The effects of passive diesel particulate filters on diesel 

particulate matter concentrations in two underground metal/nonmetal mines 

J.D. Noll, S. Mischler, E. Cauda, L. Patts, S. Janisko & R. Grau 

National Institute for Occupational Safety and Health (NIOSH), Pittsburgh, Pennsylvania, USA 

ABSTRACT: In 2008, the final rule limiting the personal exposure of underground metal/non-metal miners to 

diesel particulate matter (DPM) went into effect. In response, metal/non-metal mines are implementing a variety 

of control technologies to comply with this rule. Two mines have implemented a control strategy where a 

majority of their larger vehicles, which emit most of the particulate, were retrofitted with passive diesel particulate 

filters (DPFs). In addition to the DPFs, one mine increased ventilation to dilute the DPM concentrations. A 

second mine used a combination of DPFs, biodiesel fuel, flow-through particulate filters, ventilation, and 

enclosed cabs to limit the exposure to DPM to miners. In this study, NIOSH measured the atmospheric 

concentrations of DPM and gases in these two mines in order to evaluate the effects of the control strategies on 

the atmospheric DPM concentrations. The results showed that the DPFs substantially reduced the particulate 

emissions, and in general, the DPM concentrations were below the final limit. However, the DPM concentrations 

were occasionally over the final limit in areas where vehicles without DPFs were operating and in some areas 

with lower ventilation rates. These findings indicate that in a few areas of the mine, additional controls such as 

increased ventilation may be needed to reduce the DPM concentrations below the final limit. NIOSH was also 

interested in the atmospheric nitrogen dioxide (NO2) concentrations in these mines, since some passive DPFs can 

increase NO2 concentrations. The measured NO2 concentrations did not exceed 5 part per million (ppm) (ACGIH 

STEL) at these mines. 

1 Introduction 

Diesel particulate matter (DPM) is believed to be a 

possible carcinogen (IARC, 1989; NIOSH, 1988; US EPA 

2002). Further, diesel exhaust has been linked to health 

effects such as eye and nose irritation, headaches, nausea, 

and asthma (Kahn et al., 1988; Rundell et al., 1996; Wade 

& Newman 1993). Because underground miners may be 

exposed to some of the highest levels of diesel exhaust in 

the United States, the Mine Safety and Health 

Administration (MSHA) has promulgated rules to limit the 

exposure of miners to DPM (MSHA, 2001; 2006). In an 

effort to decrease DPM concentrations and comply with 

this rule, mines are implementing a variety of control 

technologies. One form of control technology being used is 

the diesel particulate filter (DPF). 

DPFs employed on the equipment in underground 

metal/non-metal mines are usually a ceramic or silicon 

carbide wall-flow monolith type. The particulate in the 

tailpipe is collected and builds up onto the filter. At some 

point, if the filter is not replaced or the particulate is not 

removed, the build-up of the particulate will cause high 

back pressure on and possible damage to the engine. 

The particulate can be removed from the filter by 

regenerating the filter, which entails oxidization of the 

particulate to form CO and CO2. Filters must reach a 

temperature above 500o

C to regenerate. In order to 

decrease the temperature needed for regeneration, filters 

are sometimes coated with a catalyst such as platinum to 

enhance oxidation, or a catalyst is placed in the fuel system 

(fuel-borne catalyst) and onto the filter along with the 

particulate. These catalyzed filters can regenerate at 

temperatures ranging between 250 and 300o

C. 

There are two types of regeneration schemes - termed 

active and passive - commonly used to regenerate DPFs 

for underground mining equipment. The active filter relies 

upon an outside source to produce the heat to regenerate 

the filter. This can entail taking the loaded filter out of the 

vehicle to be regenerated or taking the vehicle out of 

production and regenerating the filter while it is still on the 

vehicle. The passive filter is usually catalyzed and 

regenerates while the vehicle is operating, using the heat 

from the engine exhaust to regenerate the filter. Thus, the 

passive filter offers the advantage of the vehicle not being 

taken out of service and the filter not needing to be 

replaced. However, passive filters cannot be used on all 

pieces of equipment, since not all vehicles are able to 

produce exhaust temperatures high enough for self 

regeneration. Some catalyzed passive filters can also cause 

an increase in NO2 emissions, which could result in a 

health hazard. 

Ceramic filters have proven to be effective on some 

underground mining equipment, with reductions of over 

75% in total DPM and over 90% in elemental carbon 

(Bugarski et al,. 2005, 2006; MSHA, 2005; Roegner et al., 

2002). In addition, on a loader under actual mining 

conditions, the use of a passive DPFs resulted in self 

regeneration using the exhaust temperatures of the vehicle 
and no significant NO2 concentration increase (Noll & 

Patts, 2009). 

Due to the high reductions reported and the field 

successes of passive DPFs, two mines have implemented a 

DPM control strategy involving passive DPFs. One mine 

(Mine A) installed passive DPFs on the mine’s larger 

vehicles that have exhaust temperatures high enough to 

allow regeneration. In order to further dilute the DPM, the 

ventilation in the mine was also increased and redirected. 

Another mine (Mine B) also installed passive DPFs on 

most of their larger vehicles. Instead of DPFs, some of the 

smaller vehicles were retrofitted with flow through filters 

(FTF) because particles do not build up on FTFs. FTFs are 

specialized diesel oxidation catalyst (DOC) filters that 

utilize substrates with some capacity to capture 

particulates. Even when FTFs are saturated with 

particulate and regeneration does not occur, particulates do 

not build up and are still able to flow through. When FTFs 

were used, previous studies have reported a DPM 

reduction efficiency ranging from 30 to over 50% 

efficiency (ARB 2008, Okawara et al., 2005, Choi et al. 

2007). Mine B also used a biodiesel blend (70% 

biodiesel/30% ultra low sulphur diesel) to further lower 

emissions since biodiesel has been shown in previous 

studies to reduce DPM emissions (Bugarski et al., 2006). 

The two goals of this study were to: (1) evaluate the 

control strategies being used in these two mines; and (2) 

assess how effectively the passive DPFs were functioning. 

To meet these goals, the concentrations of DPM in the 

mines were measured, information was gathered on any 

back pressure problems when using the DPFs, and ambient 

NO2 concentrations were measured. 

2 Methods 

2.1 Sampling baskets 

To collect diesel particulate matter at various locations in 

Mines A and B, several different types of samplers were 

employed and placed into a basket as seen in Figure 1. At 

least two SKC DPM cassettes attached to MSA Elf 

sampling pumps (flow rate of 1.7 lpm) were used to collect 

particulate samples to be analyzed for elemental and total 

carbon. This type of measurement was taken because it is 

used by the Mine Safety and Health Administration 

(MSHA) for DPM compliance sampling (MSHA 2005). 

The SKC DPM cassette is a size-selective device 

(impactor) which collects particles less than 0.8 μm in 

diameter. This sampling technique is effective at 

segregating the diesel particles from the larger airborne 

material such as dust, since the size of DPM aerosol is 

usually less than 0.8 μm, while dust particles in mines are 

usually larger than 0.8 μm (Noll et al., 2006). A quartz 

filter inside the cassette was used to collect particulate, and 

the cassette was later analyzed for elemental carbon (EC) 

and total carbon (TC) using the NIOSH method 5040 at 

the NIOSH laboratory in Pittsburgh. 

EC and TC are used as surrogates for DPM because 

direct measurement of DPM lacks the required sensitivity 

and can be prone to interferences (Noll et al., 2006). 

Because TC accounts for over 80% of DPM and can be 

measured accurately (Pierson & Brachaczek, 1983: Noll et 

al., 2006, 2007), MSHA uses a TC value (160 μg/m3

) for 

the final permissible exposure limit (PEL). TC, however, is 

prone to interferences from cigarette smoke and oil mist. 

Therefore, because EC is specific to DPM and correlates 

well to TC, a compliance sample is determined using both 

the TC and EC results (MSHA, 2005, Noll et al., 2007). 

First, the TC value from a personal sample is determined. 

If this value is above the final limit, then in order to 

discount the influence of any interferences, an adjusted TC 

value is calculated by multiplying the EC value of the 

personal sample by a conversion factor. This conversion 

factor or TC/EC ratio is determined from TC and EC 

analysis of samples collected downstream of the miner in 

an area assessed to be clear of significant interferences, yet 

representative of the air the miner is breathing. Both the 

analyzed TC value from the personal sample and the 

calculated TC value from the TC/EC ratio must be above 

the final limit for the sample to be out of compliance. 

For the sampling at Mines A and B, a Vaisala GM70 

was used to measure CO2 concentrations every minute. An 

ICx, or NIOSH prototype, DPM monitor was used to 

assess the concentration of EC in mine air on a continuous 

basis (Noll et al., 2007; Janisko & Noll 2008). The 

performance of the ICx has been shown to correlate well 

with results from SKC DPM cassettes analyzed for EC 

using the NIOSH 5040 method (Noll et al., 2007; Janisko 

& Noll, 2008). ITX multi-gas instruments were used to 

measure NO2 concentrations. 

Figure 1 A sampling basket hanging along the rib. 

2.2 NIOSH method 5040 

After samples were collected onto the quartz filters, they 

were analyzed for elemental and total carbon using NIOSH 

Method 5040 (Birch, 2004) at NIOSH in Pittsburgh using 

the Sunset Laboratory carbon analyzer This analytical 

method analyzes for organic carbon (OC) and EC collected 
 

 

 

on the filter in two different stages. In the first stage, the 

OC is evolved in a pure helium (He) atmosphere by 

ramping the instrument’s oven temperature through four 

progressively higher programmed temperature steps, with 

the last step being at about 870o

C. The EC on the filter 

does not evolve in this atmosphere because there is no 

oxygen (O2) available with which it can react. The evolved 

OC is oxidized to carbon dioxide (CO2), reduced to 

methane (CH4), and finally measured using a flame 

ionization detector (FID). In the second stage, the EC is 

measured, by reducing the oven temperature to about 

600o

C and then again raising the temperature to about 

900o

C in a He/O2 atmosphere (O2 is now present to react 

with the EC to form CO2), the EC evolves to CO2. The EC 

is then measured in the same way as the OC with an FID. 

OC and EC are then summed to obtain TC. The NIOSH 

Method 5040 also optically corrects for pyrolysis 

(charring) of OC. 

NIOSH 5040 has been shown to meet the NIOSH 

accuracy criteria and has yielded good results for interlaboratory testing (Birch, 2004). 

2.3 Sampling at Mine A 

For three days in a row, sampling baskets (see Section 2.1) 

were used to collect DPM in different areas of the mine. 

On Day 1, a basket was placed on a loader (Loader 1) 

equipped with an Engelhard passive ceramic DPF and 

operated in a face area. Three baskets were hung along the 

rib in different areas as shown in Figure 1. Two baskets 

with SKC DPM cassettes solely for DPM sampling and 

subsequent EC and OC analysis were set up in two exhaust 

air courses. On this day, all of the larger vehicles were 

equipped with DPFs. 

On Day 2, baskets were not placed on any vehicles, but 

one basket was hung at the face area. Three baskets were 

placed in the same locations as on day one. Two baskets 

for NIOSH 5040 samples only were placed in the same 

exhaust air courses as on day one. 

On Day 3, one basket was placed on a loader 

(Loader 2) equipped with an Englehard passive ceramic 

DPF. The loader operated at a face. Another basket was 

attached to a backfill jammer that had no control 

technology; the jammer worked at a different section than 

Loader 2. Two baskets were placed in two different areas 

of the mines. Two baskets solely for NIOSH 5040 samples 

were again placed in the exhaust air courses. 

The samples were collected for about 6 hours each day. 

Most of the larger vehicles in this mine had Englehard or 

DCL ceramic passive DPFs. A vane anemometer was 

attached to an extendable rod and was used to collect air 

velocity readings for one minute in the sample areas, and 

entry cross-sectional measurements were recorded. 

2.4 Sampling at Mine B 

For three days in a row, sampling baskets (see Section 2.1) 

were used to collect DPM samples in different areas of the 

mine. Table 1 lists the locations of the baskets for each day 

and notes the sampling times. 

Table 1 Location of Sampling Baskets for Mine B 

Day Location Sampling 

Time 

1 

on truck 1 with a DCL Mine-X BM ceramic passive 

DPF used for hauling ore from the face to the 

crusher 

4-5 hours 

2 on mucker 1 with diesel oxidation catalyst (DOC) 

used for cleaning up face area over 6 hours 

2 on mucker 2 with NETT ceramic passive DPF 

used at a face area over 6 hours 

2 on truck 2 with NETT ceramic passive DPF over 6 hours 

2 exhaust over 6 hours 

3 on mucker 4 with Englehard ceramice passive 

DPF used at face over 6 hours 

3 on truck 3 with NETT ceramic passive DPF over 6 hours 

3 on mucker 5 with Mann Hummel sintered metal 

passive DPF used at face over 6 hours 

3 exhaust over 6 hours 

Relevant observations made during sampling were the 

following: Mucker 1 was not operating for the entire shift. 

Drilling was also occurring near Mucker 1 and oil mist 

could have affected some of the TC measurements. The 

basket on Mucker 4 was first attached to Mucker 3 with a 

DOC, but this mucker was not being used. Therefore, at 

9:30 a.m., the basket was transferred to Mucker 4. The real 

time data (EC and CO2) did not record for Truck 3 due to 

instrument errors. 

Ventilation measurements were taken at the faces and 

different areas of the mine using the same procedure as for 

Mine A. 

2.5 Dynamic Blank Correction 

Quartz filters have been found to absorb vapour phase OC, 

which is not traditionally recognized as part of DPM or 

other types of particulate carbon, and thereby, this 

absorption will contribute a positive bias in DPM TC 

results (Noll & Birch 2008). To correct for this bias, a 

second filter was placed behind the sample filter, resulting 

in two filters positioned in tandem (Noll & Birch, 2008). 

In theory, only the sample filter collects particulate OC, 

but both filters absorb about the same amount of vapor 

phase OC. Results from the second filter were therefore 

subtracted from the sample filter OC values to correct for 

the absorbed vapour phase OC. 

2.6 Normalizing Data with CO2 Concentration 

The EC results obtained during this study were divided by 

the CO2 concentrations (background CO2 was subtracted 

out) to determine the EC to fuel burned ratio. Fuel 

consumption is directly proportional to CO2 mass 

emissions (Bugarski et al., 2005, 2006; Schnakenberg et 

al., 1986;, Johnson & Carlson., 1986). Therefore, the EC 

to fuel burned ratio can then be determined by dividing the 

EC by CO2 concentrations. 

The EC values can be affected not only by the DPFs 

but also by load on engine, ventilation, vehicle time of 

operation, and daily haulage. To determine how the usage 

of DPFs alone affect the EC values, previous studies have 

used CO2 concentrations (fuel usage) to normalize the EC 

value when comparing a vehicle equipped with and 

without a DPF under similar engine load conditions. CO2 
 

 

 

 

 

 

 

 

 

 

 

concentration is not significantly affected by the usage of a 

DPF but can be used to correct for changes in ventilation, 

time of vehicle operation, and daily haulage quantities. 

(Bugarski et al., 2006). Table 2 shows typical EC/CO2 

ratios measured for mining vehicles operated in an isolated 

zone study, where the only source of EC was from the 

vehicle being tested (Bugarski et al., 2006). 

Table 2 EC/CO2 Ratios from a 2003 Isolated Zone Study 

baseline with DPF 

Vehicle EC/CO2 EC/CO2 

Haul Truck 128 0.49 0.02 

Haul Truck 133 0.84 0.01 

mucker 942 0.43 0.06 

mucker 506 0.55 

mucker 526 0.42 

Unlike in the 

isolated zone study, the EC/CO2 ratios from Mines A and 

B may be influenced by vehicles operating upstream. 

However, the exhaust from those vehicles working in the 

same area should produce the largest contribution to the 

ratio. Therefore, if DPFs reduce the DPM as reported in 

other studies (by over 75%), the EC/CO2 ratios should be 

expected to be significantly less in areas where vehicles 

employ DPFs compared to areas where vehicles use no 

control technology. 

3 Results and Discussion 

3.1 Effects of DPFs on DPM 

As seen in Table 3, the EC/CO2 ratios for vehicles with no 

DPFs in mines A and B were 0.42 and 0.84. 

Table 3 EC/CO2 Ratios for Samples Taken on Vehicles 

Mine Vehicle EC/CO2 

A Backfill Jammer without DPF 0.42 

A Loader 1 with DPF 0.04 

A Loader 2 with DPF 0.05 

B Mucker 1 with DOC 0.81 

B Truck 1 with passive DPF 0.05 

B Truck 2 with passive DPF 0.05 

B Mucker 2 with passive DPF 0.12 

B Mucker 4 with passive DPF 0.19 

B Mucker 5 with sintered metal DPF 0.16 

Note: See Methods section for detail description of control 

technology used on each vehicle in Table 3. 

These ratios 

are similar to the ones reported by Bugarksi et al. (2006) 

for mining vehicles (see Table 2: 0.42-0.84). The ratios 

determined on vehicles with DPFs were significantly lower 

(0.01-0.19) than the ratios reported for similar types of 

vehicles without DPFs performing similar tasks in both the 

isolated zone and this field study. These ratios imply that 

the DPFs resulted in a significant decrease in DPM 

emissions. 

The ratios from vehicles with DPFs in Mine A and the 

trucks in Mine B were similar to the ratios observed for 

vehicles with DPFs in the isolated zone study. However, in 

Mine B, some of the EC/CO2 ratios from vehicles with 

DPFs were higher than those in the isolated zone. This 

could be due to the effects of vehicles with no emission 

controls, vehicles with FTFs, less efficient DPFs, or DPFs 

with slight leaks. 

3.2 DPM Concentrations in the mines 

In this study, the concentrations of DPM were measured at 

many locations in the mine to determine the overall effects 

of the control strategies employed. Tables 4 and 5 show 

the concentrations of TC and EC from Mines A and B. The 

TCadj was calculated by a procedure similar to MSHA 

compliance sampling (MSHA, 2005). However, these 

concentrations do not necessarily represent miner exposure 

levels, since the time that miners were working in these 

areas is unknown and because enclosed cabs were used in 

some cases. 

As seen in Table 4, for most areas in Mine A, the 

concentration of DPM was below the final PEL 

(160 μg/m3

 TC). 

Table 4 EC and TC Concentrations from Areas in Mine A 

Area EC 

(μg/m3

) 

TC 

(μg/m3) 

TC adj 

(μg/m3) 

Ventilation 

(cfm) 

Area (on jammer) 447.50 515.23 671.26 25,358 

Face (on loader 1) 125.22 208.44 187.82 16,696 

Face (on loader 2) 126.92 181.90 190.37 23,513 

Face (area) 75.45 118.85 113.17 16,696 

Cross-section 80.98 117.76 121.47 162,000 

Cross-section 63.97 69.94 95.96 162,000 

Cross-section 31.37 44.27 47.05 102,000 

Cross-section 26.58 43.76 39.87 102,000 

Cross-section 51.99 66.71 77.99 102,000 

Cross-section 60.32 86.93 90.47 102,000 

Cross-section 50.85 65.79 76.28 102,000 

Cross-section 72.10 90.60 108.15 102,000 

Exhaust Air Course 78.00 115.48 117.00 244,198 

Exhaust Air Course 64.98 101.11 97.48 244,198 

Exhaust Air Course 100.31 122.67 150.46 244,198 

Exhaust Air Course 57.48 84.31 86.23 27,295 

Exhaust Air Course 36.09 52.24 54.14 27,295 

Exhaust Air Course 85.08 118.69 127.62 27,295 

However, sometimes this was not the 

case. The average concentration for the shift was above the 

final limit when vehicles without DPFs were operated 

(Table 4: area (on Jammer)). The average concentrations 

of samples on Loaders 1 and 2 were also slightly above the 

final limit, even though both vehicles were equipped with 

DPFs. These areas where Loader 1 and 2 were working 

had the lowest measured ventilation rates. 

TC adj = EC x 1.5: 1.5 being the highest TC/EC ratio from 

the exhaust samples 

In general, the DPM control strategy used in Mine A 

resulted in concentrations below or close to the final PEL. 

However, higher DPM concentrations were observed in 
areas where vehicles without DPFs were operating and in 

areas with lower ventilation. Therefore, in some areas, 

additional strategies such as DPFs on other vehicles, 

increased ventilation, use of a biodiesel blend, 

administrative controls, or enclosed cabs should be 

employed to further reduce the DPM concentrations. 

As seen in Table 5, just as in Mine A, the DPM 

concentrations in most areas in Mine B were below the 

final limit.

Table 5 EC and TC Concentrations from Areas in Mine B 

Area EC (μg/m3) TC (μg/m3) TC adj Ventilation 

Face (mucker 1) 99.50 204.06 149.25 5000 

Face (mucker 2) 81.40 111.37 122.10 9000 

Face (mucker 4) 116.30 147.87 174.45 78000 

Face (mucker 5) 113.70 143.92 170.55 172000 

Areas (on truck 1) 26.19 53.63 39.29 

Areas (on truck 2) 45.44 79.03 68.16 

Areas (on truck 3) 152.33 192.93 228.49 

Exhaust Air Course 136.66 209.47 204.98 39000 

Exhaust Air Course 129.28 159.87 193.92 172000 

TC adj = EC x 1.5 : 1.5 is the highest TC/EC ratio from exhaust 

samples

 However, some areas had average DPM 

concentrations about 25% higher than the PEL. Mucker 1 

was not equipped with a DPF, but the average 

concentration of samples on Mucker 1 was not above the 

final PEL. This was probably due to Mucker 1 only 

operating for a limited time. Mucker 1 showed one of the 

highest EC to fuel burned ratios for the mining vehicles 

(see Table 3), and during operation its concentration of 

DPM was about 150 μg/m3

 EC (225 μg/m3 TCadj) (see 

Figure 2). 

Figure 2 Real-time EC Concentrations for Mucker 1 in 

Mine B 

Concentrations above the final limit can be the result of 

the influence of vehicles without DPFs and lower 

ventilation rates. In order to lower the concentration of 

DPM in the areas that fell above the final limit, Mine B 

could retrofit DPFs on some of the mine’s other vehicles, 

increase ventilation in certain areas, or implement 

administrative controls. 

3.3 Regeneration 

Discussions with personnel from Mines A & B revealed 

that the vehicles equipped with passive DPFs seem to 

regenerate well. The use of DPFs did not result in 

backpressure problems and the equipment did not have 

much down time due to filter problems. 

3.4 Nitrogen Dioxide Concentrations 

A concern when using passive DPFs is that some can 

increase nitrogen dioxide (NO2) emissions, resulting in 

higher ambient concentrations (Bugarski et al., 2006). As 

seen in Figures 3 and 4, the NO2 concentrations did not 

exceed 5 ppm (ACGIH STEL) with the ventilation used in 

these mines.

Figure 3 Nitrogen Dioxide (NO2) Concentrations 

measured in Mine A. 

NO2 (ppm) 

4 mucker 1 

3.5 mucker 2 

truck 3 3 mucker 5

2.5 

2 

1.5 

1 

0.5 

0 

6:00:00 8:24:00 10:48:00 13:12:00 15:36:00 18:00:00 

Time 

Figure 4 NO2 Concentrations measured in Mine B. 

 In fact, for most areas in the mines, the NO2

concentration did not exceed 3 ppm (ACGIH TLV TWA). 

In one area (on Loader 1) that was the least ventilated in 

Mine A, the NO2 concentration did exceed 3 ppm at times, 

but the time weighted average was below 3 ppm. 

4 Conclusion 

The two mines studied have successfully implemented 

DPM control strategies and are continuing to investigate 

ways to lower DPM concentrations for their miners. The 

control strategies employed resulted in concentrations 

below MSHA’s final limit in most cases. However, the 

concentrations were slightly above the limit in some areas 
operating vehicles with DPFs where the ventilation was 

relatively low. The concentration of DPM was also higher 

than 160 μg/m3

 TC when some vehicles without DPFs 

were operating for an extended time. 

The DPFs on the vehicles seemed to be effective in that 

they reduced DPM significantly, seemed to be 

regenerating and not causing back pressure problems, and 

the ambient NO2 concentrations measured were below the 

ACGIH STEL (5 ppm). Ventilation as part of their control 

strategy was necessary for these mines, for the data 

suggested that the DPFs alone would not lower 

concentrations below the final limit. Ventilation also gives 

the advantage of diluting other contaminants like NO2. 

Additional controls may be needed to lower 

concentrations in some areas of the studied mines. Such 

controls could include the use of DPFs on more 

equipment; increased or redirected ventilation; 

administrative controls, such as limiting the number of 

vehicles in an area; and the use of enclosed cabs. 

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Disclaimer: Mention of a company name or product does 

not constitute endorsement by the Centers for Disease 

Control and Prevention. The findings and conclusions in 

this report are those of the authors and do not necessarily 

represent the views of the National Institute for 

Occupational Safety and Health.