California Code of Regulations
Title 13 - Motor Vehicles
Division 3 - Air Resources Board
Chapter 9 - Off-Road Vehicles and Engines Pollution Control Devices
Article 4.8 - In-Use off-Road Diesel-Fueled Fleets
Section 2449 - General Requirements for in-Use off-Road Diesel-Fueled Fleets

(1) Except as provided in subsection (b)(2) below, this regulation applies to any person, business, or government agency who owns or operates within California any vehicles with a diesel-fueled or alternative diesel fueled off-road compression-ignition engine with maximum power (max hp) of 25 horsepower (hp) or greater provided that the vehicle cannot be registered and driven safely on-road or was not designed to be driven on-road, even if it has been modified so that it can be driven safely on-road.

(2) The regulation also applies to the following:

(1) "Agricultural operations" means

(2) "Airport ground support equipment" (GSE) is mobile diesel-fueled off-road compression ignition vehicles used to service and support aircraft operations. GSE vehicles perform a variety of functions, including but not limited to: aircraft maintenance, pushing or towing aircraft, transporting cargo to and from aircraft, loading cargo, and baggage handling. GSE vehicles include equipment types such as baggage tugs, belt loaders, and cargo loaders.

(3) "Alternative diesel fuel" means any fuel used in a compression ignition engine that is not a diesel fuel, as defined in title 13, CCR, sections 2281 and 2282, 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. A diesel fuel containing a fuel additive will be treated as an alternative diesel fuel unless:

(4) "Alternative fuel" means natural gas, propane, ethanol, methanol, gasoline (when used in hybrid electric vehicles only), hydrogen, electricity, fuel cells, or advanced technologies that do not rely on diesel fuel. "Alternative fuel" also means any of these fuels used in combination with each other or in combination with other non-diesel fuels.

(5) "Best available control technology" (BACT) means Verified Diesel Emission Control Strategy (VDECS) and turnover requirements in section 2449.1(b).

(6) "Captive attainment area fleet" means a fleet or fleet portion, as defined under section 2449(c)(24), in which all of the vehicles in the fleet or fleet portion operate exclusively within the following counties: Alpine, Colusa, Del Norte, Glenn, Humboldt, Lake, Lassen, Mendocino, Modoc, Monterey, Plumas, San Benito, San Luis Obispo, Santa Barbara, Santa Cruz, Shasta, Sierra, Siskiyou, Trinity, Tehama, Yuba, and the portion of Sonoma County that lies within the boundaries of the North Coast Air Basin. A fleet or identified fleet portion that operates one or more vehicles outside the counties and area listed above is not a captive attainment area fleet. Captive attainment area fleets shall be treated as small fleets even if their total max hp exceeds 2,500 hp. All fleets owned by the United States, the State of California, or agencies thereof (i.e., an agency in the judicial, legislative, or executive branch of the federal or state government) are considered to be large fleets (per section 2449(c)(28)(A)), and vehicles owned by such fleets, regardless of whether they operate exclusively within the above counties and area, are not part of a captive attainment area fleet.

(7) "CARB" means the California Air Resources Board.

(8) "Carryover BACT credit", as calculated under section 2449.1(b)(8), means a way of tracking turnover or VDECS installations accomplished in excess of the BACT requirements. Fleets may take credit for such excess turnover or VDECS installations to do less turnover or VDECS installations in later years.

(9) "Combat and tactical support equipment" means equipment that meets military specifications, is owned by the U.S. Department of Defense and/or the U.S. military services or its allies, and is used in combat, combat support, combat service support, tactical or relief operations or training for such operations.

(10) "Common ownership or control" means being owned or managed day to day by the same person, corporation, partnership, or association. Vehicles managed by the same directors, officers, or managers, or by corporations controlled by the same majority stockholders are considered to be under common ownership or control even if their title is held by different business entities.

(11) "Compression ignition 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.

(12) "Dedicated snow removal vehicle" means a vehicle that is operated exclusively to remove snow from public roads, private roads, or other paths from which snow must be cleared to allow on-road vehicle access. Dedicated snow removal vehicles must have permanently affixed snow removal equipment such as a snow blower or auger and may include, but are not limited to, motor graders, loaders, and snow blowers.

(13) "Designated official" means a person designated by the responsible official as the person that represents the fleet. The statements of the designated official to CARB under this regulation shall be deemed to be statements of the fleet.

(14) "Diesel fuel" has the same meaning as defined in title 13, CCR, sections 2281 and 2282.

(15) "Diesel particulate filter" means an emission control strategy that reduces diesel particulate matter emissions by directing all of the exhaust through a filter that physically captures particles but permits gases to flow through. Periodically, the collected particles are either physically removed or oxidized (burned off) in a process called regeneration.

(16) "Diesel particulate matter" (diesel PM) means the particles found in the exhaust of diesel-fueled compression ignition engines. Diesel PM may agglomerate and adsorb other species to form structures of complex physical and chemical properties. The California Air Resources Board (CARB) has identified diesel PM as a toxic air contaminant.

(17) "DOORS fleet ID number" means the number CARB assigns to each fleet when a fleet initially reports to CARB to identify the fleet.

(18) "Emergency operation" means:

(19) "Emission control label" means the label which engine manufacturers are required to affix on each production engine (or piece of equipment) to provide the engine or equipment owner and service mechanic with information necessary for the proper maintenance of parts in customer use, as described in CCR title 13, section 2424.

(20) "Emission factor" means NOx emission rate in grams per brake-horsepower hour (g/bhp-hr) as shown in Appendix A. Engines certified to Family Emission Limits and flexibility engines must still use the emission factors in Appendix A.

(21) "Equipment identification number" means a unique identification number assigned by CARB to each vehicle in an owner's fleet subject to this regulation. All reporting and recordkeeping will link vehicle data with this number.

(22) "Executive Officer" means the Executive Officer of CARB or his or her authorized representative.

(23) "Family emission limit" (FEL) means an emission level that is declared by the manufacturer to serve in lieu of an emission standard for certification purposes and for the averaging, banking, and trading program, as defined in title 13, CCR, section 2423.

(24) "Fleet" means all vehicles and engines subject to this regulation owned by a person, business, or government agency that are operated within California and are subject to the regulation. A fleet may consist of one or more vehicles. A fleet does not include vehicles that have never operated in California.

"Fleet portions" -- means that part of a fleet for which daily operations and dispatching are managed by different responsible officials because they are part of different subsidiaries, divisions, or other organizational substructures of a parent company, corporation or agency, which owns or controls the operations of the subsidiary, division, or organizational substructure, and the parent company, corporation, or agency elects to have some or all the fleet portions comply with the performance requirements separately and be reported separately. A fleet may have some fleet portions that meet the definition of captive attainment area fleet and some fleet portions that do not. However, the total max hp of the vehicles under common ownership or control of the parent company, corporation, or agency determines the fleet size. Once a fleet begins to comply and report separately as fleet portions, the fleet portions must continue to comply and report separately, and the fleet portions must meet the adding vehicle requirements in section 2449(d)(6) just as if they were separate fleets.

(25) "Fleet average index" means an indicator of a fleet's overall emission rate. The fleet average index for a specific fleet is determined by summing (adding) the product of the max hp of each engine times the emission factor, and dividing by the fleet's total max hp.

(26) "Fleet average target rate" means the fleet average that a specific fleet must meet in a compliance year in order to show compliance with the fleet average requirements. The fleet average target rate varies depending on a fleet's hp distribution. The fleet average target rate for a specific fleet for each compliance year is determined by summing (adding) the product of the max hp of each engine times the target, and dividing the resulting sum by the fleet's total max hp.

(27) "Fleet owner" means, except as qualified below, the person who owns and has possession of the vehicles in the fleet.

"Rental or Leased Fleets" -- Vehicles that are owned by a rental or leasing company and that are leased by the same lessee for a period of one year or more may be excluded from the rental company fleet and included in the fleet of the lessee only if such arrangement is delineated in the written lease agreement.

Vehicles that are rented or leased for a period of less than one year must be included in the fleet of the rental or leasing company. Off-road vehicles and engines subject to this regulation that are owned by a lessor and leased to a lessee under a "lease" as defined in California Uniform Commercial Code, section 10103(a)(10), for a duration of at least one year, dated prior to the effective date of these regulations, are considered part of the fleet of the lessee rather than the lessor.

(28) "Fleet size category" -- means fleets are classified by size as described below. A fleet must meet large fleet requirements if the total vehicles under common ownership or control would be defined as a large fleet. A fleet must meet medium fleet requirements if the total vehicles under common ownership or control would be defined as a medium fleet. Individual federal or state agencies may report as separate fleets, but all vehicles owned by agencies of the United States or the State of California agencies must meet the large fleet requirements. Permanent and year-by-year low-use vehicles, dedicated snow-removal vehicles, and vehicles used solely for emergency operations need not be included in the total max hp used to classify fleets by size. Participation in section 2449.1(e), Alternate Compliance Pathway through Zero-Emission Technology, does not alter the total max hp used to classify fleets by size.

(29) "Flexibility engine" means an engine certified to the implementation flexibility standards in title 13, CCR, section 2423(d).

"Post-2007 flexibility engine" -- A flexibility engine certified on or after January 1, 2007. Such flexibility engines are generally labeled as follows by the engine manufacturer:

"THIS ENGINE COMPLIES WITH CALIFORNIA EMISSION REQUIREMENTS UNDER 13 CCR 2423(d)..." or "THIS ENGINE CONFORMS TO CALIFORNIA OFF-ROAD COMPRESSION-IGNITION ENGINE REGULATIONS UNDER 13 CCR, 2423(d)."

(30) "Forest operations" means

(31) "Hour meter log" means a log of the hours that a vehicle operated directly taken from the vehicle's hour meter.

(32) "Implement of husbandry" is as defined in California Vehicle Code (Veh. Code) division 16.

(33) "Local municipality" means a city, county, city and county, special district, or other public agency, or two or more public entities acting jointly, or the duly constituted body of an Indian reservation or rancheria. Agencies of the United States of America or the State of California, and departments, divisions, public corporations, or public agencies of this State or of the United States are not considered local municipalities.

(34) "Low-population county local municipality fleet" means a fleet owned by a local municipality (as defined above) that is located in a county as defined in title 13, CCR, section 2022(b)(4) and identified in section 2022.1(c)(2), Table 2, or, using the criteria set forth in title 13, CCR, section 2022.1(c)(4), a local municipality not located in a low-population county that has requested and has received Executive Officer approval to be treated like a municipality in a low-population county. Fleets owned by such local municipalities shall be treated as small fleets even if their total max hp exceeds 2,500 hp.

(35) "Maximum power" (max hp) means the engine's net horsepower (hp) or net flywheel power certified to Society of Automotive Engineers (SAE) Method J1349 or International Organization for Standardization (ISO) Method 9249. If the engine's net hp or net flywheel power certified to SAE Method J1349 or ISO Method 9249 is not readily available, another net hp or net flywheel power from the manufacturer's sales and service literature or hp from the engine label may be used.

(36) "Model year" has the same meaning as defined in title 13, CCR, section 2421(a)(38).

(37) "New fleet" means a fleet that is acquired or that enters California on or after January 1, 2012. Such fleets may include new businesses or out-of-state businesses that bring vehicles into California for the first time on or after January 1, 2012.

(38) "Newly reported fleet" means a fleet that reports to CARB for the first time.

(39) "Non-profit training center" means an entity that operates a program for training in the use of off-road vehicles and that (A) is a community college program that trains students in the use of off-road vehicles or (B) qualifies as a non-profit or not for profit organization under title 26 Internal Revenue Code section 501(a), (c)(3), (c)(5), or (c)(6). Any vehicles that are not used for an off-road training program are not considered part of a non-profit training center and must be considered a separate fleet.

(40) "Off-highway vehicle" is defined in Veh. Code division 16.5.

(41) "Operator log" means a log of the hours that a vehicle operated taken from records of vehicle operator hours.

(42) "Oxides of nitrogen" (NOx) means compounds of nitric oxide, nitrogen dioxide, and other oxides of nitrogen. Nitrogen oxides are typically created during combustion processes and are major contributors to smog formation and acid deposition.

(43) "Permanent low-use vehicle" means a vehicle that a fleet owner has designated as operating less than 200 hours a calendar year, for all years subsequent to the designation. For example, if a fleet designates a vehicle as permanent low-use at any point in 2014, that vehicle can only be used less than 200 hours in any calendar year from 2015 onwards. To be considered a permanent low-use vehicle, the fleet owner must submit the engine hours of operation from a functioning non-resettable hour meter.

(44) "Prime contractor" means the entity that holds the contract for a project directly with the awarding authority or the owner of the project, to oversee all or part of a project in which vehicles subject to this regulation are operated.

(45) "Public incentive funds" or "Public incentive funding" means any funding provided by one or more public entities via a grant, voucher, contract, or loan program that includes limitations on using the funding for regulatory benefit or credit.

(46) "Public works awarding body" means any public agency (state, county, city, school board, water district, etc.), or official thereof, in the state of California, that awards or enters into a contract for the erection, construction, alteration, repair, removal, or improvement of any public structure, building, road, or other public lands, property, or improvement of any kind.

(47) "Queuing" means the intermittent starting and stopping of a vehicle while the driver, in the normal course of doing business, is waiting to perform work or a service, and when shutting the vehicle engine off would impede the progress of the queue and is not practicable. Queuing does not include the time a driver may wait motionless in line in anticipation of the start of a workday or opening of a location where work or a service will be performed.

(48) "Registered and driven safely on-road" means a vehicle meets the requirements to be registered for on-road operation in Veh. Code division 3, chap. 1, article 1, sections 4000 et seq. (i.e., required to be registered or could be registered), and the requirements to be driven safely on-road in "Equipment of Vehicles" requirements in Veh. Code division 12, chap. 1, sections 24000 et seq. and "Size, Weight, and Load" requirements in Veh. Code division 15, sections 35000 et seq. Having a California Special Construction Equipment plate as defined in California Veh. Code sections 565 and 570 does not constitute registration.

(49) "Renewable diesel, R99 or R100" means a diesel fuel substitute produced from non-petroleum renewable sources, including vegetable oils and animal fats, that meets both a) title 40, Code of Federal Regulations, Part 79 -- Registration of Fuels and Fuel Additives (July 2021), which is incorporated by reference herein; and b) American Society for Testing and Materials specification D975 (approved August 1, 2021), which is incorporated by reference herein.

(50) "Replacement" means the addition of off-road diesel vehicles to a fleet that had retired one or more off-road diesel vehicles of an equivalent hp in a given year.

(51) "Replacement emission control label" means a label which is identical to the emission control label that was installed on the engine at the time of manufacture, meets the requirements of title 13 CCR section 2424, and was approved at the time of certification.

(52) "Repower" means to replace the engine in a vehicle with another engine meeting a subsequent engine emissions standard (e.g., replacing a Tier 0 engine with a Tier 2 or later engine).

(53) "Responsible official" means one of the following:

(54) "Retire or retirement" means removal of an engine from fleet service, so that the engine is not subsequently operated by the fleet in the State of California. To retire an engine, the vehicle with the engine may be moved outside of California, sold to another fleet (in or outside California), or scrapped. The return of a rented or leased vehicle by a fleet to a rental or leasing company is not considered to be a retirement. Similarly, the rental or leasing of a vehicle by a rental or leasing company does not count as a retirement for the rental or leasing company.

(55) "Snow removal operations" means removing snow from public roads, private roads, or driveways.

(56) "Specialty vehicle" means a vehicle for which no used vehicle with a cleaner engine that can serve an equivalent function and perform equivalent work is available.

(57) "Subcontractor" means any person or entity who has a contract with the prime contractor or another subcontractor, but does not have a contract directly with an awarding authority or owner, for work involving the operation of vehicles subject to this regulation.

(58) "Tier 0 engine" means an engine not subject to the requirements in title 13, CCR, section 2423; title 40, Code of Federal Regulations (CFR), Part 89; or title 40, CFR, Part 1039.

(59) "Tier 1 engine" means an engine subject to the Tier 1 new engine emission standards in title 13, CCR, section 2423(b)(1)(A) and/or title 40, CFR, Part 89.112(a) . This also includes engines certified under the averaging, banking, and trading program with respect to the Tier 1 Family Emission Limits (FEL) listed in title 13, CCR, section 2423(b)(2)(A) and/or title 40, CFR, Part 89.112(d).

(60) "Tier 2 engine" means an engine subject to the Tier 2 new engine emission standards in title 13, CCR, section 2423(b)(1)(A) and/or title 40, CFR, Part 89.112(a). This also includes engines certified under the averaging, banking, and trading program with respect to the Tier 2 FEL listed in title 13, CCR, section 2423(b)(2)(A) and/or title 40, CFR, Part 89.112(d).

(61) "Tier 3 engine" means an engine subject to the Tier 3 new engine emission standards in title 13, CCR, section 2423(b)(1)(A) and/or title 40, CFR, Part 89.112(a). This also includes engines certified under the averaging, banking, and trading program with respect to the Tier 3 FEL listed in title 13, CCR, section 2423(b)(2)(A) and/or title 40, CFR, Part 89.112(d).

(62) "Tier 4 final engine" means an engine subject to the final after-treatment-based Tier 4 emission standards in title 13, CCR, section 2423(b)(1)(B) and/or title 40, CFR, Part 1039.101 . This also includes engines certified under the averaging, banking, and trading program with respect to the Tier 4 FEL listed in title 13, CCR, section 2423(b)(2)(B) and/or title 40, CFR, Part 1039.101.

(63) "Tier 4 Interim engine" means an engine subject to the interim Tier 4 emission standards (also known as transitional) in title 13, CCR, section 2423(b)(1)(B) and/or title 40, CFR, Part 1039.101. This also includes engines certified under the averaging, banking, and trading program with respect to the Tier 4 FEL listed in title 13, CCR, section 2423(b)(2)(B) and/or title 40, CFR, Parts 1039.102 and 1039.104(g).

(64) "Total maximum power" (total max hp) means the sum of the max hp for all of a fleet's engines that are subject to this regulation. Permanent and year-by-year low-use vehicles, dedicated snow-removal vehicles, and vehicles used solely for emergency operations shall not be included in the sum.

(65) "Turnover" means retiring a vehicle, designating a vehicle as a permanent low-use vehicle, repowering a vehicle with a higher tier engine, or rebuilding the engine to a more stringent emissions configuration. Rented or leased vehicles that are returned to a rental or leasing company do not count as turnover for the lessee. Similarly, vehicles leased or rented out by a rental or leasing company do not count as turnover for the rental or leasing company.

(66) "Two-engine crane" means a mobile diesel-powered machine with a hoisting mechanism mounted on a specially constructed truck chassis or carrier; one engine provides motive power, and a secondary (auxiliary) engine 50 bhp or greater that is used to lift and move materials and objects.

(67) "Two-engine vehicle" means a specially constructed on-road or off-road mobile diesel-powered vehicle that was designed by the original equipment manufacturer to be equipped with 2 diesel engines: 1 engine provides the primary source of motive power of the vehicle while the second engine is an auxiliary engine 50 bhp or greater that is permanently attached and integrated into the design of the vehicle to perform a specific function, which may include providing auxiliary power to attachments, performing special job functions, or providing additional motive power.

(68) "Two-engine water-well drilling rig" means a mobile diesel-powered drilling rig owned by a water well drilling contractor with a current, valid C-57 license issued by the Contractors State License Board of California and used exclusively to drill water wells with a drilling mechanism mounted on a specialty constructed truck chassis or carrier; 1 engine provides motive power, and a secondary (auxiliary) engine 50 bhp or greater that is used to power the drilling mechanism.

(69) "Verified diesel emission control strategy" (VDECS) means an emissions control strategy that has been verified pursuant to the "Verification Procedures, Warranty and In-Use Compliance Requirements for In-Use Strategies to Control Emission from Diesel Engines" (Verification Procedure), title 13, CCR, sections 2700-2710. VDECS can be verified to reduce PM emissions, or NOx emissions, or both.

(70) "Verified percent NOx reduction" means the verified percent reduction in NOx emissions from the engine achieved by the VDECS verified to reduce NOx.

(71) "VDECS failure" means the condition of a VDECS not achieving the emissions reductions to which the VDECS is verified. Such a condition could be due to inappropriate installation, damage, or deterioration during use. If a Level 3 VDECS is emitting visible smoke, it shall be assumed to have failed.

(72) "Workover rig" means a mobile self-propelled rig used to perform one or more remedial operations, such as deepening, plugging back, pulling and resetting liners, on a producing oil or gas well to try to restore or increase the well's production.

(73) "Year-by-year low-use vehicle" means a vehicle that operated in California less than 200 hours during the preceding 12-month calendar year. For example, when reporting in 2014, the hours of use between January 1, 2013 and December 31, 2013, would be used to determine year-by-year low-use status. To be considered a year-by-year low-use vehicle, the fleet owner must annually submit engine operation data from a functioning non-resettable hour meter.

(74) "Zero-emission vehicle" means a vehicle that produces zero exhaust emissions of any criteria pollutant (or precursor pollutant) or greenhouse gas under any and all possible operational modes and conditions.

(1) Vehicles and Systems Used in Place of Diesel Vehicles -- Fleets with electric, alternative fuel, or gasoline-powered vehicles may include such vehicles in their fleet average index and target rate calculations as follows:

(2) Idling -- The idling limits in section 2449(d)(2) shall be effective and enforceable immediately upon this regulation being certified by the Secretary of State. Fleets must meet the following idling limits.

(3) Changing Fleet Size --

(4) New and Newly-Reported Fleets

(5) Fleet Ownership Transferred

(6) Adding Vehicles -- With the exception noted below for fleets owned by lessors of vehicles, the requirements in (A) through (H) below apply to all fleets. Fleets owned by lessors are not subject to (A) through (H) for vehicles owned by the lessor and returned to the lessor fleet at the end of a lease if the vehicles were included in the fleet of the lessee for the compliance year in question. Vehicles returned to a lessor fleet must, however, be included in the lessor fleet's fleet average demonstration on subsequent compliance dates. For the purposes of this requirement, a vehicle may be assumed to meet the engine emission standard tier in effect for the model year of the engine.

(7) VDECS Installation -- Before installing a VDECS on a vehicle, the fleet owner must ensure that:

(8) VDECS Maintenance and Removal -- If a fleet owner installs a VDECS to meet the requirements in section 2449.1, the VDECS must be kept installed until the VDECS fails or is damaged unless the requirements below are met. Requirements for VDECS failure or damage are in section 2449(e)(1). The owner of a vehicle with a VDECS must ensure all maintenance on the VDECS and engine is performed as required by the respective manufacturers.

(9) Compliance After the Final Target Date --

(1) VDECS Failure -- In the event of a failure or damage of a VDECS, the following conditions apply:

(2) Fuel-based Strategy VDECS --

(3) Exemption for Vehicles Used for Emergency Operations -- Vehicles used solely for emergency operations are exempt from the performance requirements in sections 2449(d), 2449.1, and 2449.2, but still must be labeled, reported, and meet the adding vehicle requirements in accordance with sections 2449(d)(6)(H), 2449(f), and 2449(g). Vehicles used solely for emergency operations need not be included when calculating fleet average indices or target rates, when determining fleet size, or when calculating the required hp for the BACT requirements in section 2449.1(b).

Owners of vehicles brought into California for emergency operations that last longer than three months must report such entry to CARB and request an equipment identification number within three months of entering the State. Vehicles used solely for emergency operations and that stay in California for less than three months do not have to be labeled. For vehicles used both for emergency operations and for other purposes, hours of operation accrued when the vehicle is used for emergency operations do not need to be included when determining whether the vehicle meets the permanent or year-by-year low-use vehicle definition.

(4) Special Provisions for Snow Removal Vehicles -- Dedicated snow removal vehicles are exempt from the performance requirements in sections 2449(d), 2449.1, and 2449.2, but still must be labeled, reported, and meet the adding vehicle requirements in accordance with sections 2449(d)(6)(H), 2449(f), and 2449(g). Dedicated snow removal vehicles need not be included when calculating fleet average indices or target rates, when determining fleet size, or when calculating the required hp for the BACT requirements in section 2449.1(b). Publicly owned vehicles used exclusively to support snow removal operations, but which do not meet the dedicated snow removal vehicle definition (such as a loader without a special snow removal attachment), are exempt from the performance requirements in sections 2449(d), 2449.1, and 2449.2, but still must be labele, reported, and meet the adding vehicle requirements in accordance with sections 2449(d)(6)(H), 2449(f), and 2449(g).

(5) Use of Experimental Diesel Emission Control Strategies -- If a fleet owner wishes to use an experimental, or non-verified, diesel emission control strategy, the owner must first obtain approval from the Executive Officer for a compliance extension. To obtain approval, the owner must demonstrate either that (A) a VDECS is not available or not feasible or not safe for their vehicle or application, or (B) that use of the non-verified strategy is needed to generate data to support verification of the strategy. The owner or operator shall keep documentation of this use in records as specified by the Executive Officer. The application must include emissions data and detailed control technology description demonstrating the experimental control achieves at least a Level 2 diesel PM emission reduction. If the application demonstrates that the strategy achieves at least 50 percent reductions in diesel PM, it may be treated like a Level 2 VDECS. If the application demonstrates that the strategy achieves at least 85 percent reductions in diesel PM, it may be treated like a Level 3 VDECS. If the application demonstrates that the strategy achieves a NOx reduction over 15 percent, the NOx reduction may be counted.

Upon approval by the Executive Officer, each vehicle engine retrofit with the experimental strategy will be allowed to operate for a specified time period necessary to make a determination that the experimental strategy can achieve the projected emissions reductions. The vehicle equipped with the experimental strategy will be considered to be in compliance during the specified time period. A fleet owner who participates in an experimental diesel emission control program approved by the Executive Officer may retain carryover BACT credits actually accumulated during the experiment, regardless of whether the experiment achieved the projected emissions reductions or whether the strategy is eventually verified. If a strategy installed in an experimental diesel emission control program approved by the Executive Officer fails to be verified or is removed, it will no longer count in the fleet's fleet average calculations. The fleet owner must bring the fleet into compliance prior to the expiration of the experimental diesel emission control strategy extension.

(6) Compliance Flexibility for Equipment Manufacturer or Installer Delays -- A fleet owner who has purchased new equipment (including VDECS) or vehicles in order to comply with this regulation will be allowed to include the new vehicle in and remove the vehicle they plan to retire from their fleet average calculation, as well as continue operation of the vehicle they plan to retire, even if the vehicle does not meet the Tier phase-out requirements in section 2449.1(c), if the new equipment or vehicles have not been received due to manufacturing or installer delays and all the conditions below are met:

(7) Exemption for Permanent and Year-by-year Low-Use Vehicles -- Permanently designated and year-by-year low-use vehicles are exempt from the performance requirements in sections 2449(d)(3) through 2449(d)(5) and 2449(d)(7) through 2449(d)(9), 2449.1, and 2449.2(d), but still must meet the idling limits in section 2449(d)(2), be labeled and reported in accordance with sections 2449(f) and (g), and meet the Tier phase-out requirements in section 2449.1(c)(4). Permanent and year-by-year low-use vehicles need not be included when calculating fleet average indices or target rates, when determining fleet size, or when calculating the required hp for the BACT requirements in section 2449.1(b). The year-by-year low-use option sunsets on January 1, 2024, meaning no vehicle will be considered a year-by-year low-use vehicle on or after January 1, 2024.

Vehicles that formerly met the permanent low-use vehicle definition, but whose use increases to 200 hours per year or greater must meet the adding vehicles requirements in section 2449(d)(6) and be included in the fleet average calculation by the next compliance date. For example, a formerly designated permanent low-use engine that exceeds 200 hours per year between January 1, 2015 and December 31, 2015 must be included in the fleet average indices and target rates reported in 2016, and must also meet the adding vehicle requirements for that year. Vehicles that formerly met the year-by-year low-use vehicle definition, but whose use increases to 200 hours per year or greater do not have to meet the adding vehicles requirements in section 2449(d)(6), but must be included in the fleet average calculations by the next compliance date.

(8) VDECS That Impairs Safe Operation of Vehicle -- A fleet owner may request that the Executive Officer find that a VDECS shall not be considered the highest level VDECS available because (A) it cannot be safely installed or operated in a particular vehicle application, or (B) its use would make compliance with federal or state requirements for safety or health, or an ongoing local air district permit condition, such as for use of a diesel oxidation catalyst, technologically infeasible. If a VDECS manufacturer states that there is no safe or appropriate method of mounting its VDECS on the requesting party's vehicle, then the VDECS will not be considered safe. The Executive Officer shall accept the official findings of the responsible federal or state agency (i.e., the federal or state agency that promulgates safety requirements) that compliance with the requirements of this regulation would make compliance with the federal and state safety or health requirements technologically infeasible. In the absence of such a declaration by the VDECS manufacturer or official findings of a responsible federal or state agency, the requesting party shall provide other documentation to support its claims. Documentation must include published reports and other findings of federal, state or local government agencies, independent testing laboratories, engine or equipment manufacturers, or other equally reliable sources. The request will only be approved if the requesting party has made a thorough effort to find a safe method for installing and operating the VDECS, including considering the use of mirrors, various locations for VDECS mounting, and use of an actively regenerated VDECS. The Executive Officer shall review the documentation submitted and any other reliable information that he or she wishes to consider and shall make his or her determination based upon the totality of the evidence. Upon finding that a VDECS cannot be installed without violating the safety standards prescribed under federal or state requirements for safety or health, the Executive Officer shall issue a determination that there is no highest level VDECS available. The Executive Officer shall inform the requesting party, in writing, of his or her determination, within 60 days of receipt of the request. Parties may appeal the Executive Officer's determination as described in (A) and (B) below. During the appeal process described in (A) and (B) below, the requesting party may request the administrative law judge to stay compliance until a final decision is issued. If the stay is granted and the Executive Officer denies the requesting party's request, the requesting party has 6 months from the date of the Executive Officer's final written decision to bring his or her fleet back into compliance.

(9) Compliance Flexibility for Delays in Availability of Tier 3 or Tier 4 Vehicles -- If the Executive Officer finds that there is a delay in availability of vehicles with engines meeting the Tier 3 or Tier 4 interim or final emission standards so that vehicles with Tier 3 or Tier 4 interim or final engines to meet a fleet's needs are not available or not available in sufficient numbers or in a sufficient range of makes, models, and sizes, then the Executive Officer may grant an extension to the fleet from the requirements in section 2449.1 and the requirements in sections 2449(d)(6)(E) and 2449(d)(6)(F). If such a delay affects a group of fleets, the Executive Officer may issue an extension to all fleets with similar characteristics. Any such delay must be documented based on verifiable information from the fleet regarding its vehicle needs and/or verifiable information from the equipment manufacturer, engine manufacturer, distributor, and/or dealer regarding the unavailability of appropriate vehicles with Tier 3 or Tier 4 interim or final engines.

(10) Exemption for Vehicles Awaiting Sale -- Vehicles in the possession of dealers, financing companies, or other entities who do not intend to operate the vehicle or offer the vehicle for hire, that are operated only to demonstrate functionality to potential buyers, to move short distances while awaiting sale, or for maintenance purposes are exempt from the requirements in sections 2449, 2449.1, and 2449.2, but must meet the sales disclosure requirements in section 2449 (l).

(11) Exemption for Vehicle Used Over Half the Time for Agriculture -- A vehicle that is used by its owner for agricultural operations for over half of its annual operating hours but that is not used exclusively for agricultural operations is exempt from the performance requirements in section 2449(d), 2449.1, and 2449.2, but still must be labeled and reported in accordance with sections 2449(f) and (g). Vehicles used exclusively for agricultural operations are completely exempt from the performance, labeling, and reporting requirements. A vehicle that is rented or leased for use by others is exempt only if it is exclusively used for agricultural operations.

(12) Exemption for Vehicles Used Solely on San Nicolas or San Clemente Islands -- Vehicles used solely on San Nicolas or San Clemente Islands are exempt from all requirements in section 2449, 2449.1, and 2449.2. If the land use plans for the islands are changed to allow use by the general public of the islands, this exemption shall no longer be applicable.

(13) Exemption for Job Corps Vehicles -- Vehicles used by the Job Corps nonprofit apprenticeship training program are exempt from the performance requirements in sections 2449(d), 2449.1, and 2449.2 but still must be labeled, reported, meet the adding vehicle requirements, and meet the Tier phase-out requirements in accordance with sections 2449(d)(6)(H), 2449(f), 2449(g), and 2449.1(c)(4).

(14) Two-Engine Vehicles -- For purposes of the rounding provisions in section 2449.1(b)(5), if a two-engine vehicle is subject to this regulation, under section 2449(b), neither engine in the two-engine vehicle is required to be turned over until the hp required to be turned over under section 2449.1(b) is at least half the sum of the max hp of the primary and auxiliary engine in the two-engine vehicle. For purposes of the Tier phase-out provisions in section 2449.1(c), the vehicle cannot operate in California if either of the vehicle's engines do not comply with the Tier phase-out schedule outlined in section 2449.1(c).

(15) On-road Registered Vehicles with Off-road Engines -- If a workover rig or other on-road registered vehicle subject to this regulation with an off-road engine is repowered and will be registered and driven on-road, it must be repowered with an on-road certified engine of the same model year or newer as the engine being replaced.

(16) Fleets with 500 hp or less -- Fleets with 500 hp or less total max hp may meet the optional compliance schedule listed below in Table 1 instead of the small fleet requirements in 2449.1(a)(2) and 2449.1(b). This percent of engine hp must be met or exceeded, and the rounding provisions in section 2449.1(b)(5) do not apply. For compliance with this section, all vehicles in the fleet must be included; no vehicles qualify for the exemptions listed in section 2449(e).

Table 1 -- Optional Compliance Schedule for Fleets with 500 HP or Less

Fleets with 500 hp or less may choose to comply with either the above optional compliance schedule or the small fleet requirements. If the fleet alternates from the BACT schedule to the optional compliance path above, the fleet must comply with the most recent past requirements of the optional compliance schedule. For example, a fleet switching to the optional compliance schedule above in 2025 must meet the 2022 requirements of the optional compliance schedule immediately upon switching to the optional compliance schedule. A fleet switching to the fleet average or BACT requirements from the optional compliance schedule must begin meeting the fleet average or BACT requirements for small fleets on the next compliance date for small fleets. If a fleet grows larger than 500 hp, that fleet must begin meeting the fleet average or BACT requirements for small fleets on the next compliance date for the applicable fleet size category.

Fleets with 500 hp or less may meet the Tier 2 phase-out requirements in section 2449.1(c)(5) instead of the small fleet Tier 2 phase-out requirements in section 2449.1(c)(3)(C).

Fleets with 500 hp or less may meet the Tier 4 interim vehicle adding requirements in section 2449(d)(6)(F) instead of the small fleet Tier 4 interim vehicle adding requirements in section 2449(d)(6)(E).

(17) Public Incentive funds for purchases, repowers, or retrofits -- Notwithstanding sections 2449, 2449.1 and 2449.2, the purchase of a replacement vehicle, repower, or a retrofit with public incentive funds shall be counted toward the fleet average or BACT requirements in accordance with funding program guidelines applicable to the particular source of public incentive funds used for the purchase. This may in some cases limit credit to single rather than double credit.

(1) All vehicles with engines subject to this regulation must be labeled with an EIN. Electric and alternative fuel vehicles, stationary or portable systems, and gasoline-powered vehicles used to replace diesel vehicles under section 2449(d)(1) must also be labeled with an CARB-issued EIN. CARB will issue a unique EIN to the fleet owner for each vehicle subject to the regulation in response to the initial reporting described in section 2449(g)(1) and, for vehicles added in the 30 days before the annual reporting date, the annual reporting described in section 2449(g)(2). Vehicles with 2 engines that provide motive power will receive 2 EINs. Vehicles with 2 engines where one provides motive power and the other is an auxiliary engine will receive 1 EIN. All owners of vehicles subject to the regulation must comply with the following labeling requirements.

(2) Emission Control Label -- If a fleet observes that the emission control label is no longer visible or readable for any reason, the fleet must contact the manufacturer within 10 days and request a replacement emission control label be affixed by the manufacturer. If the manufacturer is unable to affix the label within 30 days of the fleet's request, then the fleet must request a replacement emission control label be sent to the fleet. Once the fleet receives the replacement label, the fleet must immediately affix the label to a location in accordance with title 13, CCR, section 2424(c)(1)(B), (c)(2), or (c)(3), as applicable, and such that the label is readily visible, as defined in title 13, CCR, section 2424(e).

(1) Initial reporting -- All fleet owners must submit the information in section 2449(g)(1)(A) through (H) to CARB by their initial reporting date. In the initial reporting, fleet owners must report information regarding each vehicle subject to this regulation that was in their fleet on March 1, 2009. Systems or non-diesel fueled vehicles that are used in place of a vehicle that would be subject to this regulation must also be reported. The initial reporting date for large fleets is April 1, 2009. The initial reporting date for medium fleets is June 1, 2009. The initial reporting date for small fleets is August 1, 2009. Notwithstanding the aforementioned reporting dates, the initial reporting date for two-engine vehicles is March 1, 2012. Reports must include the following information:

(2) Annual Reporting and Responsible Official Affirmation of Reporting -- All fleet owners must review and update the information submitted under section 2449(g)(1) annually, and submit the information in section 2449(g)(2)(A) through (C) to CARB by the reporting date of each subsequent reporting year. The reporting date for all fleets is March 1. Fleet owners must report information regarding each vehicle subject to this regulation as it was on December 31 of the year prior to the reporting year (for example, by March 1, 2018, fleets must report each vehicle as it was at the end of the day on December 31, 2017). Large fleets must report annually each year from 2012 to 2036. Medium fleets must report annually each year 2016 to 2036. Small fleets must report annually each year from 2018 to 2036. Any fleet that fails to meet the fleet average target rate for the final target date in section 2449.1(a) must continue to report annually each year until it does so. Any fleet that operates permanent or year-by-year low-use vehicles must continue to report annually for each permanent or year-by-year low-use vehicle for as long as the fleet owns or operates the vehicle. Fleets may use forms (paper or electronic) approved by the Executive Officer for submittal of the required reporting information and alterations to any pre-printed information on any form will be invalid and will not be considered to have any effect if submitted.

(3) New Fleet Reporting -- New fleets must submit the information in section 2449(g)(1)(A) through (H) to CARB for vehicles subject to the regulation within 30 days of purchase or bringing such vehicles into the State. Beginning the first January 1 that is more than 30 days after the date of purchase or bringing a vehicle into the State, new fleets must comply with the annual reporting requirements in section 2449(g)(2).

(4) Selling Vehicles -- Any person selling a vehicle with an engine subject to this regulation in California must notify CARB within 30 days from the date the vehicle was sold. If the reporting date under section 2449(g)(2) occurs within 30 days of the vehicle being sold, the annual reporting may serve as the notification to CARB that the vehicle was sold.

(5) Renewable Diesel --

(1) Changes Since Last Reporting Period -- Documentation of any additions, deletions, or changes to the fleet since the last reporting. Documentation may include bills of sale, purchase orders, or other documentation.

(2) Vehicles Not Yet Labeled -- For newly purchased or acquired vehicles or vehicles recently brought into the State that have not yet been labeled per section 2449(f)(1)(B), records must be kept of the vehicle purchase date or the date the vehicle entered the State.

(3) Engines Rebuilt to a More Stringent Emissions Configuration -- Records of engines that are rebuilt to a more stringent emissions configuration in accordance with title 40, CFR, Part 89.130 and Part 1068.120 must be kept as long as the engine remains in operation. For a fleet to claim credit for rebuild to a more stringent emissions configuration of a Tier 1 engine rated at or above 37 kW that is exempt from the requirements in title 40, CFR, Part 89.130 and title 13, CCR, section 2423 (l), the Tier 1 engine must be rebuilt in accordance with the rebuild practices of those sections and the fleet must keep the records that would have been required if the engine were not exempt from those requirements. Records must include the following information:

(4) VDECS Failure -- Records of any VDECS failure and replacement.

(5) VDECS Removal -- Records of any VDECS removed from a vehicle, including the date and reason for removal.

(6) VDECS Serial Numbers -- Records of the serial numbers of the VDECS installed on each vehicle.

(7) Manufacturer Delay -- For any vehicles or VDECS for which the fleet owner is utilizing the equipment manufacturer delay provision in section 2449(e)(6), proof of purchase, such as a purchase order or signed contract for the sale, including engine specifications for each applicable piece of equipment or vehicle.

(8) Records Pertaining to Executive Officer Approval -- Records of Executive Officer approval of any of the following:

(9) Credit for Early Retirement or Replacement -- Each fleet owner that claims credit for the retirement or replacement of vehicles from March 1, 2006, to March 1, 2010, under sections 2449.1(b)(14) or 2449.1(b)(16) shall maintain records substantiating the fleet's claim of previous ownership for those vehicles.

(10) Renewable Diesel Recordkeeping -- Each fleet must maintain documents that demonstrate compliance with the renewable diesel requirements outlined in section 2449.1(f). These documents must show the date and volumes of fuel purchased and could include receipts of fuel purchases, purchase orders, or fueling contracts. Each fleet owner shall maintain the records required under this provision for three calendar years from the date the transaction is completed.

Fleets must also maintain records in accordance with section 2449.1(f)(3).

(11) Record Retention -- Each fleet owner shall maintain the records for each vehicle subject to the regulation and for the overall fleet as long as the owner has a fleet or until January 1, 2037, whichever is earlier. If vehicle ownership is transferred, the seller shall convey the vehicle records, including vehicle data under section 2449(g)(1)(B), engine data under section 2449(g)(1)(C), and VDECS data under section 2449(g)(1)(D), to the buyer. If fleet ownership is transferred, the seller shall convey the fleet records, including fleet data, under sections 2449(g)(1)(A) through (H) to the buyer. Any person selling a vehicle with an engine subject to this regulation in California must maintain records of the disclosure of regulation applicability required by section 2449 (l) for three years after the sale.

(1) For a project involving the use of vehicles subject to this regulation, the prime contractor or public works awarding body, as applicable, must obtain copies of the valid Certificates of Reported Compliance, as described in section 2449(n), for the fleet selected for the contract and their listed subcontractors, if applicable, prior to entering into a new or renewed contract with that fleet.

(2) No prime contractor or public works awarding body, as applicable, shall enter into a contract with a fleet for which it does not have a valid Certificate of Reported Compliance for the fleet and its listed subcontractors, if applicable, prior to entering into a new or renewed contract with that fleet.

(3) The Certificates of Reported Compliance received by the prime contractor or public works awarding body, as applicable, for a project must be retained for three years after that project's completion. Upon request by CARB, these records must be provided to CARB within five business days of the request.

(4) Situations in which prime contractors or public works awarding bodies, as applicable, are contracting for projects that are considered emergency operations, as defined in section 2449(c)(18), are exempt from the requirements in section 2449(i)(1)-(3), but must still retain records verifying vehicles subject to the regulation that are operating on the emergency operations project are actually being operated on the project for emergency operations only. These records must include a description of the emergency, the address or a description of the specific location of the emergency, the dates on which the emergency operations were performed, and an attestation by the fleet that the vehicles are operated on the project for emergency operations only.

(1) Between March 1 and June 1 of each year, a prime contractor must collect new valid Certificates of Reported Compliance for the current compliance year, as defined in section 2449(n), from all fleets that have an ongoing contract with the prime contractor as of March 1 of that year. Prime contractors must not write contracts to evade this requirement.

(2) Prime contractors shall only allow fleets with valid Certificates of Reported Compliance on the prime contractor's job sites.

(3) If the prime contractor discovers that any fleet intending to operate vehicles subject to this regulation for the prime contractor does not have a valid Certificate of Reported Compliance, as defined in section 2449(n), or if the prime contractor observes any noncompliant vehicles subject to the regulation on the prime contractor's job site, then the prime contractor must report the following information to CARB at https://calepacomplaints.secure.force.com/complaints/Complaint, or email dieselcomplaints@arb.ca.gov, for each fleet without a valid Certificate of Reported Compliance or each noncompliant vehicle, as applicable, within five business days of such discovery:

(4) Upon request by CARB, the prime contractor must immediately disclose to CARB the name and contact information of each responsible party for all vehicles subject to this regulation operating at the job site or for the prime contractor.

(5) The prime contractor shall prominently display signage for any project where vehicles subject to this regulation will operate for 8 calendar days or more. The signage must be posted by the eighth calendar day from which the first vehicle operates. The signage will be in lettering larger than size 14-point type and displayed in a conspicuous place where notices to employees are customarily posted at the job site or where there is employee foot traffic. If one of the above locations is also viewable by the public, it should be posted at that location. An exemption to this posting requirement is permitted if the operational time of a project is 7 calendar days or less. The signage must include the following language, verbatim: