license plate, and vehicle
number.
4. All available engine
identification including the make, model, and engine label.
(B) The vehicle or piece of equipment after
installation of the diesel emission control strategy. Photographs must show:
1. The entire vehicle or piece of equipment
showing the diesel emission control strategy installed, if possible.
2. A close-up of the installed diesel
emission control strategy.
3. All
available diesel emission control strategy identification including labels and
logos.
(C) For a
filter-based diesel emission control strategy, the outlet face of the filter
after completing the durability demonstration.
(f) Third-Party Statement for In-field
Durability Demonstrations. For in-field durability demonstrations, the
applicant must provide a written statement from an Executive Officer approved
third party, such as the owner or operator of the vehicle or equipment used, at
the end of the durability period. The statement must describe overall
performance, maintenance required, problems encountered, and any other relevant
comments. The results of a visual inspection conducted by the third party at
the end of the demonstration period must also be described. The description
should comment on whether the diesel emission control strategy is physically
intact, securely mounted, leaking any fluids, and should include any other
evaluative observations. The third party statement must clearly identify the
demonstration engine and vehicle or equipment using a unique identifier such as
a vehicle identification number and engine serial number along with the engine
family name, and must provide the name and contact information of the third
party.
(g) Test Cycle. Testing
requirements are summarized in Table 4. Note that the same cycle(s) must be
used for both the initial and final tests.
(1)
On-Road Applications. The applicant must perform either chassis or engine
dynamometer-based testing before beginning and after completion of the service
accumulation as specified in Table 4. A minimum of three hot-start tests are
required for chassis testing while a minimum of one cold-start and three
hot-start tests are required for engine testing. Chassis testing requires an
additional three hot-starts on a low-speed cycle as described in Section
2703(e)(1)(B)2.
As indicated in Section
2703(e)(1)(B)2.,
the applicant may request the Executive Officer to waive the tests on a
low-speed cycle. If a field durability demonstration is selected, the applicant
must perform chassis dynamometer testing, or request that the Executive Officer
consider engine dynamometer testing. In reviewing the request, the Executive
Officer may consider all relevant information, including, but not limited to
the following:
(A) Similarity of the field
vehicle's engine to the laboratory engine, and
(B) Similarity of the diesel emission control
system's calibration and set-up when installed on the field vehicle to that
when installed on the laboratory engine.
(2) Off-road and Stationary Applications
(including marine, locomotives, transport refrigeration units and auxiliary
power units). The applicant must use the same cycle for the emission reduction
testing as defined in Section
2703. A minimum of three hot-start
tests is required. If an applicant obtained a conditional verification prior to
December 31, 2008, the applicant may fulfill the emission test requirements for
full verification using the same discrete mode test cycle that was used to
support the conditional verification.
(h) Test Run. The requirements for emissions
reduction testing are summarized in Table 4, below. Note that special
pre-conditioning requirements may apply. See section
2706(a)(4) for
details.
(1) The diesel emission control
strategy must undergo one set of emission tests before beginning and after
completion of the service accumulation. Baseline testing with test repetitions
as indicated in Table 4 must be conducted before and after the service
accumulation. If baseline testing after the service accumulation is not
technically feasible, the applicant may request the Executive Officer to waive
the requirement. If there are substantial test data from previous field studies
or field demonstrations, applicants may request that the Executive Officer
consider these in place of the initial emission tests.
(2) As an alternative to testing a single
unit before and after the service accumulation period, the applicant may
request that the Executive Officer consider the testing of two identical units,
one that has been pre-conditioned and another that has completed the service
accumulation period. In reviewing the request, the Executive Officer may
consider all relevant information, including, but not limited to, the
following:
(A) The effect of the diesel
emission control strategy on engine operation over time. Strategies that cause
changes in engine operation are likely not to qualify for this testing
option.
(B) The quality of the
evidence the applicant can provide to support that the two units are
identical,
(C) Previous experience
with similar or related technologies, and
(D) Whether the applicant is participating in
the U.S. EPA verification process and has made an agreement with U.S. EPA to
test two units.
(3) For
strategies that include exhaust aftertreatment, engine backpressure and exhaust
temperature must be measured and recorded on a second-by-second basis (1 Hertz)
during at least one baseline run and each of the control test runs.
(4) For strategies that use a chemical
reductant to reduce emissions of NOx from on-road or off-road applications, the
amount of reductant consumed during each control test run must be measured and
recorded.
Table 4. Emission Tests Required for Durability
Demonstrations
| Application | Test
Type | Initial Test (prior to service accumulation)
Final Test (after completion of 100% of the service accumulation) |
| Engine | FTP Heavy-duty Transient Cycle
(1 cold and 3 hot-starts) |
| On-Road | Chassis | UDDS (3 hot-starts) and
a low-speed cycle per 2703 (e)(1)(B)2. (3 hot-starts) |
| Application | Test
Type | Initial Test (prior to service accumulation)
Final Test (after completion of 100% of the service accumulation) |
| Off-Road and portable
engines | Engine | NRTC, or if appropriate, a discrete mode test
cycle as required in Section
2703(e)(2) (3
hot-starts) |
| Stationary (including APUs and
TRUs) | Engine | Steady-state test cycle from ARB off-road
regulations or another test cycle approved by the Executive Officer (3
hot-starts) |
| Marine | Engine | Discrete mode test cycles
identified in the ISO 8178 test procedure, Part 4, August 15, 1996, Section
8.5, Test Cycles type E "Marine applications" (3 hot-starts) |
| Locomotive | Engine | 40 CFR Part 92
(Subpart B) or 40 CFR Part 1033 (Subpart F) (7-1-09 Edition) |
(i) Maintenance During Durability
Demonstration. Except for emergency engine repair, only scheduled maintenance
on the engine and diesel emission control strategy and re-fill of additives (if
any) may be performed during the durability demonstration. If normal
maintenance includes replacement of any component of the diesel emission
control strategy, the time (miles, years, or hours) between component change or
refill must be reported with the results of the demonstration.
(j) Functional Testing of Monitoring and
Notification Systems. The applicant must demonstrate the durability of all
monitoring and notification systems employed by the diesel emission control
strategy. Such systems include, but are not limited to, backpressure monitors,
reductant level monitors, malfunction indicator systems, and mechanisms to
de-rate an engine's maximum power output. The applicant must propose test
procedures to demonstrate the durability of the monitoring and notification
systems on a diesel emission control strategy that has completed the service
accumulation period.
(k)
Performance Requirements. The diesel emission control strategy must meet the
following requirements throughout the durability demonstration period:
(1) If the applicant claims a percent
emission reduction, the percent emission reduction must meet or exceed the
initial verified percent emission reduction level.
(2) If the applicant claims to achieve 0.01
g/bhp-hr for PM, the PM emission level must not exceed 0.01 g/bhp-hr.
(3) The diesel emission control strategy must
maintain its physical integrity. Its physical structure and all of its
components not specified for regular replacement during the durability
demonstration period must remain intact and fully functional.
(4) The diesel emission control strategy must
not cause any damage to the engine, vehicle, or equipment.
(5) The backpressure caused by the diesel
emission control strategy should not exceed the engine manufacturer's specified
limits, or must not result in any damage to the engine.
(6) No maintenance of the diesel emission
control strategy beyond that specified in its owner's manual will be allowed
without prior Executive Officer approval.
(l) Conditional Verification for Off-road and
Stationary Applications. If the Executive Officer determines that the diesel
emission control strategy is technologically sound and appropriate for the
intended application, he may grant a conditional verification for off-road and
stationary applications upon completion of 33 percent of the minimum durability
period. In making this determination, the Executive Officer may consider all
relevant information including, but not limited to, the following: the design
of the diesel emission control strategy, filter and catalyst substrates used,
similarity of the strategy under consideration to verified strategies, the
intended application of the diesel emission control strategy, other relevant
testing data, and field experience. Where conditional verification is granted,
full verification must be obtained by completing the durability testing and all
other remaining requirements. For stationary, marine, RTG crane, and TRU
applications, these requirements must be completed within a year after
receiving conditional verification. For off-road applications, the requirements
must be completed within two years after receiving conditional verification.
For the aforementioned time periods, conditional verification is equivalent to
verification for the purposes of satisfying the requirements of in-use emission
control regulations except as otherwise provided in section
2709. For all applications,
failure to complete the requirements within the specified time may result in
revocation of the conditional verification and the recall provisions of section
2709 of this Procedure. Strategies
that include the use of alternative diesel fuels or fuel additives are not
eligible for conditional verification.
(m) Failure During the Durability
Demonstration Period. If the diesel emission control strategy fails to maintain
its initial verified percent emission reduction or emission level for any
reason, the Executive Officer may downgrade the strategy to the verification
level which corresponds to the lowest degraded performance observed in the
durability demonstration period. If the diesel emission control strategy fails
to maintain at least a 25 percent PM reduction or 25 percent NOx reduction at
any time during the durability period, the diesel emission control strategy
will not be verified. If the diesel emission control strategy fails, requires
repair or maintenance, suffers any type of component failure, or the
demonstration is aborted at any point in the course of the durability
demonstration period, the applicant must submit a report explaining the
circumstances within 45 days of the occurrence. The Executive Officer may then
determine whether to deny verification or allow the applicant to correct the
failed diesel emission control strategy and either continue the durability
demonstration or begin a new durability demonstration.
1. New section
filed 5-12-2003; operative 6-11-2003 (Register 2003, No. 20).
2.
Amendment of subsection (d)(1), redesignation of portions of subsection (g) as
new subsections (g)(1) and (g)(3) and new subsections (g)(2)-(g)(2)(D) filed
12-2-2004; operative 1-1-2005 (Register 2004, No. 49).
3. Amendment
of subsections (b) and (g) filed 2-9-2007; operative 2-9-2007 pursuant to
Government Code section
11343.4
(Register 2007, No. 6).
4. Amendment of subsections (c)(1) and
(d)-(d)(1), new subsections (d)(2)-(3), subsection renumbering, amendment of
subsection (g)(1), new subsections (g)(4) and (j), subsection relettering and
amendment of newly designated subsections (l) and (m) filed 1-20-2009;
operative 2-19-2009 (Register 2009, No. 4).
5. Change without
regulatory effect relettering former subsections (j)-(m) to subsections (i)-(l)
filed 6-29-2009 pursuant to section
100, title 1, California Code of
Regulations (Register 2009, No. 27).
6. Amendment of subsection (a),
Table 3 within subsection (d)(1) and subsections (d)(2)-(3), new subsections
(d)(5)-(d)(6)(C), amendment of subsections (e) and (f)(2), Table 4 within
subsection (g)(4) and subsections (j)(3) and (j)(6)-(l) and amendment of NOTE
filed 1-18-2011; operative 2-17-2011 (Register 2011, No. 3).
7.
Amendment 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
and
43700,
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.
