APPENDIX C: VERIFICATION PROCEDURE

Part 1

Proposed Regulation Order Part 9: Adopt California Code of Regulations, Title 13, Sections 2780, 2781, 2782, 2783, 2784, 2785, 2786, 2787, 2788, and 2789 for Verification Procedures for Retrofit Systems Verifi cation Procedure, Warranty, and In-Use Compliance Requirements for Retrofits to Con trol Emissions from Off-Road Large Spark-Ignition Engines.1 

### PROPOSED REGULATION ORDER, PART 9

NOTE: The entire text is new language proposed to b e added to the California Code of Regulations.

Adopt Article 3, Verification Procedure, Warranty, and In-Use Compliance Requirements for Retrofits to Control Emissions fro m Off-Road Large Spark-Ignition Engines, Chapter 15, Division 3, Title 13, Californ ia Code of Regulations, and new sections 2780 through 2789, to read as follows:

Article 3. Verification Procedure, Warranty, and In -Use Compliance Requirements

for Retrofits to Control Emissions from Off-Road La rge Spark-Ignition Engines.

§ 2780. Applicability and Purpose.

These procedures apply to LSI retrofit emission con trol systems, which, through the use of sound principles of science and engineering, con trol emissions of hydrocarbons (HC) and oxides of nitrogen (NOx) from off-road large sp ark-ignition (LSI) engines. These systems may include but are not limited to, closed- loop fuel control systems, fuel injection systems, and three-way catalysts. These procedures are not applicable to retrofit strategies that employ or make use of fuel additives.

The use of LSI retrofit emission control systems ve rified in accordance with this article may be a means of complying with other state board regulations applicable to the use of LSI engines, to the extent provided for in those re gulations.

NOTE: Authority cited: Sections 39002, 39003, 395 00, 39600, 39601, 39650-39675, 40000, 43000, 43000.5, 43011, 43013, 43018 and 4310 5, 43600, 43700, Health and Safety Code. Reference: Sections 39650-39675, 430 00, 43009.5, 43013, 43018, 43101, 43104, 43105, 43106, 43107, and 43204-43205. 5 Health and Safety Code; Title 17 California Code of Regulations Section 93000.

§ 2781. Definitions.

(a) The definitions in Section 1900(b), Chapter 1, Title 13 of the California Code of Regulations are incorporated by reference herein. The following definitions shall govern the provisions of this chapter:

(1) “Applicant” means the entity that has applied for or has been granted

verification under this Procedure (2) “Average” means the arithmetic mean. (3) “Baseline” means: (i) for uncontrolled engines , the emission levels from the engine as tested without the LSI retrofit emiss ion control system implemented using the test cycle specified in this verification procedure; and (ii) for certified engines, the emission standa rds to which the engine

was certified.2 (4) “Certified engine” means an engine manufactured in compliance with ARB

or EPA emission standards. (5) “Durability” means the ability of the applican t’s LSI retrofit emission control system to maintain a level of emissions at or below its verification emission level and maintain its physical integrity over the durability periods specified in these regulations. The minimum durabi lity demonstration periods contained herein are not necessarily meant to represent the entire useful life of the LSI retrofit emission control sy stem in actual service. (6) “Emergency Engine Repair” means repair conducte d outside of normal scheduled maintenance that is required for the safe operation of the equipment. (7) “Emission Control Group” means a set of LSI en gines and applications determined by parameters that affect the performanc e of a particular LSI retrofit emission control system. The exact parame ters depend on the nature of the LSI retrofit emission control system and may include, but are not limited to, baseline or certification levels of engine emissions, combustion cycle, displacement, aspiration, horsepo wer rating, duty cycle, exhaust temperature profile, and fuel composition. An applicant could specify an emission control group to be comprised o f engines from several different engine families, applications and equipme nt manufacturers. Verification of an LSI retrofit emission control sy stem and the extension of existing verifications is done on the basis of emis sion control groups. (8) “Executive Officer” means the Executive Officer of the Air Resources Board or the Executive Officer’s designee. (9) “Executive Order” means the document signed by the Executive Officer that specifies the verification level or percentage reduction of an LSI retrofit emission control system for an emission co ntrol group and includes any enforceable conditions and requirements necessa ry to support the designated verification. (10) “Hot Start” means the start of an engine withi n four hours after the engine

is last turned off. (11) “LSI retrofit emission control system” means a ny device or system employed with an in-use off-road LSI-engine vehicle or piece of equipment that is intended to reduce emissions. Examples of LSI retrofit emission control systems include, but are not limited to, cl osed-loop fuel control system, fuel injection system, three-way catalysts, and combinations of

the above. (12) “LSI Retrofit Emission Control Group Name.” S ee Section 2786(c)(2). (13) “Off-Road Large Spark-Ignition Engine” or “LSI Engine” means any spark ignition engine that produces a gross power of grea ter than 19 kilowatts (25 horsepower) or is designed (e.g., through fueli ng, engine calibrations, valve timing, engine speed modifications, etc.) to produce greater than 19 kW (>25 hp), and is used in an off-road vehicle or equipment that is not excluded below. If an engine family has models at or below 19 kW (25 hp) and models above 19 kW (25 hp), only the models abo ve 19 kW (25 hp) would be considered LSI engines. A spark ignition engine’s operating3 characteristics are significantly similar to the th eoretical Otto combustion cycle with the engine’s primary means of controllin g power output being to

limit the amount of air and fuel that is throttled into the combustion chamber of the engine. LSI engines are designed fo r powering equipment applications including, but not limited to, forklif t trucks, sweepers, generators, and industrial equipment and other misc ellaneous applications. Specifically excluded from this cate gory are: i) engines operated on or in any device used exclusively upon stationary rails or tracks; ii) engines used to propel marine vessels; iii) internal combustion engines attached to a foundation at a location for at least 12 months; iv) off-road recreational vehicles and snowmobiles; and v) stationary or transportable gas turbines for power generation. (14) “Off-Road Vehicle” or “Off-Road Equipment” mea ns any non-stationary device, powered by an internal combustion engine or motor, used primarily off the highways to propel, move, or draw persons or property including any device propelled, moved, or drawn exc lusively by human power. Examples include, but are not limited to, m arine vessels, construction/farm equipment, industrial equipment, locomotives, small off-road engines, off-road motorcycles, and off-hig hway recreational

vehicles. (15) “Otto Cycle Engine” means a type of engine wit h operating characteristics significantly similar to the theoretical Otto combu stion cycle. The primary means of controlling power output in an Otto cycle engine is by limiting the

amount of air and fuel that can enter the combustio n chambers of the engine. As an example, gasoline-fueled and LPG eng ines are Otto cycle engines. (16) “Revoke” means to cancel the verification sta tus of an LSI retrofit emission control system. If an LSI retrofit emissi on control system’s verification status is revoked by the Executive Off icer, the applicant must immediately cease and desist selling the LSI retrof it emission control system to end-users. (17) “Verification” means that after the data submi tted has been thoroughly evaluated and an engineering judgment has determine d that an LSI Retrofit Emission Control System for installation o n in-use equipment will meet the requirements of this procedure, an Executi ve Order is issued. This ensures the emissions reductions achieved by t he control strategy are real and durable and production units in the fi eld achieve reductions consistent with the verification procedure.

NOTE: Authority cited: Sections 39002, 39003, 395 00, 39600, 39601, 39650-39675, 40000, 43000, 43000.5, 43011, 43013, 43018 and 4310 5, 43600, 43700, Health and Safety Code. Reference: Sections 43000, 43009.5, 43013, 43018, 43101, 43104, 43105, 43106, 43107, 43204, 43205, and 43205.5; Hea lth and Safety Code.4

§ 2782. Application Process.

(a) Overview. Before submitting a formal application for the ve rification of an LSI retrofit emission control system for use with an em ission control group, the applicant must submit a letter of intent with a pro posed verification plan to ARB (pursuant to Section 2782(b)). To obtain verifi cation, the applicant must conduct emissions reduction testing (pursuant to Se ction 2783), a durability demonstration with testing (pursuant to Section 278 4), and a field demonstration (pursuant to Section 2785), and must submit the results along with comments and other information (pursuant to Se ctions 2786 and 2787) in an application to the Executive Officer, in the for mat 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 Ex ecutive Order to the applicant identifying the verified emission reducti on and any conditions that

must be met for the LSI retrofit emission control s ystem to function properly. After the Executive Officer grants verification of an LSI retrofit emission control system, the applicant must provide a warran ty, conduct in-use compliance testing of the system after having sold or leased a specified number of units, and report the results to the Exec utive Officer (pursuant to Section 2789). An LSI retrofit emission control sy stem that employs two or more individual sub-systems or components must be t ested 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 sy stem, the applicant must submit a proposed verification plan to ARB. The pr oposed verification plan should outline the applicant’s plans for meeting th e testing and other requirements. The Executive Officer shall use the information in the proposed plan to help determine the need for additi onal analyses and the appropriateness of allowing alternatives to the pre scribed 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 nu mbers, names and addresses of the responsible party proposing to sub mit an application. (2) Description of the LSI retrofit emission contro l system and principles of operation. A schematic depicting operation should be included as appropriate. It is the responsibility of the appli cant to demonstrate that the product relies on sound principles of science and e ngineering to achieve emission reductions. The description of the LSI re trofit 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 a pplicant has not made a satisfactory demonstration that its product relies on sound principles of science and engineering to achieve em issions reductions, the Executive Officer shall notify the applicant of the5 determination in writing. The applicant may choose to withdraw from the verification process or submit additional mater ials and

clarifications. The additional submittal must be r eceived by the Executive Officer no later than 60 days from the da te of the notification letter or the Executive Officer may su spend reviewing the proposed verification plan. (B) If, after reviewing the additional submittal, t he Executive Officer determines that the applicant has not yet made a sa tisfactory demonstration that its product relies on sound prin ciples 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 reactiva ted at the discretion

of the Executive Officer. (C) If at any time, the Executive Officer has reaso n to doubt the scientific or engineering soundness of a product, the Executiv e Officer may require the applicant to submit additional supporti ng materials and clarifications no later than 60 days from the date of the notification

letter. If the additional submittal is not receive d by the Executive Officer by the deadline established in the notifica tion letter, the review of the proposed verification plan may be suspended. In deciding whether to suspend reviewing the proposed verificat ion plan the Executive Officer will review submittals as provide d in subsection (B)

above. (3) Preliminary parameters for defining emission co ntrol groups that are appropriate for the LSI retrofit emission control s ystem. The Executive Officer will work with the applicant to determine a ppropriate emission control group parameters. (4) The applicant’s plan for meeting the requiremen ts of Sections 2783-2786. Existing test data may be submitted for the Executi ve Officer’s consideration. The proposed verification plan must focus on verification of the LSI retrofit emission control system for use wi th 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 verificatio n plan, the Executive Officer shall determine whether the applicant has identified an appropriate testing procedure to supp ort an application for verification and notify the applicant in writing th at it may submit an application for verification. The Executive Officer may sugges t modifications to the proposed verification plan to facilitate verificati on of the LSI retrofit emission control system. All applications, correspondence, and reports must be

submitted to:

Air Resources Board

9528 Telstar Avenue El Monte, CA 917316

(d) Application Format

. The application for verification of an LSI retro fit emission control system must follow the format shown below. If a section asks for information that is not applicable to the LSI retro fit emission control system, the applicant must indicate “not applicable.” If t he Executive Officer concurs with the applicant’s judgment that a section is not applicable, the Executive Officer may waive the requirement to provide the in formation 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 s ought

1.4.1 Emissions reduction claim

2. LSI Retrofit Emission Control System Information 2.1 General description of the LSI retrofit emissio n control system 2.1.1 Discussion of principles of operation and sys tem design 2.1.2 Schematics depicting operation (as appropriat e) 2.2 Favorable operating conditions 2.3 Unfavorable operating conditions (e.g., inappro priate duty cycle or application, geographical limitations, etc.) and as sociated reductions in performance 2.4 Fuel and lubrication oil requirements (e.g., fu el 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 Emissio n Control Group Compatibility 3.1 Compatibility with the engine 3.1.1 Discussion on calibrations and design feature s 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 fe atures on application

characteristics 3.2.2 Comparison of field data with operating condi tions of equipment applications suitable for the LSI retrofit emission control group.7

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 subm itted in comma-delimited columns in spreadsheet or text file s 4.2 Durability Demonstration requirements 4.2.1 Test facility identification 4.2.2 Description of field application (where appli cable) 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 subm itted in comma-delimited columns in spreadsheet or text file s 4.2.7 Summary of evaluative comments from third-par ty for in-field durability demonstration (e.g., driver or fleet operator) 4.3 Field Demonstration requirements (where applica ble) 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 co mpatibility 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 (w here applicable) 4.4.1 Description of the proposed alternative in-us e test procedure 4.4.2 Description of test equipment, including meas urement 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 th e proposed alternative in-use test procedure with emission results from en gine 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 informa tion8

6.2 Third-party letters or questionnaires describin g 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, t he Executive Officer shall notify the applicant whether the application is complete. (f) Within 60 days after an application has been de emed complete, the Executive

Officer shall determine whether the LSI retrofit em ission control system merits verification and shall classify it as shown in Tabl e 1. The applicant and the Executive Officer may mutually agree to a longer ti me period for reaching a decision, and the applicant may submit additional s upporting documentation

before a decision has been reached. The Executive O fficer shall notify the applicant of the decision in writing and specify th e classification level and the percentage reduction or absolute emissions and iden tify any terms and conditions that are necessary to support the verifi cation.

Table 1. LSI Engine Retrofit System Verification L evels

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 c apped at 75% or 3.0 g/bhp-hr regardless of actual emission test val ues (4) Verified in 5% increments, applicable to LSI Level 3a classifications only

(5) Applicable to emission-controlled engines only9

(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 en gines or equipment into the existing emission control group, or it wishes to in clude additional emission control groups, it may apply to do so using the ori ginal test data, additional test data, engineering justification and analysis, and any other information deemed necessary by the Executive Officer to addres s 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 re trofit emission control system that has already been verif ied or is under consideration for verification by the Executive Off icer, the modified version must be evaluated under this Procedure. The applic ant must provide a detailed description of the design modification alo ng with an explanation of how the modification will change the operation and performance of the LSI retrofit emission control system. To support its c laims, the applicant must submit additional test data, engineering justificat ion and analysis, and any other information deemed necessary by the Executive Officer to address the differences between the modified and original desig ns. An applicant must have written approval from the Executive Officer pr ior to making any design

modifications to an LSI retrofit emission control s ystem 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 confident ial, and such information shall be handled in accordance with the procedures specified in Title 17, California Code of Regulations, Sections 91000-9102 2. The Executive Officer may consider such confidential information in reaching a decision on a verification application.

(j) The Executive Officer may lower the verificatio n 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 kn own at the time of verification, would have justified lowering the ver ification level or denying the application.

NOTE: Authority cited: Sections 39002, 39003, 395 00, 39600, 39601, 39650-39675, 40000, 43000, 43000.5, 43011, 43013, 43018 and 4310 5, 43600, 43700, Health and Safety Code. Reference: Sections 43000, 43009.5, 43013, 43018, 43101, 43104, 43105, 43106, 43107, 43204, 43205, and 43205.5; Hea lth and Safety Code.10

§ 2783. Emissions Reduction Testing Requirements.

(a) Emission Control Group. The applicant must identify the emission control group and test the LSI retrofit emission control sy stem on representative engines from that emission control group. The appl icant must identify the test engines, and equipment if applicable, by providing the engine family name, if available, make, model, and model year. The applic ant must also describe equipment applications on which the LSI retrofit em ission control system is intended to be used, by giving examples of in-use e quipment, characterizing typical duty cycles, indicating any fuel requiremen ts, and/or providing other application-related information.

(b) Engine Pre-conditioning . All testing should be performed with the test en gine in a proper state of maintenance. The applicant ma y tune-up or rebuild the test engine prior to, but not after, baseline testi ng, unless rebuilding the engine is a part of the requirements for installati on of the LSI retrofit emission control system.

(c) LSI Retrofit System Pre-conditioning . The engine or equipment installed with an LSI retrofit emission control system must be ope rated for a break-in period of between 25 and 100 hours before emission testing

.

(d) Test Fuel

. (1) The test fuel used shall be consistent with the fuel specifications as

outlined in the "California Exhaust Emission Standa rds and Test Procedures for 2001 and Subsequent Model Passenger Cars, Light-Duty Trucks, and Medium- Duty Vehicles," as incorporated by reference in section 1961(d) If the engine is tested using the U.S. EPA test fuel, as outlined in 40 CFR Part 1065, the manufacturer shal l demonstrate that the

emission results are consistent with these Test Pro cedures. (2) During all engine tests, the engine shall emplo y lubricating oil consistent with the engine manufacturer's specifications for t hat particular engine. These specifications shall be recorded and declared in the verification application.

(e) Test Cycle

. (1) Systems verified prior to 2007 . Any LSI retrofit emission control system verified before January 1, 2007,must be tested usin g the steady-state test procedure (C2) set forth in the, “California Exhaus t Emission Standards

and Test Procedures for New 2001 and Later Off-Road Large Spark-Ignition Engines” as incorporated by referenc e in section 2433(d), or the U.S. EPA transient test procedure as set for th in 40 CFR Part 1048, Subpart F, as adopted November 8, 2002. For off-ro ad engines used in constant-speed operation, the applicant must use th e steady-state test procedure (D2) set forth in the “California Exhaust Emission Standards

and Test Procedures for New 2001 and Later Off-Road Large11 Spark-Ignition Engines” as incorporated by referenc e in section 2433(d), or the U.S. EPA transient test cycle as outlined in 40 CFR Part 1048, Subpart F, as adopted November 8, 2002. The requir ed test cycles are summarized in Table 2, below.

Table 2. Test Cycles for Emissions Reduction Testi ng

Test Type LSI Retrofit

System

Verification

Date Off-Road (including

portable engines) Off-Road (constant-speed operation)

Engine Pre-2007 Steady-state test cycle (C2)

from ARB off-road regulations or U.S. EPA transient test cycle Steady-state test cycle (D2)

from ARB off-road Regulations or U.S. EPA transient test cycle

Engine 2007 and later U.S. EPA transient test cycle U.S. EPA transient test cycle

(2) Systems verified in 2007 or later. Any LSI retrofit emission control system verified on or after January 1, 2007, must be teste d using the U.S. EPA transient test procedure as set forth in 40 CFR Par t 1048, Subpart F, as adopted November 8, 2002.

(f) Alternative Test Cycles and Methods . The applicant may request the Executive Officer to approve an alternative test cy cle or method in place of a required test cycle or method. In reviewing this r equest, the Executive Officer may consider all relevant information including, bu t not limited to, the following: (1) Similarity of characteristics to the specified test cycle or method and in-use duty cycle. (2) Body of existing test data generated using the alternative test cycle or

method. (3) Technological necessity. (4) Technical ability to conduct the required test.

(g) Test runs to Verify HC, NOx, and CO Emissions Reductions . A minimum of three hot-start tests for the test cycle selected f rom Table 2, or an Executive Officer-approved alternative test cycle, must be ru n for baseline and control configurations.

(h) Results . For all valid emission tests used to support emi ssions reduction claims, the applicant must report emissions of tota l hydrocarbons, oxides of nitrogen, and carbon monoxide in grams/brake horsep ower-hour (g/bhp-hr).12

(i) Incomplete and Aborted Tests . The applicant must identify all incomplete and aborted tests and explain why those tests were inco mplete or aborted.

(j) Additional Analyses . The Executive Officer may require the applicant to perform additional analyses if there is reason to b elieve that the use of an LSI retrofit emission control system may result in the increase of toxic air contaminants, or other harmful compounds. (1) In its determination, the Executive Officer may consider all relevant data, including but not limited to the following: (A) The addition of any substance to the fuel, int ake air, or exhaust

stream. (B) Whether a catalytic reaction is known or reaso nably suspected to increase toxic air contaminants or ozone precursors

. (C) Results from scientific literature. (D) Field experience. (E) Any additional data. (2) The Executive Officer will determine appropriat e test methods for additional analyses in consultation with the applic ant.

(k) Quality Control of Test Data . The applicant must provide information on the test facility, test procedure, and equipment used i n the emission testing, including evidence establishing that the test equip ment used meets the specifications and calibrations given in 40 CFR Par t 86, subpart N.

(l) Testing or inspection. The Executive Officer may, with respect to any veri fied LSI retrofit emission control system sold, leased, offered for sale, or manufactured for sale in California, order the appl icant to make available for testing and/or inspection a reasonable number of LS I retrofit emission control systems, and may direct that they be delivered at t he applicant’s expense to the state board at the Haagen-Smit Laboratory, 9528 Telstar Avenue, El Monte, California or where specified by the Executi ve Officer. The Executive Officer may also, with respect to any verified LSI retrofit emission control system being sold, leased, offered for sale, or man ufactured for sale in California, have an applicant test and/or inspect a reasonable number of units at the applicant or manufacturer's facility or at a ny test laboratory under the supervision of the Executive Officer.

NOTE: Authority cited: Sections 39002, 39003, 395 00, 39600, 39601, 39650-39675, 40000, 43000, 43000.5, 43011, 43013, 43018 and 4310 5, 43600, 43700, Health and Safety Code. Reference: Sections 43000, 43009.5, 43013, 43018, 43101, 43104, 43105, 43106, 43107, 43204, 43205, and 43205.5; Hea lth and Safety Code.

§ 2784. Durability Demonstration Requirements.

(a) The applicant must demonstrate, to the satisfac tion of the Executive Officer, the durability of the applicant’s LSI retrofit emis sion control system through an actual field or laboratory-based demonstration test

. If the applicant chooses a13 laboratory-based durability demonstration, an addit ional field demonstration will be required to demonstrate in-field compatibil ity (pursuant to Section 2785). If the applicant has demonstrated the durabi lity of the identical system in a prior verification or OEM certification, or ha s 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 ma y consider all relevant information including, but not limited to, the simi larity of baseline emissions and application duty cycles, the relationship betwe en the emission control group or engine family(ies) used in previous testin g and the current emission control group, the number of engines tested, eviden ce of successful operation and user acceptance, and published reports.

(b) Engine Selection . Subject to the approval of the Executive Officer , the applicant may choose the engine to be used in the d urability demonstration. The engine must be representative of the engines in the emission control group for which verification is sought. The select ed engine need not be the same as the engine used for the emission testing (p ursuant to Section 2783), but if the applicant does use the same engine, the emission testing results may also be used for the zero-hour durability tests

.

(c) Test Fuel

. (1) The test fuel used shall be consistent with the fuel specifications as

outlined in the "California Exhaust Emission Standa rds and Test Procedures for 2001 and Subsequent Model Passenger Cars, Light-Duty Trucks, and Medium- Duty Vehicles," as incorporated by reference in section 1961(d). If the engine is tested using the U.S. EPA test fuel, as outlined in 40 CFR Part 1065, the manufacturer shal l demonstrate that the

emission results are consistent with ARB Test Proce dures. Manufacturers can use "commercially available fuels" to accumulat e service hours but emission testing must be conducted using test fuel as specified in this

section. (2) During all engine tests, the engine shall emplo y lubricating oil consistent with the engine manufacturer's specifications for t hat particular engine. These specifications shall be recorded and declared in the verification application.

(d) Service Accumulation . The durability demonstration consists of an exte nded service accumulation period in which the LSI retrof it emission control system is used in the field or in a laboratory, with emiss ions reduction testing before

and after the service accumulation. Service accumu lation begins after the

first emission test and concludes before the final emission test. The pre-conditioning period required in Section 2783 (c ) cannot be used to meet the service accumulation requirements. (1) Minimum Durability Demonstration Periods. The m inimum durability demonstration period is 1,000 hours if it can be co rrelated or14 demonstrated to be equivalent to 2,500 hours in-use . The applicant must provide to the Executive Officer sufficient written documentation to justify the request for the minimum durability demonstratio n period. The applicant may propose a sampling scheme that could be used to support an accelerated durability schedule for approval by the Executive Officer. The sampling scheme may include, but is not limited to, logging only significant changes in a parameter, averages, or ch anges above some

threshold value. Data must be submitted electronic ally in columns as a text file or another format approved by the Executi ve Officer. (2) Fuel for Durability Demonstrations. The fuel used during durability demonstrations should be equivalent to the test fue l, or a fuel with properties less favorable to the durability of the retrofit emission control system. Durability demonstrations may, at the appli cant's option and with the Executive Officer’s approval, include intention al use of out-of-specification fuels so that data on the effe cts of using out-of-specification fuels may be obtained.

(e) Test Cycle . Testing requirements are summarized in Table 3. Note that the same cycle(s) must be used for both the initial (ze ro hour) and final (2,500 hour) tests as defined in Section 2783 (e).

Table 3. Emission Tests Required for Durability De monstrations

Application LSI Retrofit

System

Verification

Date Test

Type Zero-Hour Test (prior durability demonstration)

2,500-Hour Test (after completion of 100% of the durability demonstration or the minimum durability

demonstration)

Off-Road and portable engines Pre-2007 Engine Steady-state test cycle from ARB off-road regulatio ns or U.S. EPA transient test cycle or an alternative cycle

Off-Road and portable engines 2007 and

later Engine U.S. EPA transient test cycle or an alternative cyc le

(f) Test Run . The number of tests to be conducted in accordanc e with the required test cycle shown in Table 3 is described b elow. (1) The LSI retrofit emission control system must u ndergo one set of emission tests: (3 hot starts each for baseline and with the retrofit emission control system) at the beginning (zero hour) and one set of emission tests (3 hot

starts for baseline and with the emission control s ystem) after completion of the durability demonstration (2,500 hours) or th e minimum durability demonstration period (1,000 hours). If there are s ubstantial test data from15 previous field studies or field demonstrations, app licants may request that the Executive Officer consider these in place of th e initial emission tests. (2) As an alternative to testing a single unit befo re and after the service accumulation period, the applicant may request that the Executive Officer consider the testing of two identical units, one th at has been pre-conditioned and another that has completed the service accumulation period. In reviewing the request, the Executive Of ficer may consider all relevant information, including, but not limited to , the following: (A) The effect of the LSI retrofit emission control system on engine operation over time. Strategies that cause changes in engine operation are likely not to qualify for this testin g option. (B) The quality of the evidence the applicant can p rovide to support that

the two units are identical. (C) Previous experience with similar or related tec hnologies.

(g) Maintenance During Durability Demonstration . Except for emergency engine repair, only scheduled maintenance on the engine an d LSI retrofit emission control system may be performed during the durabili ty demonstration. If normal maintenance includes replacement of any comp onent of the engine emission control system, the time (years or hours) between component change must be reported with the results of the dem onstration. If emergency repair was conducted on an engine equipped with the LSI retrofit emission control system within the durability demonstration period, the applicant must, within 30 days of the repair, report to the Executi ve Officer on what repair was performed and what components were involved, and pr ovide an explanation on the possible cause(s) for the engine’s and/or LS I retrofit emission control system’s malfunction. Based on the information pro vided by the applicant,

the Executive Officer will decide whether to allow that engine to continue to be used in the durability demonstration program, or to start anew the durability demonstration period.

(h) Performance Requirements . The LSI retrofit emission control system must meet the following requirements throughout the dura bility demonstration period: (1) If the applicant claims a percent emissions red uction, the percent

emissions reduction must meet or exceed the minimum percent emissions

reduction associated with the LSI Level for which t he applicant is seeking

verification. (2) If the applicant claims a reduced emission leve l, the reduced emission

level must not exceed the emission level associated with the LSI Level for which the applicant is seeking verification. (3) The LSI retrofit emission control system must m aintain its physical integrity. Its physical structure and all of its c omponents not specified for regular replacement during the durability demonstra tion period must remain intact and fully functional.16 (4) The LSI retrofit emission control system must n ot cause any damage to the engine, vehicle, or equipment. (5) Except for emergency engine repair, no maintena nce of the LSI retrofit emission control system beyond that specified in it s owner’s manual will be allowed without prior Executive Officer approval

.

(i) Failure During the Durability Demonstration Period . If the LSI retrofit emission control system fails to maintain its initi al verified percent emissions reduction or absolute emissions for any reason, the Executive Officer may downgrade the system to the verification level that corresponds to the lowest degraded performance observed in the durability dem onstration period. If the LSI retrofit emission control system fails to maint ain the emissions reduction performance pursuant to Sections 2784(h)(1) and 278 4(h)(2), as demonstrated during the emission test pursuant to S ection 2783, during the durability period

, the LSI retrofit emission control system will not b e verified. If the LSI retrofit emission control system fails in t he course of the durability demonstration period, the applicant must submit a r eport explaining the circumstances of the failure within 90 days of the failure. The Executive Officer may then, as appropriate, determine whether to deny verification or allow the applicant to correct the failed LSI retro fit emission control system and either continue the durability demonstration or begin a new durability

demonstration.

NOTE: Authority cited: Sections 39002, 39003, 395 00, 39600, 39601, 39650-39675, 40000, 43000, 43000.5, 43011, 43013, 43018 and 4310 5, 43600, 43700, Health and Safety Code. Reference: Sections 43000, 43009.5, 43013, 43018, 43101, 43104, 43105, 43106, 43107, 43204, 43205, and 43205.5; Hea lth and Safety Code.

§ 2785. Field Demonstration Requirements.

(a) Compatibility

. The applicant must demonstrate compatibility of its LSI retrofit emission control system in the field with at least one piece of equipment belonging to the emission control group for which i t seeks verification. Note that if the durability demonstration selected by th e applicant is in-field, it may be used to satisfy the field demonstration requirem ent for that emission control group. An applicant that elected to demons trate durability in-field must still comply with the reporting requirements a s specified in 2785(c). (1) Compatibility is determined by the Executive Of ficer based on the third-party statement (see section 2785 (c)) and an y other data submitted. An LSI retrofit emission control system is compatib le with the chosen application if it: (A) Does not cause damage to the engine or engine m alfunction; (B) Does not hinder or detract from the vehicle or equipment’s ability to perform its normal functions; and (C) Is physically intact and well mounted with no s igns of leakage or other visibly detectable problems.17 (2) To determine whether separate field demonstrati ons are required when applying to extend additional engine or equipment i n an existing emission control group or when applying to verify additional emission control groups, the Executive Officer may consider all rele vant information, including, but not limited to existing field experi ence and engineering justification and analysis.

(b) Test Period

. A piece of equipment must be operated with the L SI retrofit emission control system installed for a minimum per iod of 200 hours.

(c) Reporting Requirements . The applicant must provide a written statement from a third party approved by the Executive Office r, such as the owner or operator of the equipment used in the field demonst ration. The written statement must be provided at the end of the test p eriod and must describe the following aspects of the field demonstration: overall performance of the test application and the LSI retrofit emission cont rol system, maintenance performed, problems encountered, and any other rele vant information. The results of a visual inspection conducted by the thi rd party at the end of the demonstration period must also be described. The d escription should

comment on whether the LSI retrofit emission contro l system is physically intact, securely mounted, or leaking any fluids, an d should include any other

evaluative observations.

(d) Failure During the Field Demonstration . The LSI retrofit emission control system will be deemed to fail the field demonstrati on requirements if it could not comply with the criteria specified in Section 2 785 (a)(1) during the test period. If the LSI retrofit emission control syst em fails in the course of the field demonstration, the applicant must notify ARB within 15 days of the failure, and submit a report explaining the circums tances of the failure within 90 days of the failure. The Executive Officer may t hen determine whether to deny verification or allow the applicant to correct the failed LSI retrofit emission control system and either continue the fie ld demonstration or begin

a new field demonstration.

NOTE: Authority cited: Sections 39002, 39003, 395 00, 39600, 39601, 39650-39675, 40000, 43000, 43000.5, 43011, 43013, 43018 and 4310 5, 43600, 43700, Health and Safety Code. Reference: Sections 43000, 43009.5, 43013, 43018, 43101, 43104, 43105, 43106, 43107, 43204, 43205, and 43205.5; Hea lth and Safety Code.

§ 2786. Other Requirements.

(a) Fuel and Oil Requirements . The applicant must specify the fuel and lubricating oil requirements necessary for proper f unctioning of the LSI retrofit emission control system. The applicant must also s pecify any consequences that will result from failure to comply with these requirements, as well as methods for reversing any negative consequences.18

(b) Maintenance Requirements . The applicant must identify all normal maintenance requirements for the LSI retrofit emiss ion control system and specify the recommended intervals for cleaning and/ or replacing components. Components to be replaced within the defects warran ty period must be included with the original LSI retrofit emission co ntrol system package or provided free of charge to the customer at the appr opriate maintenance intervals. Any normal maintenance items that the a pplicant does not intend to provide free of charge must be approved by the Exec utive Officer (the applicant is not required to submit cost informatio n for these.)

(c) System Labeling

. (1) The applicant must either affix legible and dur able labels, or provide such labels to the installer along with instructions on how to affix them, on both the retrofit emission control system and the engine on which the retrofit emission control system is installed, except as not ed in (3) below. The required labels must identify the name, address, an d phone number of the manufacturer, the LSI retrofit emission control gro up name (defined in (2) below), a unique serial number for the LSI retrofit emission control system and the month and year of manufacture. The month a nd year of manufacture are not required on the label if this i nformation can be readily obtained from the applicant by reference to the ser ial number. A scale drawing of a sample label must be submitted with th e verification application. Unless an alternative is approved by the Executive Officer, the label information must be in the following form at:

Name, Address, and Phone Number of Manufacturer LSI Retrofit Emission Control Group Name

Product Serial Number

ZZ-ZZ (Month and Year of manufacture, e.g., 11-05)

(2) LSI Retrofit Emission Control Group Name. Each LSI retrofit emission control system shall be assigned a name defined as below:

CA/V/MMM/LL##/NHP## or NHL##/APP/XXXXX

Where:

CA:

IV: Designates an LSI retrofit emission control system verified in California

Year of verification

MMM: Manufacturer code (assigned by the Executive Office r)

LL##: Verified LSI Level (e.g., LL2 means the retrofit sy stem was verified to the “LSI

Level 2”, LL3a means the retrofit system was verifi ed to “LSI Level 3a). NHP##: Verified HC + NOx reduction percent (e.g ., NH75 means HC + NOx reduction

of 75 percent).

NHL##: Verified HC + NOx absolute emissions in units of g/ bhp-hr, (e.g., NH3.0 means

verified HC + NOx emission level of 3.0 g/bhp-hr).

APP: Verified application includes a combination of Off -road (OF),or Stationary (ST)

XXXXX: Five alphanumeric character code issued by the Exec utive Officer19 (3) The applicant may request that the Executive Of ficer approve an alternative label. In reviewing this request, the Executive Officer may consider all relevant information including, but no t limited to, the informational content of an alternative label as pr oposed by the applicant.

(d) Additional Information . The Executive Officer may require the applicant t o provide additional information about the LSI retrof it emission control system or its implementation when such information is need ed to assess environmental impacts associated with its use.

(e) Owner’s Manual

. The applicant must provide a copy of the LSI ret rofit emission control system owner’s manual, which must clearly specify at least the following information: (1) Warranty statement including the warranty perio d over which the applicant is liable for any defects. (2) Installation procedure and maintenance requirem ents for the LSI retrofit emission control system. (3) Fuel consumption improvement or penalty, if any

. (4) Fuel requirements, if any. (5) Requirements for lubrication oil quality and ma ximum lubrication oil consumption rate (6) Contact information for replacement components and cleaning agents. (7) Maintenance Requirements

(f) Noise Level Control . Applicants must ensure that the LSI retrofit emi ssion control system complies with all applicable local g overnment requirements for

noise control.

(g) Limit on CO . In order for an LSI retrofit emission control sys tem to be verified, it must comply with one of the following two limits on CO: (1) For an LSI retrofit emission control system des igned to be installed in a certified engine, the system must not increase the emissions of CO greater than the CO emission standards for new, emi ssion-certified, off-road LSI engines adopted by the Air Resources B oard and in effect for the model year in which the engine certification wa s issued; (2) For an LSI retrofit system designed to be insta lled in an engine that is not emission-certified, the system must not cause the C O emission level to exceed the greater of 37 g/bhp-hr or ten percent ab ove the engine’s

baseline CO emission level as determined in accorda nce with sections

2783 and 2784.

(h) Emission Sampling Ports . To facilitate in-field and normal maintenance diagnostic emission measurements, the applicant may choose to design the LSI retrofit emission control system to have a mini mum of two sampling ports

where emissions measurements could be made. Guidel ine suggestions for the sampling port criteria are presented here:20 (1) The sampling ports are to be designed to allow for measurements of uncontrolled, engine-out emissions and controlled, tailpipe emissions; (2) The sampling ports are to be 1⁄4 inch NPT half co uplings, either welded to the exhaust system, or manufactured into the retrof it emission control device where possible; (3) The sampling port to be used for measuring unco ntrolled, engine-out emissions is to be located in a straight section of the exhaust pipe upstream from the retrofit emission control device, after the turbocharger, if so equipped, with a minimum of one to two pipe d iameters from any elbows upstream of the sampling port. It is accept able to locate the sampling port adjacent to the oxygen sensor threade d port, if so equipped; (4) The sampling port to be used for measuring cont rolled, tailpipe emissions is to be placed on the muffler body, after the cata lyst, if so equipped, or if in the exhaust pipe, should be located a minimum distance of 10 inches from the tailpipe opening, if feasible, otherwise, it should be located as far as possible from the tailpipe opening; (5) The locations of the sampling ports are to be d esigned to be accessible to test personnel without removing major engine or equ ipment components, such as the forklift counterweight, for example; (6) The sampling ports are to be equipped with thre aded plugs. (7) If the sampling ports are designed to be instal led by the retrofit system installer, the applicant must provide all necessary parts and complete instructions for proper installation;

NOTE: Authority cited: Sections 39002, 39003, 395 00, 39600, 39601, 39650-39675, 40000, 43000, 43000.5, 43011, 43013, 43018 and 4310 5, 43600, 43700, Health and Safety Code. Reference: Sections 43000, 43009.5, 43013, 43018, 43101, 43104, 43105, 43106, 43107, 43204, 43205, and 43205.5; Hea lth and Safety Code.

§ 2787. Warranty Requirements.

(a) (1) Product Warranty

. (A) The applicant must provide a warranty to all ow ners, for ownership within the warranty period, and lessees, for lease contract within the warranty period, that its verified LSI retrofit emi ssion control system is free from defects in design, materials, workmanship , or operation of the LSI retrofit emission control system which caus e the LSI retrofit emission control system to fail to conform to at le ast 90 percent of the its verified level for the minimum warranty period of 3 years or 2,500 hours, whichever occurs first, provided the o peration of and conditions of use for the equipment, engine, and LS I retrofit emission control system conform with the operation and condi tions specified in the ARB’s Executive Order and that the engine or eq uipment belongs to the emission control group as specified in the A RB’s Executive Order for that LSI retrofit emission control system

. (B) In the absence of a device to measure hours of use, the LSI retrofit emission control system must be warranted for a per iod of three years.21 If a device to measure hours is used, the engine mu st be warranted for 3 years or 2,500 hours, whichever occurs first. Th e warranty must cover the full repair or replacement cost of the LS I retrofit emission control system, including parts and labor. (C) The warranty must also cover the full repair or replacement cost of returning the engine components to the condition th ey were in prior to the failure, including parts and labor, for damage to the engine proximately caused by the verified LSI retrofit emi ssion control system. Repair or replacement of any warranted part, includ ing the engine, must be performed at no charge to the equipment or engine owner. This includes only those relevant diagnostic expens es if a warranty claim is valid. The applicant may, at its option, instead pay the fair market value of the engine prior to the time the fa ilure occurs. (D) The repair or replacement of any warranted part , otherwise eligible for warranty coverage, may be excluded from such warran ty if the LSI retrofit emission control system or engine has been abused, neglected, or improperly maintained, and such abuse, neglect, or improper

maintenance was the direct cause of the need for th e repair or replacement of the part. (E) Failure of the equipment or engine owner to ens ure scheduled maintenance or to keep maintenance records for the equipment, engine, or LSI retrofit emission control system may , but shall not per se, be grounds for disallowing a warranty claim.

(2) Installation Warranty (A) A person or company that installs a verified LS I retrofit emission control system must warrant that the installation i s free from defects in workmanship or materials which cause the LSI retrof it emission control system to fail to conform to at least 90 percent of its verified level for the minimum warranty period of 3 years or 2,500 hou rs, whichever occurs first, except as noted in 2787(a)(1)(B), or the other requirements as specified in sections 2786(c) and ( e). (B) The extent of the warranty coverage provided by installers must be the same as the warranty provided by the applicant as e stablished in subsection (a)(1) and the same exclusions must appl y.

(b) (1) Product Warranty Statement . The applicant must furnish a copy of the following statement in the owner’s manual. The app licant may include descriptions of circumstances that may result in a denial of warranty coverage, but these descriptions shall not otherwis e limit warranty coverage in any way.

YOUR PRODUCT WARRANTY RIGHTS AND OBLIGATIONS (Applicant’s name) must warrant the LSI retrofit em ission control system in the equipment for which it is sold or leased to be free from defects in design, materials, workmanship, or operation of the LSI ret rofit emission control22 system which cause the LSI retrofit emission contro l system to fail to conform to the emission control performance level it was ve rified to, or to the requirements in the California Code of Regulations, Title 13, Chapter 9, Article 8, Sections 2780 to 2786, and 2789, for 3 years or 2,500 hours, whichever occurs first, pursuant to Section 2787(a) (1), provided there has been no abuse, neglect, or improper maintenance of your LSI retrofit emission control system, engine or equipment, as sp ecified in the owner’s manuals. Where a warrantable condition exists, thi s warranty also covers the engine from damage caused by the LSI retrofit emiss ion control system, subject to the same exclusions for abuse, neglect o r improper maintenance. Please review your owner’s manual for other warrant y information. Your LSI retrofit emission control system may include a core part (e.g., three-way catalyst, carburetor, mixer or regulator) as well a s hoses, connectors, and

other emission-related assemblies. Where a warrant able condition exists, (applicant’s name) will repair or replace your LSI retrofit emission control system at no cost to you including diagnosis, parts , and labor.

WARRANTY COVERAGE: For a (engine size) engine used in a(n) (type of ap plication) application, the warranty period will be 3 years or 2,500 hours of o peration, whichever occurs first. If any emission-related part of your LSI re trofit emission control system is defective in design, materials, workmanship, or operation of the LSI retrofit emission control system thus causing the LSI retrof it emission control system to fail to conform to the emission control performa nce level it was verified to, or to the requirements in the California Code of Re gulations, Title 13, Chapter 9, Article 8, Sections 2780 to 2786, and 27 89, within the warranty period, as defined above. (Applicant’s name) will repair or replace the LSI retrofit emission control system, including parts a nd labor. In addition, (applicant’s name) will replace or rep air the engine components to the condition they were in prior to the failure, in cluding parts and labor, for damage to the engine proximately caused by the veri fied LSI retrofit emission control system. This also includes those relevant diagnostic expenses in the case in which a warranty claim is valid. (Applican t ‘s name) may, at its option, instead pay the fair market value of the engine pri or to the time the failure

occurs.

OWNER’S WARRANTY RESPONSIBILITY As the (engine, equipment) owner, you are responsib le for performing the required maintenance described in your owner’s manu al. (Applicant’s name) recommends that you retain all maintenance records and receipts for maintenance expenses for your engine or equipment, and LSI retrofit emission control system. If you do not keep your r eceipts or fail to perform all scheduled maintenance, (applicant’s name) may have grounds to deny warranty coverage. You are responsible for present ing your equipment or engine, and LSI retrofit emission control system to (applicant’s name) or a (applicant’s name) dealer as soon as a problem is d etected. The warranty23 repair or replacement should be completed in a reas onable amount of time, not to exceed 30 days. If a replacement is needed, this may be extended to 90 days should a replacement not be available, but must be performed as soon as a replacement becomes available.

If you have questions regarding your warranty right s and responsibilities, you should contact (Insert chosen applicant’s contact) at 1-800-xxx-xxxx or the

California Air Resources Board at 9528 Telstar Aven ue, El Monte, CA 91731, or (800) 363-7664, or electronic mail: helpline@arb .ca.gov.

(b)(2) Installation Warranty Statement . The installer must furnish the owner with a copy of the following statement.

YOUR INSTALLATION WARRANTY RIGHTS AND OBLIGATIONS (Installer’s name) must warrant that the installati on of an LSI retrofit emission control system is free from defects in workmanship or materials which cause the LSI retrofit emission control system to fail to conform to the emission control performance level it was verified to, or to the requirements in the California Code of Regulations, Title 13, Sections 2781 to 2786 and 2789. The warranty period and the extent of the warranty coverage provided by (installer’s name) must be the same as the warranty provided by the product manufacturer, and the same exclusions must apply.

OWNER’S WARRANTY RESPONSIBILITY As the engine or equipment owner, you are responsib le for presenting your engine or equipment and LSI retrofit emission contr ol system to (installer’s name) as soon as a problem with the installation is detected.

If you have questions regarding your warranty right s and responsibilities, you should contact (Insert chosen installer’s contact) at 1-800-xxx-xxxx or the

California Air Resources Board at 9528 Telstar Aven ue, El Monte, CA 91731, or (800) 363-7664, or electronic mail: helpline@arb .ca.gov.

(c) (1) Annual Warranty Report . The applicant must submit a warranty report to the Executive Officer by February 1 of each calenda r year. The warranty report must include the following information: (A) Annual and cumulative sales, and annual and cum ulative leases of equipment installed with LSI retrofit emission cont rol systems—(California only). (B) Annual and cumulative production of LSI retrofi t emission control systems (California only). (C) Annual summary of warranty claims (California o nly). The summary must

include: i. A description of the nature of the claims and of the warranty replacements or repairs. The applicant must catego rize warranty24 claims for each LSI retrofit emission control syste m group by the component(s) part number(s) replaced or repaired. ii. The number and percentage of LSI retrofit emiss ion control systems of each model for which a warranty replacement or repa ir was identified. iii. A short description of the LSI retrofit emiss ion control system component that was replaced or repaired under warra nty and the most likely reason for its failure. (E) (D) Date the warranty claims were filed and the engine family and application the LSI retrofit emission control syste ms were used with. The reason(s) for any instances in which warranty servi ce is not provided to end-users that file warranty claims. The applicant may also want to report instances where the applicant chose to honor warran ty claims even though the applicant has determined that those warr anty claims were invalid or that they were not required per Section 2787 of this regulation.

(c) (2) Periodic Warranty Reports

. (A) The applicant must submit a warranty report wit hin 30 calendar days if there are three or more warranty claims for the sam e component or same part number repaired or replaced; or, if there are four or more total warranty claims, or four percent of the cumul ative number of LSI retrofit systems subject to these warranty provisio ns, whichever is greater. The warranty report must include the foll owing information: i. A description of the nature of the claims and of the warranty replacements or repairs. The applicant must catego rize warranty claims for each LSI retrofit emission control group by the component(s) part number(s) replaced or repaired. ii. The number and percentage of LSI retrofit emiss ion control systems of each model for which a warranty replacement or repa ir was identified. iii. A short description of the LSI retrofit emiss ion control system component that was replaced or repaired under warra nty and the most likely reason for its failure. iv. Date the warranty claims were filed and the eng ine family and application the LSI retrofit emission control syste ms were used with. v. The reason(s) for any instances in which warrant y service is not provided to end-users that file warranty claims. T he applicant may also want to report instances where the applicant c hose to honor warranty claims even though the applicant has deter mined that those warranty claims were invalid or that they were not required per Section 2787 of this regulation. (B) The applicant must comply with the requirements specified pursuant to Section 2787(c)(2)(A), above, for warranty claims s ubmitted to the applicant after the reporting dates of the periodic warranty report.

NOTE: Authority cited: Sections 39002, 39003, 395 00, 39600, 39601, 39650-39675, 40000, 43000, 43000.5, 43011, 43013, 43018 and 4310 5, 43600, 43700, Health and25

Safety Code. Reference: Sections 43000, 43009.5, 43013, 43018, 43101, 43104, 43105, 43106, 43107, 43204, 43205, and 43205.5; Hea lth and Safety Code.

§ 2788. Determination of Emissions Reduction.

(a) Calculation of Emissions Reduction . The emissions reduction verified for an LSI retrofit emission control system is based on th e average of all valid test results, as specified in Sections 2783(g) and 2784( f), before (baseline) and after (control) implementation of the LSI retrofit emission control system. Test results from both the emission testing and durabili ty testing are to be included. If the applicant chooses to perform eith er the zero hour or the 2500-hour durability baseline test, but not both, t hose results must be used to

calculate the reductions obtained in both the zero hour and 2500-hour control

tests. (1) Percentage Reduction. The percentage reduction for a given pair of baseline and control test sets (where a “set” consi sts of all test cycle repetitions) is the difference between the average baseline and average control emissions divided by the average baseline e missions, multiplied by 100 percent. The average of all such reductions, a s shown in the equation below, is used in the verification of an L SI retrofit emission control system.

Percentage Reduction = 100 x Σ [(baseline AVG – control AVG )/baseline AVG ]

_____________________________________________

___________________________________ Number of control test sets

Where:

Σ = sum over all control test sets

baseline AVG or control AVG = average of emissions from all baseline or control test repetitions within a given set (2) Absolute Emission Level. The absolute emission level is the average control emission level, as defined in the following equation:

Absolute Emission Level = Σ ( control AVG )

__________________________ _______________ Number of control test sets

(b) Categorization of the LSI Retrofit Emission Control System . The Executive Officer shall categorize an LSI retrofit emission c ontrol system to reduce HC

and NOx emissions based on its verified emissions r eductions. An LSI retrofit emission control system that reduces HC and NOx wil l be assigned its verified percentage reduction or verified emissions reduction level, pursuant to section 2782(f).

The Executive Officer may lower the verification le vel or revoke the

verification status of a verified LSI retrofit emis sion control group if the applicant fails to observe the requirements of Sect ions 2786 or 2787. The26 Executive Officer must allow the applicant an oppor tunity to address the possible lowering or revocation of the verification level in a corrective report to the Executive Officer and the Executive Officer may make this determination

based on all relevant information.

NOTE: Authority cited: Sections 39002, 39003, 395 00, 39600, 39601, 39650-39675, 40000, 43000, 43000.5, 43011, 43013, 43018 and 4310 5, 43600, 43700, Health and Safety Code. Reference: Sections 39650-39675, 430 00, 43009.5, 43013, 43018, 43101, 43104, 43105, 43106, 43107, and 43204-43205. 5 Health and Safety Code; Title 17 California Code of Regulations Section 93000.

§ 2789. In-Use Compliance Requirements.

(a) Applicability

. These in-use compliance requirements apply to al l 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 5 0 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 retro fit emission control systems, as described below in (c), (d), an d (e), once they have been operated between 1,500 and 2,000 hours or between 2 2 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 Offi cer will identify a representative sample of engines or equipment equip ped with LSI retrofit emission control systems for in-use compliance test ing. The engines or equipment with the selected LSI retrofit emission c ontrol systems installed must have good maintenance records and may receive a tune-up or normal maintenance prior to testing. The applicant must o btain information from the end users regarding the accumulated hours of usage, maintenance records (to the extent practicable), operating conditions a nd a description of any unscheduled maintenance that may affect the emissio n results. If the specified information is not available for the engi ne or equipment selected, the Executive Officer may select a different engine or equipment for testing. Upon notification that an engine or equipment has b een selected, an applicant would have 6 months to provide an in-use compliance testing proposal for approval by the Executive Officer. Te sting 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 applica nt must test will be

determined as follows: (1) A minimum of four LSI retrofit emission control systems in each LSI retrofit emission control group must be tested. For every s ystem tested that does27 not reduce emissions by at least 90 percent of the lower bound of its initial verification level, two more LSI retrofit emission control systems from the same group must be obtained and tested. The total number of systems tested shall not exceed ten per LSI retrofit emissi on control group. (2) At the discretion of the Executive Officer, app licants may begin by testing

more than the minimum of four LSI retrofit emission control systems. Applicants may concede failure of an emission contr ol system before testing a total of ten LSI retrofit emission contro l systems.

(e) In-use Compliance Emission Testing . Applicant must measure emissions using one of the following test procedures for in-u se compliance emission testing: (1) Laboratory Testing. Remove the selected engines or the retrofit emissio n control systems for testing in a laboratory. Appli cants must follow the testing procedure used for initial emissions reduct ion verification as described in Section 2783. For engines originally v erified to a percentage reduction, both baseline and control tests are requ ired; for engines originally verified to an absolute emission, only c ontrol tests are required. In addition, applicants must use the same test cycl e(s) that they used to verify the LSI retrofit emission control system ori ginally. (2) Testing Installed Engines. Test the selected engines while they remain installed in the equipment. Applicants must follow the U.S. EPA field-testing procedures as specified in 40 CFR par t 1065, subpart J, as adopted November 8, 2002. The accuracy and precisi on of the measurement system used for in-use testing must be at least +/-5 percent or better. For engines originally verified to a pe rcentage reduction, both baseline and control tests are required; for engine s originally verified to an emission level, only control tests are required. (3) Alternative In-Use Testing. The Executive Officer may approve an alternative to the in-use testing described above, on a case-by-case basis. The proposed alternative must use scientifically so und methodology and be designed to accurately determine whether the LSI retrofit emission control system is in compliance with the requiremen ts that are specified in the verification Executive Order. If the applicant wants to use an alternative in-use test procedure, the applicant sh ould submit the proposed alternative in-use test procedure at the s ame time the applicant submits the proposed verification testing procedure (pursuant to Section 2782(b) for LSI retrofit control system verificatio n. If the applicant proposes an alternative test to determine in- use e missions of the LSI retrofit system, the applicant must provide data to show that the emission test results from the proposed alternative test are consistent with the emission test results derived from engine dynamomet er test for the test cycle(s) that was used in the initial verification of the LSI retrofit system.

(f) If an LSI retrofit emission control system fai ls catastrophically during the in-use compliance testing, the applicant must provi de an investigative report28 detailing the causes of the failure to the Executiv e 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 manufactu red for sale in California, order the applicant to make available for complianc e testing and/or inspection

a reasonable number of LSI retrofit emission contro l systems, and may direct that the retrofit emission control systems be deliv ered at the applicant’s expense to the state board at the Haagen-Smit Labor atory, 9528 Telstar Avenue, El Monte, California 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 man ufactured for sale in California, have an applicant compliance test and/o r inspect a reasonable number of units at the applicant or manufacturer's facility or at any test laboratory under the supervision of the ARB Executi ve 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: (1) Parties involved in conducting the in-use compl iance tests. (2) Quality control and quality assurance informati on for the test equipment. (3) LSI retrofit emission control group name and ma nufacture date. (4) Equipment and type of engine (engine family nam e, make, model year, model, displacement, etc.) the LSI retrofit emissio n control system was applied to. (5) Estimated hours the LSI retrofit emission contr ol system was in use. (6) Results of all emission testing. (7) Summary of all maintenance, adjustments, modifi cations, and repairs performed on the LSI retrofit emission control syst em.

(i) The Executive Officer may request the applican t to perform additional in-use testing if the warranty claims exceed the threshold s specified in section 2787(c)(2)(A) or based on other relevant in formation. As noted in section 2787(c)(2)(A), if warranty claims exceed th e specified thresholds, the applicant must notify the Executive Officer and sub mit 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 t esting, emission test results must indicate that the retrofit system redu ced emissions by at least 90 percent of the lower bound of the emissions redu ction level to which the Executive Officer originally verified it to. If th e first four LSI retrofit emission control systems tested within an LSI retrofit emiss ion control group meet this standard, the LSI retrofit emission control group p asses in-use compliance testing. If any of the first four LSI retrofit emi ssion control systems tested29 within an LSI retrofit emission control group fail to reduce emissions by at least 90 percent of the lower bound of the emission s reduction level to which the Executive Officer originally verified it to, an d if more than four units are tested, at least 70 percent of all units tested mus t pass the 90 percent standard for the LSI retrofit emission control grou p 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 t en units per LSI retrofit emission control group.

(k) Failure of In-use Compliance Testing – Remedial Act ion . If the LSI retrofit system from an emission control group does not meet the minimum requirements for in-use compliance testing, the app licant must submit a remedial report within 90 days after the in-use com pliance report is submitted. The remedial report must include: (1) Summary of the in-use compliance report. (2) Detailed analysis of the failed LSI retrofit em ission control systems and possible reasons for failure. (3) Remedial measures to correct or replace failed LSI retrofit emission control systems as well as the rest of the in-use L SI retrofit emission control systems.

(l) The Executive Officer may evaluate the remedial report, annual warranty report, and all other relevant information to deter mine if the LSI retrofit emission control group passes in-use compliance tes ting. The Executive Officer may request more information from the appli cant. Based on this review, the Executive Officer may lower the verific ation level or revoke the

verification status of a verified LSI retrofit emis sion control group. The Executive Officer may also lower the verification l evel or revoke the

verification status of a verified LSI retrofit emis sion control group, if the applicant does not conduct in-use compliance testin g in accordance with this section, or if the Executive Officer conducts in-us e 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 oppor tunity to address the possible lowering or revocation of the verification level in a remedial report to the Executive Officer prior to taking action loweri ng or revoking the verification level, and shall consider all relevant information.

NOTE: Authority cited: Sections 39002, 39003, 395 00, 39600, 39601, 39650-39675, 40000, 43000, 43000.5, 43011, 43013, 43018 and 4310 5, 43600, 43700, Health and Safety Code. Reference: Sections 43000, 43009.5, 43013, 43018, 43101, 43104, 43105, 43106, 43107, 43204, 43205, and 43205.5; Hea lth and Safety Code.