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

13 CA ADC § 2449

BARCLAYS OFFICIAL CALIFORNIA CODE OF REGULATIONS

(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

(1) Except as provided in subsection (b)(2) below, this regulation applies to any person, business, or government agency who 

owns or operates within California any vehicles with a diesel-fueled or alternative diesel fueled off-road compression-ignition 

engine with maximum power (max hp) of 25 horsepower (hp) or greater provided that the vehicle cannot be registered and driven 

safely on-road or was not designed to be driven on-road, even if it has been modified so that it can be driven safely on-road.

(2) The regulation also applies to the following:

(A) Workover rigs, as defined in section 2449(c)(62), are subject to this regulation.

(B) Both engines of two-engine cranes, and two-engine water-well drilling rigs, as defined in sections 2449(c)(56) and (c)(58), 

respectively, that contain an auxiliary engine having a rated brake hp of 50 or greater (≥ 50 bhp) are subject to this regulation.

(C) Both engines of two-engine vehicles, as defined in section 2449(c)(57), that were designed to be driven either on-road or offroad and contain an auxiliary engine ≥ 50 bhp are subject to this regulation provided that:

1. The two-engine vehicle is not already subject to the Fleet Rule for Public Agencies and Utilities, title 13, CCR, 

sections 2022 and 2022.1;

2. The two-engine vehicle is not a two-engine sweeper, as defined in the Truck and Bus regulation, title 13, CCR, 

section 2025; and

3. The two-engine vehicle does not have a Tier 0 auxiliary engine.

(D) This regulation applies to any person who sells a vehicle subject to this regulation within California.

(E) 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.

(G) The following are not subject to this regulation:

1. Locomotives;

2. Commercial marine vessels;

3. Marine engines;

4. Recreational off-highway vehicles;

5. Combat and tactical support equipment;

6. Stationary equipment;

7. Portable engines, except for auxiliary engines included in subsections (b)(2)(B) and (b)(2)(C) above;

8. Equipment or vehicles used exclusively in agricultural operations;

California Code of Regulations 

Barclays Official California Code of Regulations Currentness

Title 13. Motor Vehicles 

Division 3. Air Resources Board

Chapter 9. off-Road Vehicles and Engines Pollution Control Devices

Article 4.8. in-Use off-Road Diesel-Fueled Fleets (Refs & Annos)

13 CCR § 2449

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

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9. Implements of husbandry;

10. Two-engine street sweepers that are subject to the Truck and Bus Regulation, title 13, CCR, section 2025;

11. Two-engine vehicles that are subject to the Fleet Rule for Public Agencies and Utilities, title 13, CCR, sections 2022 

and 2022.1;

12. Two-engine vehicles, that are not two-engine cranes or two-engine water-well drilling rigs, that have Tier 0 auxiliary 

engines;

13. Equipment subject to the Regulation for Mobile Cargo Handling equipment at Ports and Intermodal Rail Yards, title 

13, CCR, section 2479; and

14. Off-road diesel vehicles owned and operated by an individual for personal, non-commercial, and non-governmental 

purposes.

(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.

(3) “ Alternative diesel fuel” means any fuel used in a compression ignition engine that is not a reformulated diesel fuel as defined 

in title 13, CCR, sections 2281 and 2282, and does not require engine or fuel system modifications for the engine to operate, 

although minor modifications (e.g., recalibration of the engine fuel control) may enhance performance. Examples of alternative 

diesel fuels include, but are not limited to, biodiesel, Fischer-Tropsch fuels, and emulsions of water in diesel fuel. A diesel fuel 

containing a fuel additive will be treated as an alternative diesel fuel unless:

(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 Verified Diesel Emission Control Strategy (VDECS) and turnover 

requirements in section 2449.1(b).

(6) “ Captive attainment area fleet” means a fleet or fleet portion, as defined under section 2449(c)(20), in which all of the vehicles 

in the fleet or fleet portion operate exclusively within the following counties: Alpine, Colusa, Del Norte, Glenn, Humboldt, Lake, 

Lassen, Mendocino, Modoc, Monterey, Plumas, San Benito, San Luis Obispo, Santa Barbara, Santa Cruz, Shasta, Sierra, 

Siskiyou, Trinity, Tehama, Yuba, and the portion of Sonoma County that lies within the boundaries of the North Coast Air Basin. 

A fleet or identified fleet portion that operates one or more vehicles outside the counties and area listed above is not a captive 

attainment area fleet. Captive attainment area fleets shall be treated as small fleets even if their total max hp exceeds 2,500 hp. 

All fleets owned by the United States, the State of California, or agencies thereof (i.e., an agency in the judicial, legislative, or 

executive branch of the federal or state government) are considered to be large fleets (per section 2449(c)(24)(A)), and vehicles 

owned by such fleets, regardless of whether they operate exclusively within the above counties and area, are not part of a 

captive attainment area fleet.

(7) “ Carryover BACT credit”, as calculated under section 2449.1(b)(8), means a way of tracking turnover or VDECS installations 

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

less turnover or VDECS installations in later years.

(8) “ Combat and tactical support equipment” means equipment that meets military specifications, is owned by the U.S. 

Department of Defense and/or the U.S. military services or its allies, and is used in combat, combat support, combat service 

support, tactical or relief operations or training for such operations.

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(9) “ 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) “ 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) “ Dedicated snow removal vehicle” means a vehicle that is operated exclusively to remove snow from public roads, private 

roads, or other paths from which snow must be cleared to allow on-road vehicle access. Dedicated snow removal vehicles must 

have permanently affixed snow removal equipment such as a snow blower or auger and may include, but are not limited to, 

motor graders, loaders, and snow blowers.

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

(13) “ Diesel particulate filter” means an emission control strategy that reduces diesel particulate matter emissions by directing all 

of the exhaust through a filter that physically captures particles but permits gases to flow through. Periodically, the collected 

particles are either physically removed or oxidized (burned off) in a process called regeneration.

(14) “ 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.

(15) “ 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) “ Emission factor” means NOx emission rate in grams per brake-horsepower hour (g/bhp-hr) as shown in Appendix A. 

Engines certified to Family Emission Limits and flexibility engines must still use the emission factors in Appendix A.

(17) “ Equipment identification number” 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) “ Executive Officer” means the Executive Officer of the ARB or his or her authorized representative.

(19) “ Family emission limit” (FEL) means an emission level that is declared by the manufacturer to serve in lieu of an emission 

standard for certification purposes and for the averaging, banking, and trading program, as defined in title 13, CCR, section 2423.

(20) “ 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.

“Fleet portions” - means that part of a fleet for which daily operations and dispatching are managed by different responsible officials 

because they are part of different subsidiaries, divisions, or other organizational substructures of a parent company, corporation or 

agency, which owns or controls the operations of the subsidiary, division, or organizational substructure, and the parent company, 

corporation, or agency elects to have some or all the fleet portions comply with the performance requirements separately and be 

reported separately. A fleet may have some fleet portions that meet the definition of captive attainment area fleet and some fleet 

portions that do not. However, the total max hp of the vehicles under common ownership or control of the parent company, 

corporation, or agency determines the fleet size. Once a fleet begins to comply and report separately as fleet portions, the fleet 

portions must continue to comply and report separately, and the fleet portions must meet the adding vehicle requirements in section 

2449(d)(6) just as if they were separate fleets.

(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 (adding) the product of the max hp of each engine times the emission factor, and dividing by the fleet's 

total max hp.

(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 hp distribution. The 

fleet average target rate for a specific fleet for each compliance year is determined by summing (adding) the product of the max 

hp of each engine times the target, and dividing the resulting sum by the fleet's total max hp.

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

“Rental or Leased Fleets” - Vehicles that are owned by a rental or leasing company and that are leased by the same lessee for a 

period of one year or more may be excluded from the rental company fleet and included in the fleet of the lessee only if such 

arrangement is delineated in the written lease agreement.

Vehicles that are rented or leased for a period of less than one year must be included in the fleet of the rental or leasing company. 

Off-road vehicles and engines subject to this regulation that are owned by a lessor and leased to a lessee under a “lease” as defined 

in California Uniform Commercial Code, section 10103(a)(10), for a duration of at least one year, dated prior to the effective date of 

these regulations, are considered part of the fleet of the lessee rather than the lessor.

(24) “ Fleet size category” - means fleets are classified by size as described below. A fleet must meet large fleet requirements if 

the total vehicles under common ownership or control would be defined as a large fleet. A fleet must meet medium fleet 

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requirements if the total vehicles under common ownership or control would be defined as a medium fleet. Individual federal or 

state agencies may report as separate fleets, but all vehicles owned by agencies of the United States or the State of California 

agencies must meet the large fleet requirements. Permanent and year-by-year low-use vehicles, dedicated snow-removal 

vehicles, and vehicles used solely for emergency operations need not be included in the total max hp used to classify fleets by 

size.

(A) “Large fleet” - A fleet with a total max hp (as defined below) greater than 5,000 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 executive branch of the federal or state 

government) will be considered as a unit whole and must meet the large fleet requirements.

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

(C) “Small fleet” - A fleet with total max hp of less than or equal to 2,500 hp that is owned by a business, non-profit organization, 

or local municipality, a local municipality fleet in a low population county irrespective of total max hp, a non-profit training center 

irrespective of total max hp, or a captive attainment area fleet irrespective of total max hp.

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

“Post-2007 flexibility engine” - A flexibility engine certified on or after January 1, 2007. Such flexibility engines are generally labeled as 

follows by the engine manufacturer:

“THIS ENGINE COMPLIES WITH CALIFORNIA EMISSION REQUIREMENTS UNDER 13 CCR 2423(d). . .” or “THIS ENGINE 

CONFORMS TO CALIFORNIA OFF-ROAD COMPRESSION-IGNITION ENGINE REGULATIONS UNDER 13 CCR, 2423(d).”

(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.

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

(28) “ Implement of husbandry” is as defined in California Vehicle Code (Veh.Code) division 16.

(29) “ Local municipality” means a city, county, city and county, special district, or other public agency, or two or more public 

entities acting jointly, or the duly constituted body of an Indian reservation or rancheria. Agencies of the United States of America 

or the State of California, and departments, divisions, public corporations, or public agencies of this State or of the United States 

are not considered local municipalities.

(30) “ Low-population county local municipality fleet” means a fleet owned by a local municipality (as defined above) that is 

located in a county as defined in title 13, CCR, section 2022(b)(4) and identified in section 2022.1(c)(2), Table 2, or, using the 

criteria set forth in title 13, CCR, section 2022.1(c)(4), a local municipality not located in a low-population county that has 

requested and has received Executive Officer approval to be treated like a municipality in a low-population county. Fleets owned 

by such local municipalities shall be treated as small fleets even if their total max hp exceeds 2,500 hp.

(31) “ Maximum power” (max hp)means the engine's net horsepower (hp) or net flywheel power certified to Society of Automotive 

Engineers (SAE) Method J1349 or International Organization for Standardization (ISO) Method 9249. If the engine's net hp or net 

flywheel power certified to SAE Method J1349 or ISO Method 9249 is not readily available, another net hp or net flywheel power 

from the manufacturer's sales and service literature or hp from the engine label may be used.

(32) “ Model year” has the same meaning as defined in title 13, CCR, section 2421(a)(37).

(33) “ Motor vehicle” has the same meaning as defined in Veh. Code section 415.

(34) “ New fleet” means a fleet that is acquired or that enters California on or after January 1, 2012. Such fleets may include new 

businesses or out-of-state businesses that bring vehicles into California for the first time on or after January 1, 2012.

(35) “ Non-profit training center” means an entity that operates a program for training in the use of off-road vehicles and that (A) is 

a community college program that trains students in the use of off-road vehicles or (B) qualifies as a non profit or not for profit 

organization under title 26 Internal Revenue Code section 501(a), (c)(3), (c)(5), or (c)(6). Any vehicles that are not used for an offroad training program are not considered part of a non-profit training center and must be considered a separate fleet.

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

(37) “ Operator log” means a log of the hours that a vehicle operated taken from records of vehicle operator hours.

(38) “ 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.

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(39) “ Permanent low-use vehicle” means a vehicle that a fleet owner has designated as operating less than 200 hours a 

calendar year, for all years subsequent to the designation. For example, if a fleet designates a vehicle as permanent low-use at 

any point in 2014, that vehicle can only be used less than 200 hours in any calendar year from 2015 onwards. To be considered 

a permanent low-use vehicle, the fleet owner must submit the engine hours of operation from a functioning non-resettable hour 

meter.

(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 only be used up to 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 200 hours or more 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 lowuse vehicle. If such a vehicle is not designated as permanent low-use, its use may increase to 200 hours or more per year in 

subsequent years without meeting the adding vehicles requirements in section 2449(d)(6).

(E) Two-engine vehicles - Both engines of two-engine vehicles must each operate less than 200 hours per year in order for the 

vehicle to be considered a permanent low-use vehicle.

(40) “ 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) “ Registered and driven safely on-road” means a vehicle meets the requirements to be registered for on-road operation in 

Veh. Code division 3, chap. 1, article 1, sections 4000 et seq. (i.e., required to be registered or could be registered), and the 

requirements to be driven safely on-road in “Equipment of Vehicles” requirements in Veh. Code division 12, chap. 1, sections 

24000 et seq. and “Size, Weight, and Load” requirements in Veh. Code division 15, sections 35000 et seq. Having a California 

Special Construction Equipment plate as defined in California Veh. Code sections 565 and 570 does not constitute registration.

(42) “ Replacement” means the addition of off-road diesel vehicles to a fleet that had retired one or more off-road diesel vehicles 

of an equivalent hp in a given year.

(43) “ 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) “ Responsible official” 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) “ Retire or retirement” means removal of an engine from fleet service, so that the engine is not subsequently operated by the 

fleet in the State of California. To retire an engine, the vehicle with the engine may be moved outside of California, sold to 

another fleet (in or outside California), or scrapped. The return of a rented or leased vehicle by a fleet to a rental or leasing 

company is not considered to be a retirement. Similarly, the rental or leasing of a vehicle by a rental or leasing company does not 

count as a retirement for the rental or leasing company.

(46) “ Snow removal operations” means removing snow from public roads, private roads, or driveways.

(47) “ 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) “ Tier 0 engine” means an engine not subject to the requirements in title 13, CCR, section 2423; Title 40, Code of Federal 

Regulations (CFR), Part 89; or Title 40, CFR, Part 1039.

(49) “ Tier 1 engine” means an engine subject to the Tier 1 new engine emission standards in title 13, CCR, section 2423(b)(1)(A) 

and/or Title 40, CFR, Part 89.112(a). This also includes engines certified under the averaging, banking, and trading program with 

respect to the Tier 1 Family Emission Limits (FEL) listed in title 13, CCR, section 2423(b)(2)(A) and/or Title 40, CFR, Part 89.112

(d).

(50) “ Tier 2 engine” means an engine subject to the Tier 2 new engine emission standards in title 13, CCR, section 2423(b)(1)(A) 

and/or Title 40, CFR, Part 89.112(a). This also includes engines certified under the averaging, banking, and trading program with 

respect to the Tier 2 FEL listed in title 13, CCR, section 2423(b)(2)(A) and/or Title 40, CFR, Part 89.112(d).

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(51) “ Tier 3 engine” means an engine subject to the Tier 3 new engine emission standards in title 13, CCR, section 2423(b)(1)(A) 

and/or Title 40, CFR, Part 89.112(a). This also includes engines certified under the averaging, banking, and trading program with 

respect to the Tier 3 FEL listed in title 13, CCR, section 2423(b)(2)(A) and/or Title 40, CFR, Part 89.112(d).

(52) “ Tier 4 final engine” means an engine subject to the final after-treatment-based Tier 4 emission standards in title 13, CCR, 

section 2423(b)(1)(B) and/or Title 40, CFR, Part 1039.101. This also includes engines certified under the averaging, banking, and 

trading program with respect to the Tier 4 FEL listed in title 13, CCR, section 2423(b)(2)(B) and/or Title 40, CFR, Part 1039.101.

(53) “ Tier 4 Interim engine” means an engine subject to the interim Tier 4 emission standards (also known as transitional) in title 

13, CCR, section 2423(b)(1)(B) and/or Title 40, CFR, Part 1039.101. This also includes engines certified under the averaging, 

banking, and trading program with respect to the Tier 4 FEL listed in title 13, CCR, section 2423(b)(2)(B) and/or Title 40, CFR, 

Parts 1039.102 and 1039.104(g).

(54) “ Total maximum power” (total max hp)means the sum of the max hp for all of a fleet's engines that are subject to this 

regulation. Permanent and year-by-year low-use vehicles, dedicated snow-removal vehicles, and vehicles used solely for 

emergency operations shall not be included in the sum.

(55) “ Turnover” means retiring a vehicle, designating a vehicle as a permanent low-use vehicle, repowering a vehicle with a 

higher tier engine, or rebuilding the engine to a more stringent emissions configuration. Rented or leased vehicles that are 

returned to a rental or leasing company do not count as turnover for the lessee. Similarly, vehicles leased or rented out by a 

rental or leasing company do not count as turnover for the rental or leasing company.

(56) “ Two-engine crane” means a mobile diesel-powered machine with a hoisting mechanism mounted on a specially 

constructed truck chassis or carrier; one engine provides motive power, and a secondary (auxiliary) engine 50 bhp or greater that 

is used to lift and move materials and objects.

(57) “ Two-engine vehicle” means a specially constructed on-road or off-road mobile diesel-powered vehicle that was designed 

by the original equipment manufacturer to be equipped with two diesel engines: one engine provides the primary source of 

motive power of the vehicle while the second engine is an auxiliary engine 50 bhp or greater that is permanently attached and 

integrated into the design of the vehicle to perform a specific function, which may include providing auxiliary power to 

attachments, performing special job functions, or providing additional motive power.

(58) “ Two-engine water-well drilling rig” means a mobile diesel-powered drilling rig owned by a water well drilling contractor with 

a current, valid C-57 license issued by the Contractors State License Board of California and used exclusively to drill water wells 

with a drilling mechanism mounted on a specialty constructed truck chassis or carrier; one engine provides motive power, and a 

secondary (auxiliary) engine 50 bhp or greater that is used to power the drilling mechanism.

(59) “ Verified diesel emission control strategy” (VDECS)means an emissions control strategy that has been verified pursuant to 

the “Verification Procedures, Warranty and In-Use Compliance Requirements for In-Use Strategies to Control Emission from 

Diesel Engines” (Verification Procedure), title 13, CCR, sections 2700-2710. VDECS can be verified to reduce PM emissions, or 

NOx emissions, or both.

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

Level 3 diesel PM reductions (at least 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 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 (1) it 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 it 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.

(60) “ Verified percent NOx reduction” means the verified percent reduction in NOx emissions from the engine achieved by the 

VDECS verified to reduce NOx.

(61) “ VDECS failure” means the condition of a VDECS not achieving the emissions reductions to which the VDECS is verified. 

Such a condition could be due to inappropriate installation, damage, or deterioration during use. If a Level 3 VDECS is emitting 

visible smoke, it shall be assumed to have failed.

(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.

(63) “ Year-by-year low-use vehicle” means a vehicle that operated in California less than 200 hours during the preceding 12-

month calendar year. For example, when reporting in 2014, the hours of use between January 1, 2013 and December 31, 2013 

would be used to determine year-by-year low-use status. To be considered a year-by-year low-use vehicle, the fleet owner must 

annually submit engine operation data from a functioning non-resettable hour meter.

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(A) Vehicles used outside California - Vehicles that operate both inside and outside of California can meet the year-by-year lowuse 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.

(E) Two-engine vehicles - Both engines of two-engine vehicles must each operate less than 200 hours per year in order for the 

vehicle to be considered a year-by-year low-use vehicle.

(d) Performance Requirements -

Fleets that are subject to fleet average requirements in section 2449.1(a) 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. Each fleet must meet the 

performance requirements in subsections (2) to (9) below. There are differing requirements for large, medium, and small fleets. As 

stated in section 2449(c)(20), fleet portions may comply with the performance requirements separately and be reported separately. 

Captive attainment area fleets, non-profit training centers, and fleets owned by low-population county local municipalities are subject 

to the small fleet requirements, even if their total max hp exceeds 2,500 hp. Section 2449(d)(3) describes requirements for fleets that 

change in size.

(1) Vehicles and Systems Used in Place of Diesel Vehicles - Fleets with electric, alternative fuel, or gasoline-powered vehicles 

may include such vehicles in their fleet average index and target rate calculations as follows:

(A) Alternative Fuel and Gasoline-Powered Vehicles

1. Fleets may include an alternative fuel or gasoline-powered vehicle with a max hp 25 hp or greater or that replaced a 

diesel vehicle with max hp 25 hp 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 vehicle is used predominantly outdoors,

c. The 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. The owner must demonstrate that it is certified to a NOx standard less than or equal to the Tier 1 NOx standard 

for the same hp 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 hp.

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

vehicle replaced and maintain records documenting the function of the diesel vehicle replaced and the gasolinepowered replacement vehicle, and the dates of sale and purchase for both vehicles.

2. Fleets may include a diesel vehicle with a max hp 25 hp or greater that has been repowered with an alternative fueled 

or gasoline-powered engine in their fleet average index and target rate calculations.

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

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 gasolinepowered 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. Fleets may include a diesel vehicle with a max hp 25 hp or greater that has been converted to alternative fuel or 

gasoline-power in their fleet average index and target rate calculations. The emission factor remains the same as the 

emission factor for the diesel vehicle.

(B) Electric Vehicles

1. Fleets may include an electric vehicle with a max hp 25 hp or greater or that replaced a diesel vehicle with max hp 25 

hp 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

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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), electric vehicles shall be credited as follows:

a. GSE Electric Vehicles Purchased Prior to January 1, 2007 - Electric airport GSE vehicles with a max hp of 25 hp 

or greater or that replaced a diesel vehicle with max hp 25 hp or greater purchased prior to January 1, 2007, may 

be partially 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 max hp of the diesel 

vehicle replaced may be used as the electric vehicle's max hp. Otherwise, the electric vehicle's own max hp rating shall be used.

ii. Include such vehicle's max hp times 0.2 as the max hp in calculating the fleet average index and target rate in section 2449.1(a), 

along with an emission factor of 0.

b. Non-GSE Electric Vehicles Purchased Prior to January 1, 2007 - Electric vehicles with a max hp of 25 hp or 

greater purchased prior to January 1, 2007 that replaced a diesel vehicle with max hp 25 hp or greater, 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 max hp of the diesel 

vehicle replaced may be used as the electric vehicle's max hp. Otherwise, the electric vehicle's own max rating shall be used.

ii. Include such vehicle's max hp as the max hp in calculating the fleet average index and target rate in section 2449.1(a), 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 max hp 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 max hp 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 max hp 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. An emission factor of 0 may be used.

3. Electric vehicles need not be included when determining fleet size, or when calculating the required hp for the BACT 

requirements in section 2449.1(b).

(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 max hp of the diesel vehicles replaced in the calculations of the fleet average index and target rate 

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 max hp 25 hp 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.

(2) Idling - The idling limits in section 2449(d)(2) shall be effective and enforceable immediately upon this regulation being 

certified by the Secretary of State. Fleets must meet the following idling limits.

(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 shall so indicate. The 

idling limit does not apply to:

1. idling when queuing,

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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) 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) New Fleets

(A) New large and medium fleets - New large and medium fleets must meet the next large fleet average requirement in section 

2449.1(a)(1) immediately on purchasing vehicles subject to the regulation or bringing such vehicles into the State of California for 

the first time on or after January 1, 2012. New fleets do not have the option of complying with the BACT requirements in section 

2449.1(b) 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 of section 2449.1(b). 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(a)(2) for the next 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, 2012. New small fleets do not have the option of complying with the BACT 

requirements in section 2449.1(b) 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)(2), and the adding vehicle 

requirements in section 2449(d)(6), 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) Fleet Ownership Transferred

(A) New fleet owner - If ownership of a fleet a or fleet portion, which is complying and reporting separately per section 2449(c)

(20), is transferred to a new fleet owner who did not own a fleet before the transfer of ownership and the fleet or fleet portion was 

meeting the BACT requirements in lieu of the fleet average requirements before the transfer, the fleet may continue to meet the 

BACT requirements and is not required to meet the fleet average requirements in section 2449.1(a) or adding vehicle 

requirements in section 2449(d)(6) as new fleets are required to do. If a new fleet owner who did not own a fleet before acquires 

a fleet or fleet portion that did not previously comply with the regulation, or acquires a fleet portion that is not complying and 

reporting separately per section 2449(c)(20), it must meet the new fleet requirements in section 2449(d)(4) above.

(B) Existing fleets - Existing fleets may acquire other fleets or fleet portions which are complying and reporting separately per 

section 2449(c)(20), without condition if the existing fleet and the acquired fleet were in compliance with the individual fleet 

requirements. If existing fleets acquire a fleet or fleet portion that did not previously comply with the regulation, or they acquire a 

fleet portion which is not complying and reporting separately per section 2449(c)(20), they must meet the requirements for adding 

vehicles in section 2449(d)(6) when adding the entire fleet or fleet portion.

(C) Existing BACT credits - If ownership of a fleet or fleet portion, which is complying and reporting separately per section 2449(c)

(20), is transferred to a new fleet owner and the transferred fleet or fleet portion had BACT credits, the new fleet owner may 

maintain the BACT credits of the acquired fleet if the acquired fleet or fleet portion continues to comply and report separately. The 

new fleet owner may keep the acquired fleet separate from the rest of the vehicles owned for the purposes of maintaining credits 

even if the vehicles are under common ownership or control. If the new fleet owner combines the acquired fleet or fleet portion for 

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compliance and reporting purposes with the rest of his vehicles, the acquired fleet or fleet portion shall maintain only the credits 

accumulated from retrofits and repowers, and all other BACT credits shall expire immediately.

(6) Adding Vehicles - With the exception noted below for fleets owned by lessors of vehicles, the requirements in (A) through (C) 

below apply to all fleets. Fleets owned by lessors are not subject to (A) through (C) for vehicles owned by the lessor and returned 

to the lessor fleet at the end of a lease if the vehicles were included in the fleet of the lessee for the compliance year in question. 

Vehicles returned to a lessor fleet must, however, be included in the lessor fleet's fleet average demonstration on subsequent 

compliance dates. For the purposes of this requirement, a vehicle may be assumed to meet the engine emission standard tier in 

effect for the model year of the engine.

(A) Ban on adding Tier 0s - Effective upon the United States Environmental Protection Agency (U.S. EPA) issuing authorization 

for this regulation, 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) Ban on adding Tier 1s - Beginning January 1, 2012, 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) that ARB assigned to the vehicle prior to January 1, 

2012, and both the fleet selling and the fleet purchasing the vehicle with the Tier 1 engine must have reported to ARB by January 

1, 2012, or have entered the State of California for the first time after January 1, 2012. 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) Ban on adding Tier 2s - 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.

(7) 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) 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 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) VDECS Maintenance and Removal - If a fleet owner installs a VDECS to meet the requirements in section 2449.1, the 

VDECS must be kept installed until the VDECS fails or is damaged unless the requirements below are met. Requirements for 

VDECS failure or damage are in section 2449(e)(1). The owner of a vehicle with a VDECS must ensure all maintenance on the 

VDECS and engine is performed as required by the respective manufacturers.

(A) Removal for safety or visibility purposes - If a fleet removes a VDECS for safety or visibility purposes, and that VDECS has 

not failed and is not damaged, the fleet may keep the BACT credit earned under section 2449.1(b) for the installation of the 

removed VDECS. If the fleet could not meet an applicable fleet average target for the most recent compliance date without the 

removed VDECS, the fleet owner must bring the fleet back into compliance within 90 days of the removal of the VDECS.

(B) Removal for other purposes - If a fleet removes a VDECS for reasons other than safety or visibility purposes, and that 

VDECS has not failed and is not damaged, the fleet must forfeit any BACT credit earned under section 2449.1(b) from the 

installation of the removed VDECS. If the fleet could not meet an applicable compliance requirements under section 2449.1 for 

the most recent compliance date without the removed VDECS and the forfeited BACT credit, the fleet must bring the fleet back 

into compliance within 90 days of the removal of the VDECS.

(9) Compliance After the Final Target Date -

Commencing respectively on January 1, 2023, for large and medium fleets, and on January 1, 2028, for small fleets, if a fleet does not 

meet the applicable fleet average target rate for the final target date in section 2449.1(a), the fleet must continue to meet the BACT 

requirements in section 2449.1(b) and report annually each year until it does so. BACT carryover credit earned in previous years 

cannot be used to meet compliance after the final target date. Vehicles exempt from BACT under sections 2449.1(b)(2) and (3) are 

exempt from the requirements of this paragraph.

(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, 2023 for 

large and medium fleets, or before January 1, 2028 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.

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2. After Final Target Date - If a VDECS fails or is damaged outside of its warranty period on or after January 1, 2023 for 

large and medium fleets, or on or after January 1, 2028 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.

(3) Exemption for Vehicles Used for Emergency Operations - Vehicles used solely for emergency operations are exempt from the 

performance requirements in sections 2449(d), 2449.1, and 2449.2 but still must be labeled 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 hp for the BACT requirements in sections 

2449.1(b).

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, and 2449.2 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 hp for the BACT requirements in section 2449.1(b). Publicly owned 

vehicles used exclusively to support snow removal operations, but which do not meet the dedicated snow removal vehicle 

definition (such as a loader without a special snow removal attachment), are exempt from the performance requirements in 

sections 2449(d), 2449.1, and 2449.2(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 

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 BACT credits actually accumulated during the experiment, regardless of whether the experiment achieved the 

projected emissions reductions or whether the strategy is eventually verified. If a strategy installed in an experimental diesel emission 

control program approved by the Executive Officer fails to be verified or is removed, it will no longer count in the fleet's fleet average 

calculations. The fleet owner must bring the fleet into compliance prior to the expiration of the experimental diesel emission control 

strategy extension.

(6) Compliance 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 two 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.

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(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 low-use vehicles 

are exempt from the performance requirements in sections 2449(d)(3) through 2449(d)(5) and 2449(d)(7) through 2449(d)(9), 

2449.1, and 2449.2(d), but still must meet the idling limits in section 2449(d)(2) and be labeled and reported in accordance with 

sections 2449(f) and (g). Permanent and year-by-year low-use vehicles need not be included when calculating fleet average 

indices or target rates, when determining fleet size, or when calculating the required hp for the BACT requirements in section 

2449.1(b).

Vehicles that formerly met the permanent low-use vehicle definition, but whose use increases to 200 hours per year or greater must 

meet the adding vehicles requirements in section 2449(d)(6) and be included in the fleet average calculation by the next compliance 

date. For example, a formerly designated permanent low-use engine that exceeds 200 hours per year between January 1, 2015 and 

December 31, 2015 must be included in the fleet average indices and target rates reported in 2016, and must also meet the adding 

vehicle requirements for that year. Vehicles that formerly met the year-by-year low-use vehicle definition, but whose use increases to 

200 hours per year or greater do not have to meet the adding vehicles requirements in section 2449(d)(6), but must be included in the 

fleet average calculations by the next compliance date.

(8) VDECS That Impairs Safe Operation of Vehicle - A fleet owner may request that the Executive Officer find that a VDECS shall 

not be considered the highest level VDECS available because (A) it cannot be safely installed or operated in a particular vehicle 

application, or (B) its use would make compliance with federal or state requirements for safety or health, or an ongoing local air 

district permit condition, such as for use of a diesel oxidation catalyst, technologically infeasible. If a VDECS manufacturer states 

that there is no safe or appropriate method of mounting its VDECS on the requesting party's vehicle, then the VDECS will not be 

considered safe. The Executive Officer shall accept the official findings of the responsible federal or state agency (i.e., the federal 

or state agency that promulgates safety requirements) that compliance with the requirements of this regulation would make 

compliance with the federal and state safety or health requirements technologically infeasible. In the absence of such a 

declaration by the VDECS manufacturer or official findings of a responsible federal or state agency, the requesting party shall 

provide other documentation to support its claims. Documentation must include published reports and other findings of federal, 

state or local government agencies, independent testing laboratories, engine or equipment manufacturers, or other equally 

reliable sources. The request will only be approved if the requesting party has made a thorough effort to find a safe method for 

installing and operating the VDECS, including considering the use of mirrors, various locations for VDECS mounting, and use of 

an actively regenerated VDECS. The Executive Officer shall review the documentation submitted and any other reliable 

information that he or she wishes to consider and shall make his or her determination based upon the totality of the evidence. 

Upon finding that a VDECS cannot be installed without violating the safety standards prescribed under federal or state 

requirements for safety or health, the Executive Officer shall issue a determination that there is no highest level VDECS 

available. The Executive Officer shall inform the requesting party, in writing, of his or her determination, within 60 days of receipt 

of the request. Parties may appeal the Executive Officer's determination as described in (A) and (B) below. During the appeal 

process described in (A) and (B) below, the requesting party may request the administrative law judge to stay compliance until a 

final decision is issued. If the stay is granted and the Executive Officer denies the requesting party's request, the requesting party 

has 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;

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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.

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:

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

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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 Vehicles - If the Executive Officer finds that there is a delay 

in availability of vehicles with engines meeting the Tier 3 or Tier 4 interim or final emission standards so that vehicles with Tier 3 

or Tier 4 interim or final engines to meet a fleet's needs are not available or not available in sufficient numbers or in a sufficient 

range of makes, models, and sizes, then the Executive Officer may grant an extension to the fleet from the requirements in 

section 2449.1. 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, 2449.1, and 2449.2.

(11) Exemption for Vehicle Used Over Half the Time for Agriculture - A vehicle that is used by its owner for agricultural operations 

for over half of its annual operating hours but that is not used exclusively for agricultural operations is exempt from the 

performance requirements in section 2449(d), 2449.1, and 2449.2, but still must be labeled and reported in accordance with 

sections 2449(f) and (g). Vehicles used exclusively for agricultural operations are completely exempt from the performance, 

labeling, and reporting requirements. A vehicle that is rented or leased for use by others is exempt only if it is exclusively used for 

agricultural operations.

(12) Exemption for Vehicles Used Solely on San Nicolas or San Clemente Islands - Vehicles used solely on San Nicolas or San 

Clemente Islands are exempt from all requirements in section 2449, 2449.1, and 2449.2. If the land use plans for the islands are 

changed to allow use by the general public of the islands, this exemption shall no longer be applicable.

(13) Exemption for Job Corps Vehicles - Vehicles used by the Job Corps nonprofit apprenticeship training program are exempt 

from the performance requirements in sections 2449(d), 2449.1, and 2449.2 but still must be labeled and reported in accordance 

with sections 2449(f) and (g).

(14) Two-Engine Vehicles - For purposes of the rounding provisions in section 2449.1(b)(5), if a two-engine vehicle is subject to 

this regulation, under section 2449(b), neither engine in the two-engine vehicle is required to be turned over until the hp required 

to be turned over under section 2449.1(b) is at least half the sum of the max hp of the primary and auxiliary engine in the twoengine vehicle.

(15) On-road Registered Vehicles with Off-road Engines - If a workover rig or other on-road registered vehicle subject to this 

regulation with an off-road engine is repowered and will be registered and driven on-road, it must be repowered with an on-road 

certified engine of the same model year or newer as the engine being replaced.

(16) Fleets with 500 hp or less - Fleets with 500 hp or less total max hp may meet the optional compliance schedule listed below 

in Table 1 instead of the small fleet requirements in 2449.1(a)(2) and 2449.1(b). This percent of engine hp must be met or 

exceeded, and the rounding provisions in section 2449.1(b)(5) do not apply. For compliance with this section, all vehicles in the 

fleet must be included; no vehicles qualify for the exemptions listed in section 2449(e).

Table 1 - Optional Compliance Schedule

for Fleets with 500 HP or Less

Compliance Date: Percent of Fleet (by hp) Which Must

January 1 of Year 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 the fleet average or BACT requirements from the optional compliance schedule must begin meeting the 

fleet average or BACT requirements for small fleets on the next compliance date for small fleets. If a fleet grows larger than 500 hp, 

that fleet must begin meeting the fleet average or BACT requirements for small fleets on the next compliance date for the applicable 

fleet size category.

(17) Public funds for purchases, repowers, or retrofits - Notwithstanding sections 2449, 2449.1 and 2449.2, the purchase of a 

replacement vehicle, repower, or a retrofit with public funds shall be counted toward the fleet average or BACT 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 

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section 2449(d)(1) 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 two EINs. Vehicles with two engines where one provides motive power and the other is an auxiliary engine will 

receive one EIN. 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 shall 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 captive attainment area fleet, in which case the 

EIN shall be white on a green background.

(B) The EIN shall be located in clear view on 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 before 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, before January 1, 2013.

(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 (H) 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 vehicles is March 1, 2012. 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);

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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 on-road two-engine vehicles, vehicle identification number);

6. Whether the vehicle is a permanent year-by-year low-use vehicle;

7. If the vehicle is a permanent 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 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 repowered, or replaced with Carl Moyer program funding;

15. Whether the vehicle has had a VDECS installed 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;

18. Whether the vehicle has a VDECS safety exemption per section 2449(e)(8);

19. Whether the vehicle is exempt from the BACT requirements per section 2449.1(b)(2)(E) for the early installation of a 

highest level PM VDECS.

(C) Engines - For each engine that powers a vehicle listed per section 2449(g)(1)(B), or is an auxiliary engine in a two-engine 

vehicle that is subject to this regulation per section 2449(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 max hp;

7. Engine displacement;

8. Whether the engine is a repower and - if so - date repowered;

9. Whether the engine is a flexibility engine;

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10. Whether the engine is 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;

11. 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.

(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 hp of the diesel vehicle replaced and the date replaced;

3. If not electric, the 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. Hp 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 had the highest level PM VDECS installed prior to March 1, 2009, the date of 

installation and whether Carl Moyer Incentive Program funding was used to pay for the VDECS;

3. Fleet owners claiming early credit for retirement or replacement of any vehicles under section 2449.1(b)(14) or 2449.1

(b)(16) 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)5. 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.

(H) Equipment Purchased, Repowered, Retrofitted, or Otherwise Funded or Partially Funded Using Public Funds - For owners of 

equipment or vehicles that were purchased, repowered or retrofitted using public funds and where funding program guidelines 

include criteria that 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 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 reporting date for all fleets is March 1. Fleet owners must report 

information regarding each vehicle subject to this regulation as it was on December 31 of the year prior to the reporting year (for 

example, by March 1, 2018, fleets must report each vehicle as it was at the end of the day on December 31, 2017). Large fleets 

must report annually each year from 2012 to 2023. Medium fleets must report annually each year 2016 to 2023. Small fleets must 

report annually each year from 2018 to 2028. Any fleet that fails to meet the fleet average target rate for the final target date in 

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section 2449.1(a) must continue to report annually each year until it does so. Any fleet that operates permanent or year-by-year 

low-use vehicles must continue to report annually for each permanent or year-by-year low-use vehicle for as long as the fleet 

owns or operates the vehicle. Fleets may use forms (paper or electronic) approved by the Executive Officer for submittal of the 

required reporting information.

(A) Responsible Official Affirmation of Reporting - Each year that annual reporting is required, a fleet shall submit to ARB an 

affirmation 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 affirmation must be submitted on a form (paper or electronic) approved by the Executive 

Officer. If a designee signs the affirmation of reporting, a written statement signed by the responsible official designating the 

designee must be attached to the 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 official designating a new designee must be submitted. If the fleet is a 

captive attainment area fleet, the affirmation must certify that the fleet's vehicles did not operate outside the counties listed in 

2449(c)(6) in the prior year. If the responsible official or designee is the same for several fleets or fleet portions, the responsible 

official or designee has the option of submitting a single affirmation for these fleets, as long as the single affirmation appropriately 

identifies each fleet covered by the affirmation.

(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, VDECS installed, and VDECS removed. 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. For vehicles that fleet owners intend to designate as year-by-year low-use, report two engine hour meter readings, 

one from on or before January 1 of the prior year and one from on or after December 31 of the prior year, and the dates 

of reading. If using the three-year rolling average definition of year-by-year low-use, report two hour meter readings, one 

from on or before January 1 of the first year of the three year period and one from on or after December 31 of the third 

year. For vehicles that fleet owners intend to designate as permanent low-use vehicles, report one engine hour meter 

reading from on or before January 1 of the current year. For each year thereafter, report the engine hour meter reading 

from on or after December 31 of the prior year. Permanent and year-by-year low-use 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. 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 of the prior year and one from on or after December 31 of the prior 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.

(3) New Fleet Reporting - New fleets must submit the information in section 2449(g)(1)(A) through (H) 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 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:

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(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;

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

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

(7) Manufacturer Delay - For any vehicles or VDECS for which the fleet owner is utilizing the equipment manufacturer delay 

provision in section 2449(e)(6), proof of purchase, such as a purchase order or signed contract for the sale, including engine 

specifications for each applicable piece of equipment or vehicle.

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

(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 shall not be considered the highest level VDECS available due to safety concerns;

(D) Approval to use the max hp of a diesel vehicle that serves the same function as an electric vehicle;

(E) Approval of an alternative fuel vehicle emission standard;

(F) Approval of a vehicle designation as a specialty vehicle;

(G) Approval of an experimental diesel control strategy;

(H) Approval to grant an extension to the fleet from the requirements when Tier 3 or Tier 4 (interim or final) vehicles are not 

available;

(I) Approval to use a fuel strategy as an emissions control strategy as in section 2449(e)(2);

(9) Credit for Early Retirement or Replacement - Each fleet owner that claims credit for the retirement or replacement of vehicles 

from March 1, 2006, to March 1, 2010, under sections 2449.1(b)(14) or 2449.1(b)(16) shall maintain records substantiating the 

fleet's claim of previous ownership for those vehicles.

(10) Record Retention - Each fleet owner shall maintain the records for each vehicle subject to the regulation for the overall fleet 

as long as the owner has a fleet or January 1, 2030, whichever is earlier. If vehicle ownership is transferred, the seller shall 

convey the vehicle records including vehicle data under section 2449(g)(1)(B), engine data under section 2449(g)(1)(C), and 

VDECS data under section 2449(g)(1)(D) to the buyer. If fleet ownership is transferred, the seller shall convey the fleet records 

including fleet data under sections 2449(g)(1)(A) through (H) to the buyer. Any person selling a vehicle with an engine subject to 

this regulation in California must maintain records of the disclosure of regulation applicability required by section 2449(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 

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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 -

After the initial reporting required by section 2449(g)(1) and the annual reporting and responsible official affirmation of reporting 

required by section 2449(g)(2) is received by ARB, if the report and affirmation indicates the fleet is in compliance with the 

requirements of the Regulation for In-Use Off-Road Diesel-Fueled Fleets, ARB will provide the fleet with a Certificate of Reported 

Compliance with the Regulation for In-Use Off-Road Diesel-Fueled Fleets.

(m) Severability -

If any subsection, paragraph, subparagraph, sentence, clause, phrase, or portion of section 2449, 2449.1, or 2449.2 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.

HISTORY

1. New article 4.8 (sections 2449-2449.3) and section filed 5-16-2008; operative 6-15-2008 (Register 2008, No. 20).

2. Change without regulatory effect amending subsection (d)(7)(B)1. filed 9-8-2008 pursuant to section 100, title 1, California Code of 

Regulations (Register 2008, No. 37).

3. Amendment of subsections (b), (c) (new definition of “Two-Engine Crane”) and (e)(7), new subsections (e)(14)-(15), amendment of 

subsection (g)(1)(B)5. and new subsections (g)(1)(B)17. filed 12-3-2009; operative 12-3-2009 pursuant to Government Code section 

11343.4(c) (Register 2009, No. 49).

4. New subsections (c)(28), (c)(41) and (c)(46), subsection renumbering, amendment of subsection (g)(1)(G)3., new subsections (g)

(1)(G)4. and (h)(8)-(9), subsection renumbering and amendment of newly designated subsection (h)(10) and Note filed 12-31-2009; 

operative 12-3-2009 pursuant to Government Code section 11343.8 and Health and Safety Code section 43018.2 (AB2x 8). In 

accordance with Health and Safety Code section 43018.2(b), this regulatory action is exempt from the APA and OAL review. 

Submitted to OAL for printing only (Register 2010, No. 1).

5. Amendment of subsections (d)(4)(A) and (g)(1)(D)2., new subsection (g)(1)(D)6. and amendment of subsection (h)(10) filed 12-31-

2009; operative 1-1-2010 pursuant to Government Code section 11343.4 (Register 2010, No. 1).

6. Amendment of subsections (c)(26), (c)(39) and (e)(6), new subsection (e)(6)(D), amendment of subsection (e)(8) and new 

subsection (g)(4) filed 7-16-2010; operative 8-15-2010 (Register 2010, No. 29).

7. Amendment of subsection (b), new subsection (c)(60), subsection renumbering, new subsection (e)(16) and amendment of 

subsections (g)(1) and (g)(1)(B)5. filed 10-19-2010; operative 10-19-2010 pursuant to Government Code section 11343.4 (Register 

2010, No. 43).

8. Amendment filed 12-14-2011; operative 12-14-2011 pursuant to Government Code section 11343.4 (Register 2011, No. 50).

This database is current through 2/12/16 Register 2016, No. 7

13 CCR § 2449, 13 CA ADC § 2449

END OF DOCUMENT © 2016 Thomson Reuters. No claim to original U.S. Government Works.

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