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(continued)
(A) Similarity of the field vehicle's engine to the laboratory engine, and
(B) Similarity of the diesel emission control system's calibration and set-up when installed on the field vehicle to that when installed on the laboratory engine.
(2) Off-road and Stationary Applications. The applicant must use the same cycle for the emission reduction testing as defined in Section 2703. A minimum of three hot-start tests is required.
(g) Test Run. The requirements for emissions reduction testing are summarized in Table 4, below.
(1) The diesel emission control strategy must undergo one set of emission tests before beginning and after completion of the service accumulation. Baseline testing with test repetitions as indicated in Table 4 must be conducted for either the initial test or the final test, but is suggested for both. If there are substantial test data from previous field studies or field demonstrations, applicants may request that the Executive Officer consider these in place of the initial emission tests.
(2) As an alternative to testing a single unit before and after the service accumulation period, the applicant may request that the Executive Officer consider the testing of two identical units, one that has been preconditioned and another that has completed the service accumulation period. In reviewing the request, the Executive Officer may consider all relevant information, including, but not limited to, the following:
(A) The effect of the diesel emission control strategy on engine operation over time. Strategies that cause changes in engine operation are likely not to qualify for this testing option.
(B) The quality of the evidence the applicant can provide to support that the two units are identical,
(C) Previous experience with similar or related technologies, and
(D) Whether the applicant is participating in the U.S. EPA verification process and has made an agreement with U.S. EPA to test two units.
(3) For strategies that include exhaust aftertreatment, engine backpressure and exhaust temperature must be measured and recorded on a second-by-second basis (1 Hertz) during at least one baseline run and each of the control test runs.
Table 4. Emission Tests Required for Durability Demonstrations

Initial Test (prior to service accumulation)
Final Test (after completion of 100% of the
Application Test Type service accumulation)
Engine FTP Heavy-duty Transient Cycle
(1 cold and 3 hot-starts)
On-Road Chassis UDDS (3 hot-starts) and a
low-speed cycle per 2703 (e)(1)(B)2.
(3 hot-starts)
Off-Road and Steady-state test cycle from
portable Engine ARB off-road regulations or an
engines alternative cycle (3 hot-starts)
Stationary Engine Steady-state test cycle from ARB
off-road regulations or an alternative
cycle (3 hot-starts)

(h) Maintenance During Durability Demonstration. Except for emergency engine repair, only scheduled maintenance on the engine and diesel emission control system and re-fill of additives (if any) may be performed during the durability demonstration. If normal maintenance includes replacement of any component of the diesel emission control system, the time (miles, years, or hours) between component change or refill must be reported with the results of the demonstration.
(i) Performance Requirements. The diesel emission control strategy must meet the following requirements throughout the durability demonstration period:
(1) If the applicant claims a percent emission reduction, the percent emission reduction must meet or exceed the initial verified percent emission reduction level.
(2) If the applicant claims to achieve 0.01 g/bhp-hr for PM, the PM emission level must not exceed 0.01 g/bhp-hr.
(3) The diesel emission control system must maintain its physical integrity. Its physical structure and all of its components not specified for regular replacement during the durability demonstration period must remain intact and fully functional.
(4) The diesel emission control strategy must not cause any damage to the engine, vehicle, or equipment.
(5) The backpressure caused by the diesel emission control strategy should not exceed the engine manufacturer's specified limits, or must not result in any damage to the engine.
(6) No maintenance of the diesel emission control system beyond that specified in its owner's manual will be allowed without prior Executive Officer approval.
(j) Conditional Verification for Off-road and Stationary Applications. If the Executive Officer determines that the diesel emission control strategy is technologically sound and appropriate for the intended application, he may grant a conditional verification for off-road and stationary applications upon completion of 33 percent of the minimum durability period. In making this determination, the Executive Officer may consider all relevant information including, but not limited to, the following: the design of the diesel emission control system, filter and catalyst substrates used, similarity of the system under consideration to verified systems, the intended application of the diesel emission control system, other relevant testing data, and field experience. Where conditional verification is granted, full verification must be obtained by completing the durability testing and all other remaining requirements. These requirements must be completed within a year after receiving conditional verification if laboratory testing is chosen and within three years if field testing is chosen. For the aforementioned time periods, conditional verification is equivalent to verification for the purposes of satisfying the requirements of in-use emission control regulations.
(k) Failure During the Durability Demonstration Period. If the diesel emission control strategy fails to maintain its initial verified percent emission reduction or emission level for any reason, the Executive Officer may downgrade the strategy to the verification level which corresponds to the lowest degraded performance observed in the durability demonstration period. If the diesel emission control strategy fails to maintain at least a 25 percent PM reduction or 15 percent NOx reduction at any time during the durability period, the diesel emission control strategy will not be verified. If the diesel emission control strategy fails in the course of the durability demonstration period, the applicant must submit a report explaining the circumstances of the failure within 90 days of the failure. The Executive Officer may then determine whether to deny verification or allow the applicant to correct the failed diesel emission control strategy and either continue the durability demonstration or begin a new durability demonstration.


Note: Authority cited: Sections 39002, 39003, 39500, 39600, 39601, 39650-39675, 40000, 43000, 43000.5, 43011, 43013, 43018, 43105, 43600 and 43700, Health and Safety Code. Reference: Sections 39650-39675, 43000, 43009.5, 43013, 43018, 43101, 43104, 43105, 43106, 43107 and 43204-43205.5, Health and Safety Code; and Title 17 California Code of Regulations Section 93000.



s 2705. Field Demonstration Requirements.
(a) The applicant must demonstrate compatibility of its diesel emission control strategy in the field with at least one vehicle or piece of equipment belonging to the initial emission control group for which it seeks verification. Note that if the durability demonstration selected by the applicant is in-field, it may be used to satisfy the field demonstration requirement for that emission control group.
(1) Compatibility is determined by the Executive Officer based on the third-party statement (see part (c) of this section) and any other data submitted including backpressure data. A diesel emission control strategy is compatible with the chosen application if it:
(A) Does not cause damage to the engine or engine malfunction
(B) Does not cause backpressure outside of the engine manufacturer's specified limits or which results in any damage to the engine
(C) Does not hinder or detract from the vehicle or equipment's ability to perform its normal functions
(D) Is physically intact and well mounted with no signs of leakage or other visibly detectable problems
(2) To determine whether additional emission control groups require separate field demonstrations, the Executive Officer may consider all relevant information, including, but not limited to existing field experience and engineering justification and analysis.
(b) Test Period.
(1) For on- and off-road engines, and stationary engines not used in emergency generators, a vehicle or piece of equipment must be operated with the diesel emission control strategy installed for a minimum period of 200 hours or 10,000 miles, whichever occurs first.
(2) For stationary emergency standby engines, the emission control system must remain in the field for at least 30 days and operation must include:
(A) 12 maintenance runs (allowing for engine cool down between runs), and
(B) a minimum of two separate 4 hour sessions where the engine is operated under load (allowing engine cool down between runs).
(c) Reporting Requirements.
(1) For strategies that include exhaust aftertreatment, engine backpressure and exhaust temperature must be measured and recorded over the entire demonstration period. The applicant may propose a sampling scheme 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 changes above some threshold value. Data must be submitted electronically in columns as a text file or another format approved by the Executive Officer.
(2) The applicant must provide a written statement from a third party approved by the Executive Officer, such as the owner or operator of the vehicle or equipment used in the field demonstration. The written statement must be provided at the end of the test period and must describe the following aspects of the field demonstration: overall performance of the test application and the diesel emission control strategy, maintenance performed, problems encountered, and any other relevant information. The results of a visual inspection conducted by the third party at the end of the demonstration period must also be described. The description should comment on whether the diesel emission control strategy is physically intact, securely mounted, leaking any fluids, and should include any other evaluative observations.
(d) Failure During the Field Demonstration. If the diesel emission control strategy fails in the course of the field demonstration, the applicant must submit a report explaining the circumstances of the failure within 90 days of the failure. The Executive Officer may then determine whether to deny verification or allow the applicant to correct the failed diesel emission control strategy and either continue the field demonstration or begin a new field demonstration.


Note: Authority cited: Sections 39002, 39003, 39500, 39600, 39601, 39650-39675, 40000, 43000, 43000.5, 43011, 43013, 43018, 43105, 43600 and 43700, Health and Safety Code. Reference: Sections 39650-39675, 43000, 43009.5, 43013, 43018, 43101, 43104, 43105, 43106, 43107 and 43204-43205.5, Health and Safety Code; and Title 17 California Code of Regulations Section 93000.



s 2706. Other Requirements.
(a) Limit and Procedure for Measuring Nitrogen Dioxide (NO 2).
(1) The post-control NO 2 emissions must not exceed 20 percent of the total baseline (pre-control) NOx emissions on a mass basis, from the same test cycle(s) for emission testing from Section 2703 (e). This limit takes effect beginning on January 1, 2007. Diesel emission control strategies verified and installed prior to January 1, 2007 are exempted from this requirement. Those verified prior to January 1, 2007 will no longer be allowed for installation after January 1, 2007 unless they meet the NO 2 emission limit. After January 1, 2007, all diesel emission control strategies verified and installed must meet this requirement.
(2) NO 2 emissions are to be quantified by one of the following methods:
(A) Two chemiluminescence analyzers,
(B) A dual-path chemiluminescence analyzer, or
(C) An alternative method approved by the Executive Officer.
(3) For (2)(A) and (2)(B), the analyzers are to be fed from a heated and conditioned sample path. If two chemiluminescence analyzers are employed, they are to be simultaneously fed from a common heated sample path. One instrument (or path) shall be set to NOx mode, while the second shall be set to nitric oxide (NO) mode. The instrument (or path) set to NOx mode receives a sample that has passed through an NO 2 -to-NO converter, and the resultant concentration is designated as total NOx (NO+NO 2) in the sample. The instrument (or path) that is set to NO mode receives a sample that has not passed through the converter and quantifies the amount of NO only. The difference between NO and NOx is the amount of NO 2 in the sample. Both NO and NOx signals are recorded by an external data acquisition system at 1 Hertz. Using the average concentrations of NO and NOx over the entire test cycle, the conventional equation for calculating total NOx (Code of Federal Regulations, Title 40, part 86, Subpart N) is then used to generate a gram per mile or g/bhp-hr value for both NO and NOx. The resulting value for NO is then subtracted from that for NOx to determine the gram per mile or g/bhp-hr value for NO 2. The instrument for measuring NO and NOx must be calibrated in accordance with the NOx calibration procedure as described in the Code of Federal Regulations, Title 40, part 86, Subpart N.
(4) Alternative Method to Measure NO 2. The applicant may request the Executive Officer to approve an alternative method in place of the required methods. In reviewing this request, the Executive Officer may consider all relevant information including, but not limited to, the following:
(A) Correlation of the alternative method with the methods stated in 2(A) or 2(B).
(B) Body of existing data generated using the alternative method.
(b) Limits on Other Pollutants.
(1) Limits on non-methane hydrocarbon (NMHC) and NOx. In order for a diesel emission control strategy to be verified, the applicant must comply with one of the following:
(A) The diesel emission control strategy must not increase the emissions of either NMHC or NOx by more than ten percent of the baseline emissions level as reported under section 2708 (a), or
(B) For strategies verified prior to July 1, 2006, the applicant must provide sufficient evidence to demonstrate that the sum of NMHC and NOx emissions with the strategy implemented does not exceed the baseline emission level sum of NMHC and NOx as reported under Section 2708(a); or
(C) For strategies verified on or after July 1, 2006, the applicant must provide atmospheric modeling data which indicates that widespread use of the strategy will not result in an increase in exposure of the public to ozone. The atmospheric model employed must be approved in advance by the Executive Officer.
(2) Limit on CO.
(A) On-road and Off-road (including portable) Engines. In order for a diesel emission control strategy to be verified, the diesel emission control strategy must not increase the emissions of CO greater than the current CO emission standards for new diesel engines adopted by the Air Resources Board and in effect at the time of verification.
(B) Stationary Engines. In order for a diesel emission control strategy to be verified, the diesel emission control strategy must either:
1. Meet the applicable CO standard for off-road engines of the same model year and maximum rated power as specified in the Off-Road Compression-Ignition Engine Standards (title 13, CCR, section 2423). If no standards have been established for an off-road engine of the same model year and maximum rated power as the stationary diesel-fueled CI engine, then the stationary diesel-fueled CI engine shall meet the Tier 1 standard in title 13, CCR, section 2423 for an off-road engine of the same maximum rated power, irrespective of the stationary diesel-fueled CI engine's model; Or
2. Not increase the emissions of CO by more than 10 percent of the baseline emissions level as reported under section 2708(a).
(3) Limit on Ammonia (NH 3). In order for a diesel emission control strategy to be verified, the diesel emission control strategy must not increase the emissions of ammonia to a level greater than 25 parts per million by volume on average over any test cycle used to support emission reduction claims.
(A) Emissions of ammonia are to be quantified with a method subject to approval by the Executive Officer which employs Fourier Transform Infrared (FTIR) spectroscopy. The applicant may request the Executive Officer to approve an alternative method in place of the required method. In reviewing this request, the Executive Officer may consider all relevant information including, but not limited to, consistency with the method required by U.S. EPA and the body of existing data generated using the alternative method.
(B) If an applicant does not expect its diesel emission control strategy to increase emissions of ammonia, the applicant may request that the Executive Officer waive the requirement to conduct testing for ammonia emissions. In reviewing the request, the Executive Officer may consider all relevant information including, but not limited to, the principles of operation of the diesel emission control strategy, the existence of a mechanism for ammonia formation, and published emissions data from similar technologies.
(C) The strategy must be in compliance with applicable federal, state, and local government requirements relating to ammonia emissions, which may be more stringent than the limit presented here.
(4) Other Pollutants. In order for a diesel emission control strategy to be verified, the diesel emission control strategy must not increase the emissions of other pollutants by more than ten percent of the baseline emission level as reported under Section 2708(a).
(c) Fuel Additives. Diesel emission control strategies that use fuel additives must meet the following additional requirements for verification. Fuel additives must be used in combination with a level 3 diesel particulate filter unless they can be proven to the satisfaction of the Executive Officer to be safe for use alone. In addition, the applicant must meet the following requirements:
(1) The applicant must submit the exact chemical formulation of the fuel additive,
(2) Diesel emission control systems employing the dosing of an additive in conjunction with a diesel particulate filter must include an on-board monitor of the additive level in the reservoir, integrated with the diesel particulate filter. The on-board monitor for fuel additive must include indicators to notify the operator when the additive level becomes low and when the additive tank is empty. In addition, the on-board monitor must be capable of shutting off the supply of additive, if there is a detected diesel particulate filter problem,
(3) The applicant must submit to the Executive Officer environmental, toxicological, epidemiological, and other health-related data pertaining to the fuel additive every two years. The Executive Officer will review the data, including any new information, and may revoke the verification if the data indicate that the fuel additives cause, or are linked, to negative environmental, or health consequences.
(4) The applicant must conduct additional emission tests of fuel additives.
(A) Except as provided in (B) below, the additional emission tests must follow the same test procedures, test cycles, and number of test runs as indicated in Section 2703, except that the concentration of the additive must be at least 50 ppm or 10 times higher than that specified for normal use, whichever is highest. In all other respects, the additive in the high concentration test solutions must be identical to that in the fuel additive submitted for verification.
(B) The applicant may petition to use a concentration less than that required in (A), above, if the higher dose would result in catastrophic damage to the engine. The applicant must supply information on the failure modes, and the level of the additive that would trigger failure. The applicant must also supply information and data supporting the highest feasible dose for testing. An increase in emissions is not by itself sufficient to justify a dose lower than that required in (A), above, and must be correlated to potential engine damage. After reviewing this information and any other relevant information, the Executive Officer shall determine if testing at a lower level could be accepted, or if testing must be conducted at 50 ppm or ten times the specified dose rate as required in (A).
(5) Fuel additives must be in compliance with applicable federal, state, and local government requirements. This requirement includes, but is not limited to, registration of fuel additives with the U.S. EPA.
(d) Engine Backpressure and Monitoring. During the emission and durability testing, the applicant must demonstrate that the backpressure caused by its diesel emission control system is within the engine manufacturer's specified limits, or will not result in any damage to the engine. Furthermore,
(1) If operation of the engine with the diesel emission control system installed will result in a gradual build-up of backpressure exceeding the engine's specified limits over time (such as due to the accumulation of ash in a filter), information describing how the backpressure will be reduced must be included.
(2) All filter-based diesel emission control systems must be installed with a backpressure monitor to notify the operator when the high backpressure limit, as specified by the engine manufacturer or included in the verification, is approached. The applicant must identify the high backpressure limits of the system in its application for verification.
(3) The Executive Officer reserves the right to require monitors that identify low backpressure limits in those cases where failures leading to low backpressure are unlikely to be detected, or have the potential to cause environmental damage beyond that caused by the engine prior to being equipped with the emission control strategy (e.g., systems that introduce additives into the fuel).
(e) Fuel and Oil Requirements. The applicant must specify the fuel and lubricating oil requirements necessary for proper functioning of the diesel emission control system. The applicant must also specify any consequences that will be caused by failure to comply with these requirements, as well as methods for reversing any negative consequences.
(f) Maintenance Requirements. The applicant must identify all normal maintenance requirements for the diesel emission control system. The applicant must specify the recommended intervals for cleaning and/or replacing components. Any components to be replaced within the defects warranty period must be covered with the original diesel emission control system package or provided free of charge to the customer at the appropriate maintenance intervals. Any normal maintenance items that the applicant does not intend to provide free of charge must be approved by the Executive Officer (the applicant is not required to submit cost information for these items). In addition, the applicant must specify procedures for proper handling of spent components and/or materials cleaned from the diesel emission control system. If any such materials are hazardous, the applicant must identify them as such in the owner's manual. For filter-based diesel emission control strategies, the applicant must include procedures for resetting any backpressure monitors after maintenance procedures are completed.
(g) System Labeling.
(1) The applicant must ensure that a legible and durable label is affixed on both the diesel emission control system and the engine on which the diesel emission control system is installed except as noted in (3) below. The required labels must identify the name, address, and phone number of the manufacturer, the diesel emission control strategy family name (defined in (2) below), a unique serial number, and the month and year of manufacture. The month and year of manufacture are not required on the label if this information can be readily obtained from the applicant by reference to the serial number. A scale drawing of a sample label must be submitted with the verification application. Unless an alternative is approved by the Executive Officer, the label information must be in the following format:
Name, Address, and Phone Number of Manufacturer Diesel Emission Control Strategy Family Name Product Serial Number
ZZ-ZZ (Month and Year of manufacture, e.g., 06-02)
(2) Diesel Emission Control Strategy Family Name. Each diesel emission control strategy shall be assigned a family name defined as below:
CA/MMM/YYYY/PM#/N /APP/XXXXX
CA: Designates a diesel emission control strategy verified in California
MMM: Manufacturer code (assigned by the Executive Officer)
YYYY: Year of verification
PM#: PM verification level 1, 2, or 3 (e.g., PM3 means a level 3 PM emission control system).
N : NOx verified reduction level in percent, if any (e.g., N25 means NOx reduction of 25 percent).
APP: Verified application which may include a combination of On-road (ON), Off-road (OF), or Stationary (ST)
XXXXX: Five alphanumeric character code issued by the Executive Officer
(3) The applicant may request that the Executive Officer approve an alternative format or waive the requirement to affix a label to the diesel emission control system or engine as described in this section. In reviewing this request, the Executive Officer may consider all relevant information including, but not limited to, the informational content of an alternative label as proposed by the applicant.
(h) Additional Information. The Executive Officer may require the applicant to provide additional information about the diesel emission control strategy or its implementation when such information is needed to assess environmental impacts associated with its use.
(i) Owner's Manual. The applicant must provide a copy of the diesel emission control system owner's manual, which must clearly specify at least the following information:
(1) Warranty statement including the warranty period over which the applicant is liable for any defects.
(2) Installation procedure and maintenance requirements for the diesel emission control system.
(3) Possible backpressure range imposed on the engine.
(4) Fuel consumption penalty, if any.
(5) Fuel requirements including sulfur limit, if any.
(6) Handling and supply of additives, if any.
(7) Instructions for reading and resetting the backpressure monitor.
(8) Requirements for lubrication oil quality and maximum lubrication oil consumption rate.
(9) Contact information for replacement components and cleaning agents.
(10) Contact information to assist an end-user to determine proper ways to dispose of waste generated by the diesel emission control strategy (e.g., ash accumulated in filter-based systems). At a minimum, the owner's manual should indicate that disposal must be in accordance with all applicable Federal, State and local laws governing waste disposal.
(j) Noise Level Control. Any diesel emission control system that replaces a muffler must continue to provide at a minimum the same level of exhaust noise attenuation as the muffler with which the vehicle was originally equipped by the vehicle or engine manufacturer. Applicants must ensure that the diesel emission control system complies with all applicable noise limits contained in Part 205, Title 40, Code of Federal Regulations and California Vehicle Code, Sections 27150, 27151 and 27200 through 27207, for the gross vehicle weight rating and year of manufacture of the vehicle for which the diesel emission control strategy is intended. All diesel emission control systems must be in compliance with applicable local government requirements for noise control.
(k) Multimedia Assessment for Fuel Strategies. Diesel emission control strategies which rely on fuel changes either through use of additives or through use of alternative diesel fuels must undergo an evaluation of the multimedia effects. No diesel emission control strategy that relies on the use of an additive or an alternative fuel may be verified unless a multimedia evaluation of the additive or alternative fuel has been conducted and the California Environmental Policy Council established by Public Resources Code section 71017 has determined that such use will not cause a significant adverse impact on the public health or the environment, pursuant to Health and Safety Code section 43830.8. No person shall sell, offer for sale, supply or offer for supply an alternative fuel or a diesel fuel in California that contains an additive for use in a verified diesel emission control strategy unless such a multimedia evaluation has been conducted and resulted in a determination that use of the alternative fuel or additive will not cause a significant adverse impact on the public health and the environment. The applicant shall bear the expense of conducting the multimedia assessment.


Note: Authority cited: Sections 39002, 39003, 39500, 39600, 39601, 39650-39675, 40000, 43000, 43000.5, 43011, 43013, 43018, 43105, 43600, 43700 and 43830.8, Health and Safety Code. Reference: Sections 39650-39675, 43000, 43009.5, 43013, 43018, 43101, 43104, 43105, 43106, 43107, 43204-43205.5 and 43830.8, Health and Safety Code; Section 71017, Public Resources Code; and Title 17 California Code of Regulations Section 93000.



s 2707. Warranty Requirements.
(a)(1) Product Warranty.
(A) The applicant must warrant to all owners, for ownership within the warranty period and lessees, for lease contracts within the warranty period, that its verified diesel emission control strategy is free from defects in design, materials, workmanship, or operation of the diesel emission control strategy which cause the diesel emission control strategy to fail to conform to the emission control performance level it was verified to, or to the other requirements of Sections 2700-2706, and 2710 for the minimum periods shown in Table 5, provided the operation of and conditions of use for the vehicle, equipment, engine, and diesel emission control strategy conform with the operation and conditions specified in the ARB's Executive Order.
(B) For each engine type and size listed in Table 5, the minimum defects warranty period is terminated by that listed event which occurs first. The warranty must cover the full repair or replacement cost of the diesel emission control strategy, including parts and labor.
(C) The warranty must also cover the full repair or replacement cost of returning engine components to the condition they were in prior to the failure, including parts and labor, for damage to the engine proximately caused by the verified diesel emission control strategy. Repair or replacement of any warranted part, including the engine, must be performed at no charge to the vehicle or engine owner. This includes only those relevant diagnostic expenses in the case in which 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 failure occurs.
(D) The repair or replacement of any warranted part otherwise eligible for warranty coverage, may be excluded from such warranty coverage if the diesel emission control strategy, vehicle or engine has been abused, neglected, or improperly maintained, and that such abuse, neglect, or improper maintenance was the direct cause of the need for the repair or replacement of the part.
(E) Failure of the vehicle or engine owner to ensure scheduled maintenance or to keep maintenance records for the vehicle, equipment, engine, or diesel emission control strategy may, but shall not per se, be grounds for disallowing a warranty claim.
(2) Installation Warranty
(A) A person or company who installs a verified diesel emission control strategy must warrant that the installation is free from defects in workmanship or materials which cause the diesel emission control strategy to fail to conform to the emission control performance level it was verified to or the other requirements of sections 2700-2706 for the minimum time periods shown in Table 5.
(B) For each engine type and size listed in Table 5, the minimum defects warranty period is terminated by that listed event whichever occurs first. The extent of the warranty coverage provided by installers must be the same as the warranty provided by the applicant as established in subsection (a)(1) and the same exclusions must apply.
Table 5. Minimum Warranty Periods

Engine Minimum Warranty
Type Engine Size Period
On-Road Light heavy-duty, 70 to 170 hp,
Gross Vehicle Weight Rating 5 years or 60,000 miles
(GVWR) less than 19,500 lbs.
Medium heavy-duty, 170 to 250
hp, GVWR from 19,500 lbs. to 5 years or 100,000 miles
33,000 lbs.
Heavy heavy-duty, exceeds 250 hp,
GVWR exceeds 33,000 lbs. 5 years or 150,000 miles
Heavy heavy-duty, exceeds 250 hp,
GVWR exceeds 33,000 lbs., and the
truck is:
1. Typically driven over 100,000 2 years, unlimited miles
miles per year, and
2. Has less than 300,000 miles on the
odometer at the time of installation.
Off-Road Under 25 hp, and for constant speed
(includes engines rated under 50 hp with rated
portable speeds greater than or equal to 3 years or 1,600 hours
engines) and 3,000 rpm
Stationary At or above 25 hp and under 50 hp 4 years or 2,600 hours
At or above 50 hp 5 years or 4,200 hours

(b)(1) Product Warranty Statement. The applicant must furnish a copy of the following statement in the owner's manual. The applicant may include descriptions of circumstances that may result in a denial of warranty coverage, but these descriptions shall not limit warranty coverage in any way.
YOUR WARRANTY RIGHTS AND OBLIGATIONS

(Applicant's name) must warrant the diesel emission control system in the application for which it is sold or leased to be free from defects in design, materials, workmanship, or operation of the diesel emission control system which cause the diesel 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 2700 to 2706, and 2710, for the periods of time listed below, provided there has been no abuse, neglect, or improper maintenance of your diesel emission control system, vehicle or equipment, as specified in the owner's manuals. Where a warrantable condition exists, this warranty also covers the engine from damage caused by the diesel emission control system, subject to the same exclusions for abuse, neglect or improper maintenance of your vehicle or equipment. Please review your owner's manual for other warranty information. Your diesel emission control system may include a core part (e.g., particulate filter, diesel oxidation catalyst, selective catalytic reduction converter) as well as hoses, connectors, a back pressure monitor (if applicable), and other emission-related assemblies. Where a warrantable condition exists, (applicant's name) will repair or replace your diesel 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 application) application, the warranty period will be (years or hours or miles of operation) whichever occurs first. If any emission-related part of your diesel emission control system is defective in design, materials, workmanship, or operation of the diesel emission control system thus causing the diesel 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 2700 to 2706, and 2710, within the warranty period, as defined above, (Applicant's name) will repair or replace the diesel emission control system, including parts and labor.
In addition, (applicant's name) will replace or repair the engine components to the condition they were in prior to the failure, including parts and labor, for damage to the engine proximately caused by the verified diesel emission control strategy. This also includes those relevant diagnostic expenses in the case in which a warranty claim is valid. (Applicant 's name) may, at its option, instead pay the fair market value of the engine prior to the time the failure occurs.
OWNER'S WARRANTY RESPONSIBILITY

As the (vehicle, engine, equipment) owner, you are responsible for performing the required maintenance described in your owner's manual. (Applicant's name) recommends that you retain all maintenance records and receipts for maintenance expenses for your vehicle, engine, or equipment, and diesel emission control system. If you do not keep your receipts or fail to perform all scheduled maintenance, (applicant's name) may have grounds to deny warranty coverage. You are responsible for presenting your vehicle, equipment, or engine, and diesel emission control system to a (applicant's name) dealer as soon as a problem is detected. The warranty repair or replacement should be completed in a reasonable 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 rights and responsibilities, you should contact (Insert chosen applicant's contact) at 1-800-xxx-xxxx or the California Air Resources Board at 9528 Telstar Avenue, El Monte, CA 91731, or (800) 363-7664, or electronic mail: helpline@arb.ca.gov.
(2) Installation Warranty Statement. The installer must furnish the owner with a copy of the following statement.
YOUR WARRANTY RIGHTS AND OBLIGATIONS

(Installer's name) must warrant that the installation of a diesel emission control system is free from defects in workmanship or materials which cause the diesel 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 2700 to 2706. 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 vehicle, engine, or equipment owner, you are responsible for presenting your vehicle, engine, or equipment, and diesel emission control system to (installer's name) as soon as a problem with the installation is detected.
If you have questions regarding your warranty rights and responsibilities, you should contact (Insert chosen installer's contact) at 1-800-xxx-xxxx or the California Air Resources Board at 9528 Telstar Avenue, El Monte, CA 91731, or (800) 363-7664, or electronic mail: helpline@arb.ca.gov.
(c) Diesel Emission Control Strategy Warranty Report. The applicant must submit a warranty report to the Executive Officer by February 1 of each calendar year. The applicant must also submit a warranty report within 30 calendar days if warranty claims exceed four percent of the number of diesel engines using the diesel emission control strategy. The warranty report must include the following information:
(1) Annual and cumulative sales, and annual and cumulative leases of diesel emission control systems (California only).
(2) Annual and cumulative production of diesel emission control systems (California only).
(3) Annual summary of warranty claims (California only). The summary must include:
(A) A description of the nature of the claims and of the warranty replacements or repairs. The applicant must categorize warranty claims for each diesel emission control strategy family by the component(s) replaced or repaired.
(B) The number and percentage of diesel emission control systems of each model for which a warranty replacement or repair was identified.
(C) A short description of the diesel emission control system component that was replaced or repaired under warranty and the most likely reason for its failure.
(4) Date the warranty claims were filed and the engine family and application the diesel emission control systems were used with.
(5) Delineate the reason(s) for any instances in which warranty service is not provided to end-users that file warranty claims.


Note: Authority cited: Sections 39002, 39003, 39500, 39600, 39601, 39650-39675, 40000, 43000, 43000.5, 43011, 43013, 43018, 43105, 43600 and 43700, Health and Safety Code. Reference: Sections 39650-39675, 43000, 43009.5, 43013, 43018, 43101, 43104, 43105, 43106, 43107 and 43204-43205.5, Health and Safety Code; and Title 17 California Code of Regulations Section 93000.



s 2708. Determination of Emissions Reduction.
(a) Calculation of Emissions Reduction. The emissions reduction verified for a diesel emission control strategy is based on the average of all valid test results before (baseline) and after (control) implementation of the diesel emission control strategy. Test results from both emission testing and durability testing are to be used. If the applicant chooses to perform either the initial or the final durability baseline test, but not both, it must use those results to calculate the reductions obtained in both the initial and final control tests.
(1) Percentage Reduction. The percentage reduction for a given pair of baseline and control test sets (where a "set" consists of all test cycle repetitions, e.g., the test set of 3 hot-start UDDS tests) is the difference between the average baseline and average control emissions divided by the average baseline emissions, multiplied by 100 percent. The average of all such reductions, as shown in the equation below, is used in the verification of a diesel emission control strategy.
(A) For any test set involving cold and hot starts, the time weighted emission result is to be calculated by weighting the cold-start emissions by one-seventh (1/7) and the hot-start emissions by six-sevenths (6/7) as shown below.
Weighted Emission Result = 1/7* average cold-start emissions + 6/7* average hot-start emissions
(B) For applicants seeking verification of NOx reductions from on-road applications, weighted test results from the additional test set described in subsection 2703(e)1(C) are included in the percentage reduction equation above. The Executive Officer shall determine an appropriate weighting factor in consultation with the applicant based on factors including, but not limited to, the amount of time that vehicles within the selected emission control group have elevated NOx emissions and the breadth of engines and applications encompassed by the emission control group.
(2) The absolute emission level is the average control emission level, as defined in the following equation:
(b) Categorization of the Diesel Emission Control Strategy. The Executive Officer shall categorize diesel emission control strategies to reduce PM and NOx emissions based on their verified emission reductions. Diesel emission control strategies that reduce NOx will be assigned their verified emission reduction in five percent increments. Diesel emission control strategies are categorized by their PM reductions as follows:
(1) Level one: the system has been demonstrated under these procedures to reduce PM emissions by at least 25 percent from the baseline emission level.
(2) Level two: the system has been demonstrated under these procedures to reduce PM emissions by at least 50 percent from the baseline emission level.
(3) Level three: the system has been demonstrated under these procedures to reduce PM emissions by at least 85 percent from the baseline emission level, or to achieve PM emission levels of 0.01 grams per brake-horsepower-hour (g/bhp-hr) or less.


Note: Authority cited: Sections 39002, 39003, 39500, 39600, 39601, 39650-39675, 40000, 43000, 43000.5, 43011, 43013, 43018, 43105, 43600 and 43700, Health and Safety Code. Reference: Sections 39650-39675, 43000, 43009.5, 43013, 43018, 43101, 43104, 43105, 43106, 43107 and 43204-43205.5, Health and Safety Code; and Title 17 California Code of Regulations Section 93000.



s 2709. In-Use Compliance Requirements.
(a) Applicability. These in-use compliance requirements apply to all diesel emission control strategies for on-road, off-road, and stationary applications. It is the responsibility of the applicant to perform in-use compliance testing for each verified diesel emission control strategy family (see Section 2706(g)(2)). Testing is required when 50 units within a given diesel emission control strategy family have been sold or leased in the California market. Applicants must submit an in-use compliance testing proposal for approval by the Executive Officer prior to the in-use compliance testing.
(b) Test Phases. In-use compliance testing, as described below in (c), (d), and (e), must be conducted at two different phases for each diesel emission control strategy family:
(1) Phase 1. Applicants must obtain and test diesel emission control systems once they have been operated for at least one year or within three months of their first maintenance, whichever comes first.
(2) Phase 2. Applicants must obtain and test diesel emission control systems once they have been operated between 60 and 80 percent of their minimum warranty period. For all systems used with heavy heavy-duty vehicles, the 60 to 80 percent window must be applied to the 5 year or 150,000 mile minimum warranty period.
(c) Selection of Diesel Emission Control Systems for Testing. For each diesel emission control strategy family and for both test phases, the Executive Officer will identify a representative sample of engines or vehicles equipped with diesel emission control systems for in-use compliance testing. The engines or vehicles equipped with the selected diesel emission control systems must have good maintenance records and may receive a tune-up or normal maintenance prior to testing. The applicant must obtain information from the end users regarding the accumulated mileage or hours of usage, maintenance records (to the extent practicable), operating conditions and a description of any unscheduled maintenance that may affect the emission results.
(d) Number of Diesel Emission Control Systems to be Tested. The number of diesel emission control systems an applicant must test in each of the two test phases will be determined as follows:
(1) A minimum of four diesel emission control systems in each diesel emission control strategy family must be tested. For every system tested that does not reduce emissions by at least 90 percent of the lower bound of its initial verification level (or does not achieve an emission level less than or equal to 0.011 g/bhp-hr of PM), two more diesel emission control systems from the same family must be obtained and tested. The total number of systems tested shall not exceed ten per diesel emission control strategy family.
(2) At the discretion of the Executive Officer, applicants may begin by testing more than the minimum of four diesel emission control systems. Applicants may concede failure of an emission control system before testing a total of ten diesel emission control systems.
(e) In-use Compliance Emission Testing. Applicants must follow the testing procedure used for emission reduction verification as described in Section 2703 (both baseline and control tests are required). In addition, applicants must select the same test cycle(s) that they used to verify the diesel emission control strategy originally. If a diesel emission control strategy verified by U.S. EPA must perform engine dynamometer testing with the Heavy-duty Transient FTP cycle to fulfill the in-use compliance requirements of that program, but was verified by the Executive Officer with chassis dynamometer testing, the Executive Officer will also accept testing with the Heavy-duty Transient FTP cycle for the in-use compliance requirements of this Procedure. If a diesel emission control strategy fails catastrophically during the in-use compliance testing, the applicant must provide an investigative report detailing the causes of the failure to the Executive Officer within 90 days of the failure.
(f) The Executive Officer may approve an alternative to the in-use testing described above, on a case by case basis, if such testing is overly burdensome to either the applicant or to the end-users due to the nature of the industrythe particular diesel emission control systems are used in. The proposed alternative must use scientifically-sound methodology and be designed to determine whether the diesel emission control strategy is in compliance with the emission reductions the Executive Officer verified it to. (continued)