California Code of Regulations
Title 13 - Motor Vehicles
Division 3 - Air Resources Board
Chapter 9 - Off-Road Vehicles and Engines Pollution Control Devices
Article 8 - Off-Road Airborne Toxic Control Measures
Section 2478.11 - Reporting and Recordkeeping Requirements

Universal Citation: 13 CA Code of Regs 2478.11

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

(a) General recordkeeping requirements.

(1) The Locomotive Operator shall maintain all records related to these reporting requirements for three years after the report date.

(2) The Locomotive Operator shall make all records related to these reporting requirements available to CARB or CARB's designee within 30 calendar days of CARB's or CARB's designee's request.

(3) The Locomotive Operator shall maintain the records for any Locomotive(s) that is removed from Operations in California for three years after it is removed from California Operations.

(4) The Locomotive Operator shall submit to CARB any required reports under this section annually, no later than July 1 of each Calendar Year, following the submission requirements in section 2478.15.

(5) The reporting period shall be the immediately preceding Calendar Year.

(6) The first reporting deadline, unless otherwise required under this Locomotive Regulation for a specific report, shall be July 1, 2026.

(b) Locomotive Emissions Report. Any Locomotive Operator shall report the Locomotive Operator name and contact information, including an email address and phone number, along with the following information for each non-ZE Locomotive or ZE Capable Locomotive Operated in California:

(1) Locomotive Identifier:
(A) Locomotive road number; and

(B) Locomotive serial number.

(2) Usage in California during the immediately preceding Calendar Year.

(3) For AESS equipped Locomotives:
(A) The time, date, location, and duration of each instance when a Locomotive idled for longer than 30 minutes in California.

(B) The reason for idling for each instance when a Locomotive idled for longer than 30 minutes in California.

(c) Spending Account and Spending Account Deposit Credit Annual Report. A Locomotive Operator subject to section 2478.4 shall report the following:

(1) Locomotive Operator name and contact information, including an email address and phone number.

(2) The calculated Spending Account Funding Requirement for the immediately preceding Calendar Year, and calculations as described in subsection 2478.4(c).

(3) The total amount deposited in the Spending Account to meet the Funding Requirement in section 2478.4 for the immediately preceding Calendar Year.

(4) The total amount of applicable purchases made in the immediately preceding Calendar Year or immediately preceding years for which Spending Account Deposit Credits are claimed as described in subsection 2478.4(h).

(5) The total amount of all applicable purchases made with Spending Account funds in the immediately preceding Calendar Year.

(6) A list of all Spending Account and Spending Account Deposit Credit purchases including:
(A) Item description.

(B) Item location if stationary.

(C) Total funding expended for each item.

(D) Date of purchase or purchase agreement.

(E) Evidence of purchase or purchase agreement, such as:
1. Receipts of sale.

2. Contract agreements.

3. Purchase orders.

(F) For Spending Account Deposit Credit purchases, documented evidence of receipt, operation, or implementation of a qualifying Spending Account purchase.

(G) For Spending Account Deposit Credit purchases whose Spending Account Deposit Credits are to be allocated among multiple Operators as described in subsection 2478.4(h)(4), the written agreement by the Operators on how the Spending Account Deposit Credits shall be allocated.

(7) The Spending Account balance on December 31 of the Calendar Year immediately preceding the reporting date.

(8) ZE Credits Report. Operators of ZE Locomotives and ZE Rail Equipment and Operators of Locomotives that connect to Wayside Power that wish to claim ZE credits applicable to the immediately preceding Calendar Year shall additionally report the following:
(A) For each ZE Locomotive and ZE Rail Equipment Operated in California during the immediately preceding Calendar Year:
1. Locomotive road number (or external identifier for ZE Rail Equipment);

2. Locomotive or ZE Rail Equipment serial number;

3. Usage in California; and

4. If the Locomotive Operator wishes to receive double credit pursuant to subsection 2478.4(g)(4), the report must include the total MWh Operated within the boundaries of each DAC, along with identification of the DAC(s) in which this Operation occurred.

(B) For each connection of a Locomotive to Wayside Power in California during the immediately preceding year:
1. Time, date, location, and duration of the connection to Wayside Power for each Locomotive;

2. Total MWhs provided to each Locomotive by Wayside Power; and

3. If the Locomotive Operator wishes to receive double credit pursuant to subsection 2478.4(g)(4), the report must include the total MWh provided to each Locomotive by Wayside Power within the boundaries of a DAC, along with identification of the DAC(s) in which this occurred.

(d) In-Use Operational Requirements Report. A Locomotive Operator subject to section 2478.5 shall report the following:

(1) If requesting to use a locomotive for longer than 23 years under subsection 2478.5(a)(2)(A), the total MWh of Operation since the Locomotive's Original Engine Build Date.

(2) For each ZE Capable Locomotive Operated in California during the immediately preceding year:
(A) Usage in ZE Configuration in California.

(B) Usage in a non-ZE Configuration in California.

(e) Alternative Compliance Plan Report. A Locomotive Operator using an approved ACP under section 2478.7 shall report the information listed below each year throughout the Five-Year Verification Period:

(1) The Locomotive Operator name and contact information, including an email address and phone number.

(2) A detailed explanation of the progress of the ACP for the immediately preceding Calendar Year.

(3) A detailed explanation as to how the reductions achieved by the ACP in the immediately preceding Calendar Year were Quantifiable, Verifiable, and Enforceable.

(4) The location(s) of the emissions reductions that were achieved by the ACP in the immediately preceding Calendar Year.

(5) For ACPs used as an alternative to section 2478.5:
(A) A detailed description of all Locomotives with an Original Engine Build Date of 23 years and older that would otherwise be prohibited from Operating in California pursuant to subsection 2478.5(a).
1. The detailed description shall include, at a minimum:
a. Locomotive road number;

b. Locomotive serial number; and

c. Engine Tier.

(B) A detailed description of all Switch, Industrial, or Passenger Locomotives Operating in California with an Original Engine Build Date of 2030 or newer that would otherwise be prohibited from Operating in California pursuant to subsection 2478.5(b) and the amount of excess emissions that Locomotive released in California during the applicable Calendar Year.
1. The detailed description shall include, at a minimum:
a. Locomotive road number;

b. Locomotive serial number; and

c. Engine Tier.

(C) A detailed description of all Freight Line Haul Locomotives Operating in California with an Original Engine Build Date of 2035 or newer that would otherwise be prohibited from Operating in California pursuant to subsection 2478.5(c) and the amount of excess emissions that Locomotive released in California during the applicable Calendar Year.
1. The detailed description shall include, at a minimum:
a. Locomotive road number;

b. Locomotive serial number; and

c. Engine Tier.

(6) For all emission reductions achieved from other equipment, fuels, or other means, the reporting requirements as identified in the Executive Order.

(7) Any other information identified in the Executive Order as necessary for the evaluation of whether the Locomotive Operator has complied with the requirements of section 2478.7 and the requirements of the ACP itself.

(f) Alternative Fleet Milestone Option Report. A Locomotive Operator complying under section 2478.8, shall report the following:

(1) For each ZE Rail Equipment Operated in California during the Calendar Year:
(A) External identifier for ZE Rail Equipment.

(B) ZE Rail Equipment serial number.

(C) Usage during the immediately preceding Calendar Year.

(2) Detailed calculations demonstrating the Locomotive Operator's progress toward meeting the requirements under subsection 2478.8(b).

(3) For each ZE Locomotive, the items listed in subsections (b)(1) and (b)(2).

(g) Historic Railroad Report. An Historic Railroad Operator using the exemption in section 2478.13 shall submit a report that includes:

(1) An attestation that all Historic Locomotives used by the Historic Railroad Operating under a Historic Railroad Low-Use Exemption throughout the immediately preceding Calendar Year satisfy the definition of a Historic Locomotive; and

(2) The gallons of fuel used by the Operator's entire Historic Railroad Fleet during the immediately preceding Calendar Year.

(h) Small Business Hardship Extension Report. Locomotive Operators using the extension under section 2478.14 shall report gross annual income.

Note: Authority cited: Sections 38560, 39600, 39601, 39658, 39659, 39666, 41511, 43013 and 43018, Health and Safety Code. Reference: Sections 39650, 39659, 41511, 43013 and 43018, Health and Safety Code.

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