California Code of Regulations
Title 13 - Motor Vehicles
Division 3 - Air Resources Board
Chapter 1 - Motor Vehicle Pollution Control Devices
Article 4 - Diesel Particulate Matter Control Measures
Section 2021.3 - Reporting and Record Keeping Requirements

Universal Citation: 13 CA Code of Regs 2021.3

Current through Register 2024 Notice Reg. No. 38, September 20, 2024

(a) Reporting Requirements

(1) Reporting Applicability
(A) A fleet owner that operates a fleet of one or more solid waste collection vehicles as defined in section 2021(b)(25) or low use collection vehicles as defined in section 2021(b)(18) must submit to the Executive Officer applicable reporting information as specified in section 2021.3(a) for all diesel-fueled solid waste collection vehicles with engine model years 1960 to 2006. Vehicles awaiting sale as defined in section 2021(b)(10) do not need to be reported.

(B) A fleet owner that operates a fleet of one or more heavy cranes subject to the requirements of section 2021(b)(16) or low use cranes as defined in section 2021(b)(18) must submit to the Executive Officer reporting information as specified in sections 2021.3(a)(3) to 2021.3(a)(12) until all heavy cranes in the fleet have 2010 or newer model year engines. Vehicles awaiting sale as defined in section 2021(b)(10) do not need to be reported.

(2) Reporting Deadline. Beginning with the 2020 compliance year, fleet owners subject to reporting under this subsection must submit the information specified in sections 2021.3(a)(3) to 2021.3(a) (12) by January 31 of each year for their fleet as it was comprised as of January 1 of that respective year. For example, by January 31, 2020, a fleet owner shall submit the information specified in section 2021.3(a) for their fleet as it was comprised on January 1, 2020.
(A) For the 2019 compliance year, the reporting deadline for 2019 will be 30 days after the effective date, July 1, 2019, of this regulation. Fleet owners subject to reporting under this subsection must submit the information specified in sections 2021.3(a)(3) to 2021.3(a)(12) for their fleet as it was comprised 30 days after the effective date, July 1, 2019, of this regulation. If the fleet owner must report low use vehicles under section 2021.3(a)(9), the fleet owner shall report the odometer or hubodometer reading taken 30 days after the effective date, July 1, 2019, of this regulation.

(B) Changes to an existing fleet during the compliance year must be reported pursuant to section 2021.3(a)(12).

(3) New Fleet Reporting. A fleet owner that purchases or otherwise acquires one or more new or used heavy cranes or solid waste collection vehicles must submit to the Executive Officer reporting information as specified in sections 2021.3(a)(5) to 2021.3(a)(12) within 30 days of the date of purchase or acquisition and subsequently must comply with the annual reporting deadlines in section 2021.3(a)(2).

(4) Fleet owners must submit reporting information as specified in sections 2021.3(a)(3) to 2021.3(a)(12) by mail or online through the Truck Regulation Upload, Compliance and Reporting System.

(5) Owner Contact Information. For each fleet subject to reporting, the fleet owner must provide to the Executive Officer the following information:
(A) Fleet owner's name;

(B) Name of company or agency;

(C) Motor carrier identification number;

(D) Corporate parent name (if applicable);

(E) Company taxpayer identification number;

(F) Street, mailing, and records storage address (if applicable);

(G) Name of responsible person;

(H) Title of responsible person;

(I) Contact name;

(J) Contact telephone number; and

(K) Contact email address (if available).

(6) Vehicle Information. For each vehicle subject to reporting, the fleet owner must provide to the Executive Officer the following information:
(A) Vehicle identification number;

(B) Vehicle manufacturer;

(C) Vehicle model;

(D) Gross vehicle weight rating;

(E) Vehicle model year;

(F) Vehicle body type;

(G) Date vehicle was purchased;

(H) License plate number;

(I) The state, province, or country where the vehicle is or was registered and type of registration plate; and

(J) Date that a vehicle was retired, sold, transferred out of State, or junked.

(7) Engine Information Reporting. For each engine that propels a vehicle reported per section 2021.3(a)(6), the fleet owner must provide to the Executive Officer the following information:
(A) Engine manufacturer;

(B) Engine model;

(C) Engine family for all 1974 model year and newer engines;

(D) Fuel type;

(E) Engine model year;

(F) Whether the engine has an OEM particulate matter filter; and

(G) Whether the engine or vehicle was partially paid for with public funds, and if so, the funding contract dates.

(8) Verified Diesel Emission Control Strategies (VDECS) Reporting. For each VDECS that is installed on an engine, the fleet owner must provide to the Executive Officer the following information:
(A) Owner, vehicle, and engine information identified in section 2021.3 (a)(5)-(7);

(B) Date of installation;

(C) Name of authorized installer;

(D) City and State of installer;

(E) VDECS family name;

(F) VDECS manufacturer;

(G) Serial number, or experimental part number, or aftermarket part number; and

(H) Whether the VDECS was partially paid for with public funds, and if so, the funding contract dates.

(9) Low Use Vehicle Reporting. For vehicles that are designated as low use vehicles, the fleet owner must report the following information to the Executive Officer annually for as long as the fleet owns or operates the vehicles as low use:
(A) Owner, vehicle, and engine information identified in section 2021.3 (a)(5)-(7);

(B) Mileage readings from a properly functioning odometer or hubodometer taken on January 1 of the compliance year. A hubodometer may be used in lieu of the odometer;

(C) In the event that the odometer or hubodometer is removed or replaced, the original instrument reading, the date the original instrument is removed, and the date the replacement instrument is placed in service, must be reported to the Executive Officer via the Truck Regulation Upload, Compliance and Reporting System or mail, within 30 days of the original instrument removal or replacement. If hubodometers are used, the fleet owner also must report the serial numbers; and

(D) Whether the vehicle is used as an emergency support vehicle as defined in section 2021(b)(8); and, if so, the fleet owner must report the miles travelled while operating as an emergency support vehicle as defined in section 2021(b)(7).

(10) Claiming Compliance Extension for Manufacturer Delays. If the fleet owner chooses to claim a compliance extension for engine manufacturer delays, the fleet owner must report via the Truck Regulation Upload, Compliance and Reporting System, the following information to the Executive Officer no earlier than January 1, and no later than January 31, of each year that an extension is sought for a vehicle owned or operated in the prior compliance year.
(A) Owner, vehicle, and engine information identified in section 2021.3 (a)(5)-(7); and

(B) The date of purchase or the date the contractual agreement for purchase of replacement engine or vehicle was entered into dating no later than September 1 of the previous compliance year.

(11) Compliance Certification. All reports submitted to CARB must be signed by a responsible official or a designee or attested to online, certifying under penalty of perjury under the laws of the State of California that the information reported has been prepared in accordance with the reporting requirements in section 2021.3(a), and that the information submitted is true, accurate, and complete. The designee must also certify that they are aware there are significant penalties for submitting false statements and information or omitting required statements and information.

(12) Changes to an Existing Fleet
(A) Newly purchased vehicles added to an existing fleet must be reported to the Executive Officer via the Truck Regulation Upload, Compliance and Reporting System or mail, pursuant to sections 2021.3(a)(6) through 2021.3 (a)(11) within 30 days of purchase.

(B) Vehicles sold from an existing fleet must be reported to the Executive Officer via the Truck Regulation Upload, Compliance and Reporting System or mail, within 30 days of the sale. The report must include the date of sale and the mileage reading at the time of sale.

(C) A fleet owner may not add or remove vehicles that cause the fleet to fall out of compliance.

(b) Record Keeping Requirements

(1) The owner of a fleet shall maintain the records specified in this section regardless of whether the fleet is based in California. The owner shall provide these records to an agent or employee of CARB within five business days upon request.

(2) The owner of a fleet subject to the reporting requirements of section 2021.3(a) shall maintain copies of the information reported, as well as the records described in sections 2021.3(b).

(3) The fleet owner must notify the Executive Officer in writing by the first applicable reporting date and during the month of January of every subsequent compliance year, if applicable, with the name of the responsible official and the location where the records will be kept, and whether any information has changed since the last reporting date. The owner of a fleet shall maintain the records specified in this section regardless of whether the fleet is based in California.

(4) Motor Carrier or Broker
(A) The fleet owner shall maintain bills of lading and other documentation identifying the motor carrier or broker who hired or dispatched the vehicle and the vehicle dispatched. The documentation shall include the name and contact information of the hiring business entity and vehicle information including license plate number, company or owner name, United States Department of Transportation or California Motor Carrier Permit number, license plate number, and the state of registration.

(5) Retired Vehicles. The fleet owner shall maintain the following records. All records must include the VIN, the company or owners name, and the disclosure agreement as specified in section 2021(c)(9).
(A) Transfer of Liability form filed with DMV, including the date of sale and mileage reading at the time of sale;

(B) If the vehicle is transferred out of state, a copy of the out of state registration;

(C) If the vehicle is junked, a copy of the registration demonstrating it was filed as such with DMV;

(D) If the vehicle is sold to an auction house, a copy of the contract.

(6) For newly purchased vehicles, the fleet owner must keep a copy of the original purchase order including the date of purchase and the VIN purchased.

(7) For any fleet owner utilizing the low use vehicle option in section 2021.1(b) or 2021.2(b), the fleet owner must maintain third party records of the miles travelled such as Periodic Smoke Inspection Program (PSIP) test results, Biennial Inspection of Terminals (BIT) inspection records, fuel tax records and third party maintenance records.
(A) Fleet owners of emergency support vehicles utilizing the provisions of section 2021(b)(7) shall keep records to document dispatch by a local, state, or federal agency or other responsible emergency management entity as approved by the Executive Officer. Additionally, fleet owners of emergency support vehicles must keep records of any contracts with a company or agency that was dispatched by a public agency.

(8) Manufacturer Delay. For any vehicle for which the fleet owner is utilizing the engine manufacturer delay provision in section 2021.2(d), the fleet owner must maintain the following records:
(A) Proof that the fleet owner has purchased, or has entered into contractual agreement with the seller for the purchase, at least 4 months prior to the required compliance date;

(B) Proof of purchase in the form of a signed and dated purchase order showing a deposit, the VIN or partial VIN of the replacement vehicle, expected date of delivery, and a description of the vehicle; and

(C) Proof that the replacement engine or vehicle was removed from service within 30 days of receiving the compliant vehicle.

(9) Proof of Operation. Owners of fleets must keep records showing that any vehicle using the compliance options of section 2021.1(b)(1) or 2021.2(b)(1) was operated for that applicable compliance year. Records include but are not limited to PSIP test results, BIT inspection records, and third party maintenance records.

(10) VDECS Records. For each engine requiring a VDECS to comply with the regulation, the fleet owner shall keep the following documentation at the records location specified in subsection (a)(5)(F) and provide it upon request to an agent or employee of CARB;
(A) VDECS Installation: Maintain records of any VDECS installation including:
1. A statement signed by the installer at the time of installation of the VDECS affirming that the installation was performed by an installer authorized by the VDECS manufacturer;

2. The name of the company installing the device;

3. Location of the company installing the device;

4. The date the device was installed;

5. The VDECS manufacturer;

6. VDECS family name;

7. Serial number of installed VDECS; and

8. VIN of the vehicle on which the VDECS was installed.

(B) VDECS Failure: Maintain records of any VDECS failure and replacement including:
1. Date of failure;

2. Description of failure;

3. Description of resolution of failure;

4. Date of resolution of failure;

5. Past VDECS maintenance records; and

6. Past engine maintenance records.

(c) Audit of Records. The fleet owner must make records available to CARB upon request for audit to verify the accuracy of the records. In the event the records are not made available within 30 days of the request, CARB may assess penalties for non-compliance. Submitting false information to CARB is a violation of this regulation and violators will be subject to penalty. Penalties will be assessed pursuant to sections 39674, 39675, 42400, 42400.1, 42400.2, 42402.2, and 43016 of the Health and Safety Code. In assessing penalties, the Executive Officer will consider factors, including but not limited to the willfulness of the violation, the length of time of noncompliance, whether the fleet made an attempt to comply, and the magnitude of noncompliance.

1. New section filed 6-25-2019; operative 7-1-2019 pursuant to Government Code section 11343.4(b)(3) (Register 2019, No. 26).

Note: Authority cited: Sections 39600, 39601, 39666, 39667 and 43013, Health and Safety Code. Reference: Sections 39002, 39003, 39650, 39655, 39656, 39657, 39658, 39659, 39660, 39661, 39662, 39665, 39666, 39667, 39668, 39674, 39675, 42400, 42400.1, 42400.2, 42402.2, 43000, 43013, 43016, 43018, 43101, 43102, 43104, 43105 and 43700, Health and Safety Code.

Disclaimer: These regulations may not be the most recent version. California may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
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