Verification
Emerging Technologies Process
What is an Emerging Technology?
By law, an emerging technology is defined as an emissions control technology that has not been certified or verified by EPA or CARB, but for which an approvable application and test plan for verification have been submitted. An emerging technology should be close to being, if not already, commercially available.
A technology may not qualify as an emerging technology if it is essentially the same as one that has been verified or used in certification.
Factors considered in determining if a technology is emerging include but are not limited to:
- General technology operation and design
- Complexity of the technology when integrated in OEM vs. retrofit applications
- Engine-out emission characteristics
- Engine and technology use in different sectors, (highway, nonroad, locomotive, marine, etc)
- Other factors that create unique technology or operational requirements
- Technologies such as alternative fuel conversions that require certification cannot qualify as an emerging technology
Placement on the Emerging Technologies List
To be placed on the Emerging Technologies List, the technology manufacturer must be in the initial stages of the verification process with EPA or CARB. This means that:
- The manufacturer has submitted an approvable application to EPA or CARB, as well as an explanation of why the technology should be considered an emerging technology to EPA. NOTE: An application may not be considered approvable if there are outstanding concerns with increases in unregulated pollutants, safety of the technology or other requirements such as fuel registration;
- The manufacturer has worked with EPA or CARB to develop an appropriate test plan for verification; and
- EPA or CARB has approved the application and test plan for verification in accordance with applicable regulations and procedures.
The manufacturer should contact EPA as soon as possible to ensure sufficient time for review and approval of their emerging technology. In general, the review process may take some time depending on the specific technology.
Once approved as an emerging technology, the technology will be included on the Emerging Technologies List on EPA's web site. A technology may remain on the Emerging Technologies List for up to two years. During that time, the manufacturer should complete the necessary steps to obtain full verification. For the purpose of this program, once a technology is verified or certified, it will no longer be considered emerging.
Eligible entities seeking funding assistance to purchase technologies on the Emerging List should visit the Grants & Funding: Emerging Technologies Program.
Application Process for the Emerging Technologies List
To begin the process, the technology manufacturer should:
- Review the materials and instructions for the technology verification process.
- Submit the following information:
- Intent to Verify Form (DOC) (1 pp, 30K, February 2012)
- Verification Application (Excel) (9K, October 2006)
- A detailed technical description of the technology including, but not limited to:
- Science behind why the technology works
- Any chemical equations
- Description of any real-world experience
- Any precious metal loading
- Discussion of how and where the technology is fitted on the vehicle
- Discussion on operating constraints (i.e. engine temperature, backpressure, ambient air conditions)
- Manufacturer of each critical component
- Explanation of why the technology should be considered an emerging technology.
- Work with EPA to answer all questions related to the emission reduction design, performance, functions, and all other aspects of the technology.
- Complete testing and obtain full verification within two years.
If a manufacturer wishes to initiate the above process with CARB or already has an application on file with CARB, they may contact EPA to determine if their technology qualifies as emerging under the definitions of this program. Manufacturers seeking placement on EPA's Emerging Technologies List via CARB‘s Verification process must submit the following information for EPA review:
- Application submitted to and approved by CARB for verification
- Technology-specific test plan submitted to and approved by CARB for verification testing.
- Detailed technical description of the technology including, but not limited to:
- Science explaining how the technology works
- Any chemical equations
- Description of any real-world experience
- Any precious metal loading
- Discussion of how and where the technology is fitted on the vehicle
- Discussion on operating constraints (i.e. engine temperature, backpressure, ambient air conditions)
- Manufacturer of each critical component
- Explanation of why the technology should be considered an emerging technology.
- Letter from CARB to EPA stating that CARB approves of BOTH the application and the test plan and has no concerns about the technology performance or any other aspect that might hinder the technology from being placed on CARB's Verified List.
Please note that submitting the information to EPA does not guarantee placement on the list, but merely submits the technology for consideration.
The information outlined above is the minimum required to be submitted to the EPA by a manufacturer of an emerging technology. Additional information will be requested from the manufacturer by EPA during the application review process. Once EPA has received thorough documentation of the technology design, installation requirements, operation, and has a clear understanding of the engineering/chemical principals of how the technology reduces emissions, EPA will work with the manufacturer to prepare a test plan for evaluating the effectiveness of the technology.
Test Plan
For EPA verification, a test plan must be developed in consultation with EPA and in accordance with existing verification protocols. However, if there is no existing protocol applicable to a specific technology, a unique test plan may be developed. For CARB verification, manufacturers must comply with applicable California regulations. An approvable test plan will detail the following:
- the specific technology to be tested
- test procedures, sequences, and documentation requirements
- the testing organization's quality control procedures
- test engine(s) and fuel(s)
- analytical methods
- instrument calibration and traceability
- record keeping requirements
- other related information
It is recommended that the test plan reflect existing verification protocols where appropriate. If the engine has unique characteristics (e.g., large or difficult to remove), a special test program may be necessary.
Once on the List
- A technology may reside on the Emerging Technologies List for one year with a possible one year extension.
- If a technology is fully verified within the first year, the technology will be added to the EPA Verified Technology List.
- If, after the first year, the technology has not been verified, EPA will review the status of the technology and determine if the technology is eligible for a one year extension.
- Once a technology has been selected for use in an Emerging Technology project, it may be used for the entire project period, even if the technology has been fully verified by EPA.
- Should EPA determine an Emerging Technology was misrepresented in the application, performance was not fully described, or concerns for safety and/or public health exist, EPA may remove a technology from the Emerging Technologies List, revise operating criteria, or impose other restrictions for use in Emerging Technology grant programs.
- Should a technology be removed from the Emerging Technologies List without receiving verification status, the technology is no longer eligible for use on any Clean Diesel grant program.