California Code of Regulations
Title 13 - Motor Vehicles
Division 3 - Air Resources Board
Chapter 15 - Additional Off-Road Vehicles and Engines Pollution Control Requirements
Article 3 - Verification Procedure, Warranty, and in-Use Compliance Requirements for Retrofits to Control Emissions from Off-Road Large Spark-Ignition Engines
Section 2782 - Application Process

Universal Citation: 13 CA Code of Regs 2782

Current through Register 2024 Notice Reg. No. 38, September 20, 2024

(a) Overview. Before submitting a formal application for the verification of an LSI retrofit emission control system for use with an emission control group, the applicant must submit a letter of intent with a proposed verification plan to CARB (pursuant to Section 2782(b)). To obtain verification, the applicant must conduct emissions reduction testing (pursuant to Section 2783), a durability demonstration with testing (pursuant to Section 2784), and a field demonstration (pursuant to Section 2785), and must submit the results along with comments and other information (pursuant to Sections 2786 and 2787) in an application to the Executive Officer, in the format shown in Section 2782(d). If the Executive Officer grants a verification of an LSI retrofit emission control system, he or she will issue an Executive Order to the applicant identifying the verified emission reduction and any conditions that must be met for the LSI retrofit emission control system to function properly. After the Executive Officer grants verification of an LSI retrofit emission control system, the applicant must provide a warranty, conduct in-use compliance testing of the system after having sold or leased a specified number of units, and report the results to the Executive Officer (pursuant to Section 2789). An LSI retrofit emission control system that employs two or more individual sub-systems or components must be tested and submitted for evaluation as one system.

(b) Proposed Verification Plan. Before formally submitting an application for the verification of an LSI retrofit emission control system, the applicant must submit a proposed verification plan to CARB. The proposed verification plan should outline the applicant's plans for meeting the testing and other requirements. The Executive Officer shall use the information in the proposed plan to help determine the need for additional analyses and the appropriateness of allowing alternatives to the prescribed requirements and in determining whether the control strategy relies on sound principles of science and engineering. The proposed plan should include the following information:

(1) Identification of the contact persons, phone numbers, names and addresses of the responsible party proposing to submit an application.

(2) Description of the LSI retrofit emission control system and principles of operation. A schematic depicting operation should be included as appropriate. It is the responsibility of the applicant to demonstrate that the product relies on sound principles of science and engineering to achieve emission reductions. The description of the LSI retrofit emission control system must include, at a minimum, the information described in section 2782(d), items 2 and 3.

(A) If, after reviewing the description of the LSI retrofit emission control system, the Executive Officer determines that the applicant has not made a satisfactory demonstration that its product relies on sound principles of science and engineering to achieve emissions reductions, the Executive Officer shall notify the applicant of the determination in writing. The applicant may choose to withdraw from the verification process or submit additional materials and clarifications. The additional submittal must be received by the Executive Officer no later than 60 days from the date of the notification letter or the Executive Officer may suspend reviewing the proposed verification plan.

(B) If, after reviewing the additional submittal, the Executive Officer determines that the applicant has not yet made a satisfactory demonstration that its product relies on sound principles of science and engineering to achieve emission reductions, the review shall be suspended. If the Executive Officer has suspended reviewing the proposed verification plan, it may only be reactivated at the discretion of the Executive Officer.

(C) If at any time, the Executive Officer has reason to doubt the scientific or engineering soundness of a product, the Executive Officer may require the applicant to submit additional supporting materials and clarifications no later than 60 days from the date of the notification letter. If the additional submittal is not received by the Executive Officer by the deadline established in the notification letter, the review of the proposed verification plan may be suspended. In deciding whether to suspend reviewing the proposed verification plan the Executive Officer will review submittals as provided in subsection (B) above.

(3) Preliminary parameters for defining emission control groups that are appropriate for the LSI retrofit emission control system. The Executive Officer will work with the applicant to determine appropriate emission control group parameters.

(4) The applicant's plan for meeting the requirements of Sections 2783-2786. Existing test data may be submitted for the Executive Officer's consideration. The proposed verification plan must focus on verification of the LSI retrofit emission control system for use with a single emission control group.

(5) A brief statement that the applicant agrees to provide a warranty pursuant to the requirements of Section 2787.

(c) Executive Officer Review. After an applicant submits a proposed verification plan, the Executive Officer shall determine whether the applicant has identified an appropriate testing procedure to support an application for verification and notify the applicant in writing that it may submit an application for verification. The Executive Officer may suggest modifications to the proposed verification plan to facilitate verification of the LSI retrofit emission control system. All applications, correspondence, and reports must be submitted to:

CALIFORNIA AIR RESOURCES BOARD

4001 IOWA AVENUE

RIVERSIDE, CA 92507

(d) Application Format. The application for verification of an LSI retrofit emission control system must follow the format shown below. If a section asks for information that is not applicable to the LSI retrofit emission control system, the applicant must indicate "not applicable." If the Executive Officer concurs with the applicant's judgment that a section is not applicable, the Executive Officer may waive the requirement to provide the information requested in that section.

1. Identification

1.1 Identification of applicant, manufacturer, and product

1.2 Identification of contact names for engineering or technical information of product or system

1.3 Identification and description of the emission control group (see 2781(a)(7) and 2783(a))

1.4 Identification of level of verification being sought

1.4.1 Emissions reduction claim

2. LSI Retrofit Emission Control System Information

2.1 General description of the LSI retrofit emission control system

2.1.1 Discussion of principles of operation and system design

2.1.2 Schematics depicting operation (as appropriate)

2.2 Favorable operating conditions

2.3 Unfavorable operating conditions (e.g., inappropriate duty cycle or application, geographical limitations, etc.) and associated reductions in performance

2.4 Fuel and lubrication oil requirements (e.g., fuel specifications) and misfueling considerations (see 2783(d)(2), 2784(c2), 2786(a) and (e).

2.5 Identification of failure modes and associated consequences

2.6 Discussion of potential safety issues (e.g., lack of proper maintenance, unfavorable operating conditions, etc.)

2.7 Installation requirements

2.8 Maintenance requirements

3. LSI Retrofit Emission Control System and Emission Control Group Compatibility

3.1 Compatibility with the engine

3.1.1 Discussion on calibrations and design features that may vary from engine to engine

3.1.2 Effect on overall engine performance

3.1.3 Effect on fuel consumption

3.1.4 Engine oil consumption considerations

3.2 Compatibility with the equipment/application

3.2.1 Dependence of calibration and other design features on application characteristics

3.2.2 Comparison of field data with operating conditions of equipment applications suitable for the LSI retrofit emission control group.

4. Testing Information

4.1 Emission testing requirements

4.1.1 Test facility identification

4.1.2 Description of engine and equipment (make, model year, engine family name, etc.)

4.1.3 Test procedure description (-pre-conditioning period, test cycle, etc.)

4.1.4 Test fuel and lubrication oil (see 2783(d)

4.1.5 Test results and comments electronically submitted in comma-delimited columns in spreadsheet or text files

4.2 Durability Demonstration requirements

4.2.1 Test facility identification

4.2.2 Description of field application (where applicable)

4.2.3 Description of engine and equipment (make, model year, engine family name, etc.)

4.2.4 Test procedure description (field or bench, test cycle, etc.)

4.2.5 Test fuel and lubrication oil (see 2784(c))

4.2.6 Test results and comments electronically submitted in comma-delimited columns in spreadsheet or text files

4.2.7 Summary of evaluative comments from third-party for in-field durability demonstration (e.g., driver or fleet operator)

4.3 Field Demonstration requirements (where applicable)

4.3.1 Field application identification

4.3.2 Description of engine and equipment (make, model year, engine family name, etc.)

4.3.3 Summary of evaluative comments on retrofit compatibility of the LSI retrofit emission control system with the equipment from third-party (e.g., driver or fleet operator)

4.4 Alternative In-Use Compliance Test Procedure (where applicable)

4.4.1 Description of the proposed alternative in-use test procedure

4.4.2 Description of test equipment, including measurement accuracy and precision

4.4.3 Description of advantages and limitations of the proposed alternative in-use test procedure

4.4.4 Description of the emission correlation of the proposed alternative in-use test procedure with emission results from engine dynamometer test conducted for verification of the LSI retrofit emission control system

4.4.5 Test results and comments

5. References

6. Appendices

6.1 Laboratory test report information (for all tests)

6.1.1 Actual laboratory test data

6.1.2 Quality assurance and quality control information

6.2 Third-party letters or questionnaires describing in-field performance

6.3 LSI retrofit emission control system label

6.4 Owner's manual (as described in Section 2786(e))

6.5 Other supporting documentation

(e) Within 30 days of receipt of the application, the Executive Officer shall notify the applicant whether the application is complete.

(f) Within 60 days after an application has been deemed complete, the Executive Officer shall determine whether the LSI retrofit emission control system merits verification and shall classify it as shown in Table 1. The applicant and the Executive Officer may mutually agree to a longer time period for reaching a decision, and the applicant may submit additional supporting documentation before a decision has been reached. The Executive Officer shall notify the applicant of the decision in writing and specify the classification level and the percentage reduction or absolute emissions and identify any terms and conditions that are necessary to support the verification.

Table 1. LSI Engine Retrofit System Verification Levels

*Classification*	*Percentage Reduction (HC+NOx)*	*Absolute Emissions (HC+NOx)*
LSI Level 1(1)	> 25%(2)	Not Applicable
LSI Level 2(1)	> 75%(3)	3.0 g/bhp-hr(3)
LSI Level 3a(1)	> 85%(4)	0.5, 1.0, 1.5, 2.0, 2.5 g/bhp-hr
LSI Level 3b(5)	Not Applicable	0.5, 1.0, 1.5, 2.0 g/bhp-hr
Notes:

(1) Applicable to uncontrolled engines only

(2) The allowed verified emissions reduction is capped at 25% regardless of actual emission test values

(3) The allowed verified reduction for LSI Level 2 is capped at 75% or 3.0 g/bhp-hr regardless of actual emission test values

(4) Verified in 5% increments, applicable to LSI Level 3a classifications only

(5) Applicable to emission-controlled engines only

(g) Extensions of an Existing Verification. If the applicant has verified an LSI retrofit emission control system with one emission control group and wishes to extend the verification to include additional engines or equipment into the existing emission control group, or it wishes to include additional emission control groups, it may apply to do so using the original test data, additional test data, engineering justification and analysis, and any other information deemed necessary by the Executive Officer to address the differences between the emission control group already verified and the additional emission control group(s). Processing time periods follow sections (e) and (f) above.

(h) Design Modifications. If an applicant modifies the design of an LSI retrofit emission control system that has already been verified or is under consideration for verification by the Executive Officer, the modified version must be evaluated under this Procedure. The applicant must provide a detailed description of the design modification along with an explanation of how the modification will change the operation and performance of the LSI retrofit emission control system. To support its claims, the applicant must submit additional test data, engineering justification and analysis, and any other information deemed necessary by the Executive Officer to address the differences between the modified and original designs. An applicant must have written approval from the Executive Officer prior to making any design modifications to an LSI retrofit emission control system that has already been verified or is under consideration for verification by the Executive Officer. Processing time periods follow sections (e) and (f) above.

(i) Treatment of Confidential Information. Information submitted to the Executive Officer by an applicant may be claimed as confidential, and such information shall be handled in accordance with the procedures specified in Title 17, California Code of Regulations, Sections 91000-91022. The Executive Officer may consider such confidential information in reaching a decision on a verification application.

(j) The Executive Officer may lower the verification level or revoke the verification status of a verified LSI retrofit emission control system later if there are serious errors, omissions or inaccurate information in the application for verification or supporting information which, if known at the time of verification, would have justified lowering the verification level or denying the application.

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 43000, 43009.5, 43013, 43018, 43101, 43104, 43105, 43106, 43107, 43204, 43205 and 43205.5, Health and Safety Code.

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