Appendix A 

Proposed Regulation for Mobile Cargo Handling Equipment 

at Ports and Intermodal Rail Yards 
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PROPOSED REGULATION FOR

MOBILE CARGO HANDLING EQUIPMENT 

AT PORTS AND INTERMODAL RAIL YARDS

Adopt new section 2479, title 13, California Code of Regulations, to read as follows: 

(Note: The entire text of section 2479 set forth below is new language proposed to be 

added to the California Code of Regulations.) 

Section 2479. Regulation for Mobile Cargo Handling Equipment at Ports and 

Intermodal Rail Yards. 

(a) Purpose 

The purpose of this regulation is to reduce diesel particulate matter (PM) and criteria 

pollutant emissions from compression ignition (CI) mobile cargo handling equipment 

that operate at ports and intermodal rail yards in the state of California. 

(b) Applicability 

Except as provided in subsection (c), the regulation would apply to any person who 

conducts business in California who sells, offers for sale, leases, rents, purchases, 

owns or operates any CI mobile cargo handling equipment that operates at any 

California port or intermodal rail yard. 

(c) Exemptions 

(1) The requirements of this section do not apply to mobile cargo handling 

equipment that do not operate at a port or intermodal rail yard; 

(2) The requirements of this section do not apply to portable CI engines; and 

(3) The requirements of subsections (e), (f), (g), (h), and (i) do not apply to mobile 

cargo handling equipment that are not used to handle cargo at any time but are 

used for transporting personnel or fuel delivery. Examples include, but are not 

limited to, fuel delivery trucks operating solely at the terminal to deliver fuel to 

terminal equipment and vans and buses used to transport personnel. 

(d) Definitions 

For purposes of this section, the definitions of Health and Safety Code section 39010 

through 39060 shall apply except to extent that such definitions may be modified by the 

following definitions that apply specifically to this regulation: 

(1) “Alternative Diesel Fuel” means any fuel used in a CI engine that is not 

commonly or commercially known, sold, or represented by the supplier as diesel 

fuel No. 1-D or No. 2-D, pursuant to the specifications in ASTM D975-81, 

“Standard Specification for Diesel Fuel Oils,” as modified in May 1982, which is 

incorporated herein by reference, or an alternative fuel, and does not require 
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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; emulsions of water in diesel fuel; and fuels with 

a fuel additive, unless: 

(A) the additive is supplied to the 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 

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. 

(2) "Alternative Fuel" means natural gas, propane, ethanol, methanol, gasoline 

(when used in hybrid electric mobile cargo handling equipment 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 fuel.

(3) “Basic Container Handling Equipment” means mobile cargo handling equipment, 

other than yard trucks, bulk cargo handling equipment, and RTG cranes, used to 

handle cargo containers. Basic Container Handling Equipment includes but is 

not limited to top handlers, side handlers, reach stackers, straddle carriers, and 

forklifts. 

(4) “Bulk Cargo Handling Equipment” means mobile cargo handling equipment, 

other than yard trucks, basic container handling equipment, and RTG cranes, 

generally used to move non-containerized cargo, including but not limited to 

dozers, excavators, loaders, tractors, mobile cranes (excluding rubber-tired 

gantry cranes), aerial lifts, and sweepers. 

(5) “Carbon Monoxide (CO)” is a colorless, odorless gas resulting from the 

incomplete combustion of hydrocarbon fuels. 

(6) "Cargo Handling Equipment" means any off-road, self-propelled vehicle or 

equipment used at a port or intermodal rail yard to lift or move container, bulk, or 

liquid cargo carried by ship, train, or another vehicle, or used to perform other 

non-cargo handling operations. Equipment includes, but is not limited to, mobile 

cranes, rubber-tired gantry cranes, yard trucks, top handlers, side handlers, 

reach stackers, forklifts, loaders, sweepers, aerial lifts, excavators, and dozers. 

(7) "Certified Off-road Diesel Engine" means an engine certified to California off-road 

engine emission standards under title 13 CCR, section 2423. 

(8) "Certified On-road Diesel Engine" means an engine certified to California on-road 

diesel engine emission standards under title 13 CCR, section 1956.8. 
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(9) "Compression Ignition (CI) Engine” means an internal combustion engine with 

operating characteristics significantly similar to the theoretical diesel combustion 

cycle. The regulation of power by controlling fuel supply in lieu of a throttle is 

indicative of a compression ignition engine. 

(10) “Diesel Fuel” means any fuel that is commonly or commercially known, sold, or 

represented by the supplier as diesel fuel, including any mixture of primarily liquid 

hydrocarbons (HC) - organic compounds consisting exclusively of the elements 

carbon and hydrogen - that is sold or represented by the supplier as suitable for 

use in an internal combustion, compression-ignition engine. 

(11) “Diesel-Fueled” means a CI engine fueled by diesel fuel, CARB diesel fuel, or jet 

fuel, in whole or part. 

(12) "Diesel Oxidation Catalyst (DOC)" means a catalyst promoting oxidation 

processes in diesel exhaust, and usually designed to reduce emissions of the 

organic fraction of diesel particulates, gas-phase HC, and CO. 

(13) “Diesel Particulate Filter (DPF)” means an emission control technology that 

reduces PM emissions by trapping the particles in a flow filter substrate and 

periodically removes the collected particles by either physical action or by 

oxidizing (burning off) the particles in a process called regeneration. 

(14) “Diesel Particulate Matter (Diesel PM)” means the particles found in the exhaust 

of diesel-fueled CI engines. Diesel PM may agglomerate and adsorb other 

species to form structures of complex physical and chemical properties. 

(15) “Dozer” means an off-road tractor, either tracked or wheeled, equipped with a 

blade. 

(16) “Emission Control Strategy” means any device, system, or strategy employed 

with a diesel engine that is intended to reduce emissions, including, but not 

limited to, diesel oxidation catalysts, selective catalytic reduction systems, fuel 

additives, diesel particulate filters, alternative diesel fuels, water emulsified fuels, 

and any combination of the above. 

(17) “Excavator” means an off-road vehicle consisting of a backhoe and cab mounted 

on a pivot atop an undercarriage with tracks or wheels. 

(18) “Executive Officer” means the Executive Officer of the California Air Resources 

Board or his/her designee. 

(19) “Fleet” means the total number of mobile cargo handling equipment vehicles 

owned, rented, or leased by an owner or operator at a specific terminal or 

intermodal yard location. 

(20) “Forklift” means an off-road industrial truck used to hoist and transport materials 

by means of steel fork(s) under the load. 
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(21) “Fuel Additive” means any substance designed to be added to fuel or fuel 

systems or other engine-related engine systems such that it is present in-cylinder 

during combustion and has any of the following effects: decreased emissions, 

improved fuel economy, increased performance of the engine; or assists diesel 

emission control strategies in decreasing emissions, or improving fuel economy 

or increasing performance of the engine. 

(22) "Heavy-duty Pilot Ignition Engine" means an engine designed to operate using 

an alternative fuel, except that diesel fuel is used for pilot ignition at an average 

ratio of no more than one part diesel fuel to ten parts total fuel on any energy 

equivalent basis. An engine that can operate or idle solely on diesel fuel at any 

time does not meet this definition. 

(23) “Hydrocarbon (HC)” means the sum of all hydrocarbon air pollutants. 

(24) "In-Use" means a CI engine that is not a “new” CI engine. 

(25) "Intermodal Rail Yard" means any rail facility where cargo is transferred to or 

from a train and any other form of conveyance, such as train to ship, ship to train, 

train to truck, or truck to train. 

(26) “Lease” means a contract by which one conveys cargo handling equipment for a 

specified term and for a specified rent. 

(27) “Level” means one of three categories of Air Resources Board-verified diesel 

emission control strategies as set forth in title 13, CCR, section 2701 et seq: 

Level 1 means the strategy reduces engine diesel particulate matter emissions 

by between 25 and 49 percent, Level 2 means the strategy reduces engine 

diesel particulate matter emissions by between 50 and 84 percent, and Level 3 

means the strategy reduces engine diesel particulate matter emissions by 

85 percent or greater, or reduces engine emissions to less than or equal to 

0.01 grams diesel PM per brake horsepower-hour. 

(28) “Loader” means any type of off-road tractor with either tracks or rubber tires that 

uses a bucket on the end of movable arms to lift and move material; can be also 

referred to as a front-end loader, front loader, skid steer loader, backhoe, rubbertired loader, or wheeled loader. 

(29) “Minimum Use Requirement” means an agreement, as part of state or local 

incentive funding programs or written agreement between mobile cargo handling 

equipment owners or operators and the Ports of Long Beach, Los Angeles, or 

Oakland, to use an emission control device on mobile cargo handling equipment 

for a specified minimum number of years and/or hours. 

(30) “Mobile Crane” means the propulsion engine of a crane other than a rubber-tired 

gantry crane. 
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(31) “Model Year” means the CI engine manufacturer’s annual production period, 

which includes January 1st of a calendar year, or if the manufacturer has no 

annual production period, the calendar year. 

(32) "Newly Purchased, Leased, or Rented Cargo Handling Equipment" means 

mobile cargo handling equipment, or a diesel-fueled CI engine installed in mobile 

cargo handling equipment, that is newly purchased, rented, or leased by an 

owner or operator on or after January 1, 2007, and is operated at a port or 

intermodal rail yard in the state of California after January 1, 2007. 

(33) “Nitrogen Oxides (NOx)” means compounds of nitric oxide (NO), nitrogen dioxide 

(NO2), and other oxides of nitrogen, which are typically created during 

combustion processes and are major contributors to smog formation and acid 

deposition. 

(34) “Non-Methane Hydrocarbons (NMHC)” means the sum of all HC air pollutants 

except methane. 

(35) “Non-Yard Truck Mobile Cargo Handling Equipment” means all mobile cargo 

handling equipment other than yard trucks. 

(36) “Off-Road Engine” means an engine used in an off-road vehicle, or piece of 

equipment, including a certified on-road diesel engine. 

(37) “Off-Road Vehicle or Equipment” means any non-stationary device, including 

registered motor vehicles, powered by an internal combustion engine or motor, 

used primarily off the highways to propel, move, or transport persons or property. 

(38) “Owner or Operator” means any person subject to the requirements of this 

section, including but not limited to: 

(A) an individual, trust, firm, joint stock company, business concern, partnership, 

limited liability company, association, or corporation including but not limited 

to, a government corporation; and 

(B) any city, county, district, commission, the state or any department, agency, 

or political subdivision thereof, any interstate body, and the federal 

government or any department or agency thereof to the extent permitted by 

law. 

(39) “Particulate Matter (PM)” means the particles found in the exhaust of CI engines, 

which may agglomerate and adsorb other species to form structures of complex 

physical and chemical properties. 

(40) “Portable CI Engine” means a compression ignition (CI) engine designed and 

capable of being carried or moved from one location to another. Indicators of 

portability include, but are not limited to, wheels, skids, carrying handles, dolly, 

trailer, or platform. Portable engines are not self-propelled. 
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(41) “Port” means facilities used for water-borne commerce. 

(42) “Purchased” means the date shown on the front of the cashed check, the date of 

the financial transaction, or the date on the engine purchasing agreement, 

whichever is earliest. 

(43) “Railcar Mover” means an off-road vehicle fitted with rail couplers and capable of 

traveling on both roads and rail tracks. 

(44) “Reach Stacker” means an off-road truck-like cargo container handler that uses 

an overhead telescopic boom that can reach across two or more stacks of cargo 

containers and lift the containers from the top. 

(45) “Registered Motor Vehicle” means a yard truck or other cargo handling vehicle 

that is registered as a motor vehicle under Vehicle Code section 4000, et seq. 

(46) “Rent” means payment for the use of mobile cargo handling equipment for a 

specified term. 

(47) “Retirement” or “Retire” means an engine or vehicle that will be taken out of 

service by an owner or operator and will not be operated at a port or intermodal 

rail yard in the State of California. The engine may be sold outside of California 

or scrapped. 

(48) "Rubber-tired Gantry Crane or RTG Crane" means an off-road overhead cargo 

container crane with the lifting mechanism mounted on a cross-beam supported 

on vertical legs which run on rubber tires. 

(49) "Side Handler or Side Pick" means an off-road truck-like cargo container handler 

that uses an overhead telescopic boom to lift empty or loaded cargo containers 

by grabbing either two top corners on the longest side of a container, both arms 

of one side of a container, or both top and bottom sides of a container; also 

referred to as "side pick." 

(50) "Sweeper" means an off-road vehicle with attached brushes underneath that 

sweep the ground and pick up dirt and debris. 

(51) “Terminal” means a facility that operates cargo handling equipment at a port or 

intermodal rail yard. 

(52) "Tier 4 Off-road Emission Standards" means the emission standards 

promulgated by the United States Environmental Protection Agency in "Control of 

Emissions of Air Pollution from Nonroad Diesel Engines and Fuel; Final Rule" 

(Vol. 69, No. 124 Fed.Reg. pp. 38957-39273, June 29, 2004) which harmonize 

with the final amended emission standards for newly manufactured off-road 

engines approved by the Air Resources Board on December 12, 2004. 
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(53) "Top Handler or Top Pick" means an off-road truck-like cargo container handler 

that uses an overhead telescopic boom to lift empty or loaded cargo containers 

by grabbing the top of the containers; also referred to as "top pick." 

(54) “Verification Procedure, Warranty and In-Use Compliance Requirements for 

In-Use Strategies to Control Emissions from Diesel Engines (Verification 

Procedure)” means the Air Resources Board (ARB) regulatory procedure codified 

in title 13, CCR, sections 2700-2710, which is incorporated herein by reference, 

that engine manufacturers, sellers, owners, or operators may use to verify the 

reductions of diesel PM or NOx from in-use diesel engines using a particular 

emission control strategy. 

(55) “Verified Diesel Emission Control Strategy (VDECS)” means an emission control 

strategy, designed primarily for the reduction of diesel PM emissions, which has 

been verified pursuant to the “Verification Procedure for In-Use Strategies to 

Control Emissions from Diesel Engines” in title 13, California Code of 

Regulations, commencing with section 2700. 

(56) "Yard truck" means an off-road mobile utility vehicle used to carry cargo 

containers with or without chassis; also known as utility tractor rig (UTR), yard 

tractor, yard goat, yard hostler, yard hustler, or prime mover. 

(e) Requirements 

(1) Newly Purchased, Leased, or Rented Equipment Performance Standards: 

(A) Yard Trucks: 

1. Except as provided in subsection (c), on or after January 1, 2007, no 

owner or operator shall operate any newly purchased, leased, or rented 

yard trucks unless they are equipped with the following types of engines: 

a. Yard trucks that are registered as motor vehicles shall be equipped 

with engines that meet the on-road emission standards as specified 

in title 13, California Code of Regulations, section 1956.8, for the 

model year in which the yard trucks and engines were newly 

purchased, leased, or rented. 

b. Yard trucks that are not registered as motor vehicles shall be 

equipped with engines: 

i. that are certified to the on-road emission standards set forth in 

title 13, CCR, section 1956.8; for the model year in which the yard 

trucks and engines were newly purchased, leased, or rented; or 

ii. that have been certified to meet the final Tier 4 off-road emission 

standards for the rated horsepower. 
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(B) Non-Yard Truck Cargo Handling Equipment: 

1. Except as provided in subsection (c), on or after January 1, 2007, no 

owner or operator shall operate any newly purchased, leased, or rented 

non-yard truck vehicles or equipment unless they meet the following: 

a. Non-yard truck mobile cargo handling equipment that are registered 

as motor vehicles shall be equipped with engines that meet the 

on-road emission standards as specified in title 13, California Code of 

Regulations, section 1956.8, for the model year in which the non-yard 

truck mobile cargo handling equipment and engines were newly 

purchased, leased, or rented. 

b. Non-yard truck mobile cargo handling equipment that are not 

registered as motor vehicles shall be equipped with engines: 

i. that have been certified to meet the on-road emission standards 

as specified in title 13, California Code of Regulations, 

section 1956.8 for the model year in which the non-yard truck 

mobile cargo handling equipment and engines were newly 

purchased, leased, or rented; or 

ii. that have been certified to meet the Tier 4 off-road emission 

standards for the model year and rated horsepower of the newly 

purchased, leased, or rented non-yard truck mobile cargo 

handling equipment engines; or 

c. if (b) above is not available for the specific application and equipment 

type, the non-yard truck mobile cargo handling equipment shall be 

equipped with engines that have been certified to meet the highest 

available level off-road diesel engine emission standards as specified 

in title 13, California Code of Regulations, section 2423 for the rated 

horsepower and model year in which the equipment were newly 

purchased, leased, or rented, provided the owner or operator must 

install the highest level VDECS available within one year after the 

purchase, lease, or rental of the equipment, or within 6 months of 

when a VDECS becomes available, if that occurs after one year after 

the purchase, lease, or rental. 

(2) In-Use Performance Standards for Yard Trucks 

(A) In accordance with the schedule set forth below in paragraph (e)(2)(B), no 

owner or operator shall operate an in-use yard truck at a port or intermodal 

rail yard unless the engine meets the performance standards set forth 

below: 

 

1. is certified to 2007 or later on-road emission standards for the model 

year of the year purchased as specified in title 13, California Code of 

Regulations, section 1956.8; or 
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2. is certified to final Tier 4 off-road emission standards for the rated 

horsepower; or 

3. is equipped with a VDECS that results in emissions less than or equal to 

the diesel PM and NOx emission standards for a certified final Tier 4 

off-road diesel engine of the same horsepower rating. 

(B) Compliance Schedules for In-Use Yard Trucks 

1. All owners or operators of three or fewer yard trucks shall comply with 

subsection (e)(2) according to the schedule in Table 1: 

Table 1: Compliance Schedule for In-Use Yard Truck Fleets of Three or Less 

Off-road without VDECS Installed by 

December 31, 2006 

 Off-road with VDECS Installed by 

December 31, 2006 

Model Year Compliance Deadline Model Year Compliance Deadline 

Pre-2003 Dec. 31, 2007 Pre-2003 Dec. 31, 2008 

2003 Dec. 31, 2010 2003 Dec. 31, 2011 

2004 Dec. 31, 2011 2004 Dec. 31, 2012 

2005 Dec. 31, 2012 2005 Dec. 31, 2013 

2006 Dec. 31, 2013 2006 Dec. 31, 2014 

 

On-road without VDECS Installed by 

December 31, 2006 

 On-road with VDECS Installed by 

December 31, 2006 

Model Year Compliance Deadline Model Year Compliance Deadline 

Pre-2000 Dec. 31, 2007 Pre-2000 Dec. 31, 2008 

2000 Dec. 31, 2008 2000 Dec. 31, 2009 

2001 Dec. 31, 2009 2001 Dec. 31, 2010 

2002 Dec. 31, 2010 2002 Dec. 31, 2011 

2003 Dec. 31, 2011 2003 Dec. 31, 2012 

2004 Dec. 31, 2012 2004 Dec. 31, 2013 

2005 Dec. 31, 2013 2005 Dec. 31, 2014 

2006 Dec. 31, 2014 2006 Dec. 31, 2015 

2. All owners or operators of four or more yard trucks shall comply with 

subsection (e)(2) according to the schedule in Table 2: 
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Table 2: Compliance Schedule for In-Use Yard Truck Fleets of Four or More 

Off-road without VDECS Installed by 

December 31, 2006 

 Off-road with VDECS Installed by 

December 31, 2006 

Model 

Year 

% of Model Year Compliance 

Deadline 

Model 

Year 

% of Model Year Compliance 

Deadline 

Greater of 3 or 50% Dec. 31, 2007 Greater of 3 or 50% Dec. 31, 2008 Pre-2003 

100% Dec. 31, 2008 

Pre-2003 

100% Dec. 31, 2009 

Greater of 3 or 25% Dec. 31, 2010 Greater of 3 or 25% Dec. 31, 2011 

2003 50% Dec. 31, 2011 50% Dec. 31, 2012 

100% Dec. 31, 2012 

2003 

100% Dec. 31, 2013 

Greater of 3 or 25% Dec. 31, 2011 Greater of 3 or 25% Dec. 31, 2012 

2004 50% Dec. 31, 2012 50% Dec. 31, 2013 

100% Dec. 31, 2013 

2004 

100% Dec. 31, 2014 

Greater of 3 or 25% Dec. 31, 2012 Greater of 3 or 25% Dec. 31, 2013 

2005 50% Dec. 31, 2013 50% Dec. 31, 2014 

100% Dec. 31, 2014 

2005 

100% Dec. 31, 2015 

Greater of 3 or 25% Dec. 31, 2013 Greater of 3 or 25% Dec. 31, 2014 

2006 50% Dec. 31, 2014 50% Dec. 31, 2015 

100% Dec. 31, 2015 

2006 

100% Dec. 31, 2016 

On-road without VDECS Installed by 

December 31, 2006

On-road with VDECS Installed by 

December 31, 2006 

Model 

Year 

% of Model Year Compliance 

Deadline 

Model 

Year 

% of Model Year Compliance 

Deadline 

Greater of 3 or 25% Dec. 31, 2007 Greater of 3 or 25% Dec. 31, 2008 

Pre-2000 50% Dec. 31, 2008 50% Dec. 31, 2009 

100% Dec. 31, 2009 

Pre-2000 

100% Dec. 31, 2010 

Greater of 3 or 25% Dec. 31, 2008 Greater of 3 or 25% Dec. 31, 2009 

2000 50% Dec. 31, 2009 50% Dec. 31, 2010 

100% Dec. 31, 2010 

2000 

100% Dec. 31, 2011 

Greater of 3 or 25% Dec. 31, 2009 Greater of 3 or 25% Dec. 31, 2010 

2001 50% Dec. 31, 2010 50% Dec. 31, 2011 

100% Dec. 31, 2011 

2001 

100% Dec. 31, 2012 

Greater of 3 or 25% Dec. 31, 2010 Greater of 3 or 25% Dec. 31, 2011 

2002 50% Dec. 31, 2011 50% Dec. 31, 2012 

100% Dec. 31, 2012 

2002 

100% Dec. 31, 2013 

Greater of 3 or 25% Dec. 31, 2011 Greater of 3 or 25% Dec. 31, 2012 

2003 50% Dec. 31, 2012 50% Dec. 31, 2013 

100% Dec. 31, 2013 

2003 

100% Dec. 31, 2014 

Greater of 3 or 25% Dec. 31, 2012 Greater of 3 or 25% Dec. 31, 2013 

2004 50% Dec. 31, 2013 50% Dec. 31, 2014 

100% Dec. 31, 2014 

2004 

100% Dec. 31, 2015 

Greater of 3 or 25% Dec. 31, 2013 Greater of 3 or 25% Dec. 31, 2014 

2005 50% Dec. 31, 2014 50% Dec. 31, 2015 

100% Dec. 31, 2015 

2005 

100% Dec. 31, 2016 

Greater of 3 or 25% Dec. 31, 2014 Greater of 3 or 25% Dec. 31, 2015 

2006 50% Dec. 31, 2015 50% Dec. 31, 2016 

100% Dec. 31, 2016 

2006 

100% Dec. 31, 2017 
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a. for each compliance deadline, the percentage of yard trucks 

(25 percent, 50 percent, or 100 percent) that must meet the 

requirements of subsection (e)(2) is determined based on the total 

population of yard trucks for a specific model year or model year 

group (i.e., pre-2003) that exist in the owner’s or operator’s yard truck 

fleet at the time of the first compliance deadline for that model year or 

model year group; and 

b. if the number of yard trucks is not a whole number, conventional 

rounding practices apply (i.e., if less 0.5, round down; if 0.5 or 

greater, round up). 

(3) In-Use Performance Standards for Non-Yard Truck Mobile Cargo Handling 

Equipment 

(A) In accordance with the schedule set forth in subsection (e)(3)(C), no owner 

or operator shall operate non-yard truck mobile cargo handling equipment 

unless they meet all of the following: 

1. Use one of the Compliance Options for each vehicle or equipment in the 

active fleet as specified in paragraph (e)(3)(B) per the compliance 

schedule listed in Table 3 in subsection (e)(3)(C); and 

2. Adherence to any special circumstances that may apply when a diesel 

emission control strategy is used as a Compliance Option as specified in 

subsection (g); and 

3. Maintenance of all records as specified in subsection (i); and 

4. Continuous Compliance. An owner or operator is required to keep all 

mobile cargo handling equipment operating in California in compliance 

with the requirements of this regulation at all times. 

(B) Compliance Option. Each owner or operator shall use one of the following 

Compliance Options on each engine or vehicle in his fleet as required by the 

implementation schedule listed in Table 3 in subsection (e)(3)(C): 

1. Basic Container Handling Equipment: 

a. An engine or power system, including a diesel, alternative fuel, or 

heavy-duty pilot ignition engine, certified to either the 2007 or later 

model year on-road emission standards for the year manufactured as 

specified in title 13, CCR, section 1956.8, or the Tier 4 off-road 

emission standards for the rated horsepower and model year of the 

year manufactured; or 
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b. An engine or power system certified to the on-road emission 

standards for the year manufactured as specified in title 13, CCR, 

section 1956.8, or certified to the Tier 2 or Tier 3 off-road diesel 

engine standard for the rated horsepower and model year of the year 

manufactured, and used in conjunction with the highest level VDECS 

that is verified for a specific engine family and model year. If the 

highest level VDECS used is Level 1, the engine or power system 

must meet the certified Tier 4 off-road emission standards, or be 

equipped with a Level 3 VDECS by December 31, 2015; or 

c. An engine or power system certified to the Tier 1 off-road diesel 

engine standard, as specified in title 13, CCR, section 2423, or to a 

higher emission level, and equipped with the highest level VDECS 

that is verified for the specific engine family and model year. If the 

highest level VDECS used is Level 1 or Level 2, the engine or power 

system must meet the certified Tier 4 off-road emission standards or 

be equipped with a Level 3 VDECS by December 31, 2015. 

2. Bulk Cargo Handling Equipment: 

a. An engine or power system, including a diesel, alternative fuel, or 

heavy-duty pilot ignition engine, certified to either the 2007 or later 

model year on-road emission standards for the year manufactured as 

specified in title 13, CCR, section 1956.8, or the Tier 4 off-road 

emission standards for the rated horsepower and model year of the 

year manufactured; or 

b. An engine or power system certified to the on-road emission 

standards for the year manufactured as specified in title 13, CCR, 

section 1956.8, or certified to the Tier 2 or Tier 3 off-road diesel 

engine standard for the rated horsepower and model year of the year 

manufactured, and used in conjunction with the highest level VDECS 

that is verified for a specific engine family and model year. If the 

highest level VDECS used is Level 1, the engine or power system 

must meet the certified Tier 4 off-road emission standards, or be 

equipped with a Level 3 VDECS by December 31, 2015; or 

c. An engine or power system certified to the Tier 1 off-road diesel 

engine standard, as specified in title 13, CCR, section 2423, or to a 

higher emission level, and equipped with the highest level VDECS 

that is verified for the specific engine family and model year. If the 

highest level VDECS used is Level 1, the engine or power system 

must meet the certified Tier 4 off-road emission standards or be 

equipped with a Level 3 VDECS by December 31, 2015.
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3. Rubber-Tired Gantry Cranes: 

a. An engine or power system, including a diesel, alternative fuel, or 

heavy-duty pilot ignition engine, certified to either the 2007 or later 

model year on-road emission standards for the year manufactured as 

specified in title 13, CCR, section 1956.8, or the Tier 4 off-road 

emission standards for the rated horsepower and model year of the 

year manufactured; or 

b. An engine or power system certified to the on-road emission 

standards for the year manufactured as specified in title 13, CCR, 

section 1956.8, or certified to the Tier 2 or Tier 3 off-road diesel 

engine standard for the rated horsepower and model year of the year 

manufactured, and used in conjunction with the highest level VDECS 

that is verified for a specific engine family and model year; or 

c. An engine or power system certified to the Tier 1 off-road diesel 

engine standard, as specified in title 13, CCR, section 2423, or to a 

higher emission level, and equipped with the highest level VDECS 

that is verified for the specific engine family and model year. If the 

highest level VDECS used is Level 1 or Level 2, the engine or power 

system must meet the certified Tier 4 off-road emission standards or 

be equipped with a Level 3 VDECS by the latter of model year plus 

12 years or December 31, 2015. 

(C) Compliance Schedule for Non-Yard Truck Mobile Cargo Handling 

Equipment

1. All owners or operators of non-yard truck mobile cargo handling 

equipment shall comply with subsection (e)(3) according to the schedule 

in Table 3:
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Table 3: Compliance Option Compliance Schedule for Non-Yard Truck In-Use 

Mobile Cargo Handling Equipment 

a. for each compliance deadline, the percentage of non-yard truck 

equipment (25 percent, 50 percent, or 100 percent) that must meet 

the requirements of subsection (e)(3) is determined based on the 

total population of non-yard truck equipment for a specific model year 

group (i.e., pre-1988) that exist in the owner’s or operator’s non-yard 

truck fleet at the time of the first compliance deadline for that model 

year group; and 

b. if the number of non-yard truck equipment is not a whole number, 

conventional rounding practices apply (i.e., if less 0.5, round down; if 

0.5 or greater, round up). 

(4) Fuel Requirements 

(A) Except as provided for in subsection (c), on or after January 1, 2007, no 

owner or operator of cargo handling equipment shall fuel the equipment with 

any fuel unless the fuel is one of the following: 

1. CARB Diesel Fuel; or 

2. An alternative diesel fuel that meets the requirements of the Verification 

Procedure; or 

3. An alternative fuel; or 

4. CARB Diesel Fuel used with fuel additives that meets the requirements 

of the Verification Procedure; or 

5. Any combination of (e)(4)(A)1. through (e)(4)(A)4. above. 

(B) Owners or operators choosing to use alternative diesel fuels in mobile cargo 

handling equipment to meet the requirements of subsections (e)(2) and 

(e)(3) shall: 

 

1

 Compliance date refers to December 31st of the year indicated. 

Compliance Date1

Non-Yard Truck Fleets of 4 or More 

Engine Model 

Years 

Non-Yard Truck 

Fleets of 3 or Fewer 

First 3 or 25% 

(whichever is greater) 50% 75% 100% 

pre-1988 2007 2007 2008 2009 2010 

1988-1995 2008 2008 2009 2010 2011 

1996-2002 2009 2009 2010 2011 2012 

2003-2006 2010 2010 2011 2012 2013 
A - 15 

1. Maintain records in accordance with subsection (i); and 

2. Use only fuel that is a VDECS alternative diesel fuel in mobile cargo 

handling equipment at ports or intermodal rail yards in California; and 

3. Permanently affix a label in clear view near the fill spout that identifies 

the proper fuel that is required to be in compliance; and 

4. In the event that the owner or operator decides to revert to using CARB 

diesel fuel, the operator shall comply with the requirements of 

subsections (e)(2) and (e)(3) within 10 days of discontinuation of 

alternative diesel fuel use. Within 10 days of discontinuation, the owner 

or operator shall notify the Executive Officer in writing of this change in 

fuel use and shall include an update to any annual report submitted to 

comply with subsections (e)(2), (e)(3), (i), or (j). 

(C) Owners or operators that retrofit mobile cargo handling equipment with a 

VDECS that requires certain fuel properties to be met in order to achieve the 

required PM reduction or PM emissions shall only fuel the subject mobile 

cargo handling equipment with fuel that meets these specifications. In 

addition, owners or operators that choose a VDECS that requires certain 

fuel properties to be met in order to prevent damage to the VDECS or an 

increase in toxic air contaminants, other harmful compounds, or in the 

nature of the emitted PM, shall only fuel the subject mobile cargo handling 

equipment with fuel that meets these specifications. 

(f) Compliance Extensions 

An owner or operator may be granted an extension to a compliance deadline specified 

in subsection (e) for one of the following reasons. If a compliance extension is granted 

by the Executive Officer, the owner or operator shall be deemed to be in compliance as 

specified by the Executive Officer’s authorization. Unless specifically stated, 

compliance extensions may not be combined or used consecutively, and only one 

compliance extension type may be granted per engine or vehicle. 

(1) Compliance Extension for an Engine Near Retirement. If an owner or operator 

has applied a Compliance Option to its fleet pursuant to the schedule set forth in 

Table 3 of subsection (e), and the next engine subject to the Compliance Options 

is scheduled to be retired from the active fleet within one year of the applicable 

compliance deadline, the owner or operator does not need to apply a 

Compliance Option to that engine for up to one year, provided the owner or 

operator maintains appropriate records and documentation, as specified in 

subparagraph (i)(1)(F), regarding the assigned retirement date and the engine is 

retired on or before the assigned date. If upon inspection, ARB finds the 

aforementioned conditions to have not been met, the engine would be in 

noncompliance from the date that compliance would otherwise have been 

required under the schedule set forth in Table 3 of subsection (e). 
A - 16 

(2) Compliance Extension Based on No Verified Diesel Emission Control Strategy 

for Non-Yard Truck Mobile Cargo Handling Equipment. If the Executive Officer 

has not verified a diesel emission control strategy or one is not commercially 

available for a particular engine and equipment combination, an annual extension 

in compliance, up to a maximum of two years, may be granted by the Executive 

Officer. The Executive Officer shall grant the extension upon determining that 

the following circumstances have been met:

(A) The owner or operator has applied to the Executive Officer for a compliance 

extension for an engine six months prior to each compliance deadline 

specified in subsection (e)(3)(C) and provided sufficient documentation to 

meet the conditions set forth below. The owner or operator may, six-months 

prior to the expiration of the extension, apply for an additional one-year 

extension. In such a case, the owner or operator shall once again be 

required to show to the Executive Officer’s satisfaction that the conditions 

set forth below have been met: 

1. The owner or operator must establish that it has applied a Compliance 

Option specified in subsection (e)(3) to all applicable engines in its fleet 

for which a Compliance Option is feasible pursuant to the schedule set 

forth in Table 3 of subsection (e), 

2. Identify each engine for which an extension is requested by engine 

serial number; engine manufacturer, model year, family, and series; and 

type of mobile cargo handling equipment, for which a specific diesel 

emission control strategy would jeopardize the original engine warranty 

and a statement from the engine manufacturer or authorized dealer 

stating the original engine warranty would be jeopardized; or 

3. Identify each engine and equipment or vehicle combination for which an 

extension is requested by engine serial number; engine manufacturer, 

model year, family, and series; and type of mobile cargo handling 

equipment, for which no diesel emission control strategy is commercially 

available and a list of manufacturers that have been contacted with their 

responses to a request to purchase, and 

4. Describe the reason(s) for the request for a compliance extension for 

each engine or engine and equipment or vehicle combination. 

(3) Use of Experimental Diesel Particulate Matter Emission Control Strategies for 

Non-Yard Truck Mobile Cargo Handling Equipment. An annual compliance 

extension may be granted by the Executive Officer for the use of an 

experimental, or non-verified, diesel PM emission control strategy if a VDECS is 

not available or if the owner or operator can demonstrate that an existing VDECS 

is not feasible for their equipment or application. The owner or operator shall 

keep documentation of this use in records as specified in paragraph (i)(1)(G). 

Each mobile cargo handling equipment engine will be considered to be in 

compliance for the duration of the experiment, until the extension expires. The 

owner or operator must bring the mobile cargo handling equipment into 

compliance within six months of the end of the annual compliance extension. 
A - 17 

The Executive Officer may grant the extension upon determining that the owner 

or operator has met the conditions specified below:

(A) The engine owner or operator has applied to the Executive Officer for a 

compliance extension six months prior to each compliance deadline, 

including annually if the owner or operator wishes to continue with the 

experimental controls. The application must include emissions data 

demonstrating the experimental control achieves at least a Level 1 diesel 

PM emission reduction through: 

1. off-road engine certification test data for the cargo handling equipment 

engine; 

2. engine manufacturer test data; 

3. emissions test data from a similar engine; 

4. emissions test data used in meeting the requirements of the Verification 

Procedure for the emission control strategy implemented; or 

5. emissions testing conducted under the following conditions: 

a. baseline testing may be conducted with the emission control strategy 

in place, provided the test sample is taken upstream of the emission 

control strategy; 

b. control strategy testing shall be performed on the cargo handling 

equipment engine with full implementation of the emission control 

strategy; 

c. the percent change from baseline shall be calculated as the baseline 

emissions minus control strategy emissions, with the difference being 

divided by the baseline emissions and the result expressed as a 

percentage; 

d. the same test method shall be used for determining both baseline 

emissions and control strategy emissions; and 

e. diesel PM, NOx, CO, HC, NMHC, and CO2 testing shall be done in 

accordance with one of the following methods: 

i. International Organization for Standardization (ISO) 8178 Test 

procedures: ISO 8178-1: 1996(E) (“ISO 8178 Part 1”); 

ISO 8178-2: 1996(E) (“ISO 8178 Part 2”); and ISO 8178-4: 

1996(E) (“ISO 8178 Part 4”), which are incorporated herein by 

reference; or 

ii. Title 13, California Code of Regulations, section 2423, “Exhaust 

Emission Standards and Test Procedures – Off-Road 

Compression Ignition Engines,” which is incorporated herein by 

reference. 

(B) The application for extension must include the following: explanation 

demonstrating that the highest level VDECS are not feasible for the specific 

equipment or application (if applicable), identification of each engine (serial 

number, engine manufacturer, model year, family, and series), description of 

the emission control system to be demonstrated, emissions data required in 

(A) above, the contact information for the emission control system supplier, 
A - 18 

and a letter of intent from the supplier that they intend to apply for 

verification of the experimental system; 

(C) The owner or operator must bring the mobile cargo handling equipment into 

compliance within six months of the end of the compliance extension period; 

(D) If VDECS are available, or become available during the extension period, 

and are determined to be feasible for the specific engine and equipment 

type, the owner or operator must demonstrate that the experimental control 

achieves equivalent to or better than a Level 1 VDECS; and 

(E) No experimental diesel particulate matter emission control strategy may be 

used on mobile cargo handling equipment after December 31, 2015. 

(4) Compliance Extension for Equipment Manufacturer Delays. An owner or 

operator who has purchased new equipment in order to comply with 

subsection (e), including an owner or operator who has been granted a 

compliance extension per subsections (f)(2), (f)(3), or (f)(5), will be considered to 

be in compliance if the new equipment has not been received due to 

manufacturing delays, as long as the following conditions are met: 

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

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

prior to the required compliance date as specified in subsection (e); and 

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

including engine specifications for each applicable equipment, must be 

maintained by the owner or operator and provided to an agent or employee 

of ARB upon request. 

(5) Compliance Extension for Yard Trucks Having VDECS with Minimum Use 

Requirements. If VDECS were installed on a yard truck prior to

December 31, 2005, and the minimum use requirements of the VDECS, as 

established under a public funding program, is later than the compliance date as 

specified in subsection (e)(2)(B), an exemption from compliance may be 

extended to three years beyond the installation date of the VDECS if the 

following conditions are demonstrated by the owner or operator: 

(A) The VDECS was installed using funding from a public agency; and 

(B) The funding program stipulated minimum use requirements that would 

expire after the required compliance date as specified in 

subsection (e)(2)(B). 
A - 19 

(g) Diesel Emission Control Strategy Special Circumstances 

An owner or operator shall maintain the original level of the elected Compliance Option 

for each engine once that engine is required to be in compliance, and is not required to 

upgrade to a higher level of Compliance Option, except under specified special 

circumstances, as follows: 

(1) In the event of a failure or damage of a diesel emission control strategy, the 

following conditions apply: 

(A) Failure or Damage during the Warranty Period. If a diesel emission control 

strategy fails or is damaged within its warranty period and the diesel 

emission control strategy manufacturer or authorized dealer determines it 

cannot be repaired, the owner or operator shall replace the diesel emission 

control strategy with either the same level diesel emission control strategy or 

another approved Compliance Option as defined in subsection (e)(3) within 

90 days of diesel emission control strategy failure. 

(B) Failure or Damage Outside of Warranty Period. If a diesel emission control 

strategy fails or is damaged outside of its warranty period, and it cannot be 

repaired, the owner or operator shall apply a Compliance Option within 

90 days, as defined in subsection (e)(3). 

(h) Alternative Compliance Plan for Non-Yard Truck Cargo Handling 

Equipment 

(A) Requirements 

1. The purpose of this subsection is to allow any person (“person” or 

“applicant”) subject to this regulation the option of complying with the 

requirements of this subsection (h) in lieu of the requirements of 

subsection (e)(3). Under subsection (h), alternative emission control 

strategies (AECS) can be implemented as an alternative compliance 

plan (ACP) in lieu of meeting the requirements of subsection (e)(3), 

provided they result in no greater emissions, expressed in pounds, of 

diesel PM and NOx from the non-yard truck cargo handling equipment, 

over the applicable calendar year, relative to the emissions that would 

have occurred under subsection (e)(3). 

2. An applicant wishing to participate in an ACP may include one or more 

non-yard truck cargo handling equipment in the ACP, but the applicant 

shall only include equipment that the person owns or operates under 

their direct control. 

3. An applicant for an ACP shall submit information to the Executive Officer 

that demonstrates that the AECS under the proposed ACP will result in 
A - 20 

no greater emissions, expressed in pounds, of diesel PM and NOx from 

the non-yard truck cargo handling equipment, over the applicable 

calendar year, relative to the emissions that would have occurred under 

subsection (e)(3). 

4. AECS may include, but are not limited to: 

a. equipment engine modifications, 

b. exhaust treatment control, 

c. engine repower, 

d. equipment replacement, and 

e. use of alternative fuels or fuel additives. 

5. The ACP application demonstrating compliance with this subsection 

shall contain, at a minimum, the following information: 

a. the company name, address, and contact information; 

b. the equipment subject to the ACP, including equipment and engine 

make, model, and serial numbers, and other information that uniquely 

identify the equipment; 

c. documentation, calculations, emissions test data, or other information 

that establishes the diesel PM and NOx reductions, expressed in 

pounds, from non-yard truck cargo handling equipment will be 

equivalent to or greater than the emission reductions that would have 

been achieved upon compliance with under subsection (e)(3); 

d. the proposed recordkeeping, reporting, monitoring, and testing 

procedures that the applicant plans to use to demonstrate continued 

compliance with the ACP. 

6. Emission reduction calculations demonstrating equivalence with the 

requirements of subsection (e)(3) shall only include diesel PM and NOx 

emissions from non-yard truck cargo handling equipment operating at a 

California port or intermodal rail yard. 

7. Any owner or operator subject to an approved ACP shall maintain 

operating records in a manner and form as specified by the Executive 

Officer in the approved ACP. Required records may include, but are not 

limited to, information on hours of operation, fuel usage, maintenance 

procedures, and emissions test results. Such records and reports shall 

be retained for a period of not less than three (3) years and shall be 

submitted to the Executive Officer in the manner specified in the 

approved ACP and upon request by the Executive Officer. 

8. Emission reductions included in an ACP shall not include reductions that 

are otherwise required by any State or federal rule, regulation, or 

statute. 
A - 21 

9. No person may operate any non-yard truck cargo handling equipment 

under an ACP unless the applicant has first been notified in writing by 

the Executive Officer that the ACP application has been approved. Prior 

to such approval, applicants shall comply with the provisions of this 

section, including the requirements in subsection (e)(3). 

(B) Application Process 

1. Applications for an ACP shall be submitted in writing to the Executive 

Officer for evaluation. 

2. The Executive Officer shall notify the applicant in writing whether their 

application is approved or denied within 90 days of receipt of the 

submittal. 

3. Additional information may be provided by the applicant after submittal 

of the original application. However, the Executive Officer shall have 

90 days after submittal of the additional information to notify the 

applicant of approval or denial of the ACP. 

4. The applicant shall notify the Executive Officer in writing within 30 days 

upon learning of any information that would alter the emissions 

estimates submitted in the ACP application. If the Executive Officer has 

reason to believe that an approved ACP has been granted to a person 

that no longer meets the criteria for an ACP, the Executive Officer may 

modify or revoke the ACP as necessary to assure that the subject nonyard truck cargo handling equipment will meet the emission reduction 

requirements in this section. 

(i) Recordkeeping Requirements

Beginning December 31, 2006, an owner or operator of mobile cargo handling 

equipment shall maintain the following records or copies of records at port and 

intermodal rail yard facilities where applicable. The owner or operator shall provide the 

following records for inspection to an agent or employee of ARB upon request, including 

copies of these records at the department’s expense, for all mobile cargo handling 

equipment subject to compliance with the regulation: 

(1) Records Kept at Terminal. The owner or operator shall keep the following 

records accessible either in hard copy format or computer records at the terminal 

where the mobile cargo handling equipment normally resides: 

(A) Owner or Operator Contact Information 

1. Company name 

2. Contact name, phone number, address, e-mail address 

3. Address of equipment 
A - 22 

(B) Equipment and Engine Information 

1. Make of equipment and engine 

2. Model of equipment and engine 

3. Engine family (if applicable) 

4. Engine serial number 

5. Year of manufacture of equipment and engine (if unable to determine, 

approximate age) 

6. Rated brake horsepower 

7. Control equipment (if applicable) 

a. Type of diesel emission control strategy 

b. Serial number of installed diesel emission control strategy 

c. Manufacturer of installed diesel emission control strategy 

d. Model of installed diesel emission control strategy 

e. Installation date of installed diesel emission control strategy 

f. Level of control (1, 2, or 3); if using a Level 1 or 2, include the reason 

for the choice 

g. Documentation for Minimum Use Requirement Compliance Extension 

pursuant to paragraph (f)(5) 

(C) Records of maintenance for each installed diesel emission control strategy 

(D) Fuel(s) Used 

1. CARB Diesel 

2. Alternative diesel fuel (specify) 

3. Alternative fuel (specify) 

4. Combination (dual fuel) (specify) 

5. Other (specify) 

(E) Operation Information 

1. Describe general use of engine 

2. Typical load (percent of maximum bhp rating) 

3. Typical annual hours of operation 

4. If seasonal, months of year operated and typical hours per month 

operated 

(F) For each engine for which an owner or operator is claiming an exemption 

pursuant to paragraph (f)(1), the retirement date correlated to the 

information in paragraph (i)(1) above 

(G) For each engine for which an owner or operator is claiming an extension 

pursuant to paragraph (f)(3), the records of the test plan, including start and 

end dates of the experiment; diesel particulate matter emission control 

strategy manufacturer name and contact information (representative, 

address, and phone number); name and type of experimental diesel 

particulate matter emission control strategy; and targeted data to be 
A - 23 

generated by experiment, correlated to the information in paragraph (i)(1) 

above 

(H) For each engine for which an owner or operator is claiming an extension 

pursuant to paragraph (f)(4), the purchase order or signed contract between 

the owner or operator and seller of the new equipment that has been 

purchased in order to comply with subsection (e) 

(I) A statement of compliance, prepared beginning January 1, 2007, and 

renewed each January 1 thereafter until January 1, 2016, certifying that the 

owner’s or operator’s engines are in compliance as required, including the 

following: 

1. “The mobile cargo handling equipment at terminal (insert terminal name 

and name of port or intermodal rail yard) are in compliance with title 13, 

California Code of Regulations, section 2479;” and 

2. The owner’s or operator’s name, business address, business telephone; 

and 

3. The signature of the owner or operator or its agent and date signed. 

(2) Records Kept in Mobile Cargo Handling Equipment. For each mobile cargo 

handling equipment, the owner or operator shall keep the following information 

affixed to the driver’s side door jamb, or another readily accessible location 

known by the owner or operator of each mobile cargo handling equipment, in the 

form of a legible and durable label or in an alternative form approved by the 

Executive Officer or designee that is immediately accessible at the time of 

inspection by the enforcement agency: 

(A) For each installed diesel emission control strategy, label information as 

specified in title 13, CCR, section 2706(g), and the installation date; or 

(B) For each mobile cargo handling equipment that has installed a certified onroad or off-road engine in order to comply with subsection (e), the engine 

make, model, and installation date; or 

(C) Engine model year and planned compliance date; or 

(D) Engine model year and retirement date for an engine for which an owner or 

operator is claiming an extension pursuant to paragraph (f)(1); or 

(E) Engine model year and beginning and end date for which an owner or 

operator is claiming an extension pursuant to paragraph (f)(2): or 

(F) Engine model year and beginning and ending date of the test plan for an 

engine for which an owner or operator is claiming an extension pursuant to 

paragraph (f)(3); or 
A - 24 

(G) Engine model year and date of purchase of replacement engine or 

equipment for which an owner or operator is claiming an extension pursuant 

to paragraph (f)(4); or 

(H) Engine model year, date of installation of VDECS, and supporting 

documentation for public funding program, for the engine and equipment for 

which an owner or operator is claiming an extension pursuant to paragraph 

(f)(5). 

(3) Each owner or operator shall maintain these records for each mobile cargo 

handling equipment until it is sold outside of the State of California or is no longer 

used at a port or intermodal rail yard in the State of California. If ownership is 

transferred, the seller shall convey the records to the buyer. 

(j) Reporting Requirements 

(1) Compliance Plan. By January 31, 2007, each owner or operator of in-use mobile 

cargo handling equipment subject to the requirements of subsection (e) shall 

provide the following information to the Executive Officer: 

(A) Information listed in paragraph (i)(1), and 

(B) An identification of the planned control strategy (Compliance Plan) for each 

mobile cargo handling equipment listed in paragraph (i)(1) that, when 

implemented, will result in compliance with subsection (e). If applicable, the 

information should include the Executive Order number issued by the 

Executive Officer for a VDECS that has been approved by the Executive 

Officer through the Verification Procedure. The Compliance Plan is not 

binding and can be changed by the owner or operator prior to the required 

compliance date(s). 

(2) Demonstration of Compliance. By no later than the earliest applicable 

compliance date specified in subsections (e)(2)(B) or (e)(3)(C), the owner or 

operator of an in-use mobile cargo handling equipment subject to the 

requirements of subsection (e) shall provide the following information to the 

Executive Officer: 

(A) Information listed in (i)(1), and 

(B) An identification of the control strategy implemented for each mobile cargo 

handling equipment in accordance with the requirements of subsection (e) 

for purposes of demonstrating compliance. 

(3) Annual Reporting. Each terminal owner or operator shall submit an annual report 

to the Executive Officer by January 31, 2007, and by each January 31 annually, 

through 2016 as described below: 
A - 25 

(A) Company name; 

(B) Contact name, phone number, address, e-mail address; 

(C) Address of equipment, including name of port or intermodal rail yard where 

equipment is operated; and 

(D) A signed affidavit stating the completeness and accuracy of the annual 

report. 

(4) Reporting for Off-Road Equipment that Does Not Handle Cargo at any Time. 

Each terminal owner or operator to whom subsection (c)(3) applies, shall submit 

a report to the Executive Officer by January 31, 2007, as described below: 

(A) Owner or Operator Contact Information 

1. Company name 

2. Contact name, phone number, address, e-mail address 

3. Address of equipment 

(B) Equipment and Engine Information 

1. Make of equipment and engine 

2. Model of equipment and engine 

3. Engine family (if applicable) 

4. Engine serial number 

5. Year of manufacture of equipment and engine (if unable to determine, 

approximate age) 

6. Rated brake horsepower 

7. Control equipment (if applicable) 

a. Type of diesel emission control strategy 

b. Serial number of installed diesel emission control strategy 

c. Manufacturer of installed diesel emission control strategy 

d. Model of installed diesel emission control strategy 

e. Installation date of installed diesel emission control strategy 

f. Level of control (1, 2, or 3) 

(C) Fuel(s) Used 

1. CARB Diesel 

2. Alternative diesel fuel (specify) 

3. Alternative fuel (specify) 

4. Combination (dual fuel) (specify) 

5. Other (specify) 

(D) Operation Information 

1. Describe general use of engine 

2. Typical load (percent of maximum bhp rating) 

3. Typical annual hours of operation 
A - 26 

4. If seasonal, months of year operated and typical hours per month 

operated 

(k) Right of Entry 

An agent or employee of the Air Resources Board has the right of entry to port and 

intermodal rail yard cargo handling facilities for the purpose of inspecting on-road and 

off-road cargo handling equipment and their records to determine compliance to these 

regulations.

(l) Prohibitions 

No person who is engaged in this State in the business of selling to an ultimate 

purchaser, or renting or leasing new or used mobile cargo handling equipment, 

including, but not limited to, manufacturers, distributors, and dealers, shall sell, offer for 

sell, import, deliver, purchase, receive, or otherwise acquire a new or used mobile cargo 

handling equipment for the purpose of selling, renting, or leasing, that does not meet the 

performance requirements of this regulation. 

(m) Severability 

If any subsection, paragraph, subparagraph, sentence, clause, phrase, or portion 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. 

(n) Submittal of Documents 

(A) All documents required under this regulation to be submitted to the 

Executive Officer shall be submitted as follows: 

 California Air Resources Board 

 Stationary Source Division, Cargo Handling Equipment 

 P.O. Box 2815 

 Sacramento, California 95812-2815 

(B) An alternative method, including electronic submittals, may be approved by 

the Executive Officer. 

NOTE: Authority cited: sections 39600, 39601, 39618, 39658, 39659, 39666, 39667, 

39674, 39675, 42400 et seq., 42402 et seq., 42410, 43013, 43018, California Health 

and Safety Code. Reference: sections 39618, 39650, 39658, 39659, 39666, 39667, 

39674, 39675, 42400 et seq., 42402 et seq., 42410, 40717.9, 43013, and 43018.