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 2789 - In-Use Compliance Requirements

(a) Applicability. These in-use compliance requirements apply to all LSI retrofit emission control systems for off-road applications. It is the responsibility of the applicant to perform in-use compliance testing for each verified LSI retrofit emission control group. Testing is required when 50 units within a given LSI retrofit emission group have been sold or leased in the California market.

(b) Test Period. Applicants must obtain access to and test LSI retrofit emission control systems, as described below in (c), (d), and (e), once they have been operated between 1,500 and 2,000 hours or between 22 and 29 months, whichever comes first.

(c) Selection of LSI Retrofit Emission Control Systems for Testing. For each LSI retrofit emission control group, the Executive Officer will identify a representative sample of engines or equipment equipped with LSI retrofit emission control systems for in-use compliance testing. The engines or equipment with the selected LSI retrofit emission control systems installed must have good maintenance records and may receive a tune-up or normal maintenance prior to testing. The applicant must obtain information from the end users regarding the accumulated hours of usage, maintenance records (to the extent practicable), operating conditions and a description of any unscheduled maintenance that may affect the emission results. If the specified information is not available for the engine or equipment selected, the Executive Officer may select a different engine or equipment for testing. Upon notification that an engine or equipment has been selected, an applicant would have 6 months to provide an in-use compliance testing proposal for approval by the Executive Officer. Testing would begin when the engines had accumulated sufficient hours of service; testing must be completed within one year of notification.

(d) Number of LSI Retrofit Emission Control Systems to be Tested. The number of LSI retrofit emission control systems an applicant must test will be determined as follows:

(e) In-use Compliance Emission Testing. Applicant must measure emissions using one of the following test procedures for in-use compliance emission testing:

(f) If an LSI retrofit emission control system fails catastrophically during the in-use compliance testing, the applicant must provide an investigative report detailing the causes of the failure to the Executive Officer within 90 days of the failure.

(g) The Executive Officer may, with respect to any LSI retrofit emission control system sold, leased, offered for sale, or manufactured for sale in California, order the applicant to make available for compliance testing and/or inspection a reasonable number of LSI retrofit emission control systems, and may direct that the retrofit emission control systems be delivered at the applicant's expense to the California Air Resources Board at the Southern California Headquarters, Mary D. Nichols Campus, 4001 Iowa Avenue, Riverside, CA 92507 or where specified by the Executive Officer. The Executive Officer may also, with respect to any LSI retrofit emission control system being sold, leased, offered for sale, or manufactured for sale in California, have an applicant compliance test and/or inspect a reasonable number of units at the applicant or manufacturer's facility or at any test laboratory under the supervision of the CARB Executive Officer.

(h) In-Use Compliance Report. The applicant must submit an in-use compliance report to the Executive Officer within three months of completing testing. The following information must be reported for each of the minimum of four LSI retrofit emission control systems tested:

(i) The Executive Officer may request the applicant to perform additional in-use testing if the warranty claims exceed the thresholds specified in section 2787(c)(2)(A) or based on other relevant information. As noted in section 2787(c)(2)(A), if warranty claims exceed the specified thresholds, the applicant must notify the Executive Officer and submit a warranty report within 30 calendar days of that time.

(j) Conditions for Passing In-Use Compliance Testing. For an LSI retrofit emission control system to pass in-use compliance testing, emission test results must indicate that the retrofit system reduced emissions by at least 90 percent of the lower bound of the emissions reduction level to which the Executive Officer originally verified it to. If the first four LSI retrofit emission control systems tested within an LSI retrofit emission control group meet this standard, the LSI retrofit emission control group passes in-use compliance testing. If any of the first four LSI retrofit emission control systems tested within an LSI retrofit emission control group fail to reduce emissions by at least 90 percent of the lower bound of the emissions reduction level to which the Executive Officer originally verified it to, and if more than four units are tested, at least 70 percent of all units tested must pass the 90 percent standard for the LSI retrofit emission control group to pass in-use compliance testing. For each failed test, for which the cause of failure can be attributed to the product and not to maintenance or other engine-related problems, two additional units must be tested, up to a total of ten units per LSI retrofit emission control group.

(k) Failure of In-use Compliance Testing -- Remedial Action. If the LSI retrofit system from an emission control group does not meet the minimum requirements for in-use compliance testing, the applicant must submit a remedial report within 90 days after the in-use compliance report is submitted. The remedial report must include:

(l) The Executive Officer may evaluate the remedial report, annual warranty report, and all other relevant information to determine if the LSI retrofit emission control group passes in-use compliance testing. The Executive Officer may request more information from the applicant. Based on this review, the Executive Officer may lower the verification level or revoke the verification status of a verified LSI retrofit emission control group. The Executive Officer may also lower the verification level or revoke the verification status of a verified LSI retrofit emission control group, if the applicant does not conduct in-use compliance testing in accordance with this section, or if the Executive Officer conducts in-use compliance testing in accordance with this section (including alternative testing) and the LSI retrofit emission control group does not pass the standards in this section. The Executive Officer must allow the applicant an opportunity to address the possible lowering or revocation of the verification level in a remedial report to the Executive Officer prior to taking action lowering or revoking the verification level, and shall consider all relevant information.