SAN JOAQUIN VALLEY UNIFIED AIR POLLUTION CONTROL DISTRICT

RULE 4701 - INTERNAL COMBUSTION ENGINES – PHASE 1

(Adopted May 21, 1992; Amended December 17, 1992; Amended October 20, 1994;
Amended March 16, 1995; Amended December 19, 1996; Amended November 12, 1998;
Amended December 19, 2002; Amended August 21, 2003)

1.0 Purpose

The purpose of this rule is to limit the emissions of nitrogen oxides (NOx), carbon
monoxide (CO), and volatile organic compounds (VOC) from internal combustion engines.

2.0 Applicability

Except as provided in Section 4.0, the provisions of this rule apply to any internal
combustion engine, rated greater than 50 bhp, that requires a Permit to Operate (PTO).

3.0 Definitions

3.1 Beam-balanced pumping engine: A cyclic loaded engine powering an oil well
pump, with the pump counterweight on the back end of the walking beam. The
counterweight is moved mechanically without a cylinder supplying air pressure.

3.2 California Reformulated Gasoline: Gasoline meeting California Air Resources

Board requirements for motor vehicle fuel in accordance with California Code of
Regulations, Chapter 5, Article 1, Subarticle 2 - Standards for gasoline sold
beginning March 1, 1996.

3.3 CO: Carbon monoxide.

3.4 Crank-balanced pumping engine: A cyclic loaded engine powering an oil well
pump, with the pump counterweight attached to a gearbox which is attached to the
walking beam with a pitman arm. The counterweight is moved mechanically, in a
circular motion, without a cylinder supplying air pressure.

3.5 Cyclic Loaded Engine: An internal combustion engine that, under normal operating
conditions, varies in shaft load by 40% or more of rated brake horsepower during
recurrent periods of 30 seconds or less or is used to power an oil well reciprocating
pump unit.

3.6 De-rated Engine: An internal combustion engine which has been physically limited
and restricted by permit condition to an operational level of 50 horsepower or less.

3.7 Diesel Engine: Any compression-ignited internal combustion engine.

3.8 Dual-Fuel Engine: Any internal combustion engine which is designed to burn a
liquid and gaseous fuel mixture during a single operating cycle.

3.9 Flood: A sudden and reasonably unforeseen rising and overflowing of a body of
water especially onto normally dry land.

3.10 Gaseous Fuel: Any fuel which is a gas at standard conditions including but not
limited to natural gas, methane, ethane, propane, butane and liquefied petroleum gas
(LPG).

3.11 Internal Combustion Engine: Any spark- or compression-ignited reciprocating

engine.

3.12 Lean-Burn Engine: Any spark ignited internal combustion engine that is operated
with an exhaust stream oxygen concentration of four (4) percent by volume, or
greater prior to any exhaust stream control device.

3.13 Location: Any single site at a building, structure, facility, or installation.

3.14 Low-use Engine: Any internal combustion engine that is limited by District permit
to operate no more than 1,000 hours in any one calendar year, and is equipped with
a non-resettable, totalizing hour-meter. Total time shall include all operational use
and operation for maintenance and testing purposes.

3.15 Major NOx Source: Any major source as defined in Rule 2201 (New and Modified
Stationary Source Review Rule) and with a potential to emit 50 tons or more per
year of NOx.

3.16 Military Tactical Equipment: Any transportable engine operated by the United
States armed forces or National Guard which is designed specifically for military
use in an off-road, dense terrain; hostile environment; or aboard military combat
vessels.

3.17 NOx: Oxides of nitrogen, calculated as equivalent nitrogen dioxide (NO2).

3.18 Public Water District: Any government agency whose primary function is the
supply and/or distribution of water; the collection and disposal of storm water
runoff; or the collection, treatment, and disposal of wastewater.

3.19 Rated Brake Horsepower: The continuous brake horsepower rating specified for the
engine by the manufacturer or listed on the nameplate of the unit, unless otherwise
physically limited and specified by a condition on the engine's Permit to Operate
(PTO).
3.20 Rich-Burn Engine: Any spark ignited internal combustion engine that is operated
with an exhaust stream oxygen concentration of less than four (4) percent by volume
prior to any exhaust stream control device.

3.21 Spark-ignited Internal Combustion Engine: A liquid or gaseous fueled engine

designed to ignite its air/fuel mixture by a spark across a spark plug.

3.22 Standby Engine: Any internal combustion engine used exclusively for non-utility
electric power generation or any other emergency engine, approved by the APCO,
and limited by permit condition to operate no more than 200 hours per calendar year
for non-emergency purposes and not used in conjunction with any voluntary utility
demand reduction program.

3.23 Stationary Source: As defined in Rule 2201 (New and Modified Stationary
Source Review Rule).

3.24 Transportable engine: Any engine designed to be and capable of being carried or
moved from one location to another, and that is operated at one location for no more
than 12 consecutive months. Indications of transportability include, but are not
limited to, wheels, skids, carrying handles, dolly, trailer, or platform.

3.24.1 Any transportable engine that replaces a transportable engine at a location

will be included in calculating the consecutive time if it performs the same
function as the engine being replaced. In that case, the cumulative time of
both engines, including the time between the removal of the original unit
and installation of the replacement unit, would be counted towards the
consecutive time period.

3.24.2 A replacement engine is not transportable if it performs the same function as

the replaced engine and remains at the location for more than 12 consecutive
months.

3.24.3 An engine is not transportable if it remains or will remain at a location for

less than 12 consecutive months where such a period represents the length of
normal annual source operations of the stationary source.

3.24.4 An engine is not transportable if it is removed from one location for a period
and then returned to the same location in an attempt to circumvent the
residence time requirement.

3.24.5 The period during which an engine is maintained at a storage facility shall be
excluded from the time used to determine the resident time requirement.

3.25 VOC: Volatile organic compounds, as defined in Rule 1020 (Definitions).

 3.26 Waste Derived Gaseous Fuel: Any gaseous fuel that was generated from the
biodegradation of solid or liquid waste including, but not limited to, sewage sludge
digester gas, and landfill gas.

3.27 Westside: For the purposes of this rule, this phrase refers to any facility which is
physically located west of Interstate Highway 5 in Fresno, Kern, or Kings County
and any facility designated as west of Interstate Highway 5 in the photochemical
modeling submitted for the State Implementation Plan.

4.0 Exemptions

4.1 The provisions of this rule do not apply to engines in agricultural operations in the
growing of crops or raising of fowl or animals.

4.2 Except for the administrative requirements of Sections 6.1, 6.2.2, and 6.2.3, the
provisions of this rule shall not apply to:

4.2.1 Standby engines.

4.2.2 Engines used exclusively for fire fighting services and flood control.

4.2.3 Laboratory engines used in research and testing or for the advancement of
engine performance.

4.2.4 Any engine registered as a portable emissions unit under Rule 2280
(Portable Equipment Registration) or the Statewide Portable Equipment
Registration Program pursuant to Sections 2450-2465, Article 5, Title 13,
California Code of Regulations.

4.2.5 Engines using other fuels during natural gas curtailment that are normally
fired with natural gas fuel. This exemption is limited to periods of natural
gas curtailment or maintenance testing on the ancillary fuel and is limited to
336 cumulative hours of operation on the ancillary fuel per calendar year.
These engines are not exempt from compliance when fired on natural gas.

4.2.6 Military Tactical Equipment.

4.2.7 Transportable engines.

4.3 Except for the administrative requirements of Sections 6.1, 6.2.2, and 6.2.3, the
provisions of this rule shall not apply to a low-use engine not subject to the
Reasonably Available Control Technology (RACT) requirements of Section 5.2.

4.4 The requirements of this rule shall not apply to any de-rated engine, provided the de-
rating occurred before December 31, 1995.
 4.5 The requirements of Section 5.1.3 shall not apply to any engine which is or will be
de-rated before the applicable compliance date.

5.0 Requirements

5.1 The owner of an internal combustion engine shall not operate it under load in such a
manner that results in emissions exceeding the applicable emission limit table,
according to the compliance schedules listed in Section 7.0:

5.1.1 Table 1 Engine Emission Levels (corrected to 15% oxygen on a dry basis)

Engine Type NOx CO

1. Rich-Burn 9.5 g/bhp-hr or 640 2000 ppmv
ppmv
2. Lean-Burn 10.1 g/bhp-hr or 2000 ppmv
740 ppmv
3. Diesel 9.6 g/bhp-hr or 700 2000 ppmv
ppmv

5.1.2 Table 2 Engine Emission Levels (corrected to 15% oxygen on a dry basis)

Engine Type NOx CO

1. Rich Burn
a. Beam-balanced or 300 ppmv 2000 ppmv
crank-balanced
pumping engine
b. Other rich burn 90 ppmv or 80% 2000 ppmv
reduction
2. Lean-Burn 150 ppmv or 70% 2000 ppmv
reduction
3. Diesel 600 ppmv or 20% 2000 ppmv
reduction
5.1.3 Table 3 Engine Emission Levels (corrected to 15% oxygen on a dry basis)

Engine Type NOx CO VOC

1. Waste Derived 125 ppmv or 80% 2000 750
Gaseous Fuel. reduction ppmv ppmv
2. Engines owned by public water districts
a. Rich-Burn 90 ppmv or 80% 2000
reduction ppmv
b. Lean-Burn 150 ppmv or 70% 2000
reduction ppmv
c. Diesel or dual-fuel 600 ppmv or 20% 2000
reduction ppmv
3. Engines not listed in categories 1 and 2, above
a. Rich Burn
i. Beam-balanced or
2000
crank-balanced 300 ppmv
ppmv
pumping engine
ii. Other rich burn 50 ppmv or 90% 2000 250
reduction ppmv ppmv
b. Lean Burn 75 ppmv or 85% 2000 750
reduction ppmv ppmv
c. Diesel or dual-fuel 80 ppmv or 90% 2000 750
reduction ppmv ppmv

5.1.4 All continuous emission monitoring systems (CEMS) emissions

measurements shall be averaged over a period of 15 consecutive minutes.
Any 15-consecutive-minute block average CEMS measurement exceeding
the applicable emission limits of this rule shall constitute a violation of
this rule.

5.1.5 Percent emission reductions, if used to comply with the emission limits of
Section 5.1, shall be calculated as follows:

5.1.5.1 For engines with external control devices that are not operated in
combination with a second emission control device or technique,
percent reduction shall be calculated using emission samples taken
at the inlet and outlet of the control device.

5.1.5.2 For engines without external control devices and for engines with
an external control device in combination with a second emission
control device or technique, percent reduction shall be based on
source test results for the uncontrolled engine and the engine after
the control device or technique has been employed. In this
situation, the engine’s typical operating parameters, loading, and
 duty cycle shall be documented and repeated at each successive
post-control source test to ensure that the engine is meeting the
percent reduction limit. When representative source sampling
prior to the application of an emissions control technology or
technique is not available, the APCO may approve the use of
manufacturer’s uncontrolled emissions information or source
sampling from a similar, uncontrolled engine.

5.1.6 The owner of an internal combustion engine with an external emission

control device that uses percent emission reduction to comply with the
emission limits of Section 5.1 shall provide an accessible inlet and outlet on
the external control device for taking emission samples and as approved by
the APCO.

5.1.7 Owners choosing to comply with a grams/bhp-hr emission limit shall also
demonstrate the rated horsepower at the source tested power level using the
test method specified in Section 6.4.

5.1.8 California Reformulated Gasoline shall be used as the fuel for all gasoline-
fired, spark-ignited engines.

5.2 Low-use engines:

5.2.1 The owner of the following low-use engines shall not operate such engines
under load in a manner that results in emissions exceeding the applicable
limits of Section 5.1.1 and 5.1.2, according to the compliance schedules
listed in Section 7.3.1 and 7.3.2:

5.2.1.1 Natural gas fired, low-use engines in the Central and Western Kern
County Fields.

5.2.1.2 Low-use engines operated at a major NOx source outside the

Westside area.

5.2.2 Compliance with Section 5.1.3 is not required for low-use engines.

5.3 In lieu of compliance with the emission limits of Sections 5.1 and 5.2, an owner of
any internal combustion engine may elect to permanently remove it from service.
NOx emission reductions achieved by removal of an engine in lieu of compliance
with the emission requirements of Sections 5.1.1 or 5.1.2 shall not be available for
emission reduction credit (ERC).
5.4 Monitoring Equipment

The owner of any engine subject to the provisions of this rule shall:

5.4.1 For engines with external control devices, either install and maintain
continuous emissions monitoring equipment for NOx, CO, and oxygen, as
identified in Rule 1080 (Stack Monitoring), or install and maintain APCO-
approved alternate monitoring consisting of one or more of the following:

5.4.1.1 periodic NOx and CO emission concentrations,

5.4.1.2 engine exhaust oxygen concentration,
5.4.1.3 air-to-fuel ratio,
5.4.1.4 flow rate of reducing agents added to engine exhaust,
5.4.1.5 catalyst inlet and exhaust temperature,
5.4.1.6 catalyst inlet and exhaust oxygen concentration,
5.4.1.7 other operational characteristics.

5.4.2 For engines without external control devices, monitor operational

characteristics recommended by the engine manufacturer or emission control
system supplier, and approved by the APCO.

5.4.3 Effective on and after November 21, 2003, use a portable NOx analyzer to
take NOx emission readings to verify compliance with the emission limits
or percent control specified in Section 5.1 during each calendar quarter in
which a source test is not performed. All emission readings shall be taken
with the engine operating either at conditions representative of normal
operations or conditions specified in the permit-to-operate. The analyzer
shall be calibrated, maintained, and operated in accordance with the
manufacturer’s specifications and recommendations or a protocol
approved by the APCO. NOx emission readings taken pursuant to this
section shall be averaged over a 15 consecutive-minute period by either
taking a cumulative 15 consecutive-minute sample reading or by taking at
least five (5) readings, evenly spaced out over the 15 consecutive-minute
period.

5.4.4 An APCO approved CEMS shall comply with the requirements of 40 Code
of Federal Regulations (CFR) Part 51, 40 CFR Parts 60.7 and 60.13 (except
subsection h), 40 CFR Appendix B (Performance Specifications), 40 CFR
Appendix F (Quality Assurance Procedures), and applicable provisions of
Rule 1080 (Stack Monitoring).
6.0 Administrative Requirements

6.1 Emission Control Plan

The owner of any engine subject to the provisions of this rule shall submit to the
APCO an emissions control plan of all actions to be taken to satisfy the emission
requirements of Section 5.1 and the compliance schedule of Section 7.0.

6.1.1 Such plan shall contain a list with the following for each permitted engine:

6.1.1.1 Permit to Operate number

6.1.1.2 engine manufacturer
6.1.1.3 model designation
6.1.1.4 rated brake horsepower
6.1.1.5 type of fuel and type of ignition
6.1.1.6 combustion type: rich-burn or lean-burn

6.1.2 Such plan shall identify the type of emission control device or technique to
be applied to each engine and a construction/removal schedule, or shall
provide support documentation sufficient to demonstrate that the engine is in
compliance with the emission requirements of this rule.

6.1.3 The plan shall include support documentation for any exempt engine,
pursuant to Section 6.2.2, and a letter of intent for any engine being
permanently removed from service, pursuant to Section 7.5.

6.2 Recordkeeping

6.2.1 The owner of any engine subject to the provisions of this rule shall maintain
an engine operating log with information necessary to demonstrate
compliance with this rule. The engine operating log shall include, on a
monthly basis, the following information:

6.2.1.1 Total hours of operation,

6.2.1.2 The type and quantity (cubic feet of gas or gallons of liquid) of
fuel used,
6.2.1.3 Maintenance or modifications performed,
6.2.1.4 Monitoring data,
6.2.1.5 Compliance source test results, and
6.2.1.6 Any other information necessary to demonstrate compliance with
this rule.

6.2.2 An owner claiming an exemption under Sections 4.2 or 4.3 shall maintain
annual operating records. This information shall be submitted to the APCO
upon request and at the end of each calendar year in a manner and form
 approved by the APCO. The records shall include, but are not limited to, the
following:

6.2.2.1 Total hours of operation,

6.2.2.2 The type and quantity (cubic feet of gas or gallons of liquid) of fuel
used,
6.2.2.3 The purpose for operating the engine,
6.2.2.4 For standby engines, all hours of non-emergency and emergency
operation shall be reported, and
6.2.2.5 Other support documentation necessary to demonstrate a claim to
the exemption.

6.2.3 Information kept pursuant to Section 6.2.1 or Section 6.2.2 shall be retained
for a period of at least five years, shall be readily available, and be made
available to the APCO upon request.

6.3 Compliance Testing

The owner of any engine subject to the emission limits in Section 5.0, shall:

6.3.1 Demonstrate compliance with applicable limits by the date specified in

Section 7.3 and at least once every 24 months thereafter, in accordance with
the test methods in Section 6.4.

6.3.2 Conduct emissions source testing with the engine operating either at
conditions representative of normal operations or conditions specified in
the permit-to-operate. For emissions source testing performed pursuant to
Section 6.3.1 for the purpose of determining compliance with an applicable
standard or numerical limitation, the arithmetic average of three (3) 30-
consecutive-minute test runs shall apply. If two (2) of three (3) runs are
above an applicable limit, the test cannot be used to demonstrate compliance
with an applicable limit. VOC shall be reported as methane. VOC, NOx,
and CO concentrations shall be reported in ppmv, corrected to 15 percent
oxygen. For engines that comply with a percent reduction in Table 2 or
Table 3, the percent reduction of NOx emissions shall also be reported.

6.3.3 In addition to other information, the source test protocol shall describe
which critical parameters will be measured and how the appropriate range
for these parameters shall be established.

6.3.4 The owner of an engine which has been part of a representative test group
for the 24 months prior to August 21, 2003, and has not demonstrated
compliance with applicable limits in accordance with the test methods in
Section 6.4 within 24 months prior to August 21, 2003, shall, effective on
and after August 21, 2003, demonstrate compliance with applicable limits in
 accordance with the test methods in Section 6.4. Such compliance shall be
demonstrated within 6 months after August 21, 2003. Thereafter, such
engine shall demonstrate compliance pursuant to the requirements of Section
6.3.1.

6.4 Test Methods

Compliance with the requirements of Section 5.0 shall be determined in accordance

with the following test procedures or any other method approved by EPA and the
APCO:

6.4.1 Oxides of nitrogen- EPA Method 7E, or ARB Method 100.

6.4.2 Carbon monoxide - EPA Method 10, or ARB Method 100.
6.4.3 Stack gas oxygen - EPA Method 3 or 3A, or ARB Method 100.
6.4.4 Volatile organic compounds – EPA Method 25A or 25B, or ARB Method
100.
6.4.5 Operating horsepower determination - any method approved by the APCO
and EPA.

7.0 Compliance Schedules

7.1 By December 19, 1997 owners of engines subject to Section 5.1.3 shall submit to
the APCO an emission control plan pursuant to Section 6.1.

7.2 Owners of engines subject to Section 5.1.3 shall submit a complete application for
an ATC for each engine to be modified by December 19, 1997 or at least 24 months
before compliance with Section 5.1.3 is required as indicated in Section 7.3,
whichever is later.

7.3 Owners shall not operate any engine unless the owner demonstrates and maintains
the engine in compliance with the applicable emissions limit by the indicated dates:

7.3.1 Emission Limit Compliance Schedule for non-cyclic loaded natural gas fired
engines in the Central and Western Kern County Fields:

Section 5.1.1 Section 5.1.2 Section 5.1.3

Engine Location (Table 1) (Table 2) (Table 3)
Compliance Compliance Compliance
1. Central Kern County Not Required 12/31/95 5/31/99
Fields
2. Western Kern County Not Required 12/31/95 5/31/01
Fields

7.3.2 Emission Limit Compliance Schedule for the following engines, but
excluding engines identified in Section 7.3.1:
7.3.2.1 liquid-fueled and LPG engines operating on those fuels on October
20, 1994 in Central and Western Kern County Fields at a major
NOx source;

7.3.2.2 cyclic loaded, natural gas fired engines in the Central and Western
Kern County Fields;

7.3.2.3 other engines operated at a major NOx source not located in the
Westside area.

Section 5.1.1 Section 5.1.2 Section 5.1.3

Engine Location or Type (Table 1) (Table 2) (Table 3)
Compliance Compliance Compliance
1. Public Water District Not Required Not Required 5/31/99
Engines
2. Rich-burn, beam-balanced or crank-balanced, pumping engines shall
comply with either:
a. Early RACT 5/31/95 Not Required 12/31/97
Compliance
b. Delayed RACT Not Required 5/31/97 Not Required
Compliance
3. Engines in Western Kern County Fields, not identified in category 2, shall
comply with either:
a. Early RACT 5/31/95 Not Required 5/31/01
Compliance
b. Delayed RACT Not Required 5/31/97 5/31/01
Compliance
4. Engines not identified in categories 1, 2, or 3 shall comply with either:
a. Early RACT 5/31/95 Not Required 5/31/99
Compliance
b. Delayed RACT Not Required 5/31/97 5/31/99
Compliance
 7.3.3 Emission Limit Compliance Schedule for all other engines not specified in
Sections 7.3.1 or 7.3.2:

Section 5.1.1 Section 5.1.2 Section 5.1.3

Engine Location or Type (Table 1) (Table 2) (Table 3)
Compliance Compliance Compliance
1. Rich-burn, beam-balanced or crank-balanced pumping engines shall
comply with either:
a. Early Compliance Not Required Not Required 12/31/97
b. Delayed Non- Not Required 5/31/99 Not Required
Westside
Compliance
c. Delayed Westside Not Required 5/31/01 Not Required
Compliance
2. Engines not identified in category 1 shall comply with either:
a. Non-Westside Not Required Not Required 5/31/99
Compliance
b. Westside Not Required Not Required 5/31/01
Compliance

7.4 Any owner of an engine which becomes subject to the emission limits of this rule
after August 21, 2003, through loss of exemption, shall not operate the subject
engine, except as required for obtaining a new or modified District permit-to-
operate for the engine, until the owner demonstrates full compliance with the
requirements of this rule.

7.5 Any owner who elects to permanently remove an engine from service as allowed in
Section 5.3, shall comply with the following:

7.5.1 Operators removing an engine from service in lieu of compliance with the
emission requirements of Sections 5.1.1 or 5.1.2 shall

7.5.1.1 Submit a letter stating the intent to permanently remove the engine
from service no later than May 31, 1997; and

7.5.1.2 Permanently remove the engine from service and officially

surrender the permit to operate by May 31, 1999.

7.5.2 Operators removing an engine from service in lieu of compliance with the
emission requirements of Section 5.1.3 shall

7.5.2.1 Submit a letter with the emission control plan stating the intent to
permanently remove the engine from service; and
7.5.2.2 Permanently remove the engine from service and officially
surrender the permit to operate by the applicable compliance date
in Section 7.3.
This page intentionally blank.