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Attachment B: 

15-DAY MODIFIED REGULATION ORDER 

REGULATION FOR IN-USE OFF-ROAD DIESEL VEHICLES 

Amend sections 2449, 2449.1, 2449.2, and 2449.3 in title 13, article 4.8, chapter 9, 

California Code of Regulations (CCR) to read as follows: 

(Note: The amendments that were initially proposed to the Board at the December 

2010 Board hearing are shown in underline to indicate additions and strikeout to 

indicate deletions. Modifications that are being proposed subsequent to the December 

2010, Board hearing are shown in double underline to indicate additions and 

double strikeout to indicate deletions.) 

Article 4.8 In-Use Off-Road Diesel-Fueled Fleets 

Section 2449 General Requirements for In-Use Off-Road Diesel-Fueled Fleets 

(a) Purpose 

The purpose of this regulation is to reduce oxides of nitrogen (NOx), diesel particulate 

matter (PM), and other criteria pollutant emissions from in-use off-road diesel-fueled 

vehicles. 

(b) Applicability 

Except as provided in the paragraphs below, the regulation applies to any person, 

business, or government agency who owns or operates within California any dieselfueled or alternative diesel fueled off-road compression ignition vehicle engine with 

maximum power of 25 horsepower (hp) or greater that is used in a two-engine crane or

to provide motive power in a workover rig or to provide motive power in any other motor 

vehicle that (1) cannot be registered and driven safely on-road or was not designed to 

be driven on-road, and (2) is not an implement of husbandry or recreational off-highway 

vehicle, or (3) is used to provide motive power in a workover rig or used in a two-engine 

vehicle other than a two-engine sweeper. Unless they are workover rigs or, two-engine 

vehicles (with the exception of two-engine sweepers), cranes, or two engine water well 

drilling rigs, vehicles that were designed to be driven on-road, and have on-road 

engines, and still meet the original manufacturer’s on-road engine emission certification 

standard are considered on-road and are specifically excluded from this regulation, 

even if they have been modified so that they cannot be registered and driven safely onroad. Off-road vehicles that were designed for off-road use and have off-road engines

are considered off-road and are subject to this regulation, even if they have been 

modified so that they can be driven safely on-road.
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This regulation also applies to any person who sells a vehicle with such an engine 

within California. 

Persons who provide financing in the form of “finance leases,” as defined in California 

Uniform Commercial Code Section 10103(a)(7), for in-use off-road diesel-fueled 

vehicles, do not “own” such vehicles for the purposes of this regulation. 

Vehicles with engines subject to this regulation are used in construction, mining, rental, 

government, landscaping, recycling, landfilling, manufacturing, warehousing, ski 

industry, composting, airport ground support equipment, industrial, and other 

operations. The regulation does not cover locomotives, commercial marine vessels, 

marine engines, recreational vehicles, or combat and tactical support equipment. The 

regulation also does not cover stationary or portable equipment, equipment or vehicles 

used exclusively in agricultural operations, or equipment already subject to the 

Regulation for Mobile Cargo Handling Equipment at Ports and Intermodal Rail Yards. 

Off-road diesel vehicles owned and operated by an individual for personal, noncommercial, and non-governmental purposes are exempt from the provisions of this 

regulation. 

(c) Definitions 

(1) “Agricultural operations” means (1) the growing or harvesting of crops from 

soil (including forest operations) and the raising of plants at wholesale nurseries, 

but not retail nurseries), or the raising of fowl or animals for the primary purpose 

of making a profit, providing a livelihood, or conducting agricultural research or 

instruction by an educational institution, or (2) agricultural crop preparation 

services such as packinghouses, cotton gins, nut hullers and processors, 

dehydrators, and feed and grain mills. Agricultural crop preparation services 

include only the first processing after harvest, not subsequent processing, 

canning, or other similar activities. For forest operations, agricultural crop 

preparation services include milling, peeling, producing particleboard and 

medium density fiberboard, and producing woody landscape materials. 

For purposes of this regulation, a vehicle that is used by its owner for both 

agricultural and nonagricultural operations is considered to be a vehicle engaged 

in agricultural operations, only if over half of its annual operating hours are for 

agricultural operations. 

(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. 
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(3) “Alternative diesel fuel” means any fuel used in a compression ignition engine 

that is not a reformulated diesel fuel as defined in sections 2281 and 2282 of 

title 13, California Code of Regulations (CCR), 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: 

(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 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. 

(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 the Verified Diesel 

Emission Control Strategy (VDECS) exhaust retrofit and accelerated turnover 

requirements in sections 2449.1(b) (a)(2) and 2449.2(a)(2). 

(6) “Captive aAttainment aArea fFleet” means a fleet or an identified subpart of 

the fleet (fleet portion, consistent with section 2449(d)), 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, and Yuba. A fleet or identified 

fleet portion that operates one or more vehicles outside the counties listed above 

is not a captive attainment area fleet. Captive aAttainment aArea fFleets shall be 

treated as small fleets even if their total maximum power exceeds 2,500 

horsepower. 

(7) “Carryover retrofit credit”, as calculated under section 2449.2(a)(2)(A)2., 

means a way of tracking retrofits accomplished in excess of those required by 

the BACT retrofit requirements. Fleets may take credit for such excess retrofits 

in order to do less retrofitting in later years.

(7)(8) “Carryover BACT turnover credit”, as calculated under section 2449.1(b)(4) 

(a)(2)(A)2., means a way of tracking turnover or PM VDECS installations

accomplished in excess of the BACT turnover requirements. Fleets may take 
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credit for such excess turnover or PM VDECS installations to do less turnover or 

PM VDECS installations in later years. 

(8)(9) “Combat and tTactical sSupport eEquipment” 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. 

(9)(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. 

(10)(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. 

(11)(12) “Dedicated sSnow rRemoval vVehicle” 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. 

(12)(13) “Diesel fuel” has the same meaning as defined in title 13, CCR, sections 

2281 and 2282. 

(13)(14) “Diesel pParticulate fFilter” 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.

(14)(15) “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 Air Resources Board (ARB) has identified diesel 

PM as a toxic air contaminant. 

(16) “Diesel PM Index” means an indicator of a fleet’s overall diesel PM emission 

rate. The diesel PM Index for a specific fleet is determined by summing the 
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product of the maximum power of each engine times the diesel PM Emission 

Factor, and dividing by the fleet’s total maximum power.

(17) “Diesel PM 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 Diesel PM Target Rate varies depending on a fleet’s 

horsepower distribution. The Diesel PM Target Rate for a specific fleet for each 

compliance year is determined by summing (adding) the product of the maximum 

power of each engine times the diesel PM target, and dividing the resulting sum 

by the fleet’s total maximum power.

(15)(18) “Emergency operation” means helping alleviate an immediate threat to 

public health or safety. Examples of emergency operation include repairing or 

preventing damage to roads, buildings, terrain, and infrastructure as a result of 

an earthquake, flood, storm, fire, other infrequent act of nature, or terrorism. 

Routine maintenance or construction to prevent public health risks does not 

constitute emergency operation. 

(16)(19) “Emission fFactor” means PM or oxides of nitrogen (NOx) emission rate 

in grams per brake-horsepower hour (g/bhp-hr) as shown in Appendix A. , 

unless the engine is a Post-2007 Flexibility Engine (see definition). 

(A) Engines certified to Family Emission Limits and flexibility engines certified 

before January 1, 2007 must still use the emission factors in Appendix A. 

(B) For engines that have been retrofit with VDECS, the PM Emission Factor is 

reduced 50 percent for a Level 2 VDECS, and 85 percent for a Level 3 

VDECS; the NOx Emission Factor is reduced by the percentage NOx 

emission reductions that are verified, if any. The PM Emission Factor is not 

reduced for a Level 1 VDECS. 

(17)(20) “Equipment iIdentification nNumber” means a unique identification 

number assigned by ARB to each vehicle in an owner’s fleet subject to this 

regulation. All reporting and recordkeeping will link vehicle data with this 

number. 

(18)(21) “Executive Officer” means the Executive Officer of the ARB or his or her 

authorized representative. 

(19)(22) “Family eEmission lLimit” (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. 

(20)(23) “Fleet” means all off-road vehicles and engines 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. 
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(21) “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 the product 

of the maximum power of each engine times the Emission Factor, and dividing 

by the fleet’s total maximum power.

(22) “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 

horsepower distribution. The fleet average target rate for a specific fleet for each 

compliance year is determined by summing (adding) the product of the maximum 

power (Max Hp) of each engine times the target, and dividing the resulting sum 

by the fleet’s total maximum power.

(23)(24) “Fleet oOwner” 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. 

(24)(25) “Fleet sSize cCategory” - 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 lLow-use vehicles, dedicated snow-removal 

vehicles, and vehicles used solely for emergency operations need not be 

included in the total maximum power used to classify fleets by size. 

(A) “Large fFleet” – A fleet with a total maximum power (as defined below) 

greater than 5,000 horsepower (hp). A fleet must meet large fleet 

requirements if the total vehicles under common ownership or control would 

be defined as a large fleet. All fleets owned by the United States, the State of 

California, or agencies thereof (i.e., an agency in the judicial, legislative, or 
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executive branch of the federal or state government) will be considered as a 

unit whole and must meet the large fleet requirements. 

(B) “Medium fFleet” – A fleet that is not a small or large fleet. 

(C) “Small fFleet” – A fleet with total maximum power of less than or equal to 

2,500 hp that is owned by a business, non-profit organization, or local 

municipality, or a local municipality fleet in a low population county 

irrespective of total maximum power, or a non-profit training center 

irrespective of total maximum power, or a captive attainment area fleet

irrespective of total maximum power. 

(25)(26) “Forest operations” means (A) forest fire prevention activities performed 

by public agencies, including but not limited to construction and maintenance of 

roads, fuel breaks, firebreaks, and fire hazard abatement or (B) cutting or 

removal or both of timber, other solid wood products, including Christmas trees, 

and biomass from forestlands for commercial purposes, together with all the 

work incidental thereto, including but not limited to, construction and 

maintenance of roads, fuel breaks, firebreaks, stream crossings, landings, skid 

trails, beds for falling trees, fire hazard abatement, and site preparation that 

involves disturbance of soil or burning of vegetation following forest removal 

activities. Forest operations include the cutting or removal of trees, tops, limbs 

and or brush which is processed into lumber and other wood products, and or for 

landscaping materials, or biomass for electrical power generation. Forest 

operations do not include conversion of forestlands to other land uses such as 

residential or commercial developments. 

(26)(27) “Highest Level Verified Diesel Emission Control Strategy” (VDECS)

means the highest level VDECS verified by ARB under its Verification 

Procedure, Warranty and In-Use Compliance Requirements for In-Use 

Strategies to Control Emission from Diesel Engines (Verification Procedure), title 

13, CCR, sections 2700-2710, for a specific engine as of 10 months prior to the 

compliance date, which (1) can be used without impairing the safe operation of 

the vehicle as demonstrated per section 2449(e)(8), and (2) the diesel emissioncontrol strategy manufacturer and authorized diesel emission-control strategy 

dealer agree can be used on a specific engine and vehicle combination without

jeopardizing the original engine warranty in effect at the time of application.

Plus designations do not matter; that is, a Level 3 Plus is the same diesel PM 

level as Level 3; and Level 2 Plus is the same diesel PM level as Level 2.

The highest level VDECS is determined solely based on verified diesel PM 

reductions, not based on verified NOx reductions. All Level 3 diesel PM devices 

are higher than all Level 2 diesel PM devices. Level 1 devices are never 

considered highest level VDECS for the purpose of this regulation.

(26)(28) “Hour mMeter lLog” means a log of the hours that a vehicle operated 

directly taken from the vehicle’s hour meter. 
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(27)(29) “Implement of husbandry” is as defined in California Vehicle Code 

(Veh.Code) division 16. 

(28)(30) “Local mMunicipality” 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. 

(29)(31) “Low- pPopulation cCounty lLocal mMunicipality fFleet” 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)(2) and identified in section 2022(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 lowpopulation county. Fleets owned by such local municipalities shall be treated as 

small fleets even if their total maximum power exceeds 2,500 horsepower. 

(32) “Low-use vehicle” means a vehicle that operated in California less than 100 

hours during the preceding 12-month period running from March 1 to end of 

February. For example, when reporting in 2009, the hours of use between 

March 1, 2008 and February 28, 2009 would be used to determine low-use 

status. To be considered a low-use vehicle, the fleet owner must submit engine 

operation data from a functioning non-resettable hour meter. 

(A) Vehicles used outside California - Vehicles that operate both inside and 

outside of California can meet the low-use vehicle definition if they are used 

less than 100 hours per year in California. 

(B) Three-year rolling average - A vehicle operated only in California for the 

previous three years and owned by the same owner during that period will be 

considered low-use if it operated on average less than 100 hours per year 

during that previous three-year period. 

(C) Emergency operation hours - Hours used for emergency operations are 

not counted when determining low-use status. 

(30)(33) “Maximum power” (Max Hp) means the engine’s net horsepower 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 horsepower or net flywheel power certified to SAE Method J1349 or 

ISO Method 9249 is not readily available, another net horsepower or net flywheel 

power from the manufacturer’s sales and service literature or horsepower from 

the engine label may be used. 

(31)(34) “Model year” has the same meaning as defined in title 13, CCR, section 

2421(a)(37). 
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(32)(35) “Motor vehicle” has the same meaning as defined in Veh. Code section 

415. 

(33)(36) “New fleet” means a fleet that is acquired or that enters California on or 

after January 1, 2011 March 1, 2009. 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, 2011. March 1, 2009. 

(37) “NOx index” means an indicator of a fleet’s overall NOx emission rate. The 

NOx Index for a specific fleet is determined by summing the product of the 

maximum power of each engine times the NOx Emission Factor, and dividing by 

the fleet’s total maximum power.

(38) “NOx target rate” means the NOx fleet average that a specific fleet must meet 

in a compliance year in order to show compliance with the fleet average 

requirements. The NOx Target Rate varies depending on a fleet’s horsepower 

distribution. The NOx Target Rate for a specific fleet for each compliance year is 

determined by summing (adding) the product of the maximum power (Max Hp) of 

each engine times the NOx target, and dividing the resulting sum by the fleet’s 

total maximum power. 

(34)(39) “Non- pProfit tTraining cCenter” 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 offroad training program are not considered part of a non-profit training center and 

must be considered a separate fleet. 

(35)(40) “Off-highway vehicle” is defined in Veh. Code division 16.5. 

(36)(41) “Operator lLog” means a log of the hours that a vehicle operated taken 

from records of vehicle operator hours. 

(37)(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. 

(38) “Permanent low-use vehicle” means a vehicle that a fleet owner limits to 200 

hours of use in all following years, defined as the 12-month period running from 

January 1 through December 31. For example, if a fleet designates a vehicle as 

permanent low-use at any point in 2014, that vehicle cannot be used more than 

200 hours between January 1, 2015, and December 31, 2015, or during any 

subsequent January 1 to December 31 period. To be considered a permanent 
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low-use vehicle, the fleet owner must submit the engine hours of operation from 

a functioning non-resettable hour meter. 

(A) Vehicles used outside California - Vehicles that operate both inside and 

outside of California can meet the permanent low-use vehicle definition if they 

are used less than 200 hours per year in California. 

(B) Emergency operation hours - Hours used for emergency operations are 

not counted when determining permanent low-use status.

(C) Future increase in hours – Once designated as permanent low use, a 

vehicle may never again be used more than 200 hours per year by the fleet 

unless the vehicle meets the adding vehicles requirements in section 

2449(d)(6). If the vehicle meets the adding vehicle requirements, the fleet 

may increase the use to over 200 hours per year, and report the updated 

status of the vehicle to remove the low-use designation.

(D) No obligation – A fleet is not obliged to designate a vehicle whose use 

drops below 200 hours per year as a permanent low-use vehicle. If such a 

vehicle is not designated as permanent low use, its use may increase beyond 

200 hours per year in subsequent years without meeting the adding vehicles 

requirements in section 2449(d)(6).

(39) (43) “Post-2007 fFlexibility eEngine” means an engine certified on or after 

January 1, 2007 to the implementation flexibility standards in title 13, CCR, 

section 2423(d). 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)." 

Post-2007 flexibility engines should use the emission standard to which the 

engine is certified. For example, a Tier 4 engine flexed back to Tier 2 emission 

levels should use the Tier 2 PM standard in title 13, CCR, section 2423(b)(1)(A) 

as the emission factor (converted from grams per kilowatt hour (g/kW-hr) to 

g/bhp-hr by multiplying by 0.746). 

(40)(44) “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. 

(41)(45) “Registered and driven safely on-road” means a vehicle meets the 

requirements to be registered for on-road operation in Veh. Code division 3, 
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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. 

(42)(46) “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 

horsepower.

(43)(47) “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). 

(44)(48) “Responsible oOfficial” means one of the following: 

(A) For a corporation: A president, secretary, treasurer, or vice president of the 

corporation in charge of a principal business function, or any other person 

who performs similar policy or decision-making functions for the corporation, 

(B) For a partnership or sole proprietorship: a general partner or the proprietor, 

respectively 

(C) For a municipality, state, federal, or other public agency: either a principal 

executive officer or ranking elected official. For the purposes of this part, a 

principal executive officer of a federal agency includes the chief executive 

officer having responsibility for the overall operations of a principal 

geographic unit of the agency (e.g., a Regional Administrator of the U.S. 

EPA). 

(45)(49) “Retire” means to take an engine out of service from a fleet, and not 

operate it again as part of that 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 rented or 

leased vehicle is not considered retirement. Similarly, the rental or leasing of a 

vehicle does not count as retirement for the rental or leasing company.

(46)(50) “Snow removal operations” means removing snow from public roads, 

private roads, or driveways. 

(47)(51) “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. 

(48)(52) “Tier 0 eEngine” 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. 
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(49)(53) “Tier 1 eEngine” 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). 

(50)(54) “Tier 2 eEngine” 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). 

(51)(55) “Tier 3 eEngine” 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). 

(52)(56) “Tier 4 Final eEngine” means an engine subject to the final aftertreatment-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. 

(53)(57) “Tier 4 Interim eEngine” 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 1039.1011039.102 and 1039.104(g). 

(54)(58) “Total maximum power” means the sum of maximum power for all of a 

fleet’s engines that are subject to this regulation. Permanent and year-by-year 

lLow-use vehicles, dedicated snow-removal vehicles, and vehicles used solely 

for emergency operations need not be included in the sum. 
B - 13

(55) “Turnover” means retiring a vehicle, designating a vehicle that formerly 

operated 200 hours or more per year as a permanent low-use vehicle, 

repowering a vehicle, or rebuilding the engine to a more stringent emissions

configuration, or applying a Verified Diesel Emission Control Strategy verified to 

reduce NOx emissions. Rental or leased vehicles that are returned to a rental or 

leasing company does 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.

(56)(59) “Two- eEngine vehicle cCrane” means a specially constructed on-road or 

off-road mobile diesel-powered machine vehicle that is equipped with two diesel 

engines: one engine provides the primary source of motive power of the vehicle 

while the second engine is an auxiliary engine 50 horsepower or greater that is 

permanently attached and integrated into the design of the vehicle to perform a 

specific function, which with a hoisting mechanism mounted on a specially 

constructed truck chassis or carrier; one engine provides motive power, and a 

secondary engine may include providing auxiliary power to attachments, 

performing special job functions, or providing additional motive power is used to 

lift and move materials and objects.

(57)(60) “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 chasses or carrier; one engine provides motive power, and a 

secondary engine is used to power the drilling mechanism.

(58) (60) “Verified Diesel Emission Control Strategy” (VDECS) means an 

emissions control strategy, designed primarily for the reduction of diesel PM 

emissions, which 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. VDECS can be verified to achieve Level 1 diesel PM reductions (25 

percent), Level 2 diesel PM reductions (50 percent), or Level 3 diesel PM 

reductions (85 percent). VDECS may also be verified to achieve NOx reductions.

See also definition of Highest Level VDECS. 

(A) “Highest level PM VDECS” means the highest level VDECS verified by 

ARB to reduce PM under its Verification Procedure. The highest level is 

determined solely based on verified diesel PM reductions, not based on 

verified NOx reductions. VDECS can be verified to achieve Level 1 diesel 

PM reductions (25 percent), Level 2 diesel PM reductions (50 percent), or 

Level 3 diesel PM reductions (85 percent). All Level 3 diesel PM devices are 

higher than all Level 2 diesel PM devices. Level 1 PM devices are never 

considered highest level PM VDECS for the purpose of this regulation. Plus 

designations do not matter; that is, a Level 3 Plus is the same diesel PM level 
B - 14

as Level 3; and Level 2 Plus is the same diesel PM level as Level 2. A PM 

VDECS shall be considered the highest level PM VDECS only if it (1) can be 

used without impairing the safe operation of the vehicle as demonstrated per 

section 2449(e)(8), and (2) the diesel emission-control strategy manufacturer 

and authorized diesel emission-control strategy dealer agree can be used on 

a specific engine and vehicle combination without jeopardizing the original 

engine warranty in effect at the time of application.

(B) “VDECS verified to reduce NOx” means VDECS verified by ARB to reduce 

NOx under its Verification Procedure. NOx VDECS are not verified by Level, 

but are verified by the percent reduction in NOx emissions from the engine

achieved by the VDECS. See also definition of Verified Percent NOx 

Reduction.

(58) (59) “Verified percent NOx reduction” means the verified percent reduction in 

NOx emissions from the engine achieved by the VDECS Verified to Reduce 

NOx.

(59) (60) (61) “VDECS fFailure” means the condition of not achieving the emissions 

reductions to which the VDECS is verified. Such condition could be due to 

inappropriate installation, damage, or deterioration during use. If a Level 3 

VDECS is emitting visible smoke, it shouldshall be assumed to have failed. 

(60) (61) (62) “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. 

(61) (62) “Year-by-year low-use vehicle” means a vehicle that operated in 

California less than 200 hours during the preceding 12-month period running 

from January 1 to December 31. 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 lowuse vehicle, the fleet owner must submit engine operation data from a 

functioning non-resettable hour meter. 

(A) Vehicles used outside California - Vehicles that operate both inside and 

outside of California can meet the year-by-year low-use vehicle definition if 

they are used less than 200 hours per year in California. 

(B) Three-year rolling average - A vehicle operated only in California for the 

previous three years and owned by the same owner during that period will be 

considered year-by-year low-use if it operated on average less than 200

hours per year during that previous three-year period. 

(C) Emergency operation hours - Hours used for emergency operations are 

not counted when determining year-by-year low-use status.

(d) Performance Requirements – 
B - 15

Fleets that are subject to fleet average requirements may include vehicles and systems 

used in place of diesel vehicles in their fleet average index and target rate calculations 

as described in subsection (1) below. Fleets that are subject to fleet average 

requirements may opt to include hours of operation in the fleet average calculation as 

described in subsection (2) below. Each fleet must meet the performance requirements

in subsections (3) to (10)(2) to (9) below. There are differing requirements for large,

medium, and small fleets. If various portions of a fleet are under the control of different 

responsible officials because they are part of different subsidiaries, divisions, or other 

organizational structures of a company or agency, the fleet portions may comply with 

the performance requirements separately and be reported separately. However, the 

total maximum power of the vehicles under common ownership or control determines 

the fleet size. Captive attainment area fleets, non-profit training centers, and Ffleets

owned by low-population county local municipalities are subject to the small fleet 

requirements, even if their total maximum power exceeds 2,500 horsepower. Section 

2449(d)(4)2449(d)(3) describes requirements for fleets that change in size. 

(1) Vehicles and Systems Used in Place of Diesel Vehicles - Fleets with electric,

or alternative fuel, or gasoline-powered vehicles may include such vehicles in 

their fleet average index and target rate calculations as follows: 

(A) Electric and Alternative Fuel and Gasoline-powered Vehicles Purchased 

on or after January 1, 2007

1. Fleets may include an electric and alternative fuel or gasoline-powered 

vehicle purchased on or after January 1, 2007, with a maximum power 

25 horsepower or greater (or that replaced a diesel vehicle with maximum 

power 25 horsepower or greater) in their fleet average index if all of the 

following conditions are met: 

a. The owner can demonstrate it serves a function and performs the work 

equivalent to that of diesel vehicles and is used for a purpose for 

which diesel vehicles are predominantly used, 

b. The electric or alternative fuel vehicle is used predominantly outdoors, 

c. The electric or alternative fuel vehicle is not already included in the fleet 

average emission level requirements for large spark ignition engine 

fleets in title 13, Section 2775.1; and 

d. If the vehicle is an alternative fuel vehicle, tThe owner must 

demonstrate that it is certified to a NOx standard less than or equal to 

the Tier 1 NOx standard for the same horsepower in title 13, CCR, 

section 2423(b)(1)(A) and is less than or equal to the NOx emissions 

of a diesel engine of the same model year and horsepower. 

e. If the vehicle is a gasoline-powered vehicle, the owner can must identify 

the diesel vehicle that the gasoline-powered vehicle replaced and 

maintain records documenting the function of the diesel vehicle 

replaced and the gasoline-powered replacement vehicle, and the 

dates of sale and purchase for both vehicles and show that the diesel 

vehicle was retired from the fleet within 6 months of the date that the 

gasoline-powered vehicle was added to the fleet. 
B - 16

2. Fleets may include a diesel vehicle with a maximum power 25 horsepower 

or greater that has been repowered with an alternative fueled or gasolinepowered engine in their fleet average index and target rate calculations. 

3. For the purposes of compliance with section 2449.1(a)(1):

a. Alternative fuel vehicles - Each alternative fuel vehicle, or diesel 

vehicle that has been repowered with an alternative fuel engine, shall use 

an Emission Factor equal to the NOx emission standard to which its 

engine is certified in g/bhp-hr. If the alternative fuel vehicle or engine is 

not certified to a NOx emission standard, the owner may apply to the 

Executive Officer to use an emission factor. In the application, the owner 

must demonstrate that the chosen emission factor is appropriate and not 

exceeded by the alternative fuel vehicle. 

b. Gasoline-powered vehicles – Each gasoline powered vehicle, or 

vehicle that has been repowered with a gasoline-powered engine, shall 

use an Emission Factor equal to the gasoline-powered vehicle’s or 

engine’s HC+NOx certified emission standard in g/bhp-hr multiplied by 

0.95. 

4.2. Fleets may include a diesel vehicle with a maximum power 25 

horsepower or greater that has been converted to alternative fuel or 

gasoline-power in their fleet average index and target rate calculations. 

The Emission Factor for NOx remains the same as the emission factor for 

the diesel vehicle. The Emission Factor for PM is 0.

3. For the purposes of compliance with sections 2449.1(a)(1) and 

2449.2(a)(1), electric vehicles shall be credited as follows:

a. Max Hp for Electric Vehicles - For an electric vehicle that replaced a 

diesel vehicle in the owner’s fleet, the maximum power of the diesel 

vehicle replaced may be used as the electric vehicle’s Max Hp. For 

an electric vehicle added to the fleet, the fleet owner may apply to the 

Executive Officer to use the maximum power of a diesel vehicle that 

serves the same function and performs equivalent work to that of the 

electric vehicle. In making his or her determination, the Executive 

Officer will approve the use of the minimum Max Hp of a diesel vehicle 

that would be required to perform the same functions and equivalent 

work. If no request to the Executive Officer is received, the electric 

vehicle’s own maximum power rating should be used.

b. Double Credit for Electric in 2010-2016 - For compliance dates in 

2010 through 2016, the Max Hp of all electric vehicles purchased on 

or after January 1, 2007 may be doubled in determining the Max Hp

that is used in calculating the Diesel PM Index, and as appropriate, 

NOx Index. An Emission Factor of 0 may be used. The Max Hp of 

each electric vehicle is included but not doubled in the calculation of 

Diesel PM Target Rate and NOx Target Rate. 

c. Single Credit for Electric in 2017 and Later - For compliance dates in 

year 2017 and later, the Max Hp of all electric vehicles purchased on 

or after January 1, 2007 is used in determining the Max Hp that is 

used in calculating the Diesel PM and NOx Target Rates, Diesel PM 
B - 17

Index, and, as appropriate, NOx Index. An Emission Factor of 0 may 

be used. 

4. For the purposes of compliance with sections 2449.1(a)(1) and 

2449.2(a)(1), each alternative fuel vehicle should use an Emission Factor 

equal to the emission standard to which its engine is certified in g/bhp-hr. 

If the alternative fuel vehicle is not certified to a NOx or diesel PM 

emission standard, the owner may apply to the Executive Officer to use 

an emission factor. In the application, the owner must demonstrate that 

the chosen emission factor is appropriate and not exceeded by the 

alternative fuel vehicle. 

(B) Electric Vehicles and Alternative Fuel Vehicle Purchased Prior to 

January 1, 2007

1. Fleets may include an electric vehicle with a maximum power 25 

horsepower or greater or that replaced a diesel vehicle with maximum 

power 25 horsepower or greater in their fleet average index if all the 

following conditions are met:

a. The owner can demonstrate it serves a function and performs the work 

equivalent to that of diesel vehicles and is used for a purpose for 

which diesel vehicles are predominantly used; 

b. The electric vehicle is used predominately outdoors; and

c. Except as provided in section 2449(d)(1)(B)(2)(a), the electric vehicle is 

not already included in the fleet average emission level requirements 

for large spark ignition engine fleets in title 13, Section 2775.1.

2. For the purposes of compliance with sections 2449.1(a)(1), electric 

vehicles shall be credited as follows: 

a.1. GSE Electric Vehicles Purchased Prior to January 1, 2007 - : 

Electric airport GSE vehicles with a maximum power of 25 horsepower 

or greater (or that replaced a diesel vehicle with maximum power 25 

horsepower or greater) purchased prior to January 1, 2007, may be 

partially counted in the fleet average calculations as follows: 

i.a. Max Hp for Electric Vehicles - For an electric vehicle that replaced 

a diesel vehicle in the owner’s fleet, the maximum power of the 

diesel vehicle replaced may be used as the electric vehicle’s Max 

Hp. Otherwise, the electric vehicle’s own maximum power rating 

shouldshall be used. 

ii.b. Include such vehicle’s Max Hp times 0.2 as the Max Hp in 

calculating the fleet average index and target rate Fleet Target 

Rate, Diesel PM Index, and, as appropriate, NOx Fleet Average 

Index in sections 2449.1(a)(1), along with an Emission Factor of 0. 

b. Non-GSE Electric Vehicles Purchased Prior to January 1, 2007 –

Electric vehicles with a maximum power of 25 horsepower or greater 

or that replaced a diesel vehicle with maximum power 25 horsepower 

or greater, purchased prior to January 1, 2007, may be counted in the 

fleet average calculations as follows:

i. Max Hp for Electric Vehicles - For an electric vehicle that replaced a 

diesel vehicle in the owner’s fleet, the maximum power of the 
B - 18

diesel vehicle replaced may be used as the electric vehicle’s Max 

Hp. Otherwise, the electric vehicle’s own maximum power rating 

shall be used.

ii. Include such vehicle’s Max Hp as the Max Hp in calculating the fleet 

average index and target rate Fleet Target Rate, and, as 

appropriate, the Fleet Average Index in section 2449.1(a)(1), along

with an Emission Factor of 0.

c. Electric Vehicles Purchased on or after January 1, 2007

i. Max Hp for Electric Vehicles - For an electric vehicle that replaced a 

diesel vehicle in the owner’s fleet, the maximum power of the 

diesel vehicle replaced may be used as the electric vehicle’s Max 

Hp. For an electric vehicle added to the fleet that did not replace a 

diesel vehicle, the fleet owner may apply to the Executive Officer 

to use the maximum power of a diesel vehicle that serves the 

same function and performs equivalent work to that of the electric 

vehicle. In making his or her determination, the Executive Officer 

will approve the use of the minimum Max Hp of a diesel vehicle 

that would be required to perform the same functions and 

equivalent work. If no request to the Executive Officer is received, 

the electric vehicle’s own maximum power rating shall be used.

ii. Double Credit for Electric in 2014-2016 - For compliance dates in 

2014 through 2016, the Max Hp of all electric vehicles purchased 

on or after January 1, 2007 may be doubled in determining the 

Max Hp that is used in calculating the Fleet Average Index. An 

Emission Factor of 0 may be used. The Max Hp of each electric 

vehicle is included but not doubled in the calculation of Fleet 

Average Target Rate. 

iii. Single Credit for Electric in 2017 and Later - For compliance dates 

in year 2017 and later, the Max Hp of all electric vehicles 

purchased on or after January 1, 2007 is used in determining the 

Max Hp that is used in calculating the fleet average index and 

target rate Fleet Average Target Rate, and the Fleet Average

Index. An Emission Factor of 0 may be used.

3. Electric vehicles need not be included when determining fleet size, or when 

calculating the required horsepower for the BACT requirements in section 

2449.1(b) (a)(2).

2. Non-GSE: 

a. Fleet owners may count a non-GSE electric or alternative fuel vehicle 

purchased prior to January 1, 2007 in the fleet average calculations if 

all of the following conditions are met: 

i. The owner can demonstrate it serves a function and performs the 

work equivalent to that of diesel vehicles and is used for a purpose 

for which diesel vehicles are predominantly used, 

ii. the electric or alternative fuel vehicle is used predominantly 

outdoors, 
B - 19

iii. the vehicle is not already counted toward the fleet average emission 

level requirements for large spark ignition engine fleets in title 13, 

CCR, section 2775.1; and

iv. if the vehicle is alternative fuel vehicle with a certified NOx emission 

level, the certified NOx emission levels are lower than the NOx 

standard for the same model year and horsepower in 

section 2423(b)(1) and Title 40, CFR, Part 89.112(a) and Title 40, 

CFR, Part 1039.101.

b. Include such vehicle’s Max Hp as the Max Hp in the calculating the 

Target Rate, Diesel PM Index, and, as appropriate, NOx Index in 

sections 2449.1(a)(1) and 2449.2(a)(1). For an electric vehicle, use 

an Emission Factor of 0. For an alternative fuel vehicle, use an 

Emission Factor equal to the emission standard to which its engine is 

certified in g/bhp-hr. If the alternative fuel vehicle is not certified to a 

NOx or diesel PM emission standard, the owner may apply to the 

Executive Officer to use an emission factor. In the application, the 

owner must demonstrate that the chosen emission factor is 

appropriate and not exceeded by the alternative fuel vehicle. 

(C) Stationary or Portable System Used to Replace Mobile Diesel Vehicle

Fleet owners may apply to the Executive Officer to include electric portable or 

electric stationary systems that replace mobile diesel vehicles, such as an 

electric conveyor system used to replace diesel haul trucks at a mine, in the 

fleet average calculations. The system may be considered in the fleet 

average calculations by including the maximum power of the diesel vehicles 

replaced in the calculations of the fleet average index and target rate Fleet 

Average Target Rate, Diesel PM Index, and NOx Fleet Average Index above, 

along with an Emission Factor of 0. In order to count such a system, all the 

following conditions must be met: 

1. The owner must demonstrate that it replaced an off-road diesel fueled 

vehicle subject to this regulation on or after January 1, 2007, and 

2. The system is not already counted toward the fleet average emission level 

requirements for large spark ignition engine fleets in title 13, CCR, section 

2775.1 or for portable diesel engine fleets in title 17, CCR, section 

93116.3. 

(D) Hybrid Off-Road Vehicles

Fleets may include a hybrid off-road diesel vehicle with a maximum power 25 

horsepower or greater in their fleet average index and target rate calculation. 

The Emission Factor for the hybrid vehicle shall be equal to the NOx 

emission standard to which its engine is certified in g/bhp-hr. If a fleet owner 

wishes to use different Emission Factor, other than the standard to which the 

engine is certified, the owner may apply to the Executive Officer to use an 

alternative emission factor. The Executive Officer shall approve the 

alternative emission factor if, in the fleet owner’s application, the owner 

demonstrates that the chosen emission factor is appropriate and not 

exceeded by the hybrid vehicle. 
B - 20

(D) Gasoline-Powered Vehicles Used to Replace Diesel Vehicles - Fleets 

may include a gasoline-powered vehicle of 25 horsepower or greater that 

replaces a diesel vehicle on or after January 1, 2007 in their fleet average 

only if all the following conditions are met: 

1. The owner can identify the diesel vehicle that the gasoline-powered vehicle 

replaced and show that the diesel vehicle was retired from the fleet within 

6 months of the date that the gasoline-powered vehicle was added to the 

fleet.

2. The gasoline-powered vehicle serves the same function as the diesel 

vehicle that it replaced and is of similar horsepower.

3. The fleet would continue to be in compliance with the fleet average 

emission level requirements for large spark ignition engine fleets in title 

13, CCR, section 2775.1 if the gasoline-powered vehicle that replaces a 

diesel vehicle were excluded from the large spark ignition average.

4. The owner must demonstrate the gasoline-powered vehicle is certified to a 

NOx standard less than or equal to the Tier 1 NOx standard for the same 

horsepower in title 13, CCR, section 2423(b)(1)(A) and less than or equal 

to the NOx emissions of a diesel engine of the same model year and

horsepower.

If qualified, the gasoline-powered vehicle may use the maximum horsepower 

of the diesel vehicle replaced, a diesel PM emission factor of zero (0), and a 

NOx emission factor equal to the gasoline-powered vehicle’s HC+NOx 

certified emission standard in g/bhp-hr multiplied by 0.95. 

(2) Hours in Fleet Average Option – As an alternative to the formulas for 

calculating NOx index and diesel PM index in sections 2449.1(a)(1) and 

2449.2(a)(1), fleet owners may opt to include annual hours of operation for all 

engines in the fleet on the compliance date in the calculation as follows:

NOx Index = 1.18 times [SUM of (Max Hp for each engine in fleet on compliance 

date multiplied by NOx Emission Factor for each engine in fleet on 

compliance date multiplied by Annual Hours of Operation for each 

engine in fleet on compliance date since the previous year’s 

compliance date)] divided by [SUM of (Max Hp for each engine in 

fleet on compliance date multiplied by Annual Hours of Operation for 

each engine in fleet on compliance date since the previous year’s 

compliance date)] 

Diesel PM Index = 1.18 times [SUM of (Max Hp for each engine in fleet on compliance 

date multiplied by PM Emission Factor for each engine in fleet on 

compliance date multiplied by Annual Hours of Operation for each 

engine in fleet on compliance date since the previous year’s 

compliance date)] divided by [SUM of (Max Hp for each engine in 

fleet on compliance date multiplied by Annual Hours of Operation for 

each engine in fleet on compliance date since the previous year’s 

compliance date)]
This Page Begins with 2449(d)(3) 

B - 21

Fleets that choose this option must have non-resettable hour meters on each 

vehicle in the fleet and must include hours in all index calculations for the 

compliance date. 

(2)(3) Idling - The idling limits in section 2449(d)(3)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. 

(A) Idling Limit - No vehicle or engines subject to this regulation may idle for 

more than 5 consecutive minutes. Idling of a vehicle that is owned by a 

rental company is the responsibility of the renter or lessee, and the rental 

agreement shouldshall so indicate. The idling limit does not apply to: 

1. idling when queuing, 

2. idling to verify that the vehicle is in safe operating condition, 

3. idling for testing, servicing, repairing or diagnostic purposes, 

4. idling necessary to accomplish work for which the vehicle was designed 

(such as operating a crane), 

5. idling required to bring the machine system to operating temperature, and 

6. idling necessary to ensure safe operation of the vehicle. 

(B) Written Idling Policy - As of March 1, 2009, medium and large fleets must 

also have a written idling policy that is made available to operators of the 

vehicles and informs them that idling is limited to 5 consecutive minutes or 

less. 

(C) Waiver - A fleet owner may apply to the Executive Officer for a waiver to 

allow additional idling in excess of 5 consecutive minutes. The Executive 

Officer shall grant such a request upon finding that the fleet owner has 

provided sufficient justification that such idling is necessary. 

(3)(4) Changing Fleet Size – 

(A) Small fleets that become medium or large fleets must meet the medium or 

large fleet requirements, respectively, on the reporting date two years 

subsequent to the year they became a medium or large fleet. 

(B) Large fleets that become medium fleets may meet either the medium or large 

fleet requirements on the next reporting date. Large fleets that become small 

fleets may meet either the small or large fleet requirements on the next 

reporting date. 

(C) Medium fleets that become small fleets may meet either the small or medium 

fleet requirements on the next reporting date. Medium fleets that become 

large fleets must meet the large fleet requirements on the reporting date two 

years subsequent to the year they became a large fleet. 

(4)(5) New Fleets 

(A) New large and medium fleets – New large and medium fleets must meet 

the closest futurenext large fleet average requirements in sections

2449.1(a)(1) and 2449.2(a)(1) immediately on purchasing vehicles subject to 
B - 22

the regulation or bringing such vehicles into the State of California for the first 

time on or after January 1, 2011 March 1, 2009. New fleets do not have the 

option of complying with the BACT requirements in sections 2449.1(b) (a)(2)

and 2449.2(a)(2) when they enter the state for the first time. For the next 

applicable compliance date that must be met, the new fleet can choose to 

meet either the fleet average requirements, or comply with the BACT 

requirements. For example, if a medium fleet enters the State of California 

on January 1, 2012, it must meet the January 1, 2014, large fleet average 

requirements immediately upon entering the state. However, the next 

applicable compliance date for this fleet is not until the first medium fleet 

compliance date of January 1, 2017, at which time, the fleet may fulfill the 

compliance requirements by meeting either the fleet average requirements or 

the BACT requirements. 

(B) New small fleets – New small fleets must meet the fleet average 

requirements in section 2449.1(b) (a)(1)(A)1.b. for the closest futurenext

small fleet compliance date immediately upon purchasing vehicles subject to 

the regulation or bringing such vehicles into the State of California for the first 

time on or after January 1, 2011. New small fleets do not have the option of 

complying with the BACT requirements in section 2449.1(b) (a)(2) when they 

enter the state for the first time. For the next applicable compliance date that 

must be met, the new fleet can meet either the fleet average requirements, or 

comply with the BACT requirements. 

(C) All new fleets - New fleets must comply with the idling requirements in 

section 2449(d)(3)2449(d)(2) immediately upon purchasing vehicles subject 

to the regulation or upon bringing such vehicles into the State. New fleets 

must report vehicles subject to the regulation to ARB within 30 days of 

purchasing or bringing such vehicles into the State, in accordance with the 

requirements in section 2449(g). 

(5)(6) Fleet Ownership Transferred

(A) Meeting BACT requirements - If ownership of an entire fleet that was 

meeting the BACT requirements in lieu of the fleet average requirements is 

transferred to a new fleet owner who did not own a fleet before the transfer of 

ownership, the fleet may continue to meet the BACT requirements. That is, 

transfer of ownership to a new owner who did not own a fleet before does not 

automatically require the fleet to begin meeting the fleet average 

requirements in sections 2449.1(a)(1) and 2449.2(a)(1). Existing fleets may 

acquire other entire fleets or fleet portions complying and reporting separately 

per section 2449.1 without condition if both fleets were in compliance with the 

individual fleet requirements. If existing fleets acquire portions of fleetsfleet

portions or entire fleets that did not previously comply with the regulation, 

however, they must meet the requirements for adding vehicles in section 

2449(d)(7)2449(d)(6) when adding the entire fleet or subfleet. 

(B) Existing BACT credits – If ownership of an entire fleet or fleet portion 

complying and reporting separately per section 2449.1 that had BACT credits 

is transferred to a new fleet owner, the fleet may maintain all BACT credits
B - 23

the fleet or fleet portion had acquired at the time ownership transferred if the 

fleet or fleet portion continues to comply and report separately. Such fleets or 

fleet portions may be kept separate from the rest of the vehicles owned by 

the new fleet owner for the purposes of maintaining credits even if the 

vehicles are under common ownership or control. If the new fleet owner 

combines the purchased fleet or fleet portion for compliance and reporting 

purposes with the rest of his vehicles, the purchased fleet or fleet portion 

shall maintain only the credits accumulated from retrofits and repowers, and 

all other BACT credits shall expire immediately. 

(6)(7) Adding Vehicles – The requirements in (A) to through (C) below apply to all 

fleets, except they do not apply to vehicles owned by a lessor and returned to the 

lessor fleet at the end of a lease, during which the vehicles were included in the 

fleet of the lessee. 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.

(A) Beginning March 1, 2009Ban on adding Tier 0s – Effective upon the 

United States Environmental Protection Agency (U.S. EPA) issuing 

authorization for this regulation,Beginning March 1, 2009 a fleet may not add 

a vehicle with a Tier 0 engine to its fleet. The engine tier must be Tier 1 or 

higher.

(B) Tier 2 or higher – Beginning March 1, 2011, for large and medium fleets, a 

fleet may add a vehicle with a Tier 1 engine if and only if the vehicle has an 

equipment identification number (EIN) number that ARB assigned to the 

vehicle prior to March 1, 2011, and both the fleet selling and the fleet 

purchasing the vehicle with the Tier 1 engine must have reported to ARB by 

March 1, 2011, or have entered the state for the first time after March 1, 

2011. Beginning March 1, 2011, fleets may not add a vehicle with a Tier 1 

vehicle that did not have an EIN assigned by ARB prior to March 1, 2011. 

Beginning on January 1, 2013, for large and medium fleets, and January 1, 

2016, for small fleets, a fleet may not add any vehicle with a Tier 1 engine. 

The engine tier must be Tier 2 or higher. 

(C) Tier 3 or higher – Beginning January 1, 2018, for large and medium fleets, 

and January 1, 2023, for small fleets, a fleet may not add a vehicle with a Tier 

2 engine to its fleet. The engine tier must be Tier 3 or higher. 

(B) Between the First and Final Target Dates - The following requirements 

apply between March 1, 2010 and March 1, 2020 for large fleets, between 

March 1, 2013 and March 1, 2020 for medium fleets, and between March 1,

2015 and March 1, 2025 for small fleets. 

1. Fleets Meeting the Target Rates - If a fleet met the fleet average target 

rates in sections 2449.1(a)(1) and 2449.2(a)(2) on the previous 

compliance date, when it adds a vehicle to its fleet, the fleet must 

demonstrate that the fleet still meets the fleet average target rates within 

three months of adding the vehicle. That is, fleets may not add vehicles 
B - 24

that cause them to exceed the most recent fleet average target rates. 

The added vehicle also must be included in the fleet average 

demonstration required in sections 2449.1(a) and 2449.2(a) on the next 

compliance date. 

2. Fleets Not Meeting the Fleet Average Targets - If a fleet did not meet the 

fleet average requirements in sections 2449.1(a)(1) and 2449.2(a)(1) on 

the previous compliance date, the fleet may not add a vehicle to its fleet 

that would further increase its emissions above the fleet average target 

rate, as described below. 

a. Large and Medium Fleets - A large or medium fleet that met the BACT 

requirements in sections 2449.1(a)(2) and 2449.2(a)(2) instead of the 

fleet average requirements in sections 2449.1(a)(1) and 2449.2(a)(1) 

on the most recent compliance date may not add a vehicle to its fleet 

unless all of the following conditions are met:

i. The engine is Tier 2 or higher. (For the purposes of this requirement, 

a vehicle may be assumed to meet the new engine emission 

standard tier in effect for the model year unless the engine is a 

flexibility engine certified January 1, 2007 or later to the 

implementation flexibility standards at title 13 CCR, section 

2423(d), in which case the emission standard tier to which the 

engine is certified should be used.).

ii. The vehicle engine’s NOx Emission Factor (after being adjusted for 

any VDECS) is less than or equal to the NOx Target in Table 1 for 

engines in the same horsepower group for the most recent 

compliance date.

b. Small Fleets – A small fleet that met the BACT requirements in section 

2449.2(a)(2) instead of the fleet average requirements in section 

2449.2(a)(1) on the most recent compliance date may not add a 

vehicle to its fleet unless the following condition is met:

The vehicle engine is Tier 2 or higher. (For the purposes of this 

requirement, a vehicle may be assumed to meet the new engine 

emission standard tier in effect for the model year unless the engine is 

a flexibility engine certified January 1, 2007 or later to the 

implementation flexibility standards at title 13 CCR, section 2423(d), in 

which case the emission standard tier to which the engine is certified 

should be used). 

(C) After the Final Target Date - Commencing respectively on March 1, 2020 

for large and medium fleets, and March 1, 2025 for small fleets, no fleet 

owner may add a vehicle to his fleet, unless the vehicle is equipped with an 

engine meeting the Tier 3, Tier 4 interim, or Tier 4 final emission standards. 

(7)(8) VDECS Installation – Before installing a VDECS on a vehicle, the fleet owner 

must ensure that: 

(A) The VDECS is verified for use with the engine and vehicle, as described in 

the Executive Order for the VDECS. 
B - 25

(B) Use of the vehicle is consistent with the conditions of the Executive Order for 

the VDECS. 

(C) The diesel emission control strategy is installed in a verified configuration. 

(D) The engine to be retrofit on which the VDECS is to be installed is tuned up so 

that it meets engine manufacturer’s specifications prior to VDECS installation. 

(E) The VDECS label will be visible after installation. 

 

(8)(9) VDECS Maintenance – If a fleet owner installs a VDECS to meet the 

requirements in section 2449.1(a) or 2449.2(a), the VDECS must be kept 

installed until the VDECS fails or is damaged. Requirements for VDECS failure 

or damage are in section 2449(e)(1). The owner of a vehicle retrofit with a 

VDECS must ensure all maintenance on the VDECS and engine is performed as 

required by the respective manufacturers. 

(9)(10) Compliance After the Final Target Date –

(A) Commencing respectively on January 1, 20232024 March 1, 2020, for large 

and medium fleets, and on January 1, 20282029, for small fleets, if a large or 

medium fleet does not meet the applicable NOx fleet average target rate for 

the final target date in section 2449.1(a)(1), the fleet must continue to meet 

the BACT turnover requirements in section 2449.1(a)(2)(A) and report 

annually each year until it does so. Vehicles exempt from BACT turnover or 

having VDECS installed under sections 2449.1(b)(8)(A) through 

2449.1(b)(8)(E) or sections 2449.1(b)(9)(A) through 2449.1(b)(9)(E) 

(a)(2)(A)4. and 2449.1(a)(2)(A)5., respectively, are exempt from the 

requirements of this paragraph.

(B) Except as provided below, commencing respectively on March 1, 2021 for 

large and medium fleets, and March 1, 2026 for small fleets, all vehicles in 

each fleet must be equipped with the highest level VDECS. The vehicles 

must be retrofit at the annual retrofit rate required in section 2449.2(a)(2)(A)1. 

for BACT PM retrofits, and the fleet must report annually until all vehicles 

have been retrofitted. In meeting the requirements of this paragraph, the 

fleet owner may not use any previously accrued carryover PM retrofit credits. 

The following engines and vehicles are exempt from the requirements of this 

paragraph: 

1. Permanent and year-by-year lLow-use vehicles,

2. Engines for which there is no highest level VDECS (i.e., for which there is 

no Level 2 or 3 VDECS, or for which there is a Level 2 or 3 VDECS which 

cannot be used without impairing the safe operation of the vehicle as 

demonstrated per section 2449(e)(8)),

3. Engines equipped with an original equipment manufacturer diesel 

particulate filter that came new with the vehicle,

4. Engines already retrofit with a Level 2 or 3 VDECS that was the highest 

level VDECS available at time of installation, and

5. Vehicles in large and medium fleets that have not yet met the NOx fleet 

average target rate for the final target date in section 2449.1(a)(1).
B - 26

(e) Special Provisions/Compliance Extensions 

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

conditions apply: 

(A) Failure or Damage During the Warranty Period. If a VDECS fails or is 

damaged within its warranty period and it cannot be repaired, the fleet owner 

must replace it with the same level VDECS or higher for the vehicle within 90 

days of the failure. 

(B) Failure or Damage Outside the Warranty Period. 

1. Before Final Target Date - If a VDECS fails or is damaged outside of its 

warranty period before January 1, 20232024 March 1, 2021 for large and 

medium fleets, or before January 1, 20282029 March 1, 2026 for small 

fleets, and cannot be repaired, and if the fleet could not meet an 

applicable fleet average target for the most recent compliance date 

without the failed VDECS, the fleet owner must replace the failed or 

damaged VDECS within 90 days of its failure, with the highest level 

VDECS available for the engine at time of failure. 

2. After Final Target Date - If a VDECS fails or is damaged outside of its 

warranty period on or after January 1, 20232024 March 1, 2021 for large 

and medium fleets, or on or after January 1, 20282029 March 1, 2026 for 

small fleets, and cannot be repaired, the fleet owner must replace the 

failed or damaged VDECS within 90 days of its failure with the highest 

level VDECS available for the engine at time of failure, regardless of 

whether the fleet met the applicable fleet average requirement for the 

most recent compliance date. 

(2) Fuel-based Strategy VDECS - 

(A) If a fleet owner determines that the highest level VDECS for a large 

percentage of his fleet would be a Level 2 fuel verified as a diesel emission 

control strategy, and implementation of this VDECS would require installation 

of a dedicated storage tank, then the fleet owner may request prior approval 

from the Executive Officer to allow use of the level 2 fuel-based strategy 

across its fleet. 

(B) Waiver for Discontinuation of Fuel Verified as a Diesel Emission Control 

Strategy. If a fleet owner has relied upon a fuel verified as a diesel emission 

control strategy to meet an applicable fleet average requirement and has to 

discontinue use of the fuel due to circumstances beyond the fleet owner’s 

control, the fleet owner may apply to the Executive Officer no later than 30 

days after discontinuing use of the fuel for a compliance waiver of up to two 

years to provide it time to return to compliance with the applicable fleet 

average requirement. The Executive Officer then has 30 days to act upon 

the request. Fleets that did not meet the applicable fleet average 

requirement in the most recent compliance year may not apply for this 

waiver. 
B - 27

(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(a), 2449.2(a) and 2449.3(d)2449.2(d) but still must 

be labeled and reported in accordance with sections 2449(f) and (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 horsepower for the BACT turnover and retrofit

requirements in sections 2449.1(b) (a)(2) and 2449.2(a)(2). 

Owners of vehicles brought into California for emergency operations that last 

longer than three months must report such entry to ARB 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(a), 2449.2(a) and 2449.3(d) 2449.2(d) but still must be labeled and 

reported in accordance with sections 2449(f) and (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 horsepower 

for the BACT turnover and retrofit requirements in sections 2449.1(b) (a)(2) and 

2449.2(a)(2). Publicly owned vehicles used exclusively to support snow removal 

operations (such as a loader without a special snow removal attachment), but 

which do not meet the dedicated snow removal vehicle definition, are exempt 

from the performance requirements in sections 2449(d), 2449.1,(a) 2449.2(a)

and 2449.3(d)2449.2(d) but still must be labeled and reported in accordance with 

sections 2449(f) and (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 
B - 28

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%, 

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 retrofit 

PM BACT credits or carryover turnover 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 Extension 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 excused from immediate compliance 

if the new equipment or vehicles have not been received due to manufacturing or 

installer delays as long as all the conditions below are met: 

(A) The equipment or vehicle was purchased, or the fleet owner and seller had 

entered into contractual agreement for the purchase, at least twofour months 

prior to the required compliance date, or - for a VDECS purchased to replace 

a failed or damaged VDECS – the fleet owner and seller had entered into 

contractual agreement for the purchase within 60 days of the VDECS failure. 

(B) Proof of purchase, such as a purchase order or signed contract for the sale, 

including engine specifications for each applicable piece of equipment, must 

be maintained by the fleet owner and provided to an agent or employee of 

ARB upon request. 

(C) The new equipment or vehicles are immediately placed into operation upon 

receipt. 

(D) Documentation from the manufacturer or the installer that there is a delay, 

such that the equipment or vehicle will be received or installed after the 

compliance date. 

(7) Exemption for Permanent and Year-by-year Low-Use Vehicles –

Permanently designated and year-by-year lLow-use vehicles are exempt from 

the performance requirements in sections 2449(d)(4)2449(d)(3) through 

2449(d)(6)2449(d)(5) and 2449(d)(8)2449(d)(7) through 2449(d)(10)2449(d)(9), 

2449.1(a), 2449.2(a) and 2449.3(d)2449.2(d), but still must meet the idling limits 

in section 2449(d)(3)2449(d)(2) and adding vehicles requirements in section 
B - 29

2449(d)(7) and be labeled and reported in accordance with sections 2449(f) and 

(g). Permanent and year-by-year lLow-use vehicles need not be included when 

calculating fleet average indices or target rates, when determining fleet size, or 

when calculating the required horsepower for the BACT turnover and retrofit

requirements in sections 2449.1(b) (a)(2) and 2449.2(a)(2). 

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)(7)2449(d)(6) and meet the BACT requirements 

or be included in the fleet average calculation by the next compliance date. For 

example, a formerly designated permanent low-use engine that exceeds 100200

hours per year between January March 1, 20132015 and December 31, 2015

February 28, 2014 must be included in the fleet average indices and target rates 

reported in 20142016. 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 shouldshall 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 
B - 30

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 

six months from the date of the Executive Officer’s final written decision to bring 

his or her fleet back into compliance. 

(A) Appeals – Hearing Procedures - 

1. Any party whose request has been denied may request a hearing for the 

Executive Officer to reconsider the action taken by sending a request in 

writing to the Executive Officer. A request for hearing shall include, at a 

minimum, the following: 

a. name of the requesting party; 

b. copy of the Executive Officer’s written notification of denial; 

c. a concise statement of the issues to be raised, with supporting facts, 

setting forth the basis for challenging the denial (conclusory allegations 

will not suffice); 

d. a brief summary of evidence in support of the statement of facts 

required in c. above; and 

e. the signature of an authorized person requesting the hearing

2. A request for a hearing shall be filed within 30 days from the date of 

issuance of the notice of the denial. 

3. A hearing requested pursuant to this section shall be heard by a qualified 

and impartial hearing officer appointed by the Executive Officer. The 

hearing officer may be an employee of the ARB, but may not be any 

employee who was involved with the denial at issue. In a request for 

reconsideration, the hearing officer, after reviewing the request for hearing 

and supporting documentation provided under paragraph 1. above, shall 

grant the request for a hearing if he or she finds that the request raises a 

genuine and substantial question of law or fact. 

4. If a hearing is granted, the hearing officer shall schedule and hold, as 

soon as practicable, a hearing at a time and place determined by the 

hearing officer. 

5. Upon appointment, the hearing officer shall establish a hearing file. The 

file shall consist of the following: 

a. the determination issued by the Executive Officer which is the subject 

of the request for hearing; 

b. the request for hearing and the supporting documents that are 

submitted with it; 

c. all documents relating to and relied upon by the Executive Officer in 

making the initial determination to deny the requesting party’s original 

claim; and 

d. correspondence and other documents material to the hearing. 
B - 31

6. The hearing file shall be available for inspection by the applicant at the 

office of the hearing officer. 

7. An applicant may appear in person or be represented by counsel or by 

any other duly-authorized representative. 

8. The ARB may be represented by staff or counsel familiar with the 

regulation and may present rebuttal evidence. 

9. Technical rules of evidence shall not apply to the hearing, except that 

relevant evidence may be admitted and given probative effect only if it is 

the kind of evidence upon which reasonable persons are accustomed to 

relying in the conduct of serious affairs. No action shall be overturned 

based solely on hearsay evidence, unless the hearsay evidence would be 

admissible in a court of law under a legally recognized exception to the 

hearsay rule. 

10. Declarations may be used upon stipulation by the parties. 

11. The hearing shall be recorded either electronically or by a certified 

shorthand reporter. 

12. The hearing officer shall consider the totality of the circumstances of the 

denial, including but not limited to, credibility of witnesses, authenticity and 

reliability of documents, and qualifications of experts. The hearing officer 

may also consider relevant past conduct of the applicant including any 

prior incidents involving other ARB programs. 

13. The hearing officer’s written decision shall set forth findings of fact and 

conclusions of law as necessary. 

14. Within 30 days of the conclusion of a hearing, the hearing officer shall 

submit a written proposed decision, including proposed finding as well as 

a copy of any material submitted by the hearing participants as part of that 

hearing and relied on by the hearing officer, to the Executive Officer. The 

hearing officer may recommend to the Executive Officer any of the 

following: 

a. uphold the denial as issued; 

b. modify the denial; or 

c. overturn the denial in its entirety. 

15. The Executive Officer shall render a final written decision within 60 

working days of the last day of hearing. The Executive Officer may do any 

of the following: 

a. adopt the hearing officer’s proposed decision; 

b. modify the hearing officer’s proposed decision; or 

c. render a decision without regard to the hearing officer’s proposed 

decision. 

(B) Appeals – Hearing Conducted by Written Submission. In lieu of the 

hearing procedure set forth in (A) above, an applicant may request that the 

hearing be conducted solely by written submission. In such case the 

requestor must submit a written explanation of the basis for the appeal and 

provide supporting documents within 20 days of making the request. 

Subsequent to such a submission the following shall transpire: 
B - 32

1. ARB staff shall submit a written response to the requestor’s submission 

and documents in support of the Executive Officer's action no later than 

10 days after receipt of requestor’s submission; 

2. The applicant may submit one rebuttal statement which may include 

supporting information, as attachment(s), but limited to the issues 

previously raised; 

3. If the applicant submits a rebuttal, ARB staff may submit one rebuttal 

statement which may include supporting information, as attachment(s), 

but limited to the issues previously raised; and 

4. The hearing officer shall be designated in the same manner as set forth in 

section 2449(e)(8)(A)3. above. The hearing officer shall receive all 

statements and documents and submit a proposed written decision and 

such other documents as described in section 2449(e)(8)(A)13. above to 

the Executive Officer no later than 30 working days after the final deadline 

for submission of papers. The Executive Officer’s final decision shall be 

mailed to the applicant no later than 60 days after the final deadline for 

submission of papers. 

5. The Executive Officer shall render a final written decision within 60 working 

days of the last day of hearing. The Executive Officer may do any of the 

following: 

a. adopt the hearing officer’s proposed decision; 

b. modify the hearing officer’s proposed decision; or 

c. render a decision without regard to the hearing officer’s proposed 

decision. 

(9) Compliance Flexibility for Delays in Availability of Tier 3 or Tier 4 VehiclesIf 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 sections 2449.1(a)(1), 2449.2(a)(1), and

2449.1(a)(2). and 2449.2(a)(2). 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 nor offer the vehicle for hire, that are operated only to demonstrate 

functionality to potential buyers or to move short distances while awaiting sale or 

for maintenance purposes are exempt from all requirements in sections 2449,

and 2449.1, and 2449.2, and 2449.3. 
B - 33

(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), and 2449.1(a), 

and 2449.2(a), 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. 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(a), 2449.2(a) and 2449.3(d)2449.2(d)

but still must be labeled and reported in accordance with sections 2449(f) and 

(g). 

(14) Two-Engine Vehicles Cranes – Both engines in a two-engine vehicle crane

are subject to this regulation, except where that vehicle is a two-engine sweeper. 

For purposes of the rounding provisions in section 2449.1(b)(7) (a)(2)(aA)78., 

neither engine in the two-engine vehicle crane is required to be turned over until 

the horsepower required to be turned over under section 2449.1(b) (a)(2)(A)1. is 

at least half the sum of the maximum power of the primary and secondary engine 

in the two-engine vehicle crane. 

(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) Two-Engine Water Well Drilling Rigs – Both engines in a two-engine water 

well drilling rig are subject to this regulation. For the purposes of the rounding 

provisions in section 2449.1(a)(2)(a)7 (A).8., neither engine in the two-engine 

water well drilling rig is required to be turned over until the horsepower required 

to be turned over under section 2449.1(a)(2)(A)1. is at least half the sum of the 

maximum power of the primary and secondary engine in the two-engine water 

well drilling rig. 

(16) (17) Fleets with 500 hp or less – Fleets with 500 hp or less total maximum 

power may meet the optional compliance schedule listed below in Table 1
B - 34

instead of the small fleet requirements in 2449.1(a)(2) (a)(1)(A)1.b. and 

2449.1(b) (a)(2)(A)1.c. This percent of engine hp must be met or exceeded, and 

the rounding provisions in section 2449.1(b)(7) (a)(2)(A)8 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).

Optional Compliance Schedule for Fleets with 500 HP or Less

Compliance Date: 

JanuaryMarch 1

of Year

Percent of Fleet (by horsepower) Which 

Must Have a Tier 2 or Higher Engine

2019 25

2022 50

2026 75

2029 100

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 BACT 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.

(17) Public funds for purchases, repowers, or retrofits – Notwithstanding sections 

2449(d)(1)(B)2.c.ii., 2449.1(b)(12), (b)(13), (b)(14), and (b)(17), the purchase of a 

replacement vehicle, repower, or a VDECS with public funds shall be counted toward 

the BACT or fleet average requirements in accordance with funding program guidelines 

applicable to the particular source of public funds used for the purchase. This may in 

some cases limit credit to single rather than double credit. 

(f) Labeling – 

All vehicles with engines subject to the regulation must be labeled with an ARB-issued 

equipment identification number (EIN). Electric and alternative fuel vehicles, stationary 

or portable systems, and gasoline-powered vehicles used to replace diesel vehicles 

under section 2449(d)(1)(C) must also be labeled with an ARB-issued EIN. ARB will 

issue 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 two engines that provide motive power will receive 
B - 35

two EINs. All owners of vehicles subject to the regulation must comply with the 

following labeling requirements. 

(1) Application for EIN for added vehicle – Notwithstanding the requirements for 

vehicles used for emergency operations in section 2449(e)(3), if a fleet owner 

adds a vehicle to his California fleet or brings a vehicle into California from 

outside the state, the fleet owner has 30 days from the date of purchase or the 

date the vehicle enters California to apply to ARB for an EIN or, if the vehicle 

already has an EIN, to inform ARB of the purchase using forms approved by the 

Executive Officer for submittal of required reporting information. If the reporting 

date under section 2449(g)(2) occurs before 30 days after purchase, the annual 

reporting may serve as the application for an EIN. 

Applications for an equipment identification number shouldshall be submitted 

electronically per the guidelines approved by the Executive Officer for electronic 

data reporting, or mailed or delivered to ARB at the address listed immediately 

below: 

California Air Resources Board 

Mobile Source Control Division (In-Use Off-road Diesel) 

P.O. Box 2815 

Sacramento, CA 95812. 

(2) Affixing Equipment Identification Number – Within 30 days of receipt of the 

ARB-issued EIN, fleet owners shall permanently affix or paint the EIN(s) on the 

vehicle in clear view according to the following specification: 

(A) The EIN shall be white on a red background, unless the vehicle is part of a 

Ccaptive Aattainment Aarea Ffleet, in which case the EIN shall be white on a 

green background. 

(B) The EIN shall be located in clear view on the right (starboard)both sides of 

the outside of the vehicle approximately 5 feet above the ground, or, if the 

vehicle is not 5 feet tall, lower on the vehicle. 

(C) Each character shall be at least 3 inches (7.6 centimeters) in height and 1.5 

inches (3.8 centimeters) in width. 

(D) The EIN shall be maintained in a manner that retains its legibility for the 

entire life of the vehicle. 

(E) Vehicles reported to ARB prior to January 1, 2013, may apply a label to the 

right (starboard) side of the vehicle only, except that the vehicle must have 

an identical EIN label placed on the left (port) side of the vehicle beforeby

January 1, 2013.

(F) Vehicles that are part of a Captive Attainment Area fleet and reported to ARB 

prior to January 1, 2013, may be labeled with an EIN that is in white on a red 

background, except that the vehicle must have the EIN label replaced by one 

displaying white on a green background, on each side of the vehicle,

beforeby January 1, 2013.
B - 36

(g) Reporting – 

Reporting is required for each and every fleet. Large and medium fleets may report 

separately for different divisions or subsidiaries of a given company or agency. Fleet 

owners may submit reporting information using forms (paper or electronic) approved by 

the Executive Officer. 

(1) Initial reporting – All fleet owners must submit the information in section 

2449(g)(1)(A) through (G) to ARB 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 water 

well drilling rigs vehicles is March 1, 2012 April 1, 2011. Reports must include 

the following information: 

(A) Fleet Owner – 

1. Fleet owner’s name; 

2. Corporate parent name (if applicable); 

3. Corporate parent taxpayer identification number (if applicable); 

4. Company taxpayer identification number; 

5. Address; 

6. Responsible person name; 

7. Responsible person title; 

8. Contact name; 

9. Contact phone number; 

10. Contact email address (if available); 

11. Whether the fleet owner is a low population county local municipality fleet; 

12. Whether the fleet owner has an approval from the Executive Officer to be 

treated as if in a low-population county; 

13. Whether the fleet owner is a non-profit training center; 

14. Whether the fleet has an idling policy documented and available to 

employees; 

15. Whether the fleet is using a fuel-based strategy as an emissions control 

strategy; 

16. Whether the fleet is a Captive Attainment Area Fleet. 

(B) Vehicle List – A list of each vehicle subject to this regulation along with the 

following information for each vehicle: 

1. Vehicle type; 

2. Vehicle manufacturer; 

3. Vehicle model; 

4. Vehicle model year; 

5. Vehicle serial number; (i.e., for workover rigs and two-engine cranes or 

other two-engine vehicles, vehicle identification number); 
B - 37

6. Whether the vehicle is a permanent or year-by-year low-use vehicle; 

7. If the vehicle is a permanent or year-by-year low-use vehicle, whether the 

vehicle was operated outside of California during the previous compliance 

year; 

8. Whether the vehicle is a specialty vehicle; 

9. Whether the vehicle is a vehicle used solely for emergency operations; 

10. Whether the vehicle is a dedicated snow removal vehicle; 

11. Whether the vehicle is used for agricultural operations for over half of its 

annual operating hours;

12. Whether the vehicle is an electric vehicle that replaced a diesel vehicle; 

13. Whether the vehicle has had a VDECS installed, or been retrofit,

repowered, or replaced with Surplus Off-road Opt-in for NOx program 

funding and, if so, the start and end dates of the contract period; 

14. Whether the vehicle has had a VDECS installed, or been retrofit,

repowered, or replaced with Carl Moyer program funding; 

15. Whether the vehicle has had a VDECS installed been retrofit through a 

demonstration program, and - if so - which program;

16. EIN if it has already been assigned. 

17. License plate number, if vehicle has a license plate. 

(C) Engines - For each engine that powers a vehicle listed per section 

2449(g)(1)(B) report the following information. 

1. Engine manufacturer; 

2. Engine model; 

3. Engine family (if any); 

4. Engine serial number; 

5. Engine model year; 

6. Engine maximum power; 

7. Engine displacement; 

8. Whether the engine is a repower and – if so – date repowered; 

9. If the engine is a Post-2007 flexibility engine, an engine certified to on-road 

standards, or an engine certified by ARB or U.S. Environmental 

Protection Agency to a lower emission standard than shown in Appendix 

A, the emission standard to which the engine is certified and the 

certification Executive Order or certificate number; 

10. Whether the engine has been rebuilt to a more stringent emissions 

configuration. 

(D) Verified Diesel Emission Control Strategies - For each VDECS that is 

installed on an engine listed per section 2449(g)(1)(C) report the following 

information. 

1. VDECS Manufacturer; 

2. VDECS Family; 

3. Verification level; 

4. Verified percent NOx reduction (if any); 

5. Date installed; 

6. VDECS Serial Number. 
B - 38

(E) Non-Diesel Vehicle Used in Place of a Diesel Vehicle - For each electric, 

alternative fueled, or gasoline fueled vehicle, report the information listed in 

sections 2449(g)(1)(B)1. through 2449(g)(1)(B)5. and sections 

2449(g)(1)(C)1. through 2449(g)(1)(C)6. as well as 

1. Date purchased; 

2. If the vehicle replaced a diesel vehicle in the fleet, the horsepower of the 

diesel vehicle replaced and the date replaced; 

3. If not electric, the NOx and PM emission factor;

(F) Stationary or Portable Systems Used in Place of a Diesel Vehicle - For 

stationary or portable systems that are used in place of a diesel vehicle, 

report the following information: 

1. Description of the system; 

2. Type and number of vehicles that would otherwise be used; 

3. Horsepower of the vehicle(s) that would otherwise be used;

(G) Credit for Early Actions - Fleet owners claiming credit for early action must 

report information required under sections 2449(g)(1)(B)1. through 

2449(g)(1)(B)5. and sections 2449(g)(1)(C)1. through 2449(g)(1)(C)6. for 

each vehicle for which credit is claimed. As appropriate, the following 

information must also be reported: 

1. For each vehicle within the fleet that was repowered with a Tier 1 or newer 

engine prior to March 1, 2009, the date of repower;

2. For each vehicle within the fleet that was retrofit with the had the highest 

level PM VDECS installed available at the time of retrofit prior to March 1, 

2009, the date of installation retrofit and whether Carl Moyer Incentive 

Program funding was used to pay for the VDECS retrofit;

3. Fleet owners claiming early credit for retirement or replacement of any 

vehicles per section 2449.1(b)(13) (a)(2)(A)(2).a.ii., or 2449.1(b)(15)

(a)(2)(A) (2).a.iv. or 2449.2(a)(2)(A)(2)a.iv. must report information on 

each and every vehicle within the fleet between March 1, 2006, and 

March 1, 2010, as required under sections 2449(g)(1)(B)1. through 

2449(g)(1)(B)4. and sections 2449(g)(1)(C)1. through 2449(g)(1)(C)6. as 

well as the date of any purchase and/or retirement between March 1, 

2006 and March 1, 2010. 

4. Fleet owners claiming credit for reduced activity in the fleet per section 

2449.1(a)(2)(A)(2)a.iv. or 2449.2(a)(2)(A)2.a.iii. must report to the 

Executive Officer the total hours of use for each vehicle in the fleet, 

excepting vehicles claimed for early retirement credit, for the twelve 

month period January 1, 2007, to December 31, 2007 as well as the 

twelve month period March 1, 2009, to February 28, 2010. Fleets that do 

not have hourly reporting records of each vehicle in the fleet must submit 

to the Executive Officer copies of information that is verifiable and 

substantively demonstrates a reduction in fleet activity from July 1, 2007, 

to March 1, 2010.

(H) Equipment Purchased, Repowered, Retrofitted, or Otherwise Funded 

or Partially Funded Using Public Funds - For owners of equipment or 
B - 39

vehicles that were purchased, repowered or retrofitted using public funds and 

where funding program guidelines include criteria which limit funded projects 

from receiving regulatory benefit or credit, in addition to the information 

provided in sections 2449(g)(1)(A) through (D), the fleet owner must provide 

the following information for each vehicle:

1. Date the public funding contract began;

2. Date the public funding contract ends;

3. Program providing the funding; and

4. Contract terms specifying the limitations for receiving regulatory benefit or 

credits for the funded equipment.

(2) Annual Reporting and Compliance Certification 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 ARB by the reporting date of 

each subsequent reporting year. The large fleet reporting date for all fleets is 

March 1April 1, the medium fleet reporting date is June 1, and the small fleet 

reporting date is August 1. Fleet owners must report information regarding each 

vehicle subject to this regulation as it was on December 31 March 1 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 2010 to 2021 2023. Medium fleets 

must report annually each year 2012 to 20212016 to 2023. Small fleets must 

report annually each year from 2014 to 20262018 to 2028. Any fleet that fails to 

meet the fleet average target rate for the final target date in section 2449.1(a)(1) 

or 2449.2(a)(1) must continue to report annually each year until it does so. After 

the final target date in 2449.2(a)(1), any fleet that is required to apply VDECS 

under section 2449.2(a)(2) must continue to report each year until the March 1 

after all such retrofits are complete. Any fleet that operates permanent

designated 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. 

(A) Compliance Certification Responsible Official Affirmation of Reporting

– Each year that annual reporting is required, a fleet shall submit to ARB Aan 

affirmation certification signed by a responsible official or a designee thereof 

that the information reported is accurate and that the fleet is in compliance 

with the regulation. The certification affirmation must be submitted on a form 

(paper or electronic) approved by the Executive Officer. If a designee signs 

the compliance certification affirmation of reporting, a written statement 

signed by the responsible official designating the designee must be attached 

to the compliance certification affirmation of reporting and submitted to ARB. 

This written statement designating the designee must only be attached the 

first time a designee signs the affirmation of reporting. If a new designee is 

appointed at a later time, another written statement signed by the responsible 
B - 40

official designating a new designee must be submitted. If the fleet is a 

Ccaptive Aattainment Aarea Ffleet, the certification affirmation must certify 

that the fleet’s vehicles did not operate outside the counties listed in 

2449(c)(6) in the prior year. 

(B) Changes Since Last Reporting - If any information reported per section 

2449(g)(1) has changed since either the initial or last annual report filed with 

ARB, the fleet owner must, in its next annual report identify such changes. 

Such changes include vehicles removed from the fleet, vehicles added to the 

fleet through purchase or by bringing into California, vehicles newly 

designated as permanent or year-by-year low-use or specialty vehicles, 

repowers, and VDECS installed retrofits. If there are no changes, the fleet 

shall indicate that there have been no changes since the last report. 

(C) Engine Hour Meter Readings – Engine hour meter readings must be 

reported for each engine in the following cases. 

1. If the fleet has chosen the hours in fleet average option, the fleet owner 

shall report two engine hour meter readings, one from on or before March 

1 of the prior year and one from on or after March 1 of the current year, 

and the dates of reading for every engine in the fleet.

1.2. For vehicles that fleet owners intend to designate as year-by-year lowuse, report two engine hour meter readings, one from on or before 

January 1 March 1 of the prior year and one from on or after December 

31 March 1 of the prior year, and the dates of reading. If using the threeyear rolling average definition of year-by-year low-use, report two hour 

meter readings, one from on or before January 1 March 1 of the first year 

of the three year period and one from on or after December 31 March 1 of 

the third year current year. For vehicles that fleet owners intend to 

designate as permanent low-use vehicles, report one engine hour 

meeting reading from on or before January 1 of the current year. For 

each year thereafter, report the engine hour meeting reading from on or 

after December 31 of the prior year. Permanent and year-by-year lLowuse vehicles used in emergency operations, must report the total hours 

used in emergency operations. Additionally, for vehicles designated as 

permanent or year-by-year low-use that operate both inside and outside 

California, the fleet owner shall submit a log that contains the following 

information. 

a. Each date the vehicle entered California and the hour meter reading 

upon entry; 

b. Each date the vehicle exited California and the hour meter reading upon 

exit. 

2.3. For vehicles that are used in agricultural operations, the fleet owner shall 

report two engine hour meter readings, one from on or before January 1

March 1 of the prior year and one from on or after December 31 March 1

of the prior current year, and the dates of such readings. Also the fleet 

owner shall report, the total number of hours the vehicle has been used in 

non-agricultural use. 
B - 41

(3) New Fleet Reporting – New fleets must submit the information in section 

2449(g)(1)(A) through (G) to ARB for vehicles subject to the regulation within 30 

days of purchase or bringing such vehicles into the State. Beginning the first 

January 1 March 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 ARB 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 ARB 

that the vehicle was sold. 

(h) Record keeping – 

Fleet owners must maintain copies of the information reported under section 2449(g), 

as well as the records described in section 2449(h) below, and provide them to an agent 

or employee of the ARB within five business days upon request. Records must be kept 

at a location within the State of California. 

(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)(2), 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: 

(A) The name of the company that performed the rebuild, address, contact name, 

and contact phone number for that company; 

(B) An invoice, or proof of purchase of the engine rebuild; 

(C) The date(s) the engine upgrade was performed; 

(D) All records required under Title 40, CFR, Part 1068.120 or, for engines 

exempt from Title 40, CFR, Part 1068.120, the records that would be required 

if the engine were not exempt; 
B - 42

(E) All records required under title 13, CCR, section 2423(l) or, for engines 

exempt from 13, CCR, section 2423(l), the records that would be required if 

the engine were not exempt. 

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

(5) VDECS Serial Numbers – Records of the serial numbers of the VDECS installed 

on each vehicle. 

(6) 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. 

(7) Records Pertaining to Executive Officer Approval – Records of Executive 

Officer approval of any of the following: 

(A) A waiver to allow additional idling in excess of 5 consecutive minutes; 

(B) Upon discontinuation of a fuel verified as a Diesel Emission Control Strategy, 

approval for up to two years additional time to come back into compliance 

with the applicable fleet average requirement; 

(C) A finding that a VDECS shouldshall not be considered the highest level 

VDECS available due to safety concerns; 

(D) Approval to use the maximum power of a diesel vehicle that serves the same 

function as an electric vehicle; 

(E) Approval of an alternative fuel vehicle NOx emission standard; 

(F) Approval of a vehicle designation as a specialty vehicle; 

(G) Approval of and experimental diesel PM control strategy; 

(H) Approval to grant an extension to the fleet from the requirements when Tier 4 

vehicles are not available; 

(I) Approval to use a fuel strategy as an emissions control strategy as in section 

2449(e)(2); 

(8) Credit for Reduced Activity – Each fleet owner that claims credit for reduced 

fleet activity with vehicle specific data per sections 2449.1(a)(2)(A)(2)a.iv. or 

2449.2(a)(2)(A)2.a.iii. shall maintain the records setting forth the total hours of 

use of each vehicle in the fleet for each of the twelve month periods indicated in 

2449(g)(1)(G)4. A fleet that submits non-vehicle specific data claiming credit for 

reduced fleet activity, per sections 2449.1(a)(2)(A)(2)a.v. or 

2449.2(a)(2)(A)(2)a.iv., must keep a record of all of the information submitted to 

ARB to support its claim of reduced fleet activity.

(8)(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, per sections 2449.1(b)(13) (a)(2)(A)2.a.ii. or 2449.1(b)(15) (a)(2)(A)

(2).a.iv. or 2449.2(a)(2)(A)(2)a.iv. shall maintain records substantiating the fleet’s 

claim of previous ownership for those vehicles.
B - 43

 (109) 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 January 1 March 1, 2030, whichever is earlier. If vehicle ownership is 

transferred, the seller shall convey the vehicle records including vehicle data per 

section 2449(g)(1)(B), engine data per section 2449(g)(1)(C), and VDECS data 

per section 2449(g)(1)(D) to the buyer. If fleet ownership is transferred, the 

seller shall convey the fleet records including fleet data per sections 

2449(g)(1)(A) through (GH) 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(j) for three years 

after the sale. 

(i) Right of Entry – 

For the purpose of inspecting off-road vehicles and their records to determine 

compliance with these regulations, an agent or employee of ARB, upon presentation of 

proper credentials, has the right to enter any facility (with any necessary safety 

clearances) where off-road vehicles are located or off-road vehicle records are kept. 

(j) Disclosure of Regulation Applicability – 

Any person selling a vehicle with an engine subject to this regulation in California must 

provide the following disclosure in writing to the buyer on the bill of sale, “When 

operated in California, any off-road diesel vehicle may be subject to the California Air 

Resources Board In-Use Off-road Diesel Vehicle Regulation. It therefore could be 

subject to retrofit or accelerated turnover requirements to reduce emissions of air 

pollutants. For more information, please visit the California Air Resources Board 

website at http://www.arb.ca.gov/msprog/ordiesel/ordiesel.htm.” 

(k) Penalties – 

Any person who fails to comply with the performance requirements of this regulation, 

who fails to submit any information, report, or statement required by this regulation, or 

who knowingly submits any false statement or representation in any application, report, 

statement, or other document filed, maintained, or used for the purposes of compliance 

with this regulation may be subject to civil or criminal penalties under sections 39674, 

39675, 42400, 42400.1, 42400.2, 42400.3.5, 42402, 42402.1, 42402.2, 42402.4, 42403, 

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. 

(l) ARB Certificate of Reported Compliance – 
B - 44

After the initial reporting required by section 2449(g)(1) and the annual reporting and 

compliance certification responsible official affirmation of reporting required by section 

2449(g)(2) is received by ARB, if the reporting and affirmation indicates the fleet is in 

compliance with the requirements of the in-use off-road diesel vehicle regulation, ARB 

will provide the fleet with a Certificate of Reported Compliance with the In-Use Off-road 

Diesel Vehicle Regulation. The certificate may be revoked if ARB subsequently 

discovers that the reports submitted to ARB have material errors or omissions. 

(m) Severability – 

If any subsection, paragraph, subparagraph, sentence, clause, phrase, or portion of 

section 2449, 2449.1, or 2449.2, or 2449.3 of this regulation 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. 

**Note: Authority cited: Sections 39002, 39515, 39516, 39600, 39601, 39602, 39650, 

39656, 39658, 39659, 39665, 39667, 39674, 39675, 40000, 41511, 42400, 42400.1, 

42400.2, 42400.3.5, 42402, 42402.1, 42402.2, 42402.4, 42403, 43000, 43000.5, 43013, 

43016, 43018, and 43018.2, Health and Safety Code. Reference: Sections 39002, 

39515, 39516, 39600, 39601, 39602, 39650, 39656, 39657, 39658, 39659, 39665, 

39667, 39674, 39675, 40000, 41511, 42400, 42400.1, 42400.2, 42402.2, 43000, 

43000.5, 43013, 43016, 43018, and 43018.2, Health and Safety Code. 
B - 45

Section 2449.1 NOx Performance Requirements 

(a) Performance Requirements

Each fleet must meet the fleet average requirements in this section beforeby January

March 1 of each year or demonstrate that it met the best available control technology 

(BACT) requirements as described in section 2449.1(b) (a)(2). There are differing 

requirements for large and medium fleets. Small fleets are not subject to the NOx 

performance requirements. 

If various portions of a fleet are under the control of different responsible officials 

because they are part of different subsidiaries, divisions, or other organizational 

structures of a company or agency, the fleet portions may 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 maximum power of the vehicles under common 

ownership or control 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)(7)2449(d)(6) just as if they were separate fleets. 

Captive attainment area fleets, and fFleets owned by non-profit training centers or lowpopulation county local municipalities, are subject to the small fleet requirements, even 

if their total maximum power exceeds 2,500 horsepower. Captive attainment area fleets 

are not subject to the NOx performance requirements. Section 2449(d)(4)2449(d)(3)

describes requirements for fleets that change size.

(a) (1) Fleet Average Requirements 

(A) Fleet Average Requirements for Large and Medium Fleets

1. NOx Fleet Average – 

For each compliance date, a large or medium fleet that is not a captive attainment area 

fleet must demonstrate that its NOx Fleet Average Index was less than or equal to the 

calculated NOx Fleet Average Target Rate. 

The equation for calculating NOx Fleet Average Target Rate is below: 

NOx Fleet Average Target Rate = [SUM of (Max Hp for each engine in fleet

multiplied by Target for each engine in fleet) for all engines in fleet] divided by 

[SUM of (Max Hp) for all engines in fleet] 

where Target is the NOx target in g/bhp-hr is shown in from Table 1. To find the 

Target for each engine, read the value for the appropriate row based on the 

compliance year and the appropriate column based on the engine’s maximum 

power from Table 1 for medium and large fleets, and Table 2 for small fleets. 

The equation for calculating NOx Fleet Average Index is below: 
B - 46

NOx Fleet Average Index = [SUM of (Max Hp for each engine in fleet multiplied by 

NOx Emission Factor multiplied by the VDECS Factor for each engine in fleet) 

for all engines in fleet] divided by [SUM of (Max Hp) for all engines in fleet] 

VDECS Factor

VDECS VDECS Factor

No VDECS Installed 1

Highest Level PM VDECS 0.7

Highest Level PM VDECS 

with NOx Reduction

(1 Minus (0.3 + (Verified Percent NOx 

Reduction Divided by 170)))

NOx Reduction (Not Highest 

Level PM VDECS)

(1 Minus (Verified Percent NOx Reduction 

Divided by 170))

Vehicles for which public funds contributed to the purchase of a replacement vehicle, 

repower, or a VDECS shall be treated in the fleet average calculations in 

accordance with funding program guidelines applicable to the particular source of 

public funds used for the purchase. 

(1) a. Fleet average targets for large and medium fleets - Table 1 shows the 

targets used to calculate the NOx Fleet Average Target Rate for each 

compliance date for large and medium fleets. The Emission Factors are defined 

in Appendix A. 

Table 1 – Large and Medium Fleet NOx Targets 

For Use in Calculating NOx Fleet Average Target Rates [g/bhp-hr] 

Targets for each Max Hp Group

Compliance Date: 

January 1 of Year

25-49 

hp

50-74 

hp

75-99 

hp

100-

174 hp

175-299 

hp

300-599 

hp

600-

750 hp

>750 

hp

2014 (Large 

Fleets Only)

5.8 6.5 7.1 6.4 6.2 5.9 6.1 7.2

2015 (Large 

Fleets Only)

5.6 6.2 6.7 6 5.8 5.5 5.6 6.8

2016 (Large 

Fleets Only)

5.3 5.8 6.2 5.5 5.3 5.1 5.2 6.5

2017 5.0 5.4 5.5 4.9 4.7 4.5 4.6 6.0

2018 4.7 5.0 4.8 4.3 4.1 4.0 4.0 5.5

2019 4.4 4.6 4.1 3.7 3.5 3.4 3.4 5.0

2020 4.1 4.2 3.4 3.1 2.9 2.8 2.9 4.5

2021 3.8 3.8 2.7 2.5 2.3 2.2 2.3 4.0

2022 3.5 3.4 2.0 1.9 1.7 1.7 1.7 3.5

2023 3.3 3.0 1.4 1.3 1.5 1.5 1.5 3.5

3.4
B - 47

NOx Targets for each Max Hp Group

Compliance Date: 

March 1 of Year

25-49 

hp

50-74 

hp

75-99 

hp

100-

174 hp

175-299 

hp

300-599 

hp

600-

750 hp

>750 

hp

2010 (large 

fleets only) 5.8 6.5 7.1 6.4 6.2 5.9 6.1 7.2

2011 (large 

fleets only) 5.6 6.2 6.7 6.0 5.8 5.5 5.6 6.8

2012 (large 

fleets only) 5.3 5.8 6.2 5.5 5.3 5.1 5.2 6.5

2013 5.1 5.5 5.7 5.1 4.9 4.7 4.8 6.1

2014 4.9 5.1 5.2 4.7 4.5 4.3 4.4 5.7

2015 4.6 4.8 4.8 4.3 4.1 3.9 4.0 5.3

2016 4.4 4.4 4.3 3.8 3.6 3.5 3.6 4.9

2017 4.2 4.1 3.8 3.4 3.2 3.1 3.2 4.5

2018 4.0 3.7 3.3 3.0 2.8 2.7 2.7 4.1

2019 3.7 3.4 2.8 2.6 2.3 2.3 2.3 3.8

2020 3.5 3.2 2.4 2.2 1.9 1.9 1.9 3.4

(2) b. Fleet average targets for small fleets - Table 2 shows the targets used to 

calculate the Fleet Average Target Rate for each compliance date for small 

fleets. The Emission Factors are defined in Appendix A.

Table 2 – Small Fleet Targets 

For Use in Calculating Fleet Average Target Rates [g/bhp-hr] 

Targets for each Max Hp Group

Compliance Date: 

January 1 of Year

25-49 

hp

50-74 

hp

75-99 

hp

100-

174 hp

175-299 

hp

300-599 

hp

600-

750 hp

>750 

hp

2019 5.8 6.5 7.1 6.4 6.2 5.9 6.1 7.2

2020 5.6 6.2 6.7 6.0 5.8 5.5 5.6 6.8

2021 5.3 5.8 6.2 5.5 5.3 5.1 5.2 6.5

2022 5.0 5.4 5.5 4.9 4.7 4.5 4.6 6.0

2023 4.7 5.0 4.8 4.3 4.1 4.0 4.0 5.5

2024 4.4 4.6 4.1 3.7 3.5 3.4 3.4 5.0

2025 4.1 4.2 3.4 3.1 2.9 2.8 2.9 4.5

2026 3.8 3.8 2.7 2.5 2.3 2.2 2.3 4.0

2027 3.5 3.4 2.0 1.9 1.7 1.7 1.7 3.5

2028 3.3 3.0 1.4 1.3 1.5 1.5 1.5 3.5
B - 48

(b) (2) BACT Requirements 

Each year, each fleet must determine if it will be able to meet the fleet average 

requirements for the next January March 1 compliance date, and if not, the following 

BACT requirement must be met prior to the January 1 compliance date. If a fleet does 

not meet the NOx Fleet Average Target rRate in section 2449.1(a) (1), it must meet the 

BACT turnover requirements in section 2449.1(b)(1) (a)(2)(A) below. 

(A) Turnover BACT Requirements for Fleets Not Meeting NOx Fleet Average

Target Rate – A fleet may meet the turnover BACT requirements by performing 

turnover as defined in section 2449(c)(55), applying NOx VDECS as defined in section 

2449(c)(57)(B), or applying the highest level PM VDECS as defined in section 

2449(c)(578)(A). The method for counting NOx VDECS towards the BACT 

requirements is specified in section 2449.1(b)(2).retiring a vehicle, designating a vehicle 

as a low-use vehicle, repowering a vehicle, rebuilding the engine to a more stringent 

emissions configuration, or applying a VDECS verified to achieve NOx reductions. If 

repowering a vehicle or rebuilding the engine to a more stringent emissions 

configuration, the new engine must be Tier 2 or higher and must be a higher tier than 

the engine replaced or rebuilt. The method for counting VDECS verified to achieve NOx 

reductions is specified in section 2449.1(a)(2)(A)8. 

Purchase of a replacement vehicle, repower, or a VDECS with public funds shall be 

counted toward the BACT requirements in accordance with funding program guidelines 

applicable to the particular source of public funds used for the purchase. 

(1) 1. Turnover BACT Rate – If a fleet does not meet the NOx Fleet Average Target 

Rate in section 2449.1(a)(1), it must demonstrate that it has turned over, applied 

NOx VDECS, or applied the highest level PM VDECS to the required percent of 

the total maximum power of the fleet (as reported for December 31 of the 

previous year), between January 1 and December 31 of the year prior to the 

compliance date that existed on December 31January March 1 of the previous 

year since January March 1 of the previous year and on or before December 31 

of the previous year. For example, if a large fleet does not meet the January 1, 

2014, Fleet Average Target Rate, the fleet must demonstrate that it had turned 

over, applied NOx VDECS, or applied the highest level PM VDECS to the 

required percent (4.8 percent for 2014) of the fleet’s maximum power (as it was 

on December 31, 2012) between January 1, 2013 and December 31, 2013. Any 

carryover turnover BACT credit previously accrued may be applied towards the 

BACT requirements turnover required in a later year. The required turnover 

percentages of fleet horsepower to turn over, apply NOx VDECS, or apply the 

highest level PM VDECS to percents to demonstrate on for each compliance 

date are described below in (A) through (C). a. through c. e.

(A) a. Large fleets – 

1: i. 2014: 4.8 percent

2: ii. 2015 to 2017: 8 percent

3: iii. 2018 to 2023: 10 percent
B - 49

(B) b. Medium fleets – 

1: i. 2017: 8 percent

2: ii. 2018 to 2023: 10 percent

(C) c. Small fleets –

2019 to 2028: 10 percent

a) 2010: 8 percent.

b) 2011 and 2012 4.8 percent.

c) 2013: 

i. 14.4 percent for large fleets that did not meet the NOx fleet average 

target in 2011 or 2012, 

ii. 11. 2 percent for large fleets that met the NOx fleet average target 

in 2011 but not 2012, and 

iii. 8 percent for large fleets that met the NOx fleet average target in 

2012 and for all medium fleets.

d) 2014 and 2015: 8 percent.

e) 2016 and later: 10 percent.

(2) BACT Credit for NOx VDECS - VDECS verified to reduce NOx may be used to 

satisfy the BACT requirements in section 2449.1(b)(1) on each compliance date 

as follows. For VDECS verified to reduce NOx but not as achieving PM 

reductions, BACT credit for NOx VDECS equals:

 (Verified Percent NOx Reduction divided by 60 percent) multiplied by

(Maximum power of the vehicle to which the VDECS was applied). 

For VDECS verified to reduce NOx and that are also the highest level PM 

VDECS, or for VDECS that have been verified as achieving NOx reductions and 

is installed on an engine that also has a highest level PM VDECS that is verified 

separately, BACT credit for VDECS verified to reduce NOx equals:

 (Verified Percent NOx Reduction divided by 120 percent) multiplied by 

(Maximum power of the vehicle to which the the VDECS was applied).

This credit is applied in addition to credit for installing the highest level PM 

VDECS in section 2449.1(b)(1). BACT credit for NOx VDECS may be applied to 

meet the BACT requirements of section 2449.1(b)(1) or to accumulate carryover 

BACT credit.

(3) Beginning 2. Carryover turnover BACT Ccredit – 

a. Beginning - All fleets may earn or accumulate credits for taking early action in 

accordance with the following sections (12) through (17) below i through vi, but 

with the exception of such credits for taking early action, all fleets begin with zero 

carryover BACT credit on January 1, 2013. All fleets begin with zero carryover

turnover credit on March 1, 2009. All fleets may begin accumulating carryover 

turnover credit on March 1, 2009. To claim credit, fleets must submit to ARB 

and retain records as described in sections 2449(g) and (h). 
B - 50

(4) Accumulating carryover BACT credit – Beginning on January 1, 2013 for large 

fleets, on January 1, 2016 for medium fleets, and on January 1, 2018 for small 

fleets, a fleet will accumulate carryover credit each year it turns over or applies 

the highest level PM VDECS to more than the required percent of its maximum 

power specified in section 2449.1(b)(1). The amount accumulated is the 

maximum power that has been turned over or to which highest level PM VDECS 

has been applied in excess of the percentage required in the 12 months prior to 

January 1 of the year for which the carryover BACT credit is being calculated. 

(5) Using carryover BACT credit - Accumulated carryover BACT credit may be 

applied to meeting the BACT requirements of section 2449.1(b)(1) in a later year. 

The amount of carryover BACT credit used to meet the BACT requirements in 

any one year is subtracted from the carryover BACT credit total available in 

subsequent years. The amount of actual turnover or horsepower the highest 

level PM VDECS was installed on plus the amount of carryover BACT credit 

used must equal the minimum BACT requirements described in section 

2449.1(b)(1). 

(6) Order of BACT Requirements - All Tier 0 and Tier 1 engines in a fleet, except

those in vehicles that qualify for an exemption from the BACT requirements, 

must be turned over before the turnover of any other higher tier engines may be 

counted toward the BACT requirements in section 2449.1(b)(1) or toward 

accumulating carryover BACT credit. A fleet may, however, receive carryover 

BACT credit per section 2449.1(b)(2) and 2449.1(b)(14) for a VDECS installed 

on an engine, regardless of the engine’s tier. 

(7) Rounding - If the horsepower to meet BACT requirements under section 

2449.1(b)(1) is less than half of the maximum power of the lowest horsepower 

engine in the fleet that is subject to the BACT requirements, the next engine is 

not required to be turned over or have a highest level PM VDECS applied to it. 

However, on the next year’s compliance date, any horsepower not accounted for 

due to this rounding provision must be added to the BACT requirements under 

section 2449.1(b)(1). Once the required horsepower equals or exceeds half of 

the maximum power of the next engine in the fleet that is subject to the BACT 

requirements, the next engine must be turned over or have a NOx VDECS or 

highest level PM VDECS applied to it.

(8) Exemptions from BACT for medium and large fleets – For medium and large 

fleets, a vehicle is exempt from the BACT requirements of section 2449.1(b)(1) if 

it qualifies for one or more of the exemptions set forth in section 2449(e) or 

meets one of the conditions listed in section (A) through (E) below. A fleet that 

does not meet the fleet averages in section 2449.1(a)(1) must meet the BACT 

requirements with the vehicles that do not qualify for an exemption under either 

Section 2449(e) or this section, provided that nothing shall require a fleet to 

apply a VDECS to any vehicle. Where all of the vehicles in a fleet qualify for an 
B - 51

exemption under either this section or section 2449(e), the fleet is exempt from 

the BACT and fleet average requirements in that year. The exemptions set forth 

in this section do not lower the total maximum power on which the BACT 

requirements are calculated. 

(A) On the compliance date, the vehicle is less than 10 years old from the 

date of manufacture;

(B) The vehicle meets all of the following specialty vehicle criteria:

1. The fleet has turned over all other vehicles first,

2. No repower is available for the specialty vehicle, as demonstrated to 

the Executive Officer,

3. A used vehicle with a cleaner engine is not available to serve a function 

and perform the work equivalent to that of the specialty vehicle, as 

demonstrated to the Executive Officer, and

4. The specialty vehicle has the highest level PM VDECS installed, 

(C) The vehicle had a Level 2 or 3 PM VDECS installed within the last six 

years and such VDECS was highest level PM VDECS at the time of the 

installation, or

(D) The vehicle has a Tier 4 interim or Tier 4 final engine. 

(E) The vehicle has the highest level PM VDECS installed prior to January 1, 

2013, except that this exemption may be applied to no more than 15 

percent of a fleet’s total horsepower as of December 31, 2012.

1. If before January 1, 2013, the fleet has installed the highest level PM 

VDECS on more than 15 percent of the fleet’s December 31, 2012, 

total horsepower, the fleet may apply this exemption to any vehicles 

with the highest level PM VDECS installed, as long the total 

horsepower of those vehicles does not exceed the 15 percent 

exemption threshold established in section e. above.

2. The highest level PM VDECS must remain on the vehicle in order to 

maintain this exemption. If a VDECS fails, the fleet must replace the 

VDECS in accordance with section 2449(e)(1) to maintain this 

exemption for the vehicle.

(9) Exemptions from BACT for Small Fleets – For small fleets, a vehicle is exempt 

from the BACT requirements of section 2449.1(b)(1) if it qualifies for one or more 

of the exemptions set forth in section 2449(e) or meets one of the conditions 

listed in section (A) through (E) below. A fleet that does not meet the fleet 

averages in section 2449.1(a)(2) must meet the BACT requirements with the 

vehicles that do not qualify for an exemption under either Section 2449(e) or this 

section, provided that nothing shall require a fleet to turn over any vehicle. 

Where all of the vehicles in a fleet qualify for an exemption under either this 

section or section 2449(e), the fleet is exempt from the BACT and fleet average 

requirements in that year. The exemptions set forth in this section do not lower 

the total maximum power on which the BACT requirements are calculated. 

(A) On the compliance date, the vehicle is less than 10 years old from the 

date of manufacture;
B - 52

(B) The vehicle meets all of the following specialty vehicle criteria described 

above in section 2449.1(b)(8)(B).

(C) There is no highest level VDECS available for the vehicle’s engine as of 

10 months prior to the compliance date (i.e., there is no Level 2 or 3 

VDECS, or there is no Level 2 or 3 VDECS which can be used without 

impairing the safe operation of the vehicle as demonstrated per section 

2449(e)(8)),

(D) The vehicle’s engine is equipped with an original equipment manufacturer 

diesel particulate filter that came new with the vehicle, or the vehicle has 

a Tier 4 interim or Tier 4 final engine. 

(E) The vehicle’s engine has already been retrofitted with a Level 2 or 3 

VDECS that was the highest level PM VDECS available at time of 

installation. An engine with a Level 2 VDECS that was not the highest 

level VDECS at time of installation does not qualify for this exemption.

(10) Delay Tier 2 Turnover - All vehicles with a Tier 2 or higher engine are exempt 

from the BACT requirements through January 1, 2015 (i.e., the first turnover of or 

VDECS installations on Tier 2 or higher engines would be required between 

January 1, 2015 and December 31, 2015), provided that all Tier 0 and Tier 1 

vehicles in the fleet owner’s fleet that do not qualify for an exemption under 

section 2449.1(b)(8)(A) through 2449.1(b)(8)(E) have been turned over. 

(11) Delayed Requirements for Early Compliance – Large fleets are exempt from 

the January 1, 2014 performance requirements if the sum of the fleet’s NOx 

credits on March 1, 2010, exceeded 8 percent of the fleet’s March 1, 2009 

horsepower. To determine eligibility, ARB will take the sum of: Early Repower 

credit gained under 2449.1(b)(12) plus Early Replacement credit gained under 

2449.1(b)(13) plus Early VDECS credit for VDECS under 2449.1(b)(14) plus 

Early Retirement credit gained under 2449.1(b)(15) plus turnover credit gained 

from March 1, 2009, to February 28, 2010, that was not accounted for under 

section 2449.1(b)(15). If the sum of these credits exceeds (Total maximum 

power of the fleet on March 1, 2009 times 0.08), then the fleet will not be 

required to meet either the January 1, 2014, fleet average or the January 1, 2014 

BACT requirements. This provision shall not have the effect of reducing any 

credit that any fleet would otherwise have the right to receive in 2014 or in any 

subsequent year, even if such credit provided all or part of the basis for a finding 

that such fleet had NOx credits on March 1, 2010, in excess of 8 percent of such 

fleet’s horsepower on March 1, 2009. 

(12) i. Credit for Early Repowers and Rebuilds to More Stringent Emissions 

Standards – Credit for early repowers can only be claimed for engines that 

remain in the fleet on the compliance date that the credit is taken. Fleets that 

have repowered their vehicles with Tier 1 or higher engines or rebuilt the engine 

from a lower Tier to a Tier 1 or more stringent emissions standard before March 

1, 2009 will accumulate a carryover BACT turnover credit (in horsepower) equal 

to: the maximum power of the vehicles repowered and the engines rebuilt in 
B - 53

accordance with the preceding the maximum power of Tier 1 or higher repower 

engines installed in affected vehicles before March 1, 2009. Fleets that repower 

their Tier 0 or Tier 1 vehicles with Tier 2 or higher engines, or rebuild the engines 

in their Tier 0 or Tier 1 vehicles to a Tier 2 or more stringent emissions standard, 

prior to by the following deadlines, will accumulate a carryover BACT credit (in 

horsepower) equal to the maximum power of the vehicles repowered and the 

engines rebuilt in accordance with the preceding:

(A) 1. Large fleets: January 1, 2013

(B) 2. Medium fleets: January 1, 2016

(C) 3. Small fleets: January 1, 2018

The credit can only be claimed for engines that remain in the fleet 

in the year that the credit is taken.

(13) ii. Credit for Early Replacement – Fleets that have replaced their Tier 0 

vehicles at an average rate greater than 8 percent of total maximum power per 

year between March 1, 2006 and March 1, 2009 will accumulate carryover 

turnover credit (in horsepower) equal to: [(Total maximum power of Tier 0 

vehicles retired between March 1, 2006 and March 1, 2009) minus (Total 

maximum power of Tier 0 vehicles added between March 1, 2006 and March 1, 

2009) minus (Total credit for early retirement claimed under section (15) (iii vi)

below)] minus [(Total maximum power of fleet on March 1, 2007 times 0.08) plus 

(Total maximum power of fleet on March 1, 2008 times 0.08) plus (Total 

maximum power of fleet on March 1, 2009 times 0.08)]. Tier 0 vehicles 

repowered with newer engines are counted under (12) (i) above and shall not be 

counted under this section (ii). 

(14) iii. Double Credit for Early VDECS Installations NOx Retrofits –If fleets

install a PM VDECS by the deadlines shown below for the applicable fleet size,

fleets that have installed VDECS that have been verified as achieving NOx 

reductions on their vehicles before March 1, 2011 will accumulate carryover 

turnover BACT credit (in horsepower) equal to: 2 times the multiplied by (Verified 

Percent NOx Reduction divided by 60 percent) multiplied by (M maximum power 

on which VDECS verified to achieve NOx reductions are installed before March 

1, 2011) by the applicable deadline:

(A) 1. Large fleets: January 1, 2013

(B) 2. Medium fleets: January 1, 2016

(C) 3. Small fleets: January 1, 2018

Fleets that install VDECS verified to reduce NOx by the same deadlines will 

accumulate an additional carryover BACT credit (in horsepower) equal to: 2 

times the (Verified Percent NOx Reduction divided by 120 percent) multiplied by

(Maximum power of the engines on which fleets install VDECS verified to reduce 

NOx).

iv. Credit for Reduced Fleet Activity– Fleets that demonstrate a 

reduction in fleet activity will accumulate carryover turnover credit 
B - 54

(in horsepower). Fleet activity is defined as the sum of [(Total 

maximum power of the vehicle) times (Number of hours the vehicle 

was operated in the applicable 12 month period)] for each vehicle 

in the fleet.

1. Carryover turnover credit generated from reduced activity may 

only be applied toward the March 1, 2010, or March 1, 2011 

compliance dates.

2. Fleets that receive credit for the retirement of any vehicle prior 

to March 1, 2010, per section (v) below, can not count that 

vehicle in the calculation of reduced activity credit.

3. Carryover turnover credit shall be calculated for the fleet, not 

including those vehicles retired for credit under section (v) 

below, as:

[(Fleet activity for January 1, 2007, to December 31, 2007) 

minus (Fleet activity for March 1, 2009, to February 28, 

2010, including vehicles added to the fleet) divided by (fleet 

activity for January 1, 2007, to December 31, 2007)] 

multiplied by (Total maximum power of fleet on July 1, 

2007)

4. Fleet owners must use vehicle specific data, including but not 

limited to hour meter logs or operator logs linking operators to 

specific vehicles, from July 1, 2007, to March 1, 2010, as 

described in section 2449(g)(1)(G)4 to document vehicle 

activity.

5. Fleets that do not have hour meter logs or vehicle-specific 

operator logs or equivalent records that are verifiable and 

substantively demonstrate activity for all vehicles in the fleet:

A. May use other verifiable indicators that are directly related to 

reduced vehicle operation to demonstrate an overall

reduction in fleet activity from July 1, 2007, to March 1, 

2010, including but not limited to records of overall off-road 

diesel fuel use for the fleet, as described in section 

2449(g)(1)(G)4. However, such fleets must subtract the 

total credit for early retirement claimed under section (v) 

below from their reduced activity credit.

B. May use indicators, including but not limited to revenue or 

total vehicle operator employment, that demonstrate a 

reduction in business or staffing but that do not directly 

correspond to vehicle or fleet activity. To qualify for a credit 

using such indirectly-correlated indicators, the fleet must be 

able to provide some evidence of overall reduced fleet 

activity. The Executive Officer will grant a fleet using such 

indicators a maximum 20 percent credit for demonstrated 

reduced activity not directly related to vehicular operation. 
B - 55

Such fleets must also subtract from the 20 percent reduced 

activity credit any credits received for early retirement 

claimed under section (v) below credit. Fleets must not 

apply for credit using indicators that would demonstrate 

reduced business or staffing if the fleet has information or 

records that demonstrate the fleet has not reduced overall 

vehicle activity.

(15) iv v. Credit for Early Retirement – Fleets that reduce overall horsepower from 

March 1, 2006, to March 1, 2010, accumulate carryover BACT turnover credit (in 

horsepower) equal to 0.5 times the following: [(Total maximum horsepower of the 

fleet on March 1, 2006, including low-use vehicles) minus (Total maximum 

horsepower of the fleet on March 1, 2010, including low-use vehicles)]. In 

accordance with Section 2449.1(b)(5) (a)(2)(A)2.c, large fleets may use any such 

credit to meet any BACT requirements that Section 2449.1(b)(1) (a)(2)(A)(1) may 

require them to meet in the year ending January 1, 2015, or in any subsequent 

year. Notwithstanding Section 2449.1(b)(5) (a)(2)(A)2.c, large fleets may not use 

any such credit from this provision to meet any BACT requirements, under that

Section 2449.1(b)(1), (a)(2)(A)(1) may require them to meet in the initial 

compliance year for large fleets, which is the compliance year ending on January 

1, 2014. For example, if a fleet accumulated BACT credit by reducing 

horsepower from March 1, 2006, to March 1, 2010, and also accumulated BACT 

credit from repowers during the same period, the fleet could apply the repower 

credit toward their January 1, 2014, requirements, but could not apply the credit 

from reduced horsepower under this provision to their requirements on January 

1, 2014. The fleet could apply the credit from reduced horsepower under this 

provision to their January 1, 2015, requirements, as well as any future year until 

such credits are expended.

(16) v. Credit for Reduced Fleet Horsepower– Fleets that reduce their overall 

horsepower from March 1, 2010, to February 28, 2011, will accumulate carryover 

BACT credit (in horsepower) equal to: (Total maximum horsepower of the fleet 

on March 1, 2010) minus (Total maximum horsepower of the fleet on February 

28, 2011).

(17) vi. Credit for Interim Replacement – Fleets that replace over 8 percent of the 

fleet’s total maximum power in Tier 0 and Tier 1 vehicles in any one year in any 

one of the specified periods will accumulate carryover BACT credit (in 

horsepower) equal to: (Combined total of maximum power of Tier 0 and Tier 1 

vehicles retired over the year) minus (Combined total of maximum power of Tier 

0 or Tier 1 vehicles added over the year) minus (Total maximum power of fleet at 

the end of the year times 0.08). In each year, the replacement or retirement of 

vehicles will be summed from January 1 to December 31 of that year, excepting 

2011, during which the replacement or retirement will be summed from March 1 

to December 31. Fleets shall exclude Tier 0 vehicles repowered with Tier 1 or 
B - 56

higher engines, or rebuilt to a Tier 1 or more stringent emissions standard, from 

all such calculations.

(A) 1. Large fleets: March 1, 2011 to December 31, 2012

(B) 2. Medium fleets: March 1, 2011 to December 31, 2015

(C) 3. Small fleets: March 1, 2011 to December 31, 2017

b. Accumulating carryover BACT turnover credit – 

i. 2010-2015 - Beginning on January 1, 2013 for large fleets, on 

January 1, 2016 for medium fleets, and on January 1, 2018 for 

small fleets, From March 1, 2010 through March 1, 2015 for large

fleets and from March 1, 2013 through March 1, 2015 for medium 

fleets a fleet will accumulates carryover turnover credit each year it 

turns over or applies the highest level PM VDECS to more than the 

required percent of its maximum power specified in section 

2449.1(a)(2)(A)1. The amount accumulated is the maximum power 

that has been turned over or to which highest level PM VDECS 

has been applied in excess of the percentage required percent in 

the 12 months prior to January March 1 of the year for in which the 

carryover BACT credit is being calculated. From March 1, 2010, 

through March 1, 2012, a medium fleet accumulates carryover 

turnover credit each year the total horsepower it turns over 

exceeds 8 percent of its maximum power.

ii. After 2015 - After March 1, 2015, a fleet will accumulate carryover 

turnover credit each year it turns over more than 10 percent of its 

maximum power. The amount accumulated is the maximum power 

turned over in the 12 months prior to March 1 of the year in which 

the carryover is calculated plus the carryover turnover credit used

minus the required 10 percent. 

iii. Repower Credit– From March 1, 2010 through March 1, 2012, a 

for medium fleets that did not accumulate any credit under (i) 

above shall accumulate carryover turnover credit each year equal 

to the total maximum power of Tier 2 or higher repower engines 

installed in affected vehicles in the 12 months prior to March 1 of 

the year in which the carryover is calculated. From March 1, 2010 

through March 1, 2011, a large fleet that did not accumulate any 

credit under (i) above shall accumulate carryover turnover credit 

each year equal to the total maximum power of Tier 2 or higher 

repower engines installed in affected vehicles in the 12 months 

prior to March 1 of the year in which the carryover is calculated.

c. Using carryover BACT turnover credit - Accumulated carryover

BACT turnover credit may be applied to meeting the BACT turnover 

requirements of section 2449.1(a)(2)(A)1 in a later year. The amount 

of carryover BACT turnover credit used to meet the BACT turnover

requirements in any one year is subtracted from the carryover BACT

turnover credit total available in subsequent years. The amount of 

actual turnover or horsepower the highest level PM VDECS was 
B - 57

installed on or retrofits plus the amount of carryover BACT turnover 

credit used must equal the minimum BACT requirements described in

turnover required by section 2449.1(a)(2)(A)1. 

3. Order of BACT Requirements Turnover - All Tier 0 and Tier 1 engines in 

a fleet that were not subject to a PM standard for new engines (Tier 0 and 

Tier 1 with no PM standard, i.e., Tier 1 engines between 50 and 174 

horsepower), except those in vehicles that qualify for an exemption from

the BACT requirements under section 2449.1(a)(2)(A)4., must be turned 

over before the turnover of any other higher tier engines may be counted 

toward the BACT turnover requirements in section 2449.1(a)(2)(A) or 

toward accumulating carryover BACT turnover credit. A fleet may, 

however, receive carryover BACT turnover credit per section 

2449.1(a)(2)(A)2.a.iii. and 2449.1(a)(2)(A)9 for a VDECS verified to 

achieve NOx reductions installed on an engine, regardless of the engine’s

tier. 

4. Exemptions from BACT for medium and large fleets – A vehicle is 

exempt from the turnover of section 2449.1(a)(2)(A)1. if all vehicles in the 

fleet that do not qualify for an exemption under this section have been 

turned over and the vehicle meets one of the following conditions: For 

medium and large fleets, a vehicle is exempt from the BACT requirements 

of section 2449.1(a)(2)(A)1. if it qualifies for one or more of the 

exemptions set forth in section 2449(e) or meets one of the conditions 

listed in section a through e below. A fleet that does not meet the fleet 

averages in section 2449.1(a)(1)(A)(1) must meet the BACT requirements 

with the vehicles that do not qualify for an exemption under either Section 

2449(e) or this section, provided that nothing shall require a fleet to apply 

a VDECS to any vehicle. Where all of the vehicles in a fleet qualify for an 

exemption under either this section or section 2449(e), the fleet is exempt 

from the BACT and fleet average requirements in that year. The 

exemptions set forth in this section do not lower the total maximum power 

on which the BACT requirements are calculated. 

a. On the compliance date, the vehicle is less than 10 years old from the 

date of manufacture;

b. The vehicle meets all of the following specialty vehicle criteria:

i. The fleet has turned over all other vehicles first,

ii. No repower is available for the specialty vehicle, as demonstrated to 

the Executive Officer,

iii. A used vehicle with a cleaner engine is not available to serve a 

function and perform the work equivalent to that of the specialty 

vehicle, as demonstrated to the Executive Officer, and

iv. The specialty vehicle has been retrofit with the highest level VDECS

installed, 

c. The vehicle has had been retrofitted within the last six years with a 

Level 2 or 3 PM VDECS installed within the last six years that and
B - 58

such VDECS was highest level PM VDECS at the time of the 

installation retrofit, or

d. The vehicle has a Tier 4 interim or Tier 4 final engine.

e. The vehicle has the highest level PM VDECS installed prior to January 

1, 2013, March 1, 2011, except that this exemption may be applied to

no more than 15 percent of a fleet’s total horsepower as of January 1, 

2013 March 1, 2010.

i. If before January 1, 2013, the fleet has installed the highest level PM 

VDECS on more than 15 percent of the fleet’s 1, 2013, total

horsepower, the fleet may apply this exemption to any vehicles 

with the highest level PM VDECS installed, as long the total 

horsepower of those vehicles does not exceed the 15 percent 

exemption threshold established in section e. above.

ii. The highest level PM VDECS must remain on the vehicle in order to 

maintain this exemption. If a VDECS fails, the fleet must replace 

the VDECS in accordance with section 2449(e)(1) to maintain this 

exemption for the vehicle.

5. Exemptions from BACT for Small Fleets – For small fleets, a vehicle is 

exempt from the BACT requirements of section 2449.1(a)(2)(A)1. if it 

qualifies for one or more of the exemptions set forth in section 2449(e) or 

meets one of the conditions listed in section a through e below. A fleet 

that does not meet the fleet averages in section 2449.1(a)(1)(A)(1) must 

meet the BACT requirements with the vehicles that do not qualify for an 

exemption under either Section 2449(e) or this section, provided that 

nothing shall require a fleet to apply a VDECS to any vehicle. Where all 

of the vehicles in a fleet qualify for an exemption under either this section 

or section 2449(e), the fleet is exempt from the BACT and fleet average 

requirements in that year. The exemptions set forth in this section do not 

lower the total maximum power on which the BACT requirements are 

calculated. 

a. On the compliance date, the vehicle is less than 10 years old from the 

date of manufacture;

b. The vehicle meets all of the following specialty vehicle criteria described 

above in section 2449.1(a)(2)(A)4.b.

c. There is no highest level VDECS available for the vehicle’s engine as of 

10 months prior to the compliance date (i.e., there is no Level 2 or 3 

VDECS, or there is no Level 2 or 3 VDECS which can be used without 

impairing the safe operation of the vehicle as demonstrated per 

section 2449(e)(8)),

d. The vehicle’s engine is equipped with an original equipment 

manufacturer diesel particulate filter that came new with the vehicle, or

the vehicle has a Tier 4 interim or Tier 4 final engine. 

e. The vehicle’s engine has already been retrofitted with a Level 2 or 3 

VDECS that was the highest level PM VDECS available at time of 
B - 59

installation. An engine with a Level 2 VDECS that was not the highest 

level VDECS at time of installation does not qualify for this exemption. 

6 5. Delay Tier 2 1 turnover - All vehicles with a Tier 2 1 or higher engine 

are exempt from the BACT turnover requirements through until the 

compliance year ending January 1, 2015 March 1, 2013 (i.e., the first 

turnover of or VDECS installations on Tier 2 1 or higher engines would 

be required between January 1, 2015 and December 31, 2015 March 2, 

2012 and March 1, 2013), provided that all Tier 0 and Tier 1 vehicles in 

the fleet owner’s fleet that do not qualify for an exemption under section 

2449.1(a)(2)(A)4. have been turned over. 

(18) 7 6. Designating a vehicle as permanent low-use – In the year in which a 

fleet designates A fleet may designate a vehicle that was formerly used 100200

hours or more per year as a permanent low-use vehicle, by limiting its use to 

less than 100 hours per year and committing to keep its use less than 100 hours 

per year. the fleet will accumulate carryover BACT credit (in horsepower) equal 

to the maximum power of such vehicle. Only the designation of a vehicle that 

was formerly used 200 hours or more per year as a permanent low-use vehicle 

will qualify a fleet to receive such carryover BACT credit. For example, a fleet 

could designate a vehicle used 500 hours in 2016 as permanent low use on 

December 31, 2016, for credit toward the January 1, 2017, requirements, and 

limit the vehicle hours from January 1, 2017, to December 31, 2017, (and all 

future years) to 200 or less. 

a. Only vehicles formerly used 100 hours or more per year may be so 

designated. Vehicles so designated may be counted toward the 

turnover requirements. 

b. Once designated as low-use, a vehicle may never again be used more 

than 100 hours per year by the fleet unless the vehicle meets the 

adding vehicles requirements in section 2449(d)(7). 

c. A fleet is not obliged to designate a vehicle whose use drops below 100 

hours per year as low-use, or to count it toward the turnover 

requirements. If such a vehicle is not designated as low-use, its use 

may increase beyond 100 hours per year in subsequent years.

8 7. Rounding - If the horsepower to meet BACT requirementsd to be turned 

over under section 2449.1(a)(2)(A) is less than half of the maximum 

power of the lowest horsepower engine in the fleet that is subject to the

BACT turnover requirements, the next engine is not required to be turned 

over or have a highest level PM VDECS applied to it. However, on the 

next year’s compliance date, any horsepower not accounted for turned 

over due to this rounding provision must be added to the BACT 

requirementsd turnover under section 2449.1(a)(2)(A). Once the required 

horsepower to be turned over equals or exceeds half of the maximum 

power of the next engine in the fleet that is subject to the BACT turnover 
B - 60

requirements, the next engine must be turned over or have a highest level 

PM VDECS applied to it.

9 8. Turnover BACT Credit for NOx VDECS Retrofits - VDECS that have 

been verified as achieving to reduce NOx reductions may be used to 

satisfy the BACT turnover requirements in section 2449.1(a)(2)(A)1 on 

each compliance date as follows:

For VDECS verified to reduce NOx but not as achieving PM reductions, 

BACT Turnover credit for NOx VDECS retrofits equals (Verified Percent 

NOx Reduction divided by 60 percent) multiplied by (Maximum power of 

the vehicle to which the the VDECS was applied to on which VDECS 

verified to achieve NOx reductions was installed in last 12 months). 

For VDECS verified to reduce NOx and that are also the highest level PM 

VDECS, or for VDECS that have been verified as achieving NOx 

reductions and is installed on an engine that also has a highest level PM 

VDECS that is verified separately, BACT credit for VDECS verified to 

reduce NOx equals (Verified Percent NOx Reduction divided by 120 

percent) multiplied by (Maximum power of the vehicle to which the the 

VDECS was applied to).

This credit is applied in addition to credit for installing the highest level PM

VDECS in section 2449.1(a)(2)(A)2.b. BACT Turnover credit for NOx

VDECS retrofits may be applied to meet the turnover BACT requirements 

of section 2449.1(a)(2)(A)1 or to accumulate carryover BACT turnover 

credit.

10. Delayed Requirements for Early Compliance – Large fleets are 

exempt from the January 1, 2014 performance requirements if the sum 

of the fleet’s NOx credits on March 1, 2010, exceeded 8 percent of the 

fleet’s March 1, 2009 horsepower. To determine eligibility, ARB will 

take the sum of: Early Repower credit gained under 

2449.1(a)(2)(A)(2)(a)i. plus Early Replacement credit gained under 

2449.1(a)(2)(A)(2)(a)ii. plus Early VDECS credit for VDECS under 

2449.1(a)(2)(A)(2)(a)iii. plus credit for Early Retirement gained under 

2449.1(a)(2)(A)(2)(a)iv. plus turnover credit gained from March 1, 2009, 

to February 28, 2010, that was not accounted for under section

2449.1(a)(2)(A)(2)(a)iv. If the sum of these credits exceeds (Total 

maximum power of the fleet on March 1, 2009 times 0.08), then the fleet 

will not be required to meet either the January 1, 2014, fleet average or 

the January 1, 2014 BACT requirements. This provision shall not have 

the effect of reducing any credit that any fleet would otherwise have the 

right to receive in 2014 or in any subsequent year, even if such credit 

provided all or part of the basis for a finding that such fleet had NOx 

credits on March 1, 2010, in excess of 8 percent of such fleet’s 

horsepower on March 1, 2009. 

 
B - 61

Note: Authority cited: Sections 39002, 39515, 39516, 39600, 39601, 39602, 40000, 

41511, 43000, 43000.5, 43013, 43016, 43018, and 43018.2, Health and Safety Code. 

Reference: Sections 39002, 39515, 39516, 39600, 39601, 39602, 39650, 39656, 

39657, 39658, 39659, 39665, 39667, 43000, 43000.5, 43013, 43016, 43018, and 

43018.2, Health and Safety Code. 
B - 62

Section 2449.2 PM Performance Requirements

(a) Performance Requirements -

Each fleet must meet the fleet average requirements in section 2449.2(a)(1) by March 1 

of each year or demonstrate that it met the best available control technology (BACT) 

requirements as described in section 2449.2(a)(2). There are differing requirements for 

large and medium, and small fleets. If various portions of a fleet are under the control of 

different responsible officials because they are part of different subsidiaries, divisions, or 

other organizational structures of a company or agency, the fleet portions may comply 

with the performance requirements separately and be reported separately. However, 

the total maximum power of the vehicles under common ownership or control 

determines the fleet size. Fleets owned by low-population county local municipalities 

are subject to the small fleet requirements, even if their total maximum power exceeds 

2,500 horsepower. Section 2449(d)(4) describes requirements for fleets that change 

size.

(1) Fleet Average Requirements 

(A) Fleet Average Requirements for Large and Medium Fleets

1. Diesel PM Fleet Average - For each compliance date, a large or medium 

fleet must demonstrate that its Diesel PM Index was less than or equal to 

the calculated Diesel PM Target Rate.

The equation for calculating Diesel PM Target Rate is below:

Diesel PM 

Target Rate = [SUM of (Max Hp for each engine in fleet multiplied by Target for 

each engine in fleet) for all engines in fleet] divided by [SUM of (Max 

Hp) for all engines in fleet]

where Target is the Diesel PM target in g/bhp-hr from Table 2. To 

find the Target for each engine, read the value for the appropriate 

row based on the compliance year and the appropriate column 

based on the engine’s maximum power from Table 2.

The equation for calculating Diesel PM Index is below: 

Diesel PM Index = [SUM of (Max Hp for each engine in fleet multiplied by PM Emission 

Factor for each engine in fleet) for all engines in fleet] divided by 

[SUM of (Max Hp) for all engines in fleet]

Table 2 shows the targets used to calculate the Diesel PM Target Rate for 

each compliance date for large and medium fleets. The Emission Factors 

are defined in Appendix A.
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Table 2 – Large and Medium Fleet PM Targets 

For Use in Calculating PM Target Rates [g/bhp-hr] 

PM Targets for each Max Hp Group

Compliance 

Date: March 1 of 

Year

25-49 

hp

50-74 

hp

75-99 

hp

100-174 

hp

175-299 

hp

300-599 

hp

600-750 

hp

>750 

hp

2010 (large 

fleets only) 0.46 0.60 0.62 0.33 0.23 0.18 0.20 0.30

2011 (large 

fleets only) 0.46 0.60 0.62 0.33 0.23 0.18 0.20 0.30

2012 (large 

fleets only) 0.39 0.43 0.46 0.26 0.16 0.14 0.14 0.24

2013 0.39 0.43 0.46 0.26 0.16 0.14 0.14 0.24

2014 0.29 0.23 0.24 0.18 0.11 0.11 0.11 0.18

2015 0.29 0.23 0.24 0.18 0.11 0.11 0.11 0.18

2016 0.21 0.18 0.19 0.14 0.08 0.08 0.08 0.11

2017 0.21 0.18 0.19 0.14 0.08 0.08 0.08 0.11

2018 0.12 0.12 0.13 0.10 0.06 0.06 0.06 0.08

2019 0.12 0.12 0.13 0.10 0.06 0.06 0.06 0.08

2020 0.08 0.08 0.07 0.06 0.03 0.03 0.03 0.06

(B) Fleet Average Requirements for Small Fleets - Small fleets must meet a 

PM fleet average beginning in 2015. To meet the PM fleet average, for each 

compliance date, a small fleet must demonstrate that its Diesel PM Index was 

less than or equal to the calculated Diesel PM Target Rate. 

The equations for calculating Target Rates and Diesel PM Index are below: 

Diesel PM 

Target Rate = [SUM of ((Max Hp for each engine in fleet multiplied by Target for 

each engine in fleet)] divided by [SUM of (Max Hp) for all engines in 

fleet]

where Target is the PM target in g/bhp-hr from Table 3. To find the 

Target for each engine, read the value for the appropriate row based 

on the compliance year and the appropriate column based on the 

engine’s maximum power from Table 3.

Diesel PM Index = [SUM of (Max Hp multiplied by PM Emission Factor) for each 

engine in fleet] divided by [SUM of (Max Hp) for all engines in fleet]

Table 3 shows the targets used to calculate the Diesel PM Target Rate for 

each compliance date for small fleets. The Emission Factors are defined in 

Appendix A.
B - 64

Table 3 – Small Fleet PM Targets 

For Use in Calculating PM Target Rates [g/bhp-hr] 

PM Targets for each Max Hp Group

Compliance Date: 

March 1 of Year

25-49 

hp

50-74 

hp

75-99 

hp

100-

174 hp

175-

299 hp

300-

599 hp

600-

750 hp >750 hp

2015 0.46 0.60 0.62 0.33 0.23 0.18 0.20 0.30

2016 0.46 0.60 0.62 0.33 0.23 0.18 0.20 0.30

2017 0.39 0.43 0.46 0.26 0.16 0.14 0.14 0.24

2018 0.39 0.43 0.46 0.26 0.16 0.14 0.14 0.24

2019 0.29 0.23 0.24 0.18 0.11 0.11 0.11 0.18

2020 0.29 0.23 0.24 0.18 0.11 0.11 0.11 0.18

2021 0.21 0.18 0.19 0.14 0.08 0.08 0.08 0.11

2022 0.21 0.18 0.19 0.14 0.08 0.08 0.08 0.11

2023 0.12 0.12 0.13 0.10 0.06 0.06 0.06 0.08

2024 0.12 0.12 0.13 0.10 0.06 0.06 0.06 0.08

2025 0.08 0.08 0.07 0.06 0.03 0.03 0.03 0.06

(2) BACT Requirements – Each year, each fleet must determine if it will be able to 

meet the fleet average requirements for the next March 1 compliance date, and if 

not, the following BACT requirement must be met. If a fleet does not meet the 

Diesel PM Target Rate in section 2449.2(a)(1), it must meet the BACT Retrofit 

Requirements in section 2449.2(a)(2)(A). Fleets that fail to meet both an 

applicable NOx target rate in section 2449.1(a)(1) and the Diesel PM Target 

Rates in section 2449.2(a)(1) in a compliance year must first meet the BACT 

turnover requirements in section 2449.1(a)(2) in that year and then meet the

BACT Retrofit Requirements in section 2449.2(a)(2)(A) in that year.

(A) PM Retrofit Requirements for Fleets Not Meeting Diesel PM Target Rate 

1. PM Retrofit Rate - If a fleet does not meet the Diesel PM Target Rate in 

section 2449.2(a)(1), it must demonstrate that it has retrofit the required 

percent of its total maximum power (not including specialty vehicles 

retrofitted and exempted from turnover in section 2449.1(a)(2)(A)4.b.) with 

highest level VDECS since March 1 of the previous year. Any carryover 

retrofit credit previously accrued may be applied towards the retrofits 

required. If the VDECS is not new (i.e., is being reused), it must have 

been taken from a vehicle that is no longer operating in California. Fleets 

may count acquisition of vehicles with Tier 4 interim or Tier 4 final engines 

or retirement of Tier 0 vehicles toward the retrofit requirement as 

described below. The required retrofit percents to demonstrate on each 

compliance date are described below in a. through d.

a. 2010: 20 percent.

b. 2011 and 2012: 

c. 2013 and later: 36 percent for large fleets that did not meet the PM 

fleet average target in 2011 or 2012, 28 percent for large fleets 

that met the PM fleet average target in 2011 but not 2012, and 20 
B - 65

percent for large fleets that met the PM fleet average target in 

2012 and for all medium fleets.

d. 2014: 20 percent.

a. Turnover to Tier 4 In Lieu of Retrofitting - If since March 1 of the 

previous year, a fleet acquired Tier 4 interim or Tier 4 final engines 

already equipped with an original equipment manufacturer diesel 

particulate filter or vehicles equipped with such engines, the total 

maximum power of the Tier 4 interim and Tier 4 final engines may be 

counted toward the required hp to be retrofit under section 

2449.2(a)(2)(A)1. or used to accumulate carryover PM retrofit credit if 

during that same period, the fleet also retired Tier 0, 1, 2, or 3 engines 

with that total maximum power or greater. 

b. Retirement of Tier 0 Vehicles in Lieu of Retrofitting for Fleets with 

Reduced Horsepower - If since March 1 of the previous year, a 

fleet’s total maximum power has decreased, the lesser of the total 

maximum power of Tier 0 vehicles retired since March 1 of the 

previous year and the total horsepower by which the fleet has been 

decreased may be counted toward the required hp to be retrofit under 

section 2449.2(a)(2)(A)1. Such retirement of Tier 0 vehicles may not 

be used to accumulate carryover PM retrofit credit. Retired Tier 0 

vehicles that are counted toward the required hp to be retrofit under 

this subsection may not be used in subsection a. above to 

demonstrate that the fleet retired Tier 0, 1, 2, or 3 engines with at least 

the total maximum power of the Tier 4 engines added. 

b. c. Conversion or Repower of Diesel Vehicles to Alternative Fuel or 

Gasoline-Powered - Fleets that convert or repower a diesel vehicle 

subject to the regulation to alternative fuel or gasoline-powered may 

count the max power of the vehicle converted or repowered toward 

the required hp to be retrofit under section 2449.2(a)(2)(A)1. or to 

accumulate carryover PM BACT retrofit credit.

2. Carryover PM retrofit credit – 

a. Beginning - All fleets for vehicles remaining in their fleets begin with 

zero carryover retrofit credit on March 1, 2011 2009. All fleets may 

begin accumulating carryover retrofit credit on March 1, 2009. 

i. Double Credit for Early PM Retrofits – Fleets that have installed 

the highest level VDECS on their vehicles before January 1, 2010 

will accumulate a carryover retrofit credit equal to: 2 multiplied by

total maximum power of engines on which highest level VDECS 

was installed before January 1, 2010, unless the contract for 

funding the VDECS stipulates single credit for installation of the 

VDECS. 

ii. Credit for Other PM Retrofits Before Initial Compliance Date –

Small and medium fleets that install highest level VDECS on their 

vehicles before March 1, 2012 will accumulate carryover retrofit 

credit equal to; 2 multiplied by total maximum power of engines on 
. 

B - 66

which highest level VDECS was installed. Small fleets that install 

highest level VDECS on their vehicles between March 1, 2012 and 

February 28, 2014 accumulate carryover PM BACT retrofit credit 

equal to total maximum power of engines on which highest level 

VDECS was installed. 

iii. Credit for Reduced Fleet Activity– Fleets that demonstrate a 

reduction in fleet activity will accumulate carryover retrofit credit (in 

horsepower). Fleet activity is defined as the sum of [(Total 

maximum power of the vehicle) times (Number of hours the vehicle 

was operated in the applicable 12 month period)] for each vehicle 

in the fleet.

1. Carryover retrofit credit generated from reduced activity may 

only be applied toward the March 1, 2010, or March 1, 2011 

compliance dates.

2. Fleets that receive credit for the retirement of any vehicle prior 

to March 1, 2010, per section (iv) below, can not count that 

vehicle in the calculation of reduced activity credit.

3. Carryover retrofit credit shall be calculated for the fleet, not 

including those vehicles retired for credit under section (iv) 

below, as:

[(Fleet activity for January 1, 2007, to December 31, 2007) 

minus (Fleet activity for March 1, 2009, to February 28, 

2010, including vehicles added to the fleet) divided by (fleet 

activity for January 1, 2007, to December 31, 2007)] 

multiplied by (Total maximum power of fleet on July 1, 

2007)

4. Fleet owners must use vehicle specific data, including but not 

limited to hour meter logs or operator logs linking operators to 

specific vehicles, from July 1, 2007, to March 1, 2010, as 

described in section 2449(g)(1)(G)4 to document vehicle 

activity.

5. Fleets that do not have hour meter logs or vehicle-specific 

operator logs or equivalent records that are verifiable and 

substantively demonstrate activity for all vehicles in the fleet:

A. May use other verifiable indicators that are directly related to 

reduced vehicle operation to demonstrate an overall

reduction in fleet activity from July 1, 2007, to March 1, 

2010, including but not limited to records of overall off-road 

diesel fuel use for the fleet, as described in section 

2449(g)(1)(G)4. However, such fleets must subtract the 

total credit for early retirement claimed under section (iv) 

below from their reduced activity credit.

B. May use indicators, including but not limited to revenue or 

total vehicle operator employment, that demonstrate a 
. 

B - 67

reduction in business or staffing but that do not directly 

correspond to vehicle or fleet activity. To qualify for a credit 

using such indirectly-correlated indicators, the fleet must be 

able to provide some evidence of overall reduced fleet 

activity. The Executive Officer will grant a fleet using such 

indicators a maximum 20 percent credit for demonstrated 

reduced activity not directly related to vehicular operation. 

Such fleets must also subtract from the 20 percent reduced 

activity credit any credits received for early retirement 

claimed under section (iv) below. Fleets must not apply for 

credit using indicators that would demonstrate reduced 

business or staffing if the fleet has information or records 

that demonstrate the fleet has not reduced overall vehicle 

activity.

iv. Credit for Early Retirement – Fleets that reduce overall 

horsepower from March 1, 2006, to March 1, 2010, begin with 

carryover retrofit credit (in horsepower) equal to: (Total maximum 

horsepower of the fleet on March 1, 2006) minus (Total maximum 

horsepower of the fleet on March 1, 2010).

b. Accumulating carryover PM BACT retrofit credit – Beginning March 

1, 2011 for large fleets, March 1, 2013 for medium fleets, and March 

1, 2015 for small fleets, a fleet will accumulate carryover retrofit credit 

each year the total horsepower it retrofits plus the carryover retrofit 

credit it uses exceeds the required percent of its maximum power 

specified in section 2449.2(a)(2)(A)1. The amount accumulated is the 

maximum power retrofit plus the carryover retrofit credit used minus 

the required percent in the past 12 months prior to March 1. A large 

fleet also accumulates carryover retrofit credit on March 1, 2010 if the 

sum of the double retrofit credit earned from March 1, 2009 to January 

1, 2010 plus the single retrofit credit earned from January 1, 2010 to 

March 1, 2010 exceeds 20 percent of its maximum horsepower. The 

amount accumulated is the sum of double credit retrofit credit earned 

from March 1, 2009 to January 1, 2010 plus the single credit earned 

from January 1, 2010 to March 1, 2010 in excess of 20 percent of 

fleet’s maximum horsepower in the past 12 months.

c. Using carryover PM retrofit credit - Accumulated carryover retrofit 

credit may be applied to meeting the retrofit requirements of section 

2449.2(a)(2)(A)1. in a later year. The amount of carryover retrofit 

credit used to meet the retrofit requirements in any one year is 

subtracted from the carryover retrofit credit total available in 

subsequent years. The amount of actual retrofit plus the amount of 

carryover retrofit credit used must equal the minimum BACT retrofit 

rate required by section 2449.2(a)(2)(A)(1). 

3. Order of PM Retrofit – No Level 2 VDECS may be counted toward the 

retrofit requirements in section 2449.2(a)(2)(A) until all engines in vehicles 
B - 68

older than 5 years for which the highest level VDECS available is a Level 

3 VDECS have been retrofit, except for specialty vehicles utilizing the 

exemption in section 2449.1(a)(2)(A)4.b. for which Level 2 is the highest 

level VDECS. 

4. Exemptions – A vehicle is exempt from the retrofit requirements in section 

2449.2(a)(2)(A)1. if all vehicles in the fleet that do not qualify for an 

exemption under the following conditions have been retrofitted, and the 

vehicle meets one of the following conditions:

a. On the date of compliance, the vehicle is less than 5 years old from the 

vehicle’s date of manufacture,

b. There is no highest level VDECS available for the vehicle’s engine (i.e., 

there is no Level 2 or 3 VDECS, or there is no Level 2 or 3 VDECS 

which can be used without impairing the safe operation of the vehicle 

as demonstrated per section 2449(e)(8)),

c. The vehicle’s engine is equipped with an original equipment 

manufacturer diesel particulate filter that came new with the vehicle, or

d. The vehicle’s engine has already been retrofitted with a Level 2 or 3 

VDECS that was the highest level VDECS available at time of 

installation. An engine with a Level 2 VDECS that was not the highest 

level VDECS at time of installation does not qualify for this exemption. 

5. Rounding - If the horsepower required to be retrofit under section 

2449.2(a)(2)(A) is less than half of the maximum power of the lowest 

horsepower engine in the fleet that is subject to the retrofit requirements, 

the next engine is not required to be retrofitted. However, on the next 

year’s compliance date, any horsepower not retrofit due to this rounding 

provision must be added to the required retrofit under section 

2449.2(a)(2)(A). Once the required horsepower to be retrofit equals or 

exceeds half of the maximum power of the next engine in the fleet that is 

subject to the retrofit requirements, the next engine must be retrofitted.

(3) Adding Vehicles After the Final Target Date – Commencing respectively on 

March 1, 2020 for large and medium fleets, and March 1, 2025 for small fleets, if 

a fleet owner adds a vehicle to his fleet and the engine did not come with an 

original equipment manufacturer diesel particulate filter, it must be equipped with 

the highest level VDECS within 3 months of acquisition.

Note: Authority cited: Sections 39002, 39515, 39516, 39600, 39601, 39602, 39650, 

39656, 39658, 39659, 39665, 39667, 39674, 39675, 40000, 41511, 42400, 42400.1, 

42400.2, 42400.3.5, 42402, 42402.1, 42402.2, 42402.4, 42403, 43000, 43000.5, 43013, 

43016, 43018, and 43018.2, Health and Safety Code. Reference: Sections 39002, 

39515, 39516, 39600, 39601, 39602, 39650, 39656, 39657, 39658, 39659, 39665, 

39667, 39674, 39675, 40000, 41511, 42400, 42400.1, 42400.2, 42402.2, 43000, 

43000.5, 43013, 43016, 43018, and 43018.2, Health and Safety Code.
B - 69
B - 70

2449.32449.2 Surplus Off-Road Opt-In for NOx (SOON) Program 

(a) Purpose

To achieve additional reductions of oxides of nitrogen (NOx) emissions from in-use offroad diesel-fueled vehicles in California. The reductions must be surplus to those that 

would otherwise be achieved through implementation of title 13, California Code of 

Regulations, sections 2449, and 2449.1 and 2449.2, “Regulation for In-Use Off-Road 

Diesel Vehicles”. 

(b) Applicability 

(1) District Applicability - Section 2449.32449.2 applies to any air quality 

management district or air pollution control district (jointly referred to hereafter as 

air district) whose governing board elects to opt into the provisions of this section 

as set forth in section 2449.3(f)2449.2(f) below. 

(2) Fleet Applicability – Section 2449.32449.2 applies to a fleet that: 

(A) Operates individual vehicles within the air district; 

(B) As of January 1, 2008, on a statewide level, consisted of more than 40 

percent Tier 0 and Tier 1 vehicles, and; 

(C) Has a statewide fleet with maximum power greater than 20,000 horsepower 

(hp). excluding the hp from engines in two-engine vehicles cranes and the hp 

from single engine cranes formerly subject to the Cargo Handling Equipment 

Regulation. 

(c) Definitions 

The definitions in title 13, CCR, section 2449(c) apply, along with the following 

definitions: 

(1) Contract period means the period of time in which the vehicle participates in the 

program and is under contract to the air district to achieve additional emission 

reductions. 

(2) Operated within the district means a vehicle that currently operates within the

boundaries of the air district and, during the three years immediately prior to the 

solicitation deadline, operated at least one hundred hours per year and operated 

more hours within the boundaries of the air district than in any other district. 

(3) Project means actions on one vehicle to reduce NOx emissions, such as retrofit, 

repower, or vehicle replacement, for which funding is requested. 

(4) Solicitation means a public announcement by the air district, requesting that 

fleets submit grant applications to the air district to participate in emission 

reduction incentive programs under this section. 

(5) Solicitation deadline means the last day, as provided in the solicitation, that an 

application may be physically received by the air district. 

(d) Requirements 

(1) If an air district, having held a public hearing and opted into the SOON program 

and made the program mandatory per section 2449.3(e)(9)2449.2(e)(9), issues a 
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solicitation for applications for funding under the SOON program, and if the 

solicitation so requires, a fleet that meets the applicability criteria of subsection 

(b) on the date of the solicitation must, before the solicitation deadline, do the 

following: 

(A) Report to District and ARB - File a report, in a format approved by the 

Executive Officer, of all information required under section 2449(g) with the 

air district and ARB on its statewide fleet and that part of the fleet that has 

operated within the air district, as defined in section (c)(2) above. If the 

solicitation deadline is before April 1, 2009, the fleet must provide information 

regarding the fleet as it existed on January 1, 2008. If the solicitation 

deadline is on or after April 1, 2009, the fleet must provide the information 

that was reported to ARB on the most recent April 1 reporting date. 

(B) Calculate NOx fleet average index - Determine the NOx fleet average index 

for vehicles that operated within the air district for the year in which the 

solicitation deadline occurs according to the formula in section 2449.1(a) 

(1)(A)1. 

(C) Calculate NOx fleet average target rate - Determine the NOx fleet average

target rate for vehicles that operated within the air district for the year in 

which the solicitation deadline occurs according to the formula in section 

2449.1(a) (1)(A)1, and using the NOx targets set forth in Table 1 below. If 

there is no NOx fleet average target rate for the year in which the solicitation 

deadline occurs, the nearest future target rate shouldshall be used. 

Table 1: NOx Targets for each Max Hp Group [g/bhp-hr] 

Compliance 

Date: 

JanuaryMarch

1 

of Year 

25-49 

hp 

50-74 

hp 

75-99 

hp 

100-174 

hp 

175-299 

hp 

300-599 

hp 

600-750 

hp 

>750 

hp 

2011 5.6 6.2 6.7 6.0 5.4 5.1 5.3 6.4 

2014 4.9 5.8 5.1 6.5 5.2 7.1 4.7 6.4 2.8 3.9 2.7 3.7 2.73.7 4.2 5.3

2017 4.2 5.0 4.1 5.4 3.8 5.5 3.4 4.9 1.5 2.2 1.5 2.2 1.5 2.2 3.2 4.3

2020 3.5 4.1 3.2 4.2 2.4 3.4 2.2 3.1 0.9 1.4 0.9 1.3 0.9 1.4 2.6 3.4

2023 3.5 3.3 3.2 3.0 2.4 1.4 2.2 1.3 0.9 0.7 0.9 0.7 0.9 0.7 2.6 2.7

(D) Apply for funding – Except as provided in section 2449.3(d)(2)2449.2(d)(2)

and 2449.3(e)(3)2449.2(e)(3) below, a fleet for which the NOx fleet average

index, as calculated in section 2449.3(d)(1)(B)2449.2(d)(1)(B), is greater than 

the NOx fleet average target rate, as calculated in section 

2449.3(d)(1)(C)2449.2(d)(1)(C), must apply for SOON funding. The 

application submitted must be completed according to the guidelines and 

conditions established under the solicitation and, if the necessary NOx 

retrofits, repower, or vehicle replacements are available, must indicate how 

NOx retrofits, repowers, or vehicle replacements for which funding is 

requested will bring the NOx fleet average index for vehicles that operated 

within the air district from where it would have been under compliance with 

section 2449.1 to less than or equal to the NOx fleet average target rate 

calculated in section 2449.3(d)(1)(C)2449.2(d)(1)(C). The application must 
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also indicate whether the fleet wants the application to be given high priority 

for SOON program funding by the district. The funding priority shall be 

determined under the air district guidelines developed per section 

2449.3(f)(2)2449.2(f)(2). 

(E) Achieve NOx reductions - Fleets that receive SOON program funding must 

complete the actions for which they were funded per the conditions of the 

solicitation. Fleets that do not receive requested SOON program funding are 

not required to take actions beyond compliance with the in-use off-road diesel 

vehicle regulation, as specified in sections 2449, and 2449.1, and 2449.2. 

(2) Fleets not meeting the applicability provisions - A fleet that operates 

individual vehicles within the air district, but does not meet the applicability 

provisions of sections 2449.3(b)(2)(B)2449.2(b)(2)(B) and 

2449.3(b)(2)(C)2449.2(b)(2)(C), are not required to file a report with the ARB or

the air district under section 2449.3(d)(1)2449.2(d)(1). It is also not required to 

apply for funding under subsection (d)(1)(D), but may file a report with ARB or 

the air district under section 2449.3(d)(1)2449.2(d)(1) and apply for funding if the 

NOx fleet average index calculated for its fleet operating within the air district 

exceeds the NOx fleet average target rate, and the fleet would like to qualify for 

funding. If the air district approves the fleet’s application for funding, the fleet 

must achieve the NOx reductions as set forth in subsection (d)(1)(E). 

Participating in the SOON program in one year does not obligate the fleet to 

participate in subsequent years. 

(3) Air districts that opt into the SOON program – Districts must prioritize 

requested projects based on the optimum NOx cost-effectiveness and on 

whether the fleet requesting the SOON program funding has requested high 

priority for SOON program funding. Air districts must report to ARB, in a format 

approved by the Executive Officer, all projects funded under the SOON program, 

including the equipment identification number of all vehicles funded. 

(e) Special Provisions – 

(1) Accounting for the in-use off-road diesel vehicle rule - 

(A) Reductions achieved through the SOON program must be surplus, over the 

entire contract period, to those required by the “Regulation for In-Use OffRoad Diesel Vehicles”, sections 2449 and 2449.1-2449.2 above. 

(B) During the contract period, vehicles equipped with NOx retrofits, repowered 

with new engines, or that have been replaced using SOON program funding, 

cannot use this lower emission rate to calculate the Fleet Average Targets, 

Fleet Average Indices, NOx indices, PM indices, NOx target rates, PM target 

rates, turnover credit and retrofit credit under sections 2449.1 and 2449.2. 

Instead, for the purposes of calculating the Fleet Average Targets, Fleet 

Average Indices, NOx indices, PM indices, NOx target rates, PM target rates,

turnover credit and retrofit credit under sections 2449.1 and 2449.2, these 

vehicles must be reflected as if the actions taken under the SOON program 

did not occur. Actions taken using SOON program funding may be used for 

determining compliance under sections 2449.1 and 2449.2 after the 

completion of the SOON program project contract period for that vehicle. For 

example, if a Tier 0 vehicle is repowered with a Tier 3 engine with SOON 
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program funds, for purposes of compliance with sections 2449.1 and 2449.2, 

that vehicle is still treated as if it were a Tier 0 until the end of the contract 

period for the SOON program project. 

(C) If a fleet pays for a retrofit that is installed concurrently with a repower or 

vehicle replacement funded with SOON program funding, the fleet may count 

the retrofit toward determining compliance under section 2449.22449.1. If a 

fleet’s vehicle is repowered using SOON program funding with a Tier 4 

engine that comes with an original engine manufacturer diesel particulate 

filter, and if the fleet pays a portion of the repower costs such that it offsets 

the cost of an equivalent retrofit diesel particulate filter, the fleet may count 

the retrofit toward determining compliance under section 2449.22449.1. 

(2) Turnover in section 2449.1 - A fleet may apply to the Executive Officer for an 

extension from the requirements in section 2449.1(b) (a)(2)(A) if, using the 

accounting provisions in section 2449.3(e)(1)2449.2(e)(1), section 2449.1(b)

(a)(2)(A) would require, prior to March 1, 2014, a fleet to turn over vehicles that 

are Tier 2 or better. The exemptions in section 2449.1(b)(8) (a)(2)(A)4.a. and 

section 2449.1(b)(9) (a)(2)(A)5. for vehicles less than 10 years old and Tier 1 

vehicles do not apply to the SOON program. 

(3) Compliance plans - In addition to a SOON program application, a fleet applying 

for SOON program funding must prepare and submit to the air district a 

compliance plan, in the format described in the district guidelines, laying out the 

actions it is required to take under sections 2449.1 and 2449.2 and the actions 

for which it is applying for funding under section 2449.32449.2. Compliance 

plans must demonstrate that in the absence of any actions taken to satisfy 

section 2449.32449.2, the fleet will be able to meet the requirements of sections

2449.1 and 2449.2 through the remaining actions set forth in the plan. 

(4) Surplus - Participation in the SOON program does not reduce the actions 

required for any fleet to comply with any requirements in the statewide in-use offroad diesel vehicle regulation under sections 2449.1 and 2449.2. 

(5) Tracking devices - An air district may require any vehicle repowered, retrofitted, 

or replaced with incentive money through the SOON program to be equipped 

with a vehicle location device (per the air district’s guidelines and conditions for 

receiving funding) to ensure that the vehicle is used in the air district for the 

required percent of operating hours.

(6) Particulate Matter Retrofits - 

a. The exemption from retrofit requirements for vehicles less than 5 years old in 

section 2449.2(a)(2)(A)4.a.2449.1(a)(2)(A)5. does not apply to vehicles that 

are replaced or repowered with SOON program funds. 

b. If a fleet has a vehicle that has been retrofitted within the last six years with a 

Level 2 or 3 VDECS, which was the highest level VDECS at the time of 

retrofit, the fleet may but is not required to apply for SOON funding for that 

vehicle. 

c.b.A fleet that receives SOON funding to repower or replace a vehicle is not 

required to install the highest level VDECS along with the repower or 

replacement. 

(7) Funding Guidelines - Projects funded under the SOON program with Carl 

Moyer program money must be administered consistent with applicable Carl 

Moyer program guidelines, except as noted in section 
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2449.3(e)(6)c2449.2(e)(6)c. If a project is funded from other sources, the SOON 

program must be administered consistent with any applicable guidelines. The air 

district shall develop guidelines for administration of the SOON program, as 

provided in section 2449.3(f)(2)2449.2(f)(2). 

(8) Vehicles Scheduled to Leave District – A fleet that has operated within the air 

district as defined in section 2449.3(c)(1)2449.2(c)(1) but that is planning to 

move vehicles out of the air district such that the vehicles will not operate enough 

hours in the air district to qualify for SOON funding may leave such vehicles out 

of the NOx fleet average index calculation in section 

2449.3(d)(1)(B)2449.2(d)(1)(B), the NOx fleet average target rate calculation in 

section 2449.3(d)(1)(C)2449.2(d)(1)(C), and the application for funding in section 

2449.3(d)(1)(D)2449.2(d)(1)(D). The fleet must submit a statement under 

penalty of perjury to the district for each such vehicle stating its intent to move 

each such vehicle out of the district. 

(9) Voluntary or Mandatory Nature of SOON- An air district, having held a public 

hearing and opted into this regulation, may issue a solicitation for applications for 

funding under the SOON program. 

a. For fleets in the South Coast Air Quality Management District and San 

Joaquin Valley Air Pollution Control District, solicitations with a deadline before 

April 2, 2009, shall be voluntary. For solicitations with a deadline on or after 

April 2, 2009, the South Coast Air Quality Management District and San 

Joaquin Valley Air Pollution Control District may elect to make participation by 

fleets voluntary or mandatory. 

b. In any district other than the South Coast Air Quality Management District or 

San Joaquin Valley Air Pollution Control District, for solicitations with a 

deadline before April 2, 2010, participation by fleets is voluntary. For 

solicitations with a deadline on or after April 2, 2010, the district may choose to 

make participation by fleets voluntary or mandatory. 

c. The solicitation shall announce the air district’s decision regarding voluntary or 

mandatory participation. 

(f) Local Air District Opt-In 

(1) To participate in the SOON program, an air district’s governing board must hold a 

formally noticed public hearing, where public comment is taken, and, by majority 

vote, elect to opt into the program. As part of this hearing, for years when 

section 2449.3(e)(9)2449.2(e)(9) gives the district a choice between a voluntary 

and mandatory SOON program, the air district’s governing board must decide 

whether participation by fleets is voluntary or mandatory. 

(2) District Guidelines - An air district opting into section 2449.32449.2 must 

develop, through a public process including a duly noticed public workshop and 

formally noticed public hearing, additional administrative provisions necessary to 

implement this section, including, but not limited to, funding guidelines (as 

required under section 2449.3(e)(7)2449.2(e)(7)), compliance planning 

requirements, and reporting and monitoring requirements. Funding guidelines 

may include limitations on the cost-effectiveness of projects that may be funded 

and must include the method used for prioritizing projects based on costeffectiveness and whether applying fleets requested high priority for SOON 
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program funding, and a description of any requirements on fleets that receive 

SOON funding to pay part of the SOON project cost. Compliance planning 

guidelines must indicate the format and length of compliance plans. Air district 

guidelines may include a pre-application process that collects vehicle data 

(model year, horsepower, hours of use) and then requires full SOON project 

applications only for vehicles likely to receive funding. 

(3) ARB Approval of District Guidelines - Before any guidelines, including 

administrative or funding guidelines, approved by an air district take effect, they 

must be approved by the Executive Officer. Air district staff shall submit 

proposed guidelines to the Executive Officer before they are acted on by the 

district’s governing board. The Executive Officer will respond within 30 days with 

a description of any required changes to the proposed guidelines necessary for 

Executive Officer approval. In evaluating proposed air district guidelines, the 

Executive Officer shall consider, among other factors, the adequacy of costeffectiveness criteria, whether fleet requests for high priority for SOON funding 

are given preference, and uniformity of district guidelines between air districts. 

After guidelines are adopted by a district’s governing board, air district staff shall 

submit the adopted guidelines to the Executive Officer. The Executive Officer 

will respond within 30 days with approval or a description of any required 

changes to the guidelines. 

(4) ARB Authority – ARB has sole authority to enforce the requirements of section 

2449.32449.2. The Executive Officer retains the authority to review any district’s 

administration of section 2449.32449.2 and to address any unforeseen 

circumstances or events. 

Note: Authority cited: Sections 39002, 39515, 39516, 39600, 39601, 39602, 43000, 

43000.5, 43013, 43016, and 43018, Health and Safety Code. Reference: Sections 

39002, 39515, 39516, 39600, 39601, 39602, 39650, 39656, 39657, 39658, 39659, 

39665, 39667, 43000, 43000.5, 43013, 43016, and 43018, Health and Safety Code. 
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Appendix A – 

Use the values in these tables unless engine is a Post-2007 Flexibility Engine, or unless 

the engine is an engine certified to on-road standards. 

Engines certified to on-road standards shouldshall use the standard to which the engine 

is certified. Flexibility engines certified January 1, 2007 or later shouldshall use the 

emission standard to which the engine is certified. Engines certified to Family Emission 

Limits and flexibility engines certified before January 1, 2007, shouldshall still use the 

emission factors in the table below. 

Replacement engines produced per title 13, CCR, section 2423(j) shouldshall use the 

engine model year of the engine replaced. For an engine certified to an emission 

standard lower than that shown in these tables for its model year, the emission standard 

to which the engine is certified may be used, provided that the certification Executive 

Order or certificate number is provided along with the initial and annual reporting 

required by section 2449(g)(1) and 2449(g)(2). 

If the model year of an engine is unknown because it is missing a serial number, 

manufacturer’s build code, and/or an engine family number, and the engine 

manufacturer or authorized representative is unable to determine the model year of the 

engine by examining the engine’s build and components, such an engine shall be 

treated as a 1969 model year engine. If a manufacturer can bracket the model year of 

an engine (for example that an engine was built between 1987 and 1994) by examining 

the engine’s build and components, the earliest date the engine could have been 

manufactured shall be used as the model year of that engine (in the example, 1987). 

For engines that have been retrofit with VDECS, the PM Emission Factor is reduced 50 

percent for a Level 2 VDECS, and 85 percent for a Level 3 VDECS; the NOx Emission 

Factor is reduced by whatever percentage NOx emission reductions are verified. The 

PM Emission Factor is not reduced for a Level 1 VDECS.
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PM Emissions Factors by Horsepower and Year (g/bhp-hr)

Engine Model Horsepower Group

Year 25-49 50-74 75-99 100-174 175-299 300-599 600-750 Over 750

1900-1969 0.950 1.200 1.200 1.100 1.100 0.950 0.950 0.950

1970-1971 0.950 1.200 1.200 0.940 0.940 0.810 0.810 0.810

1972-1987 0.950 1.200 1.200 0.780 0.780 0.680 0.680 0.680

1988 0.950 0.980 0.980 0.540 0.540 0.490 0.490 0.490

1989-1995 0.950 0.980 0.980 0.540 0.540 0.490 0.490 0.490

1996 0.950 0.980 0.980 0.540 0.40 0.40 0.40 0.500

1997 0.950 0.980 0.980 0.600 0.40 0.40 0.40 0.500

1998 0.950 1.090 1.090 0.600 0.40 0.40 0.40 0.500

1999 0.60 1.090 1.090 0.600 0.40 0.40 0.40 0.500

2000 0.60 1.090 1.090 0.600 0.40 0.40 0.40 0.40

2001 0.60 1.090 1.090 0.600 0.40 0.15 0.40 0.40

2002 0.60 1.090 1.090 0.600 0.40 0.15 0.15 0.40

2003 0.60 1.090 1.090 0.22 0.15 0.15 0.15 0.40

2004 0.45 0.30 0.30 0.22 0.15 0.15 0.15 0.40

2005 0.45 0.30 0.30 0.22 0.15 0.15 0.15 0.40

2006 0.45 0.30 0.30 0.22 0.15 0.15 0.15 0.15

2007 0.45 0.30 0.30 0.22 0.15 0.15 0.15 0.15

2008 0.22 0.22 0.30 0.22 0.15 0.15 0.15 0.15

2009 0.22 0.22 0.30 0.22 0.15 0.15 0.15 0.15

2010 0.22 0.22 0.30 0.22 0.15 0.15 0.15 0.15

2011 0.22 0.22 0.30 0.22 0.015 0.015 0.015 0.07

2012 0.22 0.22 0.015 0.015 0.015 0.015 0.015 0.07

2013 0.02 0.02 0.015 0.015 0.015 0.015 0.015 0.07

2014 0.02 0.02 0.015 0.015 0.015 0.015 0.015 0.07

2015 and later 0.02 0.02 0.015 0.015 0.015 0.015 0.015 0.03
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NOx Emissions Factors by Horsepower and Year (g/bhp-hr)

Engine Model Horsepower Group

Year 25-49 50-74 75-99 100-174 175-299 300-599 600-750 Over 750

1900 – 1969 7.2 14.8 14.8 15.9 15.9 15.2 15.2 15.2 

1970 – 1971 7.2 14.8 14.8 14.8 14.8 14.1 14.1 14.1 

1972 – 1979 7.2 14.8 14.8 13.6 13.6 13.0 13.0 13.0 

1980 – 1987 7.2 14.8 14.8 12.5 12.5 11.9 11.9 11.9 

1988 7.1 9.9 9.9 9.3 9.3 8.9 8.9 8.9 

1989 – 1995 7.1 9.9 9.9 9.3 9.3 8.9 8.9 8.9 

1996 7.1 9.9 9.9 9.3 6.9 6.9 6.9 8.9 

1997 7.1 9.9 9.9 6.9 6.9 6.9 6.9 8.9 

1998 7.1 6.9 6.9 6.9 6.9 6.9 6.9 8.9 

1999 6.2 6.9 6.9 6.9 6.9 6.9 6.9 8.9 

2000 6.2 6.9 6.9 6.9 6.9 6.9 6.9 6.9 

2001 6.2 6.9 6.9 6.9 6.9 4.2 6.9 6.9 

2002 6.2 6.9 6.9 6.9 6.9 4.2 4.2 6.9 

2003 6.2 6.9 6.9 4.3 4.3 4.2 4.2 6.9 

2004 4.9 4.9 4.9 4.3 4.3 4.2 4.2 6.9 

2005 4.9 4.9 4.9 4.3 4.3 4.2 4.2 6.9 

2006 4.9 4.9 4.9 4.3 2.6 2.6 2.6 4.2 

2007 4.9 4.9 4.9 2.6 2.6 2.6 2.6 4.2 

2008 4.9 3.0 3.0 2.6 2.6 2.6 2.6 4.2 

2009 4.9 3.0 3.0 2.6 2.6 2.6 2.6 4.2 

2010 4.9 3.0 3.0 2.6 2.6 2.6 2.6 4.2 

2011 4.9 3.0 3.0 2.6 1.5 1.5 1.5 2.6 

2012 4.9 3.0 2.5 2.5 1.5 1.5 1.5 2.6 

2013 3.0 3.0 2.5 2.5 1.5 1.5 1.5 2.6 

2014 3.0 3.0 2.5 2.5 0.3 0.3 0.3 2.6 

2015 and later 3.0 3.0 0.3 0.3 0.3 0.3 0.3 2.6