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(1) Not to reduce the effectiveness of any required off-road vehicle, engine, or equipment pollution control device.
(2) To result in emissions from any such modified or altered off-road vehicle, engine, or equipment which are at levels which comply with existing state or federal standards for that model-year of the vehicle, engine or equipment being modified or converted.


Note: Authority cited: Sections 39600, 39601, 43013 and 43018, Health and Safety Code; and Sections 27156, 38390, 38391 and 38395, Vehicle Code. Reference: Sections 39002, 39003, 43000, 43000.5, 43013, 43017 and 43018, Health and Safety Code.



s 2473. Replacement Parts.
(a) Any replacement part subject to the provisions of this article shall be presumed to be in compliance with this article unless the executive officer makes a finding to the contrary pursuant to Section 2475(a).
(b) The manufacturer of any replacement part subject to the provisions of this article shall maintain sufficient records, such as performance specifications, test data, or other information, to substantiate that such a replacement part is in compliance with this article. Such records shall be open for reasonable inspection by the executive officer or his/her representative. All such records shall be maintained for four years from the year of manufacture of the replacement part. The manufacturer may determine the format for maintaining such records (including, but not limited to, electronic or computer readable files, backup tapes, or magnetic media), provided the format allows the records to be readily retrieved and displayed to the executive officer.


Note: Authority cited: Sections 39600, 39601, 43013 and 43018, Health and Safety Code. Reference: Sections 39002, 39003, 39500, 43000, 43000.5, 43013, 43017 and 43018, Health and Safety Code; and Sections 27156, 38391 and 38395, Vehicle Code.



s 2474. Add-On Parts and Modified Parts.
(a) As used in this section, the terms "advertise" and "advertisement" include, but are not limited to, any notice, announcement, information, publication, catalog, listing for sale, or other statement concerning a product or service communicated to the public for the purpose of furthering the sale of the product or service.
(b) (1) Except for publishers as provided in subsection 3, no person or company doing business solely in California or advertising only in California shall advertise any device, apparatus, or mechanism which alters or modifies the original design or performance of any required off-road vehicle, engine, or equipment pollution control device or system unless such part, apparatus, or mechanism has been exempted from Vehicle Code (VC) Sections 27156, 38391 or California Code of Regulations (CCR), Title 13, Section 2472, and the limitations of the exemption, if any, are contained within the advertisement in type size to give reasonable notice of such limitations.
(2) Except for publishers as provided in subsection 3, no person or company doing business in interstate commerce shall advertise in California any device, apparatus, or mechanism which alters or modifies the original design or performance of any required off-road vehicle, engine, or equipment pollution control device or system and is not exempted from VC Sections 27156, 38391 or CCR, Title 13, Section 2472, unless each advertisement contains a legally adequate disclaimer in type size adequate to give reasonable notice of any limitation on the sale or use of the device, apparatus, or mechanism.
(3) No publisher, after receipt of notice from the state board or after otherwise being placed on notice that the advertised part is subject to and has not been exempted from the provisions of VC Sections 27156, 38391 or CCR, Title 13, Section 2472, shall make or disseminate or cause to be made or disseminated before the public in this state any advertisement for add-on or modified parts subject to the provisions of this article, which have not been exempted from VC Sections 27156, 38391 or CCR, Title 13, Section 2472, unless such advertisement clearly and accurately states the legal conditions, if any, on sale and use of the parts in California.
(4) The staff of the state board shall provide, upon request, model language which satisfies these requirements.
(c) No person shall advertise, offer for sale, or install a part as an off-road vehicle, engine, or equipment pollution control device or as an exempted device, when in fact such part is not an off-road vehicle, engine, or equipment pollution control device or is not approved or exempted by the state board.
(d) No person shall advertise, offer for sale, sell, or install an add-on or modified part as a replacement part.
(e) The executive officer may exempt add-on and modified parts based on an evaluation conducted in accordance with the "Procedures for Exemption of Add-On and Modified Parts for Off-Road Categories," adopted July 14, 2000, which is hereby incorporated by reference herein.
(f) Each person engaged in the business of retail sale or installation of an add-on or modified part which has not been exempted from VC Sections 27156, 38391 or CCR, Title 13, Section 2472 shall maintain records of such activity which indicate date of sale, purchaser name and address, vehicle, engine, or equipment model and work performed if applicable. Such records shall be open for reasonable inspection by the executive officer or his/her representative. All such records shall be maintained for four years from the date of sale or installation.
(g) A violation of any of the prohibitions set forth in this section shall be grounds for the executive officer to invoke the provisions of section 2476.
(h) (1) The executive officer shall exempt new aftermarket non-original equipment catalytic converters for off-road vehicles, engines, and equipment from the prohibitions of VC Sections 27156, 38391 or CCR, Title 13, Section 2472 based on an evaluation conducted in accordance with the "California Evaluation Procedures for New Aftermarket Non-Original Equipment Catalytic Converters for Off-Road Vehicles, Engines, and Equipment," adopted October 1, 1999, which is hereby incorporated by reference herein.
(2) No person shall install, sell, offer for sale or advertise any new non-original equipment aftermarket catalytic converter for off-road vehicles, engines, and equipment in California that has not been exempted pursuant to the procedures as provided in this subsection.
(3) For the purposes of this regulation, a new non-original equipment aftermarket catalytic converter for off-road vehicles, engines, and equipment is a catalytic converter which is constructed of all new materials and is not a replacement part as defined in Title 13, CCR, Section 1900, or which includes any new material or construction which is not equivalent to the materials or construction of the original equipment converter for off-road vehicles, engines, and equipment.
(i) (1) No person shall install, sell, offer for sale or advertise any used catalytic converter for off-road vehicles, engines, or equipment in California unless such catalytic converter has been exempted pursuant to the "Procedures for Exemption of Add-On and Modified Parts for Off-Road Categories," adopted July 14, 2000, which is hereby incorporated by reference herein.
(2) No person shall install, sell, offer for sale or advertise any recycled or salvaged used catalytic converter for off-road vehicles, engines, and equipment in California unless such converters have been exempted from the prohibitions of VC Sections 27156, 38391 or CCR, Title 13, Section 2472 pursuant to the procedures provided in this subsection.
(3) For the purposes of this regulation, a "used catalytic converter" for off-road vehicles, engines, and equipment is a catalytic converter which is not a new aftermarket non-original equipment catalytic converter for off-road vehicles, engines, and equipment as defined in subsection (h)(3), or a replacement part as defined in Title 13, CCR, Section 1900.
(j) (1) The executive officer shall exempt alternative fuel conversion systems for off-road vehicles, engines, and equipment from the prohibitions of VC Sections 27156, 38391 or CCR, Title 13, Section 2472 based on an evaluation conducted in accordance with the "California Certification and Installation Procedures for Systems Designed to Convert Off-Road Vehicles, Engines, and Equipment to Use Alternative Fuels," adopted October 1, 1999, which is hereby incorporated by reference herein.
(2) No person shall install any alternative fuel conversion system for off-road vehicles, engines, and equipment in California unless the alternative fuel conversion system has been exempted and installed in accordance with the procedures and requirements pursuant to the "California Certification and Installation Procedures for Systems Designed to Convert Off-Road Vehicles, Engines, and Equipment to Use Alternative Fuels," adopted October 1, 1999, which is hereby incorporated by reference herein.


Note: Authority cited: Sections 39600, 39601, 43013 and 43018, Health and Safety Code. Reference: Sections 39002, 39003, 43000, 43000.5, 43013, 43017 and 43018, Health and Safety Code; and Sections 27156, 38391 and 38395, Vehicle Code.



s 2475. Surveillance.
(a) Replacement parts. The executive officer may order, for cause, the manufacturer of any replacement part subject to the provisions of this article to submit any records relating to such part which are maintained pursuant to section 2473(b) above. The executive officer may order, for cause, the manufacturer of any replacement part subject to the provisions of this article to submit a reasonable number of parts typical of the manufacturer's production for testing and evaluation. If, after a review of all records submitted by the manufacturer and of the results of any tests conducted by the state board's staff, the executive officer finds that such part is not in fact a replacement part, the executive officer may invoke section 2476. Replacement parts evaluated pursuant to this section shall be compared with the specifications contained in the applicable off-road vehicle, engine or equipment manufacturer's application for certification.
(b) Add-on parts and modified parts. The executive officer may order, for cause, the manufacturer of any add-on part or modified part subject to the provisions of this article to submit a reasonable number of parts typical of the manufacturer's production for testing and evaluation. In-use performance will also be evaluated. If, after a review of the results of any tests or evaluations conducted by the state board's staff and of any information submitted by the manufacturer, the executive officer finds that an add-on part or a modified part does not conform to the "Procedures for Exemption of Add-On and Modified Parts for Off-Road Categories," adopted October 1, 1999, which is hereby incorporated by reference herein, the executive officer may invoke Section 2476.


Note: Authority cited: Sections 39600, 39601, 43013 and 43018, Health and Safety Code. Reference: Sections 39002, 39003, 43000, 43000.5, 43013, 43017 and 43018, Health and Safety Code; and Sections 27156, 38391 and 38395, Vehicle Code.



s 2476. Enforcement Action.
(a) When this section is invoked pursuant to other sections of this article, the executive officer may issue a cease and desist order and may require the person to submit a plan for correcting any deficiencies found by the state board. The executive officer may order any of the actions contained in the plan, and/or may declare a part to be not in compliance with VC Sections 27156, 38391 or CCR, Title 13, Section 2472 unless he/she finds the plan adequate to correct the deficiencies found by the state board. The plan may be required to include such corrective actions as the cessation of sale of non-complying parts, the recall of any non-complying parts already sold, and corrective advertising to correct misleading information regarding the emission control capabilities of the device and to ensure compliance with California's laws. The executive officer may also seek fines for violations of VC Sections 27156, 38391 or CCR, Title 13, Section 2472, or other laws or regulations, as applicable.
(b) When this section is invoked by the executive officer on either his/her own initiative or in response to complaints received, an investigation may be made by the executive officer or his/her representative to gather evidence regarding continuing violations of this article by any person engaged in the business of advertising, offering for sale, selling, or installing an add-on or modified part.
(c) Any person against whom enforcement action (other than the filing of an action in court) is initiated pursuant to this section may request a public hearing to review the enforcement action.
(d) Nothing in this article shall prohibit the executive officer from taking any other action provided for by law, including the prosecution of an action in court.


Note: Authority cited: Sections 39515, 39516, 39600, 39601, 43013 and 43018, Health and Safety Code. Reference: Sections 39002, 39003, 43000, 43000.5, 43013, 43017 and 43018, Health and Safety Code; and Sections 27156, 38391 and 38395, Vehicle Code.



s 2477. Airborne Toxic Control Measure for In-Use Diesel-Fueled Transport Refrigeration Units (TRU) and TRU Generator Sets, and Facilities Where TRUs Operate.
(a) Purpose. Diesel particulate matter (PM) was identified in 1998 as a toxic air contaminant. This regulation implements provisions of the Diesel Risk Reduction Plan, adopted by the Air Resources Board in October, 2000, as mandated by the Health and Safety Code Sections 39650-39675, to reduce emissions of substances that have been determined to be toxic air contaminants. Specifically, this regulation will use a phased approach to reduce the diesel PM emissions from in-use transport refrigeration units (TRUs) and TRU generator (gen) set equipment used to power electrically driven refrigerated shipping containers and trailers that are operated in California.
(b) Applicability.
(1) Except as provided in subsection (c), this regulation applies to owners and operators of diesel-fueled TRUs and TRU gen sets (see definition of operator and owner in subsection (d) that operate in the state of California. This specifically includes:
(A) Operators and owners of California-based TRUs and TRU gen sets that are installed on trucks, or trailers, shipping containers, or railcars; and
(B) Operators and owners of non-California-based TRUs and TRU gen sets that are installed on trucks, trailers, shipping containers, or trailers.
(2) This regulation applies to facilities located in California with 20 or more loading dock doors serving refrigerated areas where perishable goods are loaded or unloaded for distribution on trucks, trailers, shipping containers, or rail cars that are equipped with TRUs and TRU gen sets and that are owned, leased, or contracted for by the facility, its parent company, affiliate, or subsidiary that are under facility control (see definition).
(3) To the extent not already covered under subsections (b)(1) and (b)(2), above, subsection (g) of this regulation shall apply to any person engaged in this State in the business of selling to an ultimate purchaser, or renting or leasing new or used TRUs or TRU gen sets, including, but not limited to, manufacturers, distributors, and dealers.
(4) Severability. If any subsection, paragraph, subparagraph, sentence, clause, phrase, or portion of this regulations is, for any reason, held invalid, unconstitutional, or unenforceable by any court of competent jurisdiction, such portion shall be deemed as a separate, distinct, and independent provision, and such holding shall not affect the validity of the remaining portions of the regulation.
(c) Exemptions. This regulation does not apply to military tactical support equipment.
(d) Definitions. For purposes of this regulation, the following definitions apply:
(1) "Affiliate or Affiliation" refers to a relationship of direct or indirect control or shared interests between the subject business and another business.
(2) "Alternative Fuel" means natural gas, propane, ethanol, methanol, or advanced technologies that do not rely on diesel fuel, except as a pilot ignition source at an average ratio of less than 1 part diesel fuel to 10 parts total fuel on an energy equivalent basis. Alternative fuels also means any of these fuels used in combination with each other or in combination with other non-diesel fuels. Alternative-fueled engines shall not have the capability of idling or operating solely on diesel fuel at any time.
(3) "Alternative-Fueled Engine" means an engine that is fueled with a fuel meeting the definition of alternative fuel.
(4) "Alternative Diesel Fuel" means any fuel used in diesel engines that is not commonly or commercially known, sold or represented as diesel fuel No. 1-D or No. 2-D, pursuant to the specification for Diesel Fuel Oils D975-81, and does not require engine or fuel system modifications for the engine to operate, although minor modifications (e.g. recalibration of the engine fuel control) may enhance performance. Examples of alternative diesel fuels include, but are not limited to, biodiesel, Fischer Tropsch fuels, and emulsions of water in diesel fuel. Natural gas is not an alternative diesel fuel. An emission control strategy using a fuel additive will be treated as an alternative diesel fuel based strategy unless:
(A) The additive is supplied to the vehicle or engine fuel by an on-board dosing mechanism, or
(B) The additive is directly mixed into the base fuel inside the fuel tank of the vehicle or engine, or
(C) The additive and base fuel are not mixed until vehicle or engine fueling commences, and no more additive plus base fuel combination is mixed than required for a single fueling of a single engine or vehicle.
(5) "ARB" means the California Air Resources Board.
(6) "B100 Biodiesel Fuel" means 100% biodiesel fuel derived from vegetable oil or animal fat and complying with ASTM D 6751-02 and commonly or commercially known, sold, or represented as "neat" biodiesel or B100. B100 biodiesel fuel is an alternative diesel fuel.
(7) "B100 Biodiesel-Fueled" (compression-ignition engine) means a compression-ignition engine that is fueled by B100 biodiesel fuel.
(8) "Business" means an entity organized for profit including, but not limited to, an individual, sole proprietorship, partnership, limited liability partnership, corporation, limited liability company, joint venture, association or cooperative; or solely for purposes of the Prompt Payment Act (Government Code 927 et seq.), a duly authorized nonprofit corporation.
(9) "California-Based TRUs and TRU Gen Sets" means TRUs and TRU gen sets equipped on trucks, trailers, shipping containers, or railcars that a reasonable person would find to be regularly assigned to terminals within California.
(10) "CARB Diesel Fuel" means any diesel fuel that is commonly or commercially known, sold or represented as diesel fuel No. 1-D or No. 2-D, pursuant to the specification for Diesel Fuel Oils D975-81 and meets the specifications defined in13 CCR 2281, 13 CCR 2282, and 13 CCR 2284.
(11) "Carbon Monoxide (CO)" means a colorless, odorless gas resulting from the incomplete combustion of hydrocarbon fuels.
(12) "Carrier" means any person, party, or entity who undertakes the transport of goods from one point to another.
(13) "Certification" means the obtaining of an Executive Order for a new offroad compression-ignition engine family that complies with the off-road compression-ignition emission standards and requirements specified in the California Code of Regulations, Title 13, Section 2423. A "certified engine" is an engine that belongs to an engine family that has received a certification Executive Order.
(14) "Certification Data" means the ARB Executive Order number and related exhaust emission data for each test cycle mode used to certify the engine family and obtain the certification level shown in the certification Executive Order. Such data includes modal exhaust emissions data for nitrogen oxides, nonmethane hydrocarbons, carbon monoxide, and particulate matter includes, as a minimum, torque, engine speed, weighting factor, power, mass emission rate (grams per hour), and certification test fuel.
(15) "Compression Ignition (CI) Engine" means an internal combustion engine with operating characteristics significantly similar to the theoretical diesel combustion cycle. The regulation of power by controlling fuel supply in lieu of a throttle is indicative of a compression ignition engine.
(16) "Consignee" (see receiver).
(17) "Consignor" (see shipper).
(18) "Cryogenic Temperature Control System" means a heating and cooling system that uses a cryogen, such as liquid carbon dioxide or liquid nitrogen that is routed through an evaporator coil that cools air blown over the coil. The cryogenic system uses a vapor motor to drive a fan and alternator, and a propane-fired heater superheats the carbon dioxide for heating and defrosting. Electrically driven fans may be used instead of a vapor motor and heating and defrost needs may be met by using electric heaters and/or vehicle engine coolant.
(19) "Deterioration Factor (DF)" means a factor that is applied to the certification emission test data to represent emissions at the end of the useful life of the engine. Separate DFs apply to each measured pollutant, except that a combined NMHC+NOx DF applies to engines that do not use aftertreatment devices. Decreasing emissions over time would not be allowed to offset increasing emissions of the other pollutant in this combined DF.
(20) "Diesel Fuel" means any fuel that is commonly or commercially known, sold, or represented as diesel fuel, including any mixture of primarily liquid hydrocarbons - organic compounds consisting exclusively of the elements carbon and hydrogen - that is sold or represented as suitable for use in an internal combustion, compression-ignition engine.
(21) "Diesel-Fueled" means fueled by diesel fuel or CARB diesel fuel in whole or in part, except as allowed for a pilot ignition source under the definition for "alternative fuel".
(22) "Diesel Oxidation Catalyst (DOC)" means the use of a catalyst to promote the oxidation processes in diesel exhaust. Usually refers to an emission control device that includes a flow-through substrate where the surfaces that contact the exhaust flow have been catalyzed to reduce emissions of the organic fraction of diesel particulates, gas-phase hydrocarbons, and carbon monoxide.
(23) "Diesel Particulate Filter (DPF)" means an emission control technology that reduces PM emissions by trapping the particles in a flow filter substrate. Periodically the collected particles are either physically removed or oxidized (burned off) in a process called regeneration.
(24) "Diesel Particulate Matter" means the particles found in the exhaust of diesel-fueled CI engines. Diesel PM may agglomerate and adsorb other species to form structures of complex physical and chemical properties.
(25) "Dual-Fuel Engine" means an engine designed to operate on a combination of alternative fuel, such as compressed natural gas (CNG) or liquefied petroleum gas (LPG), and conventional fuel, such as diesel or gasoline. These engines have two separate fuel systems, which either inject both fuels simultaneously into the engine combustion chamber or fumigate the gaseous fuel with the intake air and inject the liquid fuel into the combustion chamber.
(26) "Emergency" means any of the following times:
(A) A failure or loss of normal power service that is not part of an "interruptible service contract" (see definition in subsection (d));
(B) A failure of a facility's internal power distribution system, provided the failure is beyond the reasonable control of the operator;
(C) When an affected facility is placed under an involuntary "rotating outage" (see definition in subsection (d)).
(27) "Emission Control Strategy" means any device, system, or strategy employed with a diesel-fueled CI engine that is intended to reduce emissions. Examples of emission control strategies include, but are not limited to, particulate filters, diesel oxidation catalysts, selective catalytic reduction systems, alternative fuels, fuel additives used in combination with particulate filters, alternative diesel fuels, and combinations of the above.
(28) "Emissions Rate" means the weight of a pollutant emitted per unit of time (e.g., grams per second).
(29) "Executive Officer" means the Executive Officer of the California Air Resources Board or his or her delegate.
(30) "Facility" means any facility where TRU-equipped trucks, trailers, shipping containers or railcars are loaded or unloaded with perishable goods. This includes, but is not limited to, grocery distribution centers, food service distribution centers, cold storage warehouses, and intermodal facilities. Each business entity at a commercial development is a separate facility for the purposes of this regulation, provided the businesses are "independently owned and operated" (see definition in subsection (d)).
(31) "Facility Control (of TRUs or TRU Gen Sets)" means the TRUs or TRU gen sets located at the facility are owned or leased by the facility, its parent company, affiliate, or a subsidiary, or under contract for the purpose of providing carrier service to the facility, and the TRUs' or TRU gen sets' arrival, departure, loading, unloading, shipping and/or receiving of cargo is determined by the facility, parent company, affiliate, or subsidiary (e.g scheduled receiving, dispatched shipments).
(32) "Fischer-Tropsch Diesel Fuel" See "ultra-low-aromatic synthetic diesel fuel".
(33) "Fuel Additive" means any substance designed to be added to fuel or fuel systems or other engine-related engine systems such that it is present in-cylinder during combustion and has any of the following effects: decreased emissions, improved fuel economy, increased performance of the engine; or assists diesel emission control strategies in decreasing emissions, or improving fuel economy or increasing performance of the engine.
(34) "Generator Set (gen set)" means a CI engine coupled to a generator used as a source of electricity.
(35) "Hybrid Cryogenic Temperature Control System" means a temperature control system that uses a cryogenic temperature control system in conjunction with a conventional TRU.
(36) "Independently Owned and Operated" means a business concern that independently manages and controls the day-to-day operations of its own business through its ownership and management, without undue influence by an outside entity or person that may have an ownership and/or financial interest in the management responsibilities of the applicant business or small business.
(37) "Intermodal Facility" means a facility involved in the movement of goods in one and the same loading unit or vehicle which uses successively several modes of transport without handling of the goods themselves in changing modes. Such a facility is typically involved in loading and unloading refrigerated shipping containers and trailers to and from railcars, trucks, and ocean-going ships.
(38) "Interruptible Service Contract" means any arrangement in which a nonresidential electrical customer agrees to reduce or consider reducing its electrical consumption during periods of peak demand or at the request of the System Operator in exchange for compensation, or assurances not to be blacked out or other similar non-monetary assurances.
(39) "In Use TRU, TRU gen set, or engine" means a TRU, TRU gen set, or engine that is not a "new" TRU, TRU gen set, or engine.
(40) "Low Emission TRU (LETRU or L)" means a TRU or TRU gen set that meets the performance standards described under paragraph (e)(1)(A)1. or (e)(1)(A)2.
(41) "Manufacturer" means a business as defined in Government Code s 14837(c).
(42) "Military tactical support equipment (TSE)" means equipment that meets military specifications, owned by the U.S. Department of Defense and/or the U.S. military services, and used in combat, combat support, combat service support, tactical or relief operations, or training for such operations.
(43) "Model Year (MY)" means diesel-fueled engine manufacturer's annual production period, which includes January 1st of a calendar year, or if the manufacturer has no annual production period, the calendar year.
(44) "New TRU, TRU Gen Set, or Engine" means any TRU, TRU gen set, or engine that has never been subject to a retail sale or lease to an "ultimate purchaser" (see definition in subsection (d)).
(45) "Nitrogen Oxide (NOx)" means compounds of nitric oxide (NO), nitrogen dioxide (NO2), and other oxides of nitrogen. Nitrogen oxides are typically created during combustion processes and are major contributors to smog formation and acid deposition.
(46) "Non-California-Based TRUs and TRU Gen Sets" means TRUs and TRU gen sets that are equipped on or used in trucks, trailers, shipping containers, or railcars that a reasonable person would find to be regularly assigned to terminals outside of California and operate in California from time to time for the purpose of transporting perishable goods into or out of the state.
(47) "Non-methane Hydrocarbons (NMHC)" means the sum of all hydrocarbon air pollutants except methane. NMHCs are precursors to ozone formation.
(48) "Operate" means to start, cause to function, program the temperature controller, select an operating program or otherwise control, fuel, monitor to assure proper operation, or keep in operation.
(49) "Operator" means any person, party or entity that operates a TRU or TRU gen set for the purposes of transporting perishable goods, excluding an employee driver and third party maintenance and repair service, and including but not limited to:
(A) Manufacturer, producer, supplier, carrier, shipper, consignor, consignee, receiver, distribution center, or warehouse of perishable goods;
(B) An individual, trust, firm, joint stock company, business concern, partnership, limited liability company, association, or corporation including but not limited to, a government corporation;
(C) Any city, county, district, commission, the state or any department, agency, or political subdivision thereof, any interstate body, and the federal government or any department or agency thereof to the extent permitted by law.
(50) "Owner" means any person that legally holds the title (or its equivalent) showing ownership of a TRU or TRU gen set, excluding a bank or other financial lending institution, and including but not limited to:
(A) Manufacturer, producer, supplier, carrier, shipper, consignor, consignee, receiver, distribution center, warehouse;
(B) An individual, trust, firm, joint stock company, business concern, partnership, limited liability company, association, or corporation including but not limited to, a government corporation;
(C) Any city, county, district, commission, the state or any department, agency, or political subdivision thereof, any interstate body, and the federal government or any department or agency thereof to the extent permitted by law.
(51) "Owner/Operator" means a requirement applies to the owner and/or operator of a TRU or TRU gen set, as determined by agreement or contract between the parties if the two are separate business entities.
(52) "Parent Company" means a company that has a controlling interest in another company, usually through ownership of more than one-half the voting stock.
(53) "Particulate Matter (PM)" means the particles found in the exhaust of CI engines, which may agglomerate and adsorb other species to form structures of complex physical and chemical properties.
(54) "Rated Brake Horsepower" means the power delivered, according to the statement of the engine manufacturer, at the rated speed.
(55) "Real Emission Reductions" means that an action is taken that results in reductions in the PM emission rate of an in-use engine (e.g. a VDECS is installed that reduced the PM emissions rate by more than 50%).
(56) "Receiver" means the person, party, or entity that receives shipped goods, cargo, or commodities.
(57) "Refrigerated Trailer" means a trailer van, railcar, or shipping container equipped with a TRU or TRU gen set. Pursuant to Health and Safety Code section 39618, refrigerated trailers are mobile sources and shall be regulated by the ARB on a statewide basis.
(58) "Rotating Outage" means a controlled involuntary curtailment of electrical power service to consumers as ordered by the system operator - see definition in subsection (d).
(59) "Shipper" means the person, party, or entity who usually owns or supplies the commodities shipped by a carrier.
(60) "System Operator" means one of the several organizations that control energy in California. System operators include, but are not limited to, the California Independent System Operator, the Los Angeles Department of Water and Power, the Imperial Irrigation District, the Sacramento Municipal Utility District.
(61) "Terminal" means any place where a TRU or TRU gen set equipped truck, trailer, shipping container, railcar or TRU gen set is regularly garaged, maintained, operated, or dispatched from, including a dispatch office, cross-dock facility, maintenance shop, business, or private residence.
(62) "Tier 4 Nonroad/Offroad Emission Standards" means the emission standards and associated procedures promulgated by U.S. Environmental Protection Agency in "Control of Emissions of Air Pollution from Nonroad Diesel Engines and Fuel; Final Rule" (Vol. 69, No. 124 Fed.Reg. pp. 38957-39273 (June 29, 2004).
(63) "Transport Refrigeration Unit (TRU)" means refrigeration systems powered by integral internal combustion engines designed to control the environment of temperature sensitive products that are transported in trucks and refrigerated trailers. TRUs may be capable of both cooling and heating.
(64) "TRU Generator Set (TRU gen set)" means a generator set that is designed and used to provide electric power to electrically driven refrigeration units of any kind. This includes, but is not limited to gen sets that provide electricity to electrically powered refrigeration systems for semi-trailer vans and shipping containers.
(65) "Ultimate Purchaser" means with respect to a new TRU, TRU gen set, or engine, the first person who in good faith purchases a new TRU, TRU gen set, or engine for purposes other than resale.
(66) "Ultra-Low-Aromatic Synthetic Diesel Fuel" means fuel produced from natural gas, coal, or biomass by the Fischer-Tropsch gas-to-liquid chemical conversion process, or similar process that meets the following properties:
Table 1

Property ASTM Value
Sulfur Content (ppmw) D5453-93 <1
Total Aromatic Content (wt %) D5186-96 <1.5%
Polynuclear Aromatic Cotent (wt %) D5186-96 <0.5%
Natural Cetane Number D613-84 >74

(67) "Ultra-Low Emission TRU (ULETRU or U)" means a TRU or TRU gen set that meets the performance standards described under subparagraph (e)(1)(A)1. and (e)(1)(A)2. or that uses an "alternative technology" in accordance with subparagraph (e)(1)(A)3.
(68) "Verification Classification Level" means the classification assigned to a Diesel Emission Control Strategy by the Executive Officer as defined in theVerification Procedure, Warranty and In-Use Compliance Requirements for In-Use Strategies to Control Emission from Diesel Engines (13 CCR Sections 2700 - 2710). PM reductions correspond as follows: Level 1:. 25%; Level 2:. 50%; Level 3:. 85% or 0.01 g/hp-hr.
(69) "Verified Diesel Emission Control Strategy" (VDECS) means an emission control strategy designed primarily for the reduction of diesel particulate matter emissions that has been verified per theVerification Procedure, Warranty and In-Use Compliance Requirements for In-Use Strategies to Control Emissions from Diesel Engines (13 CCR Sections 2700 - 2710). Examples of diesel retrofit systems that may be verified include, but are not limited to, diesel particulate filters, diesel oxidation catalysts, fuel additives (e.g. fuel-borne catalysts), alternative fuels (e.g. dual fuel), alternative diesel fuels, and combinations of the above.
(e) Requirements.
(1) In-Use Operation:
(A) In-Use Performance Standards: In accordance with the schedule set forth below in paragraph (e)(1)(B), no owner/operator shall operate a TRU or TRU gen set in California unless it meets the in-use emission category performance standards set forth below.
1. In-Use performance standard categories for TRU and TRU gen set engines with rated brake horsepower less than 25 horsepower (<25 hp) are shown in Table 2, along with the engine certification standards or the level of Verified Diesel Emission Control Strategy (VDECS) (see definition) that is necessary to qualify for each category.
Table 2 <25 HP TRU and TRU Gen Set In-Use PM Performance Standards

Engine
Certification Level of VDECS
In-Use Emission Category (g/hp-hr) Equipped with
Low Emission TRU (LETRU or L) 0.30 Level 2
Ultra-Low Emission TRU
(ULETRU or U) NA Level 3

a. Compliance can be achieved by:
I. Using a certified engine meeting the applicable nonroad/offroad emissions standards for all regulated pollutants and the in-use PM performance standard. Only engines for which certification data and deterioration factors have been provided to ARB shall be considered when determining compliance. The Executive Officer will consider such submittals, publish, and make available a list of qualifying engines.
II. Equipping the engine with the required Level of VDECS.
2. In-Use performance standard categories for TRU and TRU gen set engines with rated brake horsepower greater than or equal to 25 horsepower (.25 hp) are shown in Table 3, along with the engine certification standards or the level of VDECS that is necessary to qualify for each category.
Table 3 .25 HP TRU and TRU Gen Set In-Use PM Performance Standards

Engine Certification Level of VDECS
In-Use Emission Category (g/hp-hr) Equipped with
Low Emission TRU (LETRU or L) 0.22 Level 2
Ultra-Low Emission TRU
(ULETRU or U) 0.02 Level 3

a. Compliance can be achieved by:
I. Using a certified engine meeting the applicable nonroad/offroad emissions standards for all regulated pollutants and the in-use PM performance standard. Only engines for which certification data and deterioration factors have been provided to ARB shall be considered when determining compliance. The Executive Officer will consider such submittals, publish, and make available a list of qualifying engines.
II. Equipping the engine with the required Level of VDECS.
3. As an alternative to meeting the ULETRU in-use performance standards in subsections (e)(1)(A)1. and 2., an owner/operator may operate a TRU or TRU gen set in California meeting one of theAlternative Technology options listed below. Alternative Technologies qualify to meet the ULETRU in-use performance standard only if the TRU or TRU gen set is operated under the conditions included in the description listed below.
a. Electric standby, provided that the TRU is not operated under diesel engine power while at a facility, except during an emergency.
b. Cryogenic temperature control systems or hybrid cryogenic temperature control systems, provided that the TRU does not operate under diesel engine power while at a facility, except during an emergency.
c. Alternative-fueled engines (see definition in subsection (d)). If the engine is a CI engine, a VDECS is required.Note: If the engine is not a compression ignition diesel fueled engine, this regulation would not apply, but the engine may have to meet other emission standards (e.g. large spark-ignited engine standards if >25 hp).
d. Fuel exclusively with an alternative diesel fuel (see definition in subsection (d)) that has been verified as a VDECS, provided it is used in accordance with the requirements of subsection (e)(2)(A) and the alternative diesel fuel contains no conventional diesel or CARB diesel fuel.
e. Power by fuel cells. If a reformer is used with diesel fuel as the source of hydrocarbons, then emissions must be evaluated and verified through theVerification Procedure Warranty and In-Use Compliance Requirements for In-Use Strategies to Control Emissions from Diesel Engines (13 CCR sections 2700 - 2710).
f. Equip with any other system approved by the Executive Officer to not emit diesel PM or increase public health risk while at a facility.
(B) In-Use Compliance Dates.
1. No owner/operator shall operate a 2001 and older model year (MY) TRU or TRU gen set engine in California unless it meets the in-use performance criteria set forth in paragraph (e)(1)(A) for
a. LETRU on or before December 31, 2008, and
b. ULETRU on or before December 31, 2015, as shown in Tables 4 and 5.
2. No owner/operator shall operate a 2002 MY TRU or TRU gen set engine in California unless it meets the in-use performance criteria set forth in paragraph (e)(1)(A) for
a. LETRU on or before December 31, 2009, and
b. ULETRU on or before December 31, 2016, as shown in Tables 4 and 5.
3. No owner/operator shall operate a 2003 MY and subsequent MY TRU or TRU gen set engine in California unless it meets the in-use performance criteria set forth in paragraph (e)(1)(A) for ULETRU on or before December 31st of the seventh year past the unit's model year, as shown in Tables 4 and 5.
Table 4. <25 HP TRU and TRU Gen Set Engines In-Use Compliance Dates

Table 5..25 HP TRU and TRU Gen Set Engines In-Use Compliance Dates

(C) Replacements Due to Failures.
1. If a VDECS fails within its warranty period, the owner/operator of the TRU or TRU gen set must replace it with the same VDECS or a higher verification classification level, if available.
2. If a VDECS fails outside its warranty period and a higher verification classification level VDECS is available, then the owner/operator of the TRU or TRU gen set shall upgrade to the highest level VDECS required under paragraphs (e)(1)(A)1. and (e)(1)(A)2. that is determined to be cost-effective by the Executive Officer.
(D) In-Use Recordkeeping and Reporting. In-use recordkeeping and reporting shall be completed by the operator in accordance with the requirements of subsection (f)(1).
(E) ARB Identification Numbering Requirements. Identification numbers will be issued to help expedite the inspection procedure and prevent shipping delays.
1. California-based TRUs and TRU gen sets:
a. On or before January 31, 2009, owner/operators of all California-based TRUs and TRU gen sets subject to this regulation shall apply for an ARB identification number for all California-based TRUs or TRU gen sets operated by the operator by submitting an application that includes the information listed below.
I. Operator name, address, and contact information for the responsible official (e.g. phone number, email address, fax number).
II. Owner name, address, and contact information (if other than operator).
III. TRU or TRU gen set make, model, model year, and serial number.
IV. TRU engine make, model, model year, and serial number.
V. Terminal or terminals that the TRU-equipped truck or trailer is assigned to, with address and contact information.
VI. Other associated identification numbers, which may include (as applicable):
i. Vehicle Identification Number (VIN) of the TRU-equipped truck or trailer.
ii. Vehicle license number of the TRU-equipped truck or trailer.
iii. Railcar recording mark and car number.
iv. Shipping container number (for TRU-equipped shipping containers only).
v. Company equipment number (if any).
VII. Compliance status with paragraph (e)(1)(A) requirements. If compliance not as-yet required, mark N/A.
i. Date when compliance was achieved.
ii. What performance standard was met (e.g. LETRU or ULETRU).
iii. How compliance was achieved (e.g. new compliant TRU, TRU engine replacement, or description of VDECS that was used).
iv. Identify who did the installation work (if applicable).
b. Applications shall be submitted by one of the following methods:
I. Mail or deliver a physical report to ARB at the address listed immediately below:
California Air Resources Board Stationary Source Division (TRU) P.O. Box 2815 Sacramento, CA 95812
II. Electronically submit through ARB's web site. The web address will be identified in an advisory.
c. TRUs and TRU gen sets added to an operator's TRU operations after January 31, 2009 shall be brought into compliance with subsection (e)(1)(E). An application shall be submitted to ARB within 30 days of the unit entering the operator's control:
I. Requesting an ARB I.D. number for a new TRU or TRU gen set that was not previously numbered, or
II. Requesting a change in owner or operator (or other pertinent application information) for used equipment that already has an ARB I.D. number.
d. Failure to apply or submittal of false information is a violation of state law subject to civil penalty.
e. On or before February 1, 2009, the Executive Officer shall begin issuing identification numbers to TRU and TRU gen set operators for each unit based in California for which a complete application has been filed. The number will include a 2-digit prefix for model year (e.g. 2001 model year would have a prefix 01); a 6-digit serial number; a check-digit, and a letter indicating compliance status with in-use performance standards (either "L" or "U"). In the event that an operator applies for an early compliance certificate in accordance with subsection (e)(1)(F), ARB will also issue a certificate which acknowledges early compliance per (e)(1)(F)3.
f. Within 30 days of receipt of the ARB-issued identification number, owner/operators shall permanently affix or paint the identification number on the TRU or TRU gen set chassis housing in clear view according to the following specification:
I. The ARB identification number shall be preceded by the letters "ARB".
II. Letters and numbers shall contrast sharply in color with the color of the background surface on which the letters are placed.
III. The location of the I.D. number shall be as follows:
i. Truck and trailer TRUs - both sides of TRU chassis housing.
ii. Rail car and shipping container TRUs - both sides of the TRU.
iii. TRU gen sets - both sides of gen set housing.
IV. Letters and numbers shall be readily legible during daylight hours, from a distance of 50 feet (15.24 meters) while unit is stationary.
V. Marking shall be kept maintained in a manner that retains the legibility required by the subparagraph immediately above.
2. Non-California-based TRUs and TRU Gen Sets:
a. Operators of non-California-based TRUs and TRU gen sets may voluntarily apply for ARB identification numbers for TRUs that are based outside of California but operate within California during the normal course of business. Non-California-based operators may voluntarily submit the same application information listed above in subparagraph (e)(1)(E)1.a., above, using the same methods of submittal listed in subparagraph (e)(1)(e)1.b., above. Upon application approval, ARB would issue identification numbers to the operator in accordance with subparagraph (e)(1)(E)1.e., above. The non-California-based operator would then permanently affix or paint the identification number on the TRU or TRU gen set chassis in clear view, in accordance with (e)(1)(E)1.f., above.
(F) Early Compliance with LETRU In-Use Performance Standards.
1. For 2002 and older MY TRU and TRU gen set engines, operators or owners that meet the LETRU in-use performance standard earlier than required in paragraph (e)(1)(B) may apply to the Executive Officer for a delay in the ULETRU in-use performance standard. Except as provided below, early compliance would be achieved through any of the options available in paragraph (e)(1)(A).
a. This delay would not be available to the operator or owner if the engine manufacturer of the replacement engine is using the early compliance with engine emissions standards in U.S. EPA's Averaging, Banking, and Trading Program (or California's equivalent program).
b. Early compliance is conditioned upon real emission reductions (refer to definition in sub section (d)) occurring earlier than the applicable compliance deadline.
c. This delay may not be available to the operator or owner if public funds were used for early compliance. The applicant shall disclose whether public funds were used for any portion of early compliance and what program the funding came from.
2. Early LETRU compliance with real emission reductions would allow specific units to delay compliance with ULETRU in-use performance standards by up to three years, according to the rounding conventions and examples listed below.
a. Each year of early compliance with the LETRU in-use performance standards would be rewarded with 1 year delay in the ULETRU in-use performance standard.
I. One full year early compliance qualifies for one full year delay in meeting ULETRU compliance.
II. Two full years early compliance qualifies for two full years delay in meeting ULETRU compliance.
III. Three full years early compliance qualifies for three full years delay in meeting ULETRU compliance.
b. A partial year of early LETRU compliance would be rounded to the nearest full year for the delayed ULETRU requirements.
I. Early LETRU compliance of 183 days or more in a calendar year would count toward a one year ULETRU delay.
II. Early LETRU compliance of 182 days or less in a calendar year would not count toward a ULETRU delay.
3. Upon receipt ofan application to delay ULETRU compliance, the Executive Officer shall determine if the application demonstrates early compliance with LETRU in-use performance standards in accordance with subsection (e)(1)(F)1., and if the application is approved, shall delay the in-use ULETRU compliance date for specific TRUs and TRU gen sets operating in California in accordance with subparagraph (e)(1)(F)2. (continued)