STAFF REPORT: INITIAL STATEMENT OF REASONS 

FOR PROPOSED RULEMAKING 

AMENDMENTS FOR THE 

AIRBORNE TOXIC CONTROL MEASURE 

FOR IN-USE DIESEL-FUELED 

TRANSPORT REFRIGERATION UNITS (TRU) 

AND TRU GENERATOR SETS, 

AND FACILITIES WHERE TRUs OPERATE 

Stationary Source Division 

Emissions Assessment Branch 

September 2010 
This Page Left Intentionally Blank 
i 

State of California 

AIR RESOURCES BOARD 

STAFF REPORT: INITIAL STATEMENT OF REASONS 

FOR PROPOSED RULEMAKING 

Public Hearing to Consider 

PROPOSED AMENDMENT OF THE AIRBORNE TOXIC CONTROL MEASURE FOR 

IN-USE DIESEL-FUELED 

TRANSPORT REFRIGERATION UNITS (TRU) 

AND TRU GENERATOR SETS, 

AND FACILITIES WHERE TRUs OPERATE 

To be considered by the Air Resources Board on November 18, 2010, at: 

California Environmental Protection Agency 

Headquarters Building 

1001 “I” Street 

Byron Sher Auditorium 

Sacramento, California 

Stationary Source Division: 

Richard W. Corey, Chief 

Cynthia Marvin, Assistant Chief 

Emission Assessment Branch: 

Dan Donohoue, Chief 

Process Evaluation Section: 

Richard Boyd, Manager 

This report has been prepared by the staff of the Air Resources Board. Publication 

does not signify that the contents reflect the views and policies of the Air Resources 

Board, nor does mention of trade names or commercial products constitute 

endorsement or recommendation for use. 
ii

This Page Left Intentionally Blank 
iii

State of California 

AIR RESOURCES BOARD 

PROPOSED AMENDMENT OF THE AIRBORNE TOXIC CONTROL MEASURE FOR 

IN-USE DIESEL-FUELED 

TRANSPORT REFRIGERATION UNITS (TRU) 

AND TRU GENERATOR SETS, 

AND FACILITIES WHERE TRUs OPERATE 

Primary Authors

Rod Hill, Lead Staff 

Carolyn Craig 

Renèe Coad 

Contributing Authors

Matt Malchow 

Reza Mahdavi 

Todd Sax 

Contributing Divisions

Enforcement Division 

Mobile Source Control Division 

Planning and Technical Support Division 

Research Division 

Legal Counsel

Michael Terris 
iv

ACKNOWLEDGEMENTS

We would like to acknowledge the assistance of the following individuals, agencies, and 

organizations for their participation: 

Mike Tunnell, American Trucking Association 

Jim Deerwester, Kurt Hauer, David Kiefer, Alan Knight, and Bill Maddox, Carrier 

Transicold 

Kara Bush, California Grocers Association 

Matt Schrap, California Trucking Association 

Mike Shuemake, Central Valley Trailer Repair 

Scott Cramer, Certified Freight Logistics, Inc. 

Chuck Hunter, Coast Truck Centers 

Roger Cunnington and Ted Cooper, El Dorado Water and Shower 

Doug Emig, Emission Reduction systems 

Joseph Suchecki, Engine Manufacturers’ Association 

Ted Heilman, Foster Farms Dairy 

Pat Smith, Harris Ranch 

Miles Hartman and Blain McCallum, Huss Filters, Inc. 

Pati Seneca, International Warehouse Logistics Association 

Itaru Fujita and Rick Cook, “K” Line America 

Ken Lund, Allen Lund Company 

Diane Bailey, Natural Resource Defense Council 

Andy Cox, MCA Logistics 

Rick Mellow and Bill Rollins, Northern Refrigerated Transport 

Ed Gamache, Ozark Trucking 

Charlie Morasch, Owner-Operator Independent Drivers Association 

Tom Sem, Proventia Emission Control 

Randy Standiford, Raley’s Distribution Center 

Duane Wanner, Reviva 

Peter Bransfield, Pete Guzman, and Peter Ellison, Rypos, Inc. 

Westley Say, Saladino’s Inc. 

Jennifer Champion, Shaw Environmental and Infrastructure 

Daniel C. Miller, SMART Refrigerated Transport 

David Bates, Paul Barbaro, Tom Birchard, Erich Lucht , Glen Pirie, Thermo King Corp. 

Cornwall VanBeek, TK Fresno 

Corky Cobo and Steve Holmes, TK Services 

John Stirrup, Transportation Intermediaries 

Jon Germer, Union Pacific Railroad 

Phil Carlson, U.S. Environmental Protection Agency 

Kelly McKechnie and Ken Gilliland, Western Growers 

Loretta Calderon, Yamko Truck Lines 
v

Staff Report: Initial Statement of Reasons 

for the Proposed Amendment of the Airborne Toxic Control Measure 

for In-Use Diesel-Fueled Transport Refrigeration Units (TRU) 

and TRU Generator Sets, and Facilities where TRUs Operate 

Table of Contents 

Contents Page

Executive Summary .................................................................................................. ES-1 

I. Introduction......................................................................................................... I-1 

A. Overview ....................................................................................................... I-1 

B. Need for Regulation ...................................................................................... I-1 

C. Regulatory Authority...................................................................................... I-2 

II. Summary of Proposed TRU ATCM 2010 Amendments .................................... II-1 

A. Background Information on Emission Standards for New Off-Road 

Engines ........................................................................................................ II-1 

B. Background Information on In-Use Requirements ....................................... II-2 

C. Proposed Amendments for MY 2003 (25 hp and greater) – Change In-Use 

Standard from ULETRU to LETRU .............................................................. II-4 

D. Proposed Amendment for MY 2003 and 2004 (less than 25 hp) – 

Change In-Use Standard from ULETRU to LETRU ..................................... II-6 

E. Other Proposed TRU ATCM 2010 Amendments ......................................... II-8 

F. Alternatives Considered ............................................................................. II-12 

III. Emissions Inventory and Health Risk ............................................................... III-1 

A. MY 2003 and MY 2004 Engine Populations ............................................... III-1 

B. Emissions from MY 2003 and MY 2004 Engines ........................................ III-1 

C. Population of Flexibility Engines.................................................................. III-3 

D. Emissions from Flexibility Engines .............................................................. III-4 

E. Total Combined Emissions Impacts from Proposed Amendments.............. III-5 

F. Health Risk.................................................................................................. III-6 

IV. Environmental and Health Impacts of Proposed Amendments ........................IV-1 

A. Statewide Emissions Impacts......................................................................IV-1 

B. Health Impacts ............................................................................................IV-3 

C. Environmental Impacts................................................................................IV-4 

D. Global Warming Impacts.............................................................................IV-4 

E. Reasonably Foreseeable Mitigation Measures ...........................................IV-5 

F. Reasonably Foreseeable Alternative Means of Compliance with the 

Proposed Amendments ..............................................................................IV-5
vi

Table of Contents (cont.) 

Contents Page

V. Economic Impacts .............................................................................................V-1 

A. Summary of the Economic Impacts..............................................................V-1 

B. Legal Requirements .....................................................................................V-2 

C. Methodology for Estimating Costs Associated with Proposed 

Amendments................................................................................................V-3 

D. Total Regulatory Costs.................................................................................V-7 

E. Estimated Costs to Businesses....................................................................V-8 

F. Cost to Local, State and Federal Agencies ..................................................V-9 

G. Cost Effectiveness .......................................................................................V-9 

VI. Public Outreach and Future Activities...............................................................VI-1 

A. Public Outreach...........................................................................................VI-1 

B. Environmental Justice .................................................................................VI-1 

C. Future Activities...........................................................................................VI-1 

VII. Recommendation ............................................................................................VII-1 

References.................................................................................................................. R-1 

APPENDIX A: Proposed Regulation Order: Title 13 Airborne Toxic Control 

Measures for In-Use Diesel-Fueled Transport Refrigeration Units 

(TRU) and TRU Generator Sets, and Facilities Where TRUs 

Operate 

APPENDIX B: Proposed TRU ATCM 2010 Amendments In-Use Compliance Cost 

Estimates 

APPENDIX C: Acronyms 
vii

LIST OF TABLES

Table Title Page

Table ES-1: Effectiveness of PM Emissions Standards for New TRU Engines 

vs PM Control Levels for Verified Retrofit Devices .............................. ES-3 

Table II-1: ARB and U.S. EPA PM Emission Standards for New 

Non-Road/Off-Road Diesel Engines Used in TRUs................................ II-1 

Table II-2: Existing TRU and TRU Gen Set In-Use Performance Standards ........... II-3 

Table II-3: >25 HP TRU and TRU Gen Set Engines Proposed In-Use 

Compliance Dates for In-Use Standards................................................. II-6 

Table II-4: <25 HP TRU and TRU Gen Set Engines Proposed In-Use 

Compliance Dates for In-Use Standards................................................. II-8 

Table II-5: Flexibility Engine Allowances.................................................................. II-9 

Table II-6: Effective Model Year............................................................................. II-10 

Table II-7: Compliance Cost Comparisons for Trailer TRUs .................................. II-13 

Table III-1: Summary of Population of Affected MY 2003 and MY 2004 

Engines (2010) ..................................................................................... III-1 

Table III-2: Annual Hours of Operation, Average Engine Power, and Load 

Factors for TRUs by Equipment Type.................................................... III-2 

Table III-3: Off-Road Emission Factors for TRUs by Equipment Type..................... III-2 

Table III-4: Flexibility Engine Population Share by MY and Horsepower 

Category ................................................................................................ III-3 

Table III-5: Annual Hours of Operation, Average Engine Power, and Average 

Load Factors for Flexibility Engines by Horsepower Category .............. III-4 

Table III-6: Off-Road Emission Factors for Flexibility Engines by Horsepower 

Category ................................................................................................ III-4 

Table III-7: Overall Emissions Impacts from Proposed TRU ATCM 

2010 Amendments (2010) ..................................................................... III-5 

Table III-8: Statewide Diesel PM Emission Reductions Attributable to the 

Existing TRU Regulation and Subset of Reductions to be Deferred 

Under the Proposed 2010 TRU Amendments ....................................... III-6 

Table IV-1: Statewide Diesel PM Annual Unrealized Emission Reductions for 

2010 to 2020 Attributable to Proposed TRU ATCM 2010 

Amendments..........................................................................................IV-2

Table V-1: Estimated Average VDECS Retrofit Costs by Equipment Type 

(2010 Dollars) .........................................................................................V-4 

Table V-2: Incremental Cost Savings from Proposed Amendment Extending the 

Level 2 VDECS Requirement to MY 2003 and MY 2004 Engines 

(2010 Dollars) .........................................................................................V-5 

Table V-3: Costs from Proposed Amendment Extending the Level 3 VDECS 

Compliance Deadline for MY 2003 and MY 2004 Engines to 2017 

and 2018 (2010 Dollars) .........................................................................V-6 

Table V-4: Total Estimated Regulatory Costs for Proposed TRU ATCM 

2010 Amendments (2010 Dollars) ..........................................................V-7 
viii

LIST OF TABLES (cont.)

Table Title Page

Table V-5: Estimated Incremental Regulatory Cost Savings for Small and 

Typical Business (2010 Dollars) .............................................................V-9 

Table V-6: Comparison of Diesel PM Cost Effectiveness of the Proposed 

TRU ATCM 2010 Amendments to Other ARB Regulations ..................V-10 

LIST OF FIGURES 

Figure Title Page

Figure ES-1: Statewide Diesel PM Emissions from TRUs With Existing Regulation 

 and Proposed 2010 Amendments ....................................................... ES-1 

Figure IV-1: Projected Statewide Diesel PM Emissions for Baseline, TRU ATCM, 

and with Proposed TRU ATCM 2010 Amendments...............................IV-3 
ES-1 

EXECUTIVE SUMMARY 

The California Air Resources Board (ARB or Board) staff is proposing amendments to 

the existing regulations affecting transport refrigeration units (TRU) and TRU generator 

sets (gen set). When we refer to TRUs in this report, we also include TRU gen sets 

unless otherwise specified. These proposed amendments affect the TRU Airborne 

Toxic Control Measure1

 that the Board approved for adoption on February 26, 2004. All 

characterizations of benefits and impacts are relative to the estimates in the 2003 ARB 

Staff Report for the 2004 TRU regulation (ARB, 2003). The proposed 

2010 amendments to the TRU regulation are included here as Appendix A. 

Implementation of the TRU regulation is reducing diesel particulate matter (PM) 

emissions and the associated health risk in communities near distribution centers, 

railyards, and ports. The end goal of the existing regulation is to upgrade the in-use 

TRUs to 85 percent PM control or better, with the compliance schedule based on a 

seven-year operational life for the equipment. Staff believes that three changes are 

needed now to respond to new information that affects upcoming compliance deadlines. 

The proposed amendments would: 

1. Add an interim, lower cost retrofit option for a subset of TRU engines due to very 

limited availability of the most effective retrofit devices. To expand the range of 

options, owners could retrofit model year 2003 and some 2004 TRUs with 

Level 2 (50 percent PM control) filters now for compliance with the 

December 2010 requirements (December 2011 for some 2004 TRUs). TRUs 

that comply by using Level 2 retrofits would need to be upgraded to meet 

85 percent emission controls via retrofit or replacement in seven years. 

2. Phase in provisions that link the schedule to upgrade TRU “flexibility engines” to 

the actual emissions profile of the engines, rather than the labeled engine model 

year. The existing TRU regulation establishes an upgrade schedule based on 

the engine model year. TRU manufacturers are selling significant quantities of 

new TRUs with flexibility engines that rely on older, less effective control 

technology instead of the latest technology. While this is permitted under the 

federal and State regulations for new engines, it delays turnover to cleaner 

engines. The amendments would use the emissions profile (characterized as the 

“effective model year”) to define when the flexibility engines need to be 

upgraded. Future purchases of flexibility engines would be regulated based on 

the effective model year of the engine. However, to preserve prior-year 

investments that TRU owners have already made in purchasing new TRUs that 

are equipped with a higher-emitting flexibility engine, the manufacture year of the 

engine (typically a later date than the effective model year) would be used. 

 

1

Title 13, CCR section 2477 is known as the Transport Refrigeration Unit Airborne Toxic Control Measure

and establishes in-use performance standards, recordkeeping, and facility reporting requirements for 

TRUs. 
ES-2 

3. Increase reporting by TRU manufacturers to assist TRU owners with compliance. 

With the proposed amendments, the TRU regulation would continue to substantially 

decrease diesel PM and NOx emissions, but defer a small portion of the expected 

emission reductions from now until the 2017-2018 period. Figure ES-1 shows the 

decline in diesel PM emissions expected under the TRU regulation, and the change with 

the proposed 2010 amendments. The overall deferred reductions from the proposed 

amendments amount to 0.04 tons PM per day statewide in 2010, steadily decreasing to 

0.001 tons PM per day statewide by 2018. The amendments would also allow TRU 

owners selecting a two-step retrofit path to realize near-term cost savings while still 

reducing diesel PM now. 

Figure ES-1: Statewide Diesel PM Emissions from TRUs 

With Existing Regulation and Proposed 2010 Amendments 

To evaluate the health impact of deferring these emission reductions for the seven-year 

period, we conservatively assumed that an individual living near a large distribution 

center was exposed to the maximum increment of higher emissions for a full 70 years. 

This would increase the maximum potential cancer risk by less than one in a million. 

A. Background 

TRUs are refrigeration systems (powered by an integral diesel engine) to protect 

perishable goods transported in insulated truck and trailer vans, rail cars, and domestic 

shipping containers. TRU gen sets provide onboard electric power to electrically driven 

refrigeration systems that are used in shipping containers and trailers. 

Federal and State regulations establish progressively more stringent emission 

standards that TRU engine manufacturers must meet over time. These standards are 

Existing Regulation

Proposed Amendments

0 . 2

0 . 4

0 . 6

0 . 8

1 . 0

1 . 2

1 . 4

1 . 6

1 . 8

2 0 0 9 2 0 1 1 2 0 1 3 2 0 1 5 2 0 1 7 2 0 1 9 2 0 2 1

tons per day
ES-3 

characterized by emission “tier” levels that apply to a range of manufacturing model 

years. 

To reduce PM emissions from in-use engines, ARB verifies diesel PM retrofit devices 

based on levels of PM control. Table ES-1 shows the PM control associated with the 

emissions tiers for new engines and the emissions levels for retrofit devices. 

Table ES-1: Effectiveness of PM Emission Standards

for New TRU Engines vs PM Control Levels 

for Verified Retrofit Devices 

New TRU Engines: 

Emissions Tiers 

% PM Control Retrofit Devices: 

Emissions Levels 

Tier 0 Engine None - 

Tier 1 Engine 20% - 

Tier 2 Engine 40% - 

- 50% Level 2 Retrofit 

Tier 4i Engine 70% - 

- 85% Level 3 Retrofit 

Tier 4f Engine 97% - 

ARB adopted the existing TRU regulation in 2004 to accelerate the cleanup of existing 

TRUs through retrofit, engine repower, or unit replacement. The compliance schedule 

is based on the model year of the existing engine – the oldest model year TRU engines 

had to be upgraded first. The schedule provides a seven-year operational life for the 

equipment. Ultimately, all TRUs must have 85 percent PM control to fully comply with 

the regulation. Currently, only the Level 3 retrofit can provide the 85 percent control. 

New model year 2010 TRU engines are Tier 4i with 70 percent PM control. Tier 4f 

engines with 97 percent PM control will be produced beginning in 2013. 

Under the existing regulation, the owners of model year 2003 and 2004 TRUs can 

currently choose from the following compliance paths: 

1. Retrofit the existing TRU with a Level 3 (85 percent PM control) filter system at a 

cost of about $6,000. 

2. Replace the existing unit with a new TRU (equipped with 70 percent PM control) 

at a cost of $20,000-$25,000 now, then upgrade that TRU with a Level 3 retrofit 

or another new TRU (equipped with at least 85 percent PM control) in seven 

years. Owners selecting this path typically have higher use existing TRUs that 

are at or beyond their useful life and need to be replaced anyway for operational 

and reliability reasons. 

3. Repower the TRU engine with a new engine (equipped with 70 percent PM 

control) at a cost of $5,500-$9,750 now, then upgrade that engine or TRU with a 
ES-4 

Level 3 retrofit or another new TRU (equipped with at least 85 percent PM 

control) in seven years. 

4. Use an alternative technology, like an electric standby-equipped TRU or 

cryogenic temperature control system. 

B. Add an Interim, Lower Cost Retrofit Option for a Subset of TRUs 

Issue: Over the next year, more than 4,000 existing engines need to be upgraded to 

comply with the TRU regulation. The model year 2003 engines must upgrade by the 

end of 2010 and the 2004 engines must do so by the end of 2011. As of this report, 

there is a single ARB-verified Level 3 filter system available for these TRUs. After some 

setbacks in the field testing that required redesign, this unit received its ARB verification 

in June 2010. Since June, the sole manufacturer has produced about 50 units for sale, 

far short of the more than 1,200 units that need to be purchased and installed by 

December 31, 2010, under the existing regulation. 

However, two manufacturers are producing several models of Level 2 filters, which have 

been successfully installed on thousands of model year 2002 and older TRUs at a cost 

of $3,650 to $4,750 for each filter. These filters for model year 2002 TRUs are 

compatible with the model year 2003 engine technology as well. The Level 2 filters 

have an established network of dealers and installers; the filters have also have been 

thoroughly demonstrated. 

Proposal: Amend the TRU regulation to allow Level 2 filters to be used for interim 

compliance on this subset of model year 2003 and some 2004 (less than 25 

horsepower) engines. There is a sufficient supply of the Level 2 filters, plus capacity at 

dealers and installers, to meet the demand over the next few months. Model year 2003 

and 2004 (<25 hp) engines are also compatible with Level 2 filters. This proposed 

amendment would give TRU owners an additional, cheaper option now (retrofit a 

Level 2 filter on an existing TRU) and allow them to defer for seven years the need to 

retrofit to a Level 3 filter or purchase a new TRU with an engine that meets the most 

stringent PM in-use standard. 

Controlling diesel PM from a portion of the affected TRUs by 50 percent, rather than the 

current 85 percent, means that fewer of the expected emission reductions will be 

realized between 2010 and 2017, as compared to the original TRU regulation. There 

would also be a net savings for the TRU owner on the compliance costs due to the 

regulation, based on the lower cost to purchase Level 2 rather than Level 3 retrofit 

technology now, and deferral of the upgrade to Level 3 control to the 2017 timeframe. 

The impact from this provision would be to temporarily defer a very small quantity of the 

anticipated emission reductions from the TRU regulation – 0.012 tons PM per day 

statewide in 2010 – steadily decreasing to less than 0.004 tons PM per day by 2017 and 

to zero from 2018 on. This assumes that all owners using the retrofit option would 
ES-5 

comply using a Level 2 filter. The near-term emissions impact would be less if owners 

are able to obtain and install the limited number of available Level 3 filters. 

C. Link Compliance Schedule for Flexibility Engines to Their Emissions Tier 

Issue: When staff evaluated the reductions in emissions and heath risk associated with 

the original TRU regulation, we assumed that TRU engines manufactured in a specific 

year would meet the emission standards applicable for that year. However, federal and 

State regulations for new TRU engines allow manufacturers to certify a portion of new 

TRU engines to a less effective emission standard. This provision for “flexibility 

engines” is intended to provide equipment manufacturers with more time to design, 

engineer, and produce equipment for each successive phase of cleaner engines. As a 

result, a new TRU for sale could contain a new engine with older, less effective control 

technology based on emission standards for prior model years. Based on data provided 

by TRU original equipment manufacturers, there are significantly more flexibility engines 

being used in California than originally anticipated. This diminishes the emission 

reductions being achieved with the regulation. 

Proposal: The proposed TRU amendments would specify that for future purchases of 

TRUs with flexibility engines, the emissions tier or effective model year would be used 

to determine the compliance schedule to upgrade that engine. However, many TRU 

owners were unaware that purchasing a TRU equipped with a flexibility engine would 

trigger an earlier requirement to upgrade compared to a TRU engine with the latest 

emission controls. For TRUs with flexibility engines that were purchased prior to the 

effective date of the TRU amendments, the compliance schedule would be based on 

the year the engine was manufactured. While this temporarily defers a very small 

quantity of the anticipated emission reductions expected in 2010 – 0.025 tons PM per 

day – it provides the full seven-year operational life to these TRUs before upgrades 

would be required. 

D. Expand Reporting by TRU Manufacturers 

Issue: To implement the proposed amendment to address flexibility engines, staff will 

need additional data from the TRU manufacturers. In addition, staff is working on 

enhancements to the TRU on-line registration system – ARBER - to make data entry by 

TRU owners easier and to reduce data entry errors. Staff is also working to improve 

estimates of TRU populations and statewide emissions. 

Proposal: To help accomplish these goals, ARB staff is proposing to require the TRU 

manufacturers to periodically report data on each TRU and TRU engine for the coming 

production year as well as production information for previous years. 

E. Impacts of Proposed 2010 Amendments to TRU Regulation 

Emission Impacts. Even with no changes to the existing TRU regulation, expanded use 

of higher emitting flexibility engines will slightly increase PM and NOx emissions 
ES-6 

compared to the regulatory estimates in the 2003 Staff Report. While this does not 

mean a net increase in emissions; it does mean that all of the expected emission 

reductions will not be realized. With the proposed change for flexibility engines, this 

loss of emission reductions will end by 2018. The proposal to allow owners of model 

year 2003 and 2004 (<25 hp) TRUs to use a Level 2 filter as an interim compliance 

strategy would mean 50 percent PM control instead of 85 percent control on a subset of 

engines until 2017 or 2018. The combined, maximum impact of the proposed 

amendments would be approximately 0.04 tons per day of diesel PM reductions not 

realized statewide in 2010, decreasing to zero in 2018. The impact on NOx emissions 

is expected to range from a high of 0.10 tons per day of unrealized reductions in 2010, 

decreasing to nearly zero by 2020. 

Compliance Cost Impacts. There will be cost savings due to allowing use of lower cost 

Level 2 filters for model year 2003 and 2004 (<25 hp) TRUs in the near-term. The total 

savings would be about $2.1 million (annualized over the seven-year operational life 

and presented in 2010 dollars). However, since the engines with Level 2 retrofits still 

operating in 2017 and 2018 would need to upgrade again to Level 3 PM control, the 

deferred compliance costs would be about $1.79 million in 2010 dollars. The net 

savings for TRU owners would be about $310,000 in 2010 dollars. The proposed 

amendments do not affect the cost of repowering a unit with a cleaner engine to 

maintain compliance. 

There are no end-user compliance costs related to the amendment addressing the past 

use of flexibility engines. Together, the TRU manufacturers would incur total one-time 

costs of about $19,000 for flexibility engine reporting, total one-time costs of $25,000 for 

the initial prior production reports, and total annual costs of $8,000 for 18 years of 

periodic update reports. The total cost to all of the TRU manufacturers combined adds 

to nearly $150,000 over the 18 years of implementation. Staff anticipates that the 

manufacturers can significantly reduce the cost of preparing and submitting these 

reports through automation and electronic reporting. 

With a net savings for TRU owners of $310,000 and a net cost to TRU manufacturers of 

$150,000, the overall cost impact of the proposed amendments is a savings of 

$160,000 in 2010 dollars. 

Public Health Impacts. Staff applied the estimated emissions impacts to dispersion 

models to estimate the change in public exposure to PM. Staff then applied that 

exposure to risk models and found that the change in the public health risk to be 

negligible. Under the proposed amendments, a small increment of diesel PM emission 

reductions would not be realized for seven years, ranging from 0.001 to 0.04 tons per 

day statewide, compared to the original TRU regulation. 

Using the State’s cancer risk modeling protocols and assuming constant exposure to 

the maximum emissions for a 70-year life, the increase in the maximum individual 

cancer risk near a large distribution center would be less one in a million. 
ES-7 

Environmental Justice. The proposed 2010 amendments to the TRU regulation are 

consistent with ARB environmental justice policies. They restore the emission reduction 

benefits that would otherwise be lost to the future use of flexibility engines, while 

deferring a small portion of the expected reductions to accommodate technology 

availability. The proposed amendments have a negligible net effect on emissions and 

public health risks in communities near distribution centers, rail yards, intermodal 

facilities or ports. 

F. Public Outreach and Comments 

In developing the proposed 2010 amendments to the TRU regulation, ARB staff 

conducted three public workshops and worked closely with stakeholders, including TRU 

owners and fleet operators, trade associations, trade journal reporters, TRU original 

equipment manufacturers, TRU dealers and service centers, truck and trailer dealers, 

brokers and leasing companies, diesel particulate matter emissions control system 

manufacturers, environmental groups, engine rebuilders, and other interested parties. 

Stakeholders provided informal comments during the workshops and prior to release of 

the 45-day public notice. TRU owners and trade associations have expressed support 

for the amendments related to changing the requirements for model year 2003 and 

2004 (<25 hp) engines to Level 2 PM control. Similarly, the TRU manufacturers, 

dealers, and owners are supportive of the amendment that allows existing flexibility 

engines to use the manufacture date as the model year of the engine. The TRU 

manufacturers are generally willing to cooperate with the periodic recordkeeping 

requirements; however, they are concerned about the security of confidential production 

information. Current California law provides the necessary protection for TRU 

manufacturers’ data by allowing them to declare the data as confidential or trade secret. 

ARB staff has worked through this concern with manufacturers in other competitive 

industries and developed effective procedures to protect such data. 

G. Staff Recommendation for Board Action 

ARB staff recommends the Board approve the proposed 2010 amendments to the TRU 

regulation as presented in Appendix A of this Staff Report. 
(This Page Left Intentionally Blank)
I-1 

I. Introduction

A. Overview

This Staff Report: Initial Statement of Reasons for Proposed Rulemaking (Staff Report) 

provides the basis for the California Air Resources Board (ARB or Board) staff’s 

proposal to amend the regulations affecting transport refrigeration units (TRU)2

. The 

primary purpose of the proposed TRU ATCM 2010 amendments is to change the in-use 

performance standard for model year (MY) 2003 TRU engines from the 

Ultra-Low-Emission TRU (ULETRU) in-use standard to either ULETRU or the less 

stringent Low-Emission TRU (LETRU) in-use standard. This change is needed 

because the control technology that is needed for the retrofit compliance option to meet 

ULETRU has limited availability while the technology for meeting LETRU is readily 

available. 

Requirements for “flexibility” engines used in TRUs by original equipment manufacturers 

under the Transitional Program for Equipment Manufacturers are also clarified. In 

addition, new reporting requirements for TRU original equipment manufacturers are 

proposed. The proposed TRU ATCM 2010 amendments are provided in Appendix A of 

this Staff Report. 

This Staff Report discusses California’s estimated population of affected TRU engines, 

the emissions impacts, and the health risk impacts associated with the proposed TRU 

ATCM 2010 amendments. Potential environmental, health, and economic impacts of 

the proposed TRU ATCM 2010 amendments are discussed, as well as the alternatives 

that were considered. 

The basis of the original TRU ATCM and background information can be found in the 

Staff Report: Initial Statement of Reasons for Proposed Rulemaking – Airborne Toxic 

Control Measure for In-Use Diesel-Fueled Transport Refrigeration Units (TRU) and TRU 

Generator Sets, and Facilities Where TRUs Operate, October 2003 (ARB,2003). For 

the remainder of this report, the original 2003 staff report will be referred to as the 

2003 Staff Report. 

B. Need for Regulation 

ARB’s mission is to protect public health, welfare, and ecological resources through the 

effective and efficient reduction of air pollutants, while recognizing and considering the 

effects on the economy of the State. ARB’s vision is that all individuals in California, 

especially children and the elderly, can live, work, and play in a healthful environment – 

free from potential harmful exposure to air pollution. To help achieve this, ARB has 

adopted regulations to control emissions from many different sources, including 

diesel-fueled engines. Diesel-fueled engine exhaust is a significant health concern 

 

2

Title 13, California Code of Regulations (CCR) section 2477 is known as the Transport Refrigeration Unit 

Airborne Toxic Control Measure (TRU ATCM) and establishes in-use performance standards, 

recordkeeping, and facility reporting requirements for TRUs. 
I-2 

because it is a source of unhealthful air pollutants including particulate matter, gaseous 

and particulate-phase toxic air contaminants (TAC), nitrogen oxides (NOx), carbon 

monoxide, and hydrocarbons. 

In 1998, the Board identified diesel PM as a TAC with no specified threshold exposure 

level below which adverse health impacts would be expected, pursuant to Health and 

Safety Code (HSC) sections 39650 through 39675. A needs assessment for diesel PM 

was conducted between 1998 and 2000 pursuant to HSC sections 39658, 39665, and 

39666. This resulted in ARB staff developing, and the Board approving, the Risk 

Reduction Plan to Reduce Particulate Matter Emissions from Diesel-Fueled Engines 

and Vehicles (Diesel RRP) in 2000 (ARB, 2000). The Diesel RRP presented 

information on the available options for reducing diesel PM and recommended 

regulations to achieve these reductions. The Diesel RRP’s scope addressed all 

categories of mobile and stationary diesel engines and included control measures for 

off-road diesel PM sources, such as those covered by the TRU ATCM. The ultimate 

goal of the Diesel RRP is to reduce, by 2020, California’s diesel PM emissions and 

associated potential cancer risks by 85 percent from the 2000 levels. 

The federal Clean Air Act (CAA) requires the U.S. Environmental Protection Agency 

(U.S. EPA) to establish National Ambient Air Quality Standards (standards) for 

pollutants considered harmful to public health, including fine particulate matter (PM2.5) 

and ozone. The South Coast and San Joaquin Valley Air Basins are the two areas in 

the State that exceed the annual PM2.5 standards. These air basins are required by 

federal law to develop State Implementation Plans (SIP) describing how they will attain 

the standards by 2015. U.S. EPA further requires that all necessary emission 

reductions be achieved one calendar year sooner – by 2014 – in recognition of the 

annual average form of the standard. Diesel PM emission reductions are needed 

because diesel PM contributes to ambient concentrations of PM2.5. 

C. Regulatory Authority 

Several sections of the California Health and Safety Code (HSC) provide ARB with 

authority to adopt the TRU ATCM and these TRU ATCM 2010 amendments. HSC 

sections 39600 (General Powers) and 39601 (Standards, Definitions, Rules, and 

Measures) confer to ARB, the general authority and obligation to adopt rules and 

measures necessary to execute the Board's powers and duties imposed by State law. 

HSC sections 43013(b) and 43018 provide broad authority for adopting measures to 

reduce TACs and other air pollutant emissions from vehicular and other mobile sources. 

HSC section 39618 classifies refrigerated trailers as off-road mobile sources under ARB 

jurisdiction. 

More specifically, California's Air Toxics Program, established under California law by 

AB 1807 (Stats. 1983, Ch. 1047) and set forth in Health and Safety Code 

sections 39650 through 39675, mandates the identification and control of air toxics in 

California. The identification phase of the Air Toxics Program requires ARB, with 

participation of other state agencies, such as the Office of Environmental Health Hazard 
I-3 

Assessment (OEHHA), to evaluate the health impacts of, and exposure to, substances 

and to identify those substances that pose the greatest health threat as TACs. ARB's 

evaluation is made available to the public and is formally reviewed by the Scientific 

Review Panel (SRP) established under Health and Safety Code section 39670. 

Following ARB's evaluation and SRP's review, the Board may formally identify a TAC at 

a public hearing. Following the identification of a substance as a TAC, Health and 

Safety Code sections 39658, 39665, 39666, and 39667 requires ARB, with the 

participation of the air pollution control and air quality management districts, and in 

consultation with affected sources and interested parties, to prepare a report on the 

need and appropriate degree of regulation for that substance. 

As discussed above, the Board identified diesel PM as a TAC and in October 2000, 

ARB published a "Risk Reduction Plan to Reduce Particulate Matter Emissions from 

Diesel-fueled Engines and Vehicles." In the Diesel Risk Reduction Plan, ARB identified 

TRU emissions associated with refrigerated warehouse distribution centers as creating 

potential cancer risks and included off-road engines in the plan to reduce diesel PM 

emissions. 

On February 26, 2004, the Board approved for adoption the TRU ATCM, establishing 

in-use performance standards for TRUs and TRU gen sets that would be phased in 

commencing on December 31, 2008. The Office of Administrative Law (OAL) approved 

the TRU ATCM, which was codified at title 13, CCR, section 2477 on 

November 10, 2004, and the regulation became effective 30 days later upon being 

certified by the California Secretary of State. 

Staff requested U.S. EPA grant authorization to adopt and enforce the TRU ATCM 

pursuant to Clean Air Act (CAA) section 209(e)(2). U.S. EPA granted California 

authorization to enforce the TRU ATCM on January 16, 20093

 (U.S. EPA, 2009). 

ARB delayed the enforcement of the TRU ATCM’s in-use performance standards until 

January 2010, because U.S. EPA’s authorization was granted after the first compliance 

date, creating uncertainty for the regulated community. 

 

3

 74 Fed. Reg, 3030 (January 16, 2009) 
(This Page Left Intentionally Blank)
II-1 

II. Summary of Proposed TRU ATCM 2010 Amendments

Staff is proposing to amend the TRU ATCM to change the in-use performance 

standards for two model years and two horsepower categories. In addition, the in-use 

requirements for “flexibility” engines will be clarified. Also, new reporting requirements 

for TRU and TRU gen set original equipment manufacturers (TRU OEM) are being 

proposed. 

A. Background Information on Emissions Standards for New Off-Road 

Engines

TRU and TRU gen set engines utilize off-road engines.4

 Off-road engine standards 

adopted by U.S. EPA 5 and ARB (CCR, 2010) require new off-road engines to become 

progressively cleaner. In developing the new engine standards, ARB staff worked 

closely with U.S. EPA to develop a harmonized federal and State program to more 

effectively control emissions from off-road equipment. 

The new engine emission standards are divided into four increasingly stringent levels 

(tiers); the allowed emission level (standard) and effective dates vary with horsepower 

category. Until the mid-1990’s, off-road diesel engines were not subject to any emission 

standards (commonly referred to as “Tier 0” or “uncontrolled engines”). Engines that 

are used in TRUs and nearly all of the TRU gen sets are less than 50 horsepower (hp). 

TableII-1 illustrates how these standards change over time for the horsepower 

categories for engines used in TRUs. The numerical standards vary by category, but 

the downward trend in emissions is the same for all horsepower categories. 

Table II-1: ARB and U.S. EPA PM Emission Standards

for New Non-Road/Off-Road Diesel Engines Used in TRUs 

Less than 11 hp 11 hp to 

less than 25 hp 

25 hp to 

less than 50 hp Off-road 

Standard 

Tier PM 

Standard1 

Tier 

Effective Date2 

PM 

Standard1 

Tier 

Effective Date2

PM 

Standard1 

Tier 

Effective Date2

Tier 0 N/A3 N/A N/A 

Tier 1 0.75 2000-2004 0.60 2000-2004 0.60 1999-2003

Tier 2 0.60 2005-2007 0.60 2005-2007 0.45 2004-2007

Tier 4 

interim N/A3 N/A N/A N/A 0.22 2008-2012 

Tier 4 final 0.30 2008+ 0.30 2008+ 0.02 2013+ 

1. Emission rates expressed in grams per brake horsepower-hour (g/bhp-hr) 

2. Effective dates indicate when the tier standards are in effect and start on January 1 of the first year shown and extend to 

December 31 of the second year shown, except that “+” means “and subsequent years”. 

3. N/A means “Not Applicable” 

 

4

 Off-road is the term used in California to identify an internal combustion engine that is neither used to 

propel a vehicle designed and intended for highway use or an engine used to power a stationary source. 

Off-road is used interchangeably with the term “nonroad,” which is used in the federal Clean Air Act and 

regulations adopted by the U.S. Environmental Protection Agency (U.S. EPA) 

5

 Title 40 Code of Federal Regulations, Parts 89 and 1039 
II-2 

The two lowest horsepower categories shown in Table II-1 were combined for the TRU 

ATCM’s in-use standards because less than 25 hp engines are generally used in 

straight truck (bobtail) TRUs. Engines used in trailer TRUs and TRU gen sets are 

generally from the 25 hp to less than 50 horsepower category. Further discussion is 

provided below for these two horsepower categories on the history of the tiers. 

Less than 25 hp category: As Table II-1 shows, Tier 1 standards became effective for 

less than 25 hp engines on January 1, 2000, continuing through December 31, 2004. 

Between January 1, 2005 and the end of 2007, Tier 2 was in effect for this horsepower 

category. There was no Tier 3 standard for this category. Tier 4 final (Tier 4f) became 

effective January 1, 2008 and subsequent years. There was no Interim Tier 4 (Tier 4i) 

standard for this category, like there is for the 25 hp to less than 50 hp category. 

25 hp to less than 50 hp category: Table II-1 also shows that on January 1,1999, the 

Tier 1 standards became effective for 25 to less than 50 hp engines and continued 

through the end of 2003. Between January 1, 2004 and the end of 2007, Tier 2 

standards were in effect. Again, there was no Tier 3 standard for this horsepower 

category. Tier 4 standards are divided into two stages: Tier 4i, which began the 

beginning of 2008 and is in effect through the end of 2012; and Tier 4f, which will 

become effective January 1, 2013, and will be effective in subsequent years. The 

Tier 4f standards will likely necessitate the use of advanced exhaust after-treatment 

technologies, and will result in diesel engines that will be over 94 percent cleaner (PM) 

than Tier 0 engines. 

B. Background Information on Existing In-Use Requirements 

As adopted in 2004, the TRU ATCM’s in-use performance standards require that in-use 

TRU and TRU gen set engine PM emissions be reduced by the end of the seventh year 

after the engine model year (MY). There are two levels of in-use standard stringency: 

the Low-Emission TRU (LETRU) in-use standard, which reduces diesel PM by at least 

50 percent, and the more stringent Ultra-Low-Emission TRU (ULETRU) in-use standard, 

which reduces diesel PM by at least 85 percent. 

As originally adopted, LETRU applies to MY 2002 and older TRU and TRU gen set 

engines. Seven years after complying with LETRU, these MY 2002 and older engines 

are required to meet the ULETRU in-use standard. For example, a model year 2002 

engine is required to meet the LETRU in-use standard by December 31, 2009, and then 

meet the ULETRU in-use standard by December 31, 2016. As originally adopted, 

MY 2003 and subsequent model year engines are required to skip LETRU and meet 

ULETRU by the end of the seventh year after the engine model year; for example 

MY 2003 engines must meet ULETRU by December 31, 2010. The TRU ATCM 

requires that all TRU and TRU gen set engines must eventually meet the ULETRU in-se 

standard. 

As shown in Table II-2 below, compliance with the existing in-use standards can be 

achieved several ways. For less than 25 hp engines, LETRU can be achieved by using 
II-3 

an engine certified to meet 0.30 grams per brake horsepower-hour (g/bhp-hr) PM, or by 

retrofitting the engine with a Level 2 Verified Diesel Emissions Control Strategy 

(VDECS). VDECS that are typically used on TRUs are diesel particulate filters (DPF) 

that control particulate matter engine exhaust emissions. These DPFs must be verified 

by ARB to control the PM emissions to the level claimed by the manufacturer and must 

be shown to meet durability requirements.6 For 25 hp or greater engines, LETRU can 

be achieved by using an engine certified to meet 0.22 g/bhp-hr PM, or by retrofitting the 

engine with a Level 2 VDECS, which reduces diesel PM by at least 50 percent. 

ULETRU can be achieved by using an engine certified to meet 0.02 g/hp-hr PM, or by 

retrofitting the engine with a Level 3 VDECS, which reduces diesel PM by at least 

85 percent. All TRU and TRU gen set engines must eventually meet ULETRU. As 

currently adopted, MY 2003 and subsequent model year TRU and TRU gen set engines 

skip LETRU and must meet ULETRU by the end of the seventh year after the engine 

model year. 

Table II-2: Existing TRU and TRU Gen Set In-Use Performance Standards 

Horsepower 

Category 

Engine Emissions 

Certification for PM 

Retrofit 

Level of VDECS 

Low-Emission TRU In-Use Standard 

<25 0.30 g/hp-hr Level 2 or better (>50 percent PM reduction) 

>25 0.22 g/hp-hr Level 2 or better(>50 percent PM reduction) 

Ultra-Low-Emission TRU In-Use Standard

<25 N/A1 Level 3 (>85 percent PM reduction) 

>25 0.02 g/hp-hr Level 3 (>85 percent PM reduction)

1. N/A means “Not Applicable”, another compliance option must be chosen. 

Another compliance option is to use an Alternative Technology, such as electric standby 

or hybrid electric TRUs, or hybrid cryogenic temperature control systems. To qualify as 

an Alternative Technology, these technologies must be used in a way that eliminates 

the diesel engine operations at facilities where TRUs operate. For example, the TRU 

engines can run on the road, but not at distribution centers, where they must run on 

electricity or use cryogenic cooling. Under the TRU ATCM, if diesel PM emissions are 

eliminated to qualify as an Alternative Technology, the technology meets the ULETRU 

standard and would also be a compliance option to meet the LETRU standard, since 

ULETRU is more stringent than LETRU. 

Many owners have elected to maintain their TRUs and TRU gen sets in compliance by 

repowering these units with new replacement engines or rebuilt replacement engines 

that meet a more stringent emissions standard than the engines being replaced. At this 

time, although an owner choosing to repower a TRU with a new Tier 4i engine would 

meet the LETRU standard, it could not be used to comply with the ULETRU standard. 

 

6

 Title 13. California Code of Regulations (CCR), section 2700 through 2710. 
II-4 

However, repowering with a newer model year Tier 4i or Tier 2 engine would have the 

effect of keeping a unit in compliance by resetting the in-use compliance requirements 

and dates, which are based on the engine model-year designation. For example, if a 

MY 2002 35 hp engine is repowered with a new MY 2009 Tier 4i replacement engine, it 

would be in compliance until the end of 2016, when it must meet ULETRU. 

New replacement engines may be manufactured to meet current or prior-tier new 

engine emissions standards. A new replacement engine that meets the tier of the 

emissions standard that is in effect when it was manufactured would use the engine 

model year to determine compliance requirements and dates. The engine model year is 

indicated on the engine’s emissions label when it is manufactured to meet the 

emissions standards that are currently in effect at the time of manufacture. 

A new replacement engine that is manufactured to meet a prior-tier standard that is no 

longer in effect at the time of manufacture would use the effective model year for 

determining compliance requirements. The effective model year is the last year that the 

prior-tier standard was in effect. For example, a 35 hp new replacement engine that 

meets Tier 2, but was installed in 2009, when Tier 4i was in effect, would have an 

effective model year of 2007 (the last year that Tier 2 was in effect), and would be 

required to meet ULETRU by December 31, 2014, seven years after the effective model 

year. More discussion and details related to effective model year will be presented later 

in this staff report. 

A rebuilt replacement engine that meets a prior tier new engine emissions standard also 

resets the in-use compliance requirements and compliance dates, which would be 

based on the rebuilt engine’s effective model year. Similar to the case of the new 

replacement engine, a rebuilt replacement engine that meets a current new engine 

standard would use an effective model year, which would be the same as the rebuild 

year; and if it meets a prior-tier standard, the effective model year would be the last year 

that the prior-tier standard was in effect. 

C. Proposed Amendment for MY 2003 (25 hp and greater) - Change 

In-Use Standard from ULETRU to LETRU 

Staff is proposing that the in-use standards for MY 2003 TRU engines in the 25 hp and 

greater horsepower category be changed to allow owners to comply with the in-use 

standards by meeting either the ULETRU or LETRU standards. Under the current 

regulation, the compliance options for MY 2003 TRU engines are currently limited. New 

engines that meet ULETRU are currently not in production and Level 3 VDECS 

(85 percent PM control) are not readily available in the marketplace in sufficient 

numbers to retrofit the MY 2003 engines that need to comply by the end of 2010. The 

amendments would allow owners to comply in the near-term by installing either a 

Level 2 (50 percent diesel PM control) VDECS or a Level 3 VDECS (85 percent diesel 

PM control). The compliance date for meeting either the ULETRU or LETRU standard 

would still be December 31, 2010. 
II-5 

Level 2 VDECS, for meeting the LETRU standards, are readily available on the market 

and have been installed in thousands of MY 2002 and older TRUs. The existing dealer 

and installation network is well established and will be able to meet product demand. 

An additional advantage is that Level 2 VDECS cost about $1,300 to $2,000 less than a 

Level 3 VDECS, so near-term compliance costs would be reduced during the current 

down-economy. Further, extending existing verifications to MY 2003 engines is 

straightforward since the MY 2003 engines in the 25 to <50 hp category also meet 

Tier 1, like the MY 1999 to MY 2002 engines for which Level 2 verifications have been 

approved. As Table II-1 shows, 2003 was the last year that Tier 1 was in effect for 

25 hp to less than 50 hp engines. Also, model year 2004 engines were the first year 

that new engines were required to meet the cleaner Tier 2 standards, which makes 

these engines a better match for Level 3 VDECS that must achieve 85 percent PM 

reductions. 

The proposed amendments would also require that all MY 2003 engines remaining in 

service meet the ULETRU standard by December 31, 2017, seven years after the initial 

compliance date for those owners who chose to comply by meeting the LETRU 

standard in 2010. As stated above, all TRU and TRU gen set engines must eventually 

meet the ULETRU in-use standard. So, if the owner chose to comply with ULETRU in 

2010, there would be no subsequent compliance date for meeting a more stringent 

in-use standard. 

Staff published TRU Advisory 10-19 in July 2010 to inform MY 2003 TRU and TRU gen 

set owners of its intent to propose this amendment to the Board. Advisory 10-19 also 

informed affected owners that the compliance date would continue to be 

December 31, 2010. 

Table II-3 shows this proposed amendment using the underline convention to show 

added requirements. In the row for MY 2003, the letter “U” stands for ULETRU. The 

letter “L” stands for LETRU, and is shown underlined, indicating this in-use standard 

would be an option under the amendments. Again, if “L” is chosen in 2010, “U” is still 

required in 2017. 
II-6 

Table II-3: >25 HP TRU and TRU Gen Set Engines 

 Proposed In-Use Compliance Dates for In-Use Standards 

In-Use Compliance Year7 Engine 

MY ‘07 ‘08 ‘09 ‘10 ‘11 ‘12 ‘13 ‘14 ‘15 ‘16 ‘17 ‘18 ‘19 ‘20 

’01 & 

Older L L L L L L L U U U U U U 

‘02 L L L L L L L U U U U U 

‘03 U 

or L

U 

or L

U 

or L

U 

or L

U 

or L

U 

or L

U 

or L

U U U U 

‘04 U U U U U U U U U U 

‘05 U U U U U U U U U 

‘06 U U U U U U U U 

‘07 U U U U U U U 

‘08 U U U U U U 

‘09 U U U U U 

‘10’ U U U U 

‘11 U U U 

‘12 U U 

‘13 U 

D. Proposed Amendment for MY 2003 and 2004 (less than 25 hp) - 

Change In-Use Standard from ULETRU to LETRU 

Staff is proposing similar amendments to those proposed above for both MY 2003 and

2004 engines in the less than 25 hp category. The amendments would allow owners to 

comply by either meeting the ULETRU or LETRU in-use standards. The compliance 

dates for meeting one of the standards would remain December 31, 2010, for MY 2003 

engines, and December 31, 2011, for MY 2004 engines. MY 2004 engines in the less 

than 25 hp category are included in the proposed amendment because Tier 1 was 

effective through 2004, so Level 2 VDECS would be a good match with these engines 

(explained further below). This is in contrast with the 25 hp and greater category 

because Tier 1 ended in 2003 for the 25 to 50 hp new engine standard. 

The amendments are necessary because for MYs 2003 and 2004, compliance options 

are relatively limited. Repowering with an engine that meets an in-use emissions 

standard is not an option for meeting the ULETRU standard. This is because the new 

off-road engine standards do not require these engines to have PM exhaust 

after-treatment emissions controls that would reduce emissions at least 85 percent from 

2000 levels, which is what is needed to meet the ULETRU in-use standard (note 

Table II-2 indicates “N/A”, or not applicable for this horsepower category which means 

that another compliance option must be chosen). 

 

7

Compliance date is December 31st of the compliance year shown. “MY” means model year. Black shaded areas 

are years with no requirements since in-use compliance year precedes model year . Dark shaded areas without 

letter codes have no in-use standard requirements, pending in-use compliance date. “L” means must meet LETRU 

in-use performance standards. “U” means must meet ULETRU in-use performance standards. 
II-7 

Furthermore, while a Level 3 VDECS has been verified for the < 25 hp category, it 

cannot be used with TRUs because it cannot fit inside the TRU housing. Also, unless 

the TRU was equipped with electric standby when new, electric standby would not be a 

viable Alternative Technology option because retrofitting is very expensive. 

In contrast, Level 2 VDECS meeting LETRU standards are readily available on the 

market for most truck TRUs and have been installed in hundreds of MY 2002 and older 

TRUs. Dealer and installation networks are established and these products have been 

demonstrated. In addition, since MY 2003 and 2004 engines are the last two years of 

Tier 1 in this hp category, they are the same engines as the MY 2000 through 

2002 engines (all meet Tier 1), so Level 2 VDECS verifications are straightforward. As 

noted above, Table II-1 shows that 2004 was the last year that Tier 1 was in effect for 

less than 25 hp engines and model year 2005 engines were the first year that new 

engines were required to meet the cleaner Tier 2 standards, making these engines a 

better match for Level 3 VDECS that must achieve 85 percent PM reductions. 

This proposed amendment would still require the ULETRU standard to be met by 

December 31, 2017, for MY 2003 and by December 31, 2018, for MY 2004 engines, 

seven years after the initial compliance date for the owners who chose to comply with 

LETRU in 2010 and 2011. If the owner chose to comply with ULETRU in 2010, there 

would be no subsequent compliance date for meeting a more stringent in-use standard. 

As discussed above, staff published TRU Advisory 10-19 in July 2010, to inform 

MY 2003 and 2004 TRU and TRU gen set owners of this proposed amendment and 

informed affected owners that they should make plans to choose a compliance option 

and place orders in time to comply by December 31, 2010. 

Table II-4 shows this proposed amendment in the rows for MY 2003 and 2004, using 

the same lettering conventions as in Table II-2, above. As an example, the row for 

MY 2004 engines shows that compliance with either ULETRU of LETRU is required by 

December 31, 2011, and if LETRU is chosen in 2011, then ULETRU would still be 

required by December 31, 2018. 
II-8 

Table II-4: <25 HP TRU and TRU Gen Set Engines 

Proposed In-Use Compliance Dates and In-Use Standards 

In-Use Compliance Year8 Engine 

MY ‘07 ‘08 ‘09 ‘10 ‘11 ‘12 ‘13 ‘14 ‘15 ‘16 ‘17 ‘18 ‘19 ‘20 

’01 & 

Older L L L L L L L U U U U U U 

‘02 L L L L L L L U U U U U 

‘03 U 

or L

U 

or L

U 

or L

U 

or L

U 

or L

U 

or L

U 

or L

U U U U 

‘04 U 

or L

U 

or L

U 

or L

U 

or L

U 

or L

U 

or L

U 

or L

U U U 

‘05 U U U U U U U U U 

‘06 U U U U U U U U 

‘07 U U U U U U U 

‘08 U U U U U U 

‘09 U U U U U 

‘10 U U U U 

‘11 U U U 

‘12 U U 

‘13 U 

E. Other Proposed TRU ATCM 2010 Amendments 

Several other amendments that are considered to be essential in the short term are also 

being proposed for the TRU ATCM 2010 amendments. 

1. Requirements for “Flexibility” Engines

Background on Flexibility Engines

When U.S. EPA and ARB adopted new engine emission standards for off-road diesel 

engines, they included “flexibility” provisions.9 The flexibility provisions are also called 

the Transitional Program for Equipment Manufacturers (TPEM or flexibility engine) and 

allow equipment manufacturers to produce limited numbers of equipment with engines 

that meet less stringent emission standards for up to seven years after a new tier of 

emissions standards has gone into effect. In doing so, the number of engines used 

cannot exceed 80 percent of the total engines produced in a production year, expressed 

as cumulative yearly percentage increments for each production year that flexibility 

engines are produced. The intent of TPEM is to give more time for equipment 

manufacturers to change equipment designs to be compatible with new engines 

 

8

 Compliance date is December 31st of the compliance year shown. “MY” means model year. Black shaded areas 

are years with no requirements since in-use compliance year precedes model year . Dark shaded areas without 

letter codes have no requirements, pending in-use compliance date. “L” means must meet LETRU in-use 

performance standards. “U” means must meet ULETRU in-use performance standards. 

9

Title 40 Code of Federal Regulations, section 89.102 (40 CFR 89.102), 40 CFR 1039.625, 40 CFR 1068.265, and 

title 13, CCR section 2423(d))(CFR, 2010a; CFR, 2010b; CFR, 2010c; CCR, 2010)
II-9 

meeting the new standards, since dimensions, engine mounts, and controls may be 

affected. 

For example, under the federal and state flexibility provisions, when Tier 1 off-road new 

engine standards went into effect in 2000, TRU OEMs were allowed to install pre-Tier 1 

“flexibility” engines (i.e. non-certified engines) for up to seven years. Later, when new 

engines were required to meet the Tier 2 standards, TRU OEMs were allowed to install 

a limited number of flexibility engines meeting pre-Tier 1 or Tier 1 emission standards. 

Similar allowances are made each time the tier standard changes. 

Table II-5 displays the tier standards that apply to TRU engines, the PM emissions limits 

and years that each tier standard was in effect, along with the last year that flexibility 

engines were allowed to be used. 

Table II-5: Flexibility Engine Allowances 

Emissions Standard 

in Effect 

PM Emissions 

Limit 

(g/hp-hr) 

Tier Standard 

Effective Years 

Last Year of Seven-Year 

Flexibility Engine Usage Period 

Tier 1 (<11 hp) 0.75 2000-2004 2012 

Tier 1 (11-<25 hp) 0.60 2000-2004 2012 

Tier 2 (<25 hp) 0.60 2005-2007 2015 

Tier 4f (<25 hp) 0.30 2008 and Subsequent 2016 

Tier 1 (25 to <50 hp) 0.60 1999-2003 2011 

Tier 2 (25 to <50 hp) 0.45 2004-2007 2015 

Tier 4i (25 to <50 hp) 0.22 2008-2012 2020 

Tier 4f (25 to <50 hp) 0.02 2013 and Subsequent 2021 

As described above, flexibility engines are manufactured to meet a less stringent, 

prior-tier standard than the standard currently in effect for new engine certification. An 

example of what actually happened follows: looking at the 25 to less than 50 hp 

category in row 6, after Tier 2 went into effect in 2004, TRU manufacturers installed 

Tier 1 engines in TRUs during 2004 and 2005. 

Until now, the practice of manufacturers in identifying the model year of flexibility 

engines has varied. Many engine emissions labels have identified the model year as 

the last year that the flexibility engine’s tier was in effect even though the engine may 

have been manufactured several years after the next tier was in effect. ARB’s term for 

this model-year designation is the “effective model year” of the flexibility engine. Other 

engines have emission labels identifying the model year of the flexibility engine as the 

engine’s manufacture date. This variance of identification has resulted in confusion for 

ARB and stakeholders. 

Table II-6 lists the new engine tier standards that apply to TRU and TRU gen set 

engines, the years that each tier is effective, and the corresponding effective model 

years that result for these tiers when ARB’s term is applied to flexibility engines. 
II-10 

Table II-6: Effective Model Year 

Prior-Tier Engine Emissions Standard Tier Standard Effective Years Effective Model Year1 

Tier 1, under 25 hp (truck) 2000-2004 2004 

Tier 2, under 25 hp (truck) 2005-2007 2007 

Tier 1, 25-50 hp (trailer) 1999-2003 2003 

Tier 2, 25-50 hp (trailer) 2004-2007 2007 

Tier 4i, 25-50 hp (trailer) 2008-2012 20122 

1. Engines that meet a prior tier (less stringent than currently in effect) have an effective model year that is the 

last year that the prior tier was in effect. 

2. Effective model year applies for this tier only after Tier 4f becomes effective in 2013 for 25 to less than 50 hp 

engines. 

Use of the effective model year of the flexibility engine effectively shortens the 

operational life10 of the TRU engine. Under the TRU ATCM, the operational life of an 

engine is typically seven years – that is, an engine is not required to meet a more 

stringent in-use performance standard until seven years after the denoted model year of 

the engine. By using the effective model year (which may be one to two years before 

the engine’s manufacture date) the operational life of the engine may be shortened 

several years. 

To address this shortened operational life, a TRU manufacturer and many TRU fleets 

have requested that Tier 1 flexibility engines that were manufactured and installed in 

trailer TRUs during Tier 2 (e.g. during 2004, 2005, or 2006) be allowed to use the actual 

engine manufacture year as the model year, even though many engine labels on these 

engines show the effective model year as the last year of the prior tier (MY 2003 for 

Tier 1). Two TRU manufacturers have provided information on their use of flexibility 

engines. Over 10,000 flexibility engines have been directed to the California market 

and over 37,000 have been directed to the U.S. market. 

Staff has evaluated the flexibility engine data provided by TRU manufacturers and found 

that these flexibility engines’ actual certification values for PM are below the Tier 2 

standard. However, in the case of oxides of nitrogen plus non-methane hydrocarbon 

(NOX+NMHC) emissions, the certification values were somewhat above the Tier 2 

standard. 

Staff has further found that many TRU owners unknowingly purchased TRUs with 

flexibility engines in the past and were unaware that flexibility engines may have a 

shortened operational life under the TRU ATCM in comparison to engines that denoted 

a model year based upon year of manufacture. 

Proposed Amendment

Staff has determined that it would be appropriate to amend the regulation to allow 

owners of flexibility engines purchased prior to the effective date of the amendments to 

 

10 Operational life is the life of the engine or unit as allowed under the regulation. Operational life should 

be distinguished from useful life, as defined under new engine standards and used for survivability 

(engine mortality over time) in engine population inventory reports. 
II-11 

use the engine manufacture year to determine compliance requirements and deadlines 

under the TRU ATCM. This would ensure that TRU owners obtain the benefits of a full 

seven-year operational life. Staff is also proposing that flexibility engines installed in 

TRUs after the effective date of the amendments would be required to use the “effective 

model year” of the flexibility engine to determine future ULETRU compliance dates. As 

stated, the effective model year of the flexibility engine would be the last year that the 

flexibility engine’s tier standard was in effect for new engine compliance. Compliance 

with the in-use standards would then be required by the end of the seventh year after 

the effective model year of the flexibility engine. 

Staff is further proposing that TRU OEMs be required to report to ARB information on 

the use of flexibility engines, including the serial numbers of the TRU units with flexibility 

engines. ARB would then use the unit serial number to identify the information in the 

ARB Equipment Registration (ARBER) system and would change the model year of the 

affected engines to be the manufacture year. The upcoming ULETRU compliance date 

would also be changed in ARBER, based on the engine manufacture year instead of the 

effective model year. Since flexibility engine labels often show the effective model year, 

a notation would also be added to each affected ARBER record to explain the reason 

for the discrepancy to enforcement staff that may observe this discrepancy in the field. 

In order to retain the emission reduction benefits of the regulation in future years, 

limiting the operational life of flexibility engines in 2011 and beyond is critical. Beginning 

in 2013 the new off-road engine standards in the 25 to <50 hp category will transition 

from Tier 4i to Tier 4f. This action will result in PM reductions of about 90 percent 

(0.22 g/hp-hr goes to 0.02 g/hp-hr) and NOx reductions of almost 40 percent 

(5.6 g/hp-hr goes to 3.5 g/hp-hr). Limiting the operational life of flexibility engines in the 

future will ensure that these PM and NOx reductions will be achieved as expeditiously 

as intended. Staff believes that using the effective model year for future flexibility engine 

use would discourage their use since operational life is affected and would result in 

dirtier earlier tier flexibility engines being phased out sooner. 

By way of example, if a flexibility engine meeting Tier 4i is installed in a TRU 

manufactured in 2013, when Tier 4f is in effect, the flexibility engine’s effective model 

year would be 2012, so the flexibility engine would be required to meet the ULETRU 

in-use standard seven years later, by the end of 2019. Had a MY 2013 engine meeting 

Tier 4f been installed, compliance would be required by the end of 2020. So, the use of 

a flexibility engine in 2013 would result in the loss of a year of operational life under the 

proposed amendments. Continued use of flexibility engines meeting Tier 4i (effective 

MY 2012) in 2014 would result in the loss of an additional year of operational life 

because the ULETRU compliance date would still be 2019. 

Staff is further proposing that if a TRU OEM installs flexibility engines after 

January 1, 2011, they would be required to disclose the following information to the end 

user before sale is completed: a) that a flexibility engine is installed; b) the effective 

model year of the engine; and c) the resulting in-use compliance date, seven years after 

the effective model year. 
II-12 

2. Reporting Requirements for TRU and TRU Gen Set OEMs 

The TRU ATCM includes requirements for California-based TRUs and TRU gen sets to 

be registered with ARB. Registration is voluntary for units that are based outside of 

California. Complying units are issued an ARB Identification Number (IDN) that is 

affixed to the unit housing. The purpose of registration is to provide a way to track 

compliance and make enforcement inspections a more efficient, less time-consuming 

process for owner/operators through the use of prescreened registration information. 

Owners may register online, using ARB’s Equipment Registration (ARBER) system, or 

manually using paper forms. Online application is encouraged to reduce errors and 

allow ARBER to instantly issue IDNs. 

Staff is working on enhancements to the ARBER system to make data entry by TRU 

owners easier and to further reduce data entry errors. Staff is also working to improve 

estimates of TRU populations and statewide emissions. To accomplish these goals, 

ARB staff is proposing to require the TRU and TRU gen set OEMs to periodically report 

unit and engine data for the coming production year as well as production information 

for previous years. Information that is needed includes the TRU models that will be in 

production, along with the engine information for each model. Specifically, OEMs would 

be required to report the manufacturer of the engine installed in the TRU; the engine 

model and family; the rated horsepower and speed, displacement, exhaust emissions 

control system, and tier standard of the engine; and ARB’s Executive Order certifying 

the engine for use in off-road equipment. 

In addition, staff has been working to improve the quality of the data in ARBER and 

simplify the registration process. Also, improvements in estimates of TRU populations 

and statewide emissions is needed. Currently, there is no existing, comprehensive, 

reliable database that provides TRU and TRU gen set production numbers that can be 

used for this purpose. To facilitate this work, the TRU ATCM 2010 amendments would 

require the TRU and TRU gen set OEMs to report to ARB on production information for 

five previous calendar years, or alternatively, unit and engine information for specific 

unit and engine serial numbers. Periodic reporting would also be required going 

forward, unit and engine information needed to improve emissions estimates. 

F. Alternatives Considered 

Staff considered alternatives to each of the proposed TRU ATCM amendments. 

Retain Existing Provisions

This alternative would retain both the ULETRU standard and the December 31, 2010, 

compliance date. This would effectively eliminate retrofit as a compliance option since 

the Level 3 VDECS retrofit has limited availability. Compliance options would effectively 

be limited to the more available choices: unit replacements, new and rebuilt engine 

repowers, and Alternative Technologies. Compliance costs would be greater than the 

Level 2 retrofit to meet LETRU, as demonstrated by the comparisons in Table II-7 

(ARB, 2010). 
II-13 

Table II-7: Compliance Cost Comparisons for Trailer TRUs 

Compliance Option Compliance Cost per Unit 

Retrofit with Level 2 VDECS to meet LETRU $3,650 to $4,750 

Retrofit with Level 3 VDECS to meet ULETRU $5,000 to $6,000 

New Engine Repower $5,500 to $9,750 

Rebuilt Engine Repower $6,250 

Unit Replacement $19,000 to $25,000 

Retrofitting trailer TRUs with electric standby (an Alternative Technology) is not 

economically attractive because it would cost more than replacing the engine and has 

never been attempted, to staff’s knowledge. 

Retaining the existing provisions would also negatively impact TRU owners that 

purchased units with flexibility engines. By not adjusting the regulation requirements to 

allow the use of the manufacture year for flexibility engines installed prior to 2011, TRU 

owners would loose one to two years of operational life. This would create hardship for 

TRU owners that were unaware that flexibility engines were used in the TRU units that 

they purchased. Finally, retaining the existing provisions would prevent staff from 

making improvements to ARBER and the TRU emissions inventory. 

Delay In-Use Compliance Date for MY 2003 Engines by One Year

In lieu of changing of the in-use standard going from ULETRU to LETRU for MY 2003 

engines in the 25 hp and greater power category, and for MY 2003 and 2004 engine in 

the less than 25 hp category, staff considered and rejected retaining the ULETRU 

in-use standard and delaying the in-use compliance date by one year. Staff’s 

evaluation found that the short-term compliance costs for this alternative would be 

greater because a Level 3 VDECS (meeting ULETRU) costs $1,300 to $2,000 more 

than a Level 2 VDECS (meeting LETRU) for trailer TRUs. However, the overall 

statewide compliance cost for this alternative would be about $500,000 less (in 2010 

dollars) than the proposed amendment after annualizing the costs and discounting to 

2010 dollars. This is because the proposed amendment includes both the 2010 LETRU 

compliance costs and the 2017 ULETRU compliance costs while the alternative has 

only ULETRU compliance costs in 2011. 

However, this alternative has a number of drawbacks. First, no diesel PM reductions 

would be realized for a year, which would negatively impact residents living near 

distribution centers due to exposure to elevated diesel PM emissions. Second, since 

65 percent of compliance has been through engine repower with a cleaner engine, the 

NOx+NMHC reductions would also be delayed for one year. Third, the near-term 

economic relief for the down economy, a benefit of the proposed amendment, would be 

lost - specifically, the near-term savings realized by the Level 2 VDECS retrofit 

compliance ($1,300 to $2,000 per unit savings). Additionally, if a fleet owned MY 2003 

and 2004 engines, the economic impact would be more severe in 2011, when both 

compliance dates came due. 
II-14 

An additional consideration is the impact that suspending the standard for a year would 

have on VDECS manufacturers, new replacement engine manufacturers, and rebuilt 

replacement engine manufacturers. Delaying the standard for a year would mean that 

manufacturing and installation operations would be suspended for a year. Then 

production, distribution, and installation would need to ramp up again in 2011 to twice 

the levels of a normal phase compliance year to meet the needs of MY 2003 and 2004 

engine compliance. 

Past delays in the compliance schedule have shown staff that they cause a significant 

level of uncertainty that is detrimental to timely compliance. Most owners stop 

evaluating compliance options, put off field testing of compliance technology, and 

postpone purchase decisions until the new compliance deadline approaches. The 

uncertainty also affects compliance technology manufacturers, who delay their product 

development, testing, and verification work. Staff believes that delays cause lower rates 

of compliance. 

On the other hand, staff is concerned that since TRU Advisory 10-19 was issued, 

instructing owners of MY 2003 engines to comply by December 31, 2010, there would 

be negative consequences if this alternative is not rejected. First, staff knows that some 

owners have in good-faith, already invested in LETRU compliance technologies so they 

will be at a competitive disadvantage with those owners that may delay, if the alternative 

was accepted. Second, compliance technology manufacturers and dealers have 

already gone to considerable expense, having launched marketing promotions for the 

LETRU compliance options. 

Given these potential adverse impacts, staff rejected this alternative. 

Only Allow a One-Year Adjustment for “Flexibility” Engines

Staff also considered and rejected providing a maximum of one additional year of useful 

life for flexibility engines. Although this would have restored a measure of fairness to 

the owner who purchased a TRU with a flexibility engine, it would still leave an inequity 

for the end user who has an engine manufacture year of more than one year. Given the 

small impact on emissions for flexibility engines installed prior to 2011, providing TRU 

owners the full operational life is appropriate. 
III-1 

III. EMISSIONS INVENTORY AND HEALTH RISK

In this chapter, staff provides estimates of the impact of the proposed amendments on 

the TRU emissions inventory. The emissions inventory estimates for the proposed 

amendments utilize the same assumptions and data sources as the methodology used 

in the 2003 Staff Report (see Appendix D of the 2003 Staff Report). The specific 

emissions impacts for each of the proposed amendment are listed below and combined 

in Section E of this chapter. The emissions impacts represent emission reductions that 

were anticipated but will not be realized due to needed adjustment to the existing TRU 

ATCM. 

A. MY 2003 and MY 2004 Engine Populations

As discussed in Chapter II, staff is proposing to amend the in-use standards from 

ULETRU or Level 3 VDECS to allow LETRU or Level 2 VDECS as well as ULETRU for 

MY 2003 engines in both the <25 hp and the 25 to <50 hp categories and for MY 2004 

engines in the <25 hp category. Staff estimated the population of affected engines 

using the assumptions for sales of MY 2003 and MY 2004 TRUs and the survival rates 

from Appendix D of the 2003 Staff Report. A summary of the population of affected 

engines in calendar year (CY) 2010 by equipment type and hp category is provided in 

Table III-1 below. 

Table III-1: Summary of Population of Affected 

MY 2003 and MY 2004 Engines (2010) 

Equipment Type 

Horsepower 

Category 

 (hp) 

Approximate 

Number of TRUs 

Number of TRU 

Generator Sets 

California-based truck van Less than 15 840 N/A 

California-based truck van 15- <25 300 N/A 

California-based semi-trailer 25- <50 2,040 N/A 

Out-of state semi-trailer 25- <50 670 N/A 

Railcar 25- <50 150 N/A 

California-based TRU gen set 

(shipping container) 25- <50 N/A 300 

Total 4,000 300 

 N/A – Not Applicable 

 All values rounded.

B. Emissions from MY 2003 and MY 2004 Engines

The change in emissions from the affected MY 2003 and MY 2004 engines due to the 

proposed amendments is estimated by multiplying the TRU population, the annual 
III-2 

hours of engine operation, engine hp, load factor, and the change in emission factors 

between ULETRU and LETRU. PM emission factors were reduced 25 percent from 

those in the OFFROAD model to incorporate data that was provided by the engine 

manufacturers at the time of the earlier analysis. This factor was also used in the 

Addendum to Appendix D of the 2003 Staff Report. The average annual hours of 

engine operation, average engine power ratings, and load factors as listed in 

Appendix D of the 2003 Staff Report are shown in Table III-2. 

Table III-2: Annual Hours of Operation, Average Engine Power, and 

Load Factors for TRUs by Equipment Type 

Equipment Type 

Horsepower 

Category 

(hp) 

Annual 

Engine 

Operation 

(hours) 

Average 

Engine Power 

(hp) 

Load Factor 

California-based truck van Less than 15 1,038 10 0.64 

California-based truck van 15-25 1,038 17 0.64 

California-based semi-trailer 25-50 1,465 34 0.53 

Out-of state semi-trailer 25-50 1,465 34 0.53 

Railcar 25-50 1,465 34 0.53 

California-based TRU gen set 

(shipping container) 25-50 1,100 31 0.45 

Emission factors for Particulate Matter (PM) and Oxides of Nitrogen (NOx), as estimated 

for ARB’s OFFROAD model and listed in Appendix D of the 2003 Staff Report, are 

shown in Table III-3. 

Table III-3: Off-road Emission Factors for TRUs by Equipment Type 

Equipment Category 

Horsepower 

Category 

(hp)

PM Emission Factors 

(g/hp-hr) 

NOx Emission Factors

(g/hp-hr) 

California-based truck van Less than 15 0.47 6.08 

California-based truck van 15-25 0.38 5.79 

California-based semi-trailer 25-50 0.60 5.55 

Out-of state semi-trailer 25-50 0.60 5.55 

Railcar 25-50 0.60 5.55 

California-based TRU gen set 

(shipping container) 25-50 0.60 5.55 

The current in-use standard of ULETRU requires a PM reduction of 85 percent. The 

proposed in-use standard of LETRU requires a PM reduction of 50 percent. Therefore, 
III-3 

a change from ULETRU to LETRU would result in 35 percent less PM control 

(41 percent less PM reduction) for the affected engine population than originally 

estimated. 

The emission reductions that would be lost from the proposed amendment is estimated 

to be 0.041 tons/day (tpd) of diesel PM in 2010 and 0.013 tpd in 2017 if the entire 

affected population retrofitted with Level 2 VDECS. However, based on the Level 2 

VDECS retrofits on 2002 engines, staff has estimated that approximately 30 percent of 

the population will retrofit (with approximately 65 percent repowering and 5 percent 

using alternative technology), decreasing the emission reductions lost to approximately 

0.012 tpd in 2010. The change in PM emissions ends after 2018 as all the surviving 

affected MY 2003 and MY 2004 engines will be subject to ULETRU then. As NOx 

emissions are not affected by the change to allow LETRU, there would be no change to 

the NOx emissions impact projected in the 2003 Staff Report. 

C. Population of Flexibility Engines 

Staff has estimated the population of TRU flexibility engines from information provided 

by the TRU Original Equipment Manufacturers (OEM) in 2010. The population of TRU 

flexibility engines was not estimated in 2003. Appendix D of the 2003 Staff Report 

estimated populations using sales data of TRUs and therefore assumed that the sales 

year would also be the model year of the engine. To estimate the emissions from 

flexibility engines that were not accounted for in 2003, staff estimated the percentage of 

the overall population represented by flexibility engines. A summary of these 

populations is shown in Table III-4. As shown in the table, a large percentage of the 

flexibility engines were installed in the first year after a change in engine tier standards. 

Table III-4: Flexibility Engine Population Share 

by MY and Horsepower Category1

Horsepower Category 

(hp) Model Year

Percent of 

Nationwide 

Share

2004 56 

 25- <50 2005 18 2 

2006 0 

2004 0 

2005 50 Less than 253 

2006 5 

 1. Flexibility engine population in emissions estimate are all Tier 1 engines. 

 2. Tier 2 engine standard effective starting in 2004 for 25-< 50 hp. 

 3. Tier 2 engine standard effective starting in 2005 for < 25 hp. 
III-4 

D. Emissions from Flexibility Engines 

The change in emissions due to the use of flexibility engines associated with the 

proposed amendments is due to the unknown prior use of flexibility engines instead of 

the more stringent, current tier engines. While the amendment offers an adjustment in 

compliance dates for prior flexibility engines, it also clarifies compliance dates for future 

flexibility engines which preserve the intended emissions reductions when more 

stringent tiers come into effect. This change is estimated by multiplying the TRU 

population using flexibility engines, the annual hours of operation, engine hp, load 

factor, and the change in emission factors between the year of manufacture as a 

flexibility engine and the effective MY (the last year that the prior tier met by flexibility 

engine was in effect). The annual hours of engine operation, average engine power, 

and average load factors using the methodology in Appendix D of the 2003 Staff Report 

are shown in Table III-5. 

Table III-5: Annual Hours of Operation, Average Engine Power, and Average 

Load Factors for Flexibility Engines by Horsepower Category 

Horsepower 

Category 

(hp)

Annual Hours of 

Operation (hours)

Average Engine Size 

(hp) Average Load Factor

Less than 15 1,038 10 0.64 

15- <25 1,038 17 0.64 

25-< 50 1,465 34 0.53 

Emission factors for diesel PM and NOx, for flexibility engines are shown in Table II-6. 

Table III-6: Off-road Emission Factors for Flexibility Engines 

by Horsepower Category 

Horsepower 

Category 

(hp)

PM Emission Factors 

(g/hp-hr)

NOx Emission Factors 

(g/hp-hr)

Year 2003 2004 2005 2006 2003 2004 2005 2006 

Less than 15 0.47 - 0.38 0.38 6.08 - 4.37 4.37 

15- <25 0.38 - 0.38 0.38 5.79 - 4.57 4.57 

25- <50 0.60 0.43 0.38 - 5.55 5.10 4.95 - 

The incremental change in diesel PM emissions due to the proposed amendment for 

flexibility engines is 0.025 tpd in 2010 and 0.010 tpd in 2012. After 2012, the 

incremental change becomes negligible as the surviving flexibility engines are required 

to meet ULETRU. The incremental change in NOx emissions from the proposed 
III-5 

amendment for flexibility engines is 0.10 tpd in 2010 and is due to the higher emissions 

from the previous tier engines. 

E. Total Combined Emissions Impacts from Proposed Amendment 

Table III-7 presents staff’s estimate of anticipated emission reduction that will not be 

achieved due to the proposed amendments. Overall emissions impact from both 

proposed amendment categories is estimated to be 0.04 tpd of diesel PM and 0.10 tpd 

of NOx in 2010. For additional information, see Appendix D of the 2003 Staff Report. 

Table III-7: Overall Emissions Impacts from Proposed 

TRU ATCM 2010 Amendments (2010) 

 

Affected MY 

2003 and MY 

2004 Engines

Flexibility 

Engines 

Adjustment

Total Overall 

Emissions 

PM Emissions (tpd) 0.012 0.025 0.04 

NOx Emissions (tpd) 0.0 0.10 0.10 

All values rounded. 

Table III-8 provides a summary of the overall incremental annual statewide diesel PM 

changes that will result from the TRU ATCM 2010 amendments in tons/year in 2010 

through 2020. The summary is based on a 30 percent usage of Level 2 VDECS for 

compliance by the affected MY 2003 and MY 2004 engines. Emission reductions that 

were anticipated but will not be realized are highest in 2010 and are approximately 

0.012 tpd of diesel PM for affected MY 2003 and MY 2004 engines dependent on 

compliance method and approximately 0.025 tpd of diesel PM for flexibility engine 

adjustments, for a total of 0.04 tpd. This emissions increase will primarily occur in years 

2010 through 2012 with negligible increase after 2017 for affected MY 2003 and 

MY 2004 and after 2012 for the flexibility engine adjustments. Emission reductions that 

will not be realized for NOx result only from the flexibility engine adjustments and are 

approximately 0.10 tpd in 2010. 
III-6 

Table III-8: Statewide Diesel PM Emission Reductions 

Attributable to the Existing TRU Regulation and Subset of Reductions 

to be Deferred Under the Proposed 2010 TRU Amendments 

Emission Reductions to be Deferred 

Under the Proposed 2010 TRU Amendments 

Emission 

Reductions to be 

Achieved by Existing 

TRU Regulation 

(2003 Staff Report)

Affected MY 2003 

and MY 2004 

Engines 

Flexibility Engine 

Adjustment Year Total 

PM 

(tpd) 

NOx 

(tpd) 

PM 

(tpd) 

NOx

(tpd) 

PM 

(tpd) 

NOx

(tpd) 

PM 

(tpd) 

NOx

(tpd) 

2010 0.600 0.922 0.012 0 0.025 0.10 0.037 0.10 

2011 0.695 0.935 0.012 0 0.024 0.10 0.036 0.10 

2012 0.739 0.937 0.011 0 0.010 0.09 0.021 0.09 

2013 0.765 0.941 0.010 0 0.003 0.09 0.013 0.09 

2014 0.786 0.958 0.009 0 0.003 0.08 0.012 0.08 

2015 0.811 0.990 0.007 0 0.003 0.07 0.010 0.07 

2016 0.805 0.926 0.006 0 0.002 0.06 0.008 0.06 

2017 0.664 0.862 0.004 0 0.002 0.05 0.006 0.05 

2018 0.610 0.903 0.000 0 0.001 0.04 0.001 0.04 

2019 0.559 0.950 0.000 0 0.001 0.02 0.001 0.02 

2020 0.525 1.002 0.000 0 0.000 0.01 0.000 0.01 

 All values rounded. 

F. Health Risk 

The Board listed diesel PM as a toxic air contaminant in 1998 based on its potential to 

cause cancer, premature death, and other health effects. NOx is a precursor to the 

formation of ozone and contributes to secondarily formed PM in the lower atmosphere. 

The Office of Environmental Health Hazard Assessment (OEHHA) has shown both 

chronic cancer and non-cancer health impacts due to exposure to diesel PM, but the 

cancer health risk impacts are generally higher than the non-cancer health impacts. For 

this analysis, only cancer risks were addressed for diesel TRUs. A summary of the 

risks reported in the 2003 Staff Report and impacts estimated as a result of the 

proposed amendments are provided below.

In the 2003 Staff Report, ARB staff estimated potential cancer risks from diesel TRU 

using activities at a distribution center where 35 horsepower diesel TRU engines 

operate. The potential excess cancer risk from diesel PM was estimated to be 

approximately 130 chances in a million up to one-half mile from a large facility operating 

2,000 hours per week. These estimates were based on the year 2000 fleet average 

emission rate (0.7 grams PM per brake horsepower-hr (g/bhp-hr)). The 2010 estimated 

fleet average emission rate is 0.24 g PM/bhp-hr or about a factor of 3 lower. As a result 

of the significant change in the average emission rate of TRUs over the past 10 years, 

this same facility in 2010 (without the existing TRU regulation) would have an updated 

excess cancer risk of about 45 chances per million. The existing TRU regulation 

reduces excess cancer risks near distribution centers to approximately 33 chances per 

million. With the deferred emission reductions from the proposed 2010 amendments, 
III-7 

the excess cancer risk would increase by less than one chance per million in each of 

seven years. All parameters and assumptions, along with the methodology for 

estimating these cancer risks, are found in Appendix E of the 2003 Staff Report 

(ARB, 2003). 
 

(This Page Left Intentionally Blank) 
 IV-1 

IV. ENVIRONMENTAL AND HEALTH IMPACTS OF PROPOSED AMENDMENTS 

The California Environmental Quality Act (CEQA) and ARB policy require an analysis to 

determine the potential environmental impacts of proposed regulations. Because ARB's 

program involving the adoption of regulations has been certified by the Secretary of 

Resources pursuant to Public Resources Code section 21080.5, the CEQA 

environmental analysis requirements may be included in the Initial Statement of 

Reasons (ISOR) for this rulemaking. In the ISOR, ARB must include a “functionally 

equivalent” document, rather than adhering to the format described in CEQA of an Initial 

Study, a Negative Declaration, and an Environmental Impact Report. In addition, staff 

will respond, in the Final Statement of Reasons for the proposed regulation, to all 

significant environmental issues raised by the public during the public review period or 

at the Board public hearing. Public Resources Code section 21159 requires that the 

environmental impact analysis conducted by ARB include the following: 

• An analysis of reasonably foreseeable environmental impacts of the methods of 

compliance; 

• An analysis of reasonably foreseeable feasible mitigation measures (CEQA 

requires an agency to identify and adopt feasible mitigation measures that would 

minimize any significant adverse environmental impacts); and 

• An analysis of reasonably foreseeable alternative means of compliance with the 

proposed regulation. 

ARB staff’s analysis of these requirements is presented below. The proposed TRU 

ATCM 2010 amendments reduce the cost of complying with the ATCM while still 

ensuring the emissions and risks from TRU diesel engines are mitigated.

A. Statewide Emissions Impacts 

ARB staff has estimated the incremental emissions which were anticipated but may not 

be realized with the proposed TRU ATCM 2010 amendments for 2010 through 2020 as 

shown in Table IV-1. As stated earlier, statewide emissions from these specific engine 

model year categories are a small portion of the total TRU emissions. However, these 

emission reductions are important in achieving the Board’s goals in the Diesel Risk 

Reduction Plan (ARB, 2000) and Goods Movement Action Plan (CalEPA, 2007), as well 

as attaining and maintaining ambient air quality standards. 
 IV-2 

Table IV-1: Statewide Diesel PM Annual Unrealized Emission Reductions 

for 2010 to 2020 Attributable to Proposed TRU ATCM 2010 Amendments 

Affected MY 2003 

and MY 2004 Engines

Flexibility Engine 

Adjustment Total 

Year PM (tpd) NOx (tpd) PM (tpd) NOx (tpd) PM (tpd) NOx (tpd) 

2010 0.012 0 0.025 0.10 0.037 0.10 

2011 0.012 0 0.024 0.10 0.036 0.10 

2012 0.011 0 0.010 0.09 0.021 0.09 

2013 0.010 0 0.003 0.09 0.013 0.09 

2014 0.009 0 0.003 0.08 0.012 0.08 

2015 0.007 0 0.003 0.07 0.010 0.07 

2016 0.006 0 0.002 0.06 0.008 0.06 

2017 0.004 0 0.002 0.05 0.006 0.05 

2018 0.000 0 0.001 0.04 0.001 0.04 

2019 0.000 0 0.001 0.02 0.001 0.02 

2020 0.000 0 0.000 0.01 0.000 0.01 

 Values are rounded. 

The projected total statewide diesel PM emission incremental changes from the 

proposed TRU ATCM 2010 amendments are presented in Figure IV-1 as a comparison 

to the TRU ATCM and the TRU baseline as estimated in the 2003 Staff Report. The 

diesel PM emissions from TRUs in 2010 were estimated to be about 1.6 tpd in the 

2003 Staff Report, dropping to about 0.31 tpd in 2020. The incremental change in PM 

emissions that would occur as a result of the proposed TRU ATCM 2010 amendments 

drops from 2010 through 2020, with the impacts becoming negligible after 2018. As 

discussed in Chapter III, the only incremental NOx emission impacts are due to the use 

of flexibility engines which have higher emissions. This amendment allows the 

adjustment of compliance dates for prior flexibility engines, but limits the life of future 

flexibility engines to preserve emission reductions. 
 IV-3 

Figure IV-1: Projected Statewide Diesel PM Emissions for Baseline, 

TRU ATCM and with Proposed TRU ATCM 2010 Amendments

Baseline

Existing Rule

Amendments

0.0

0.5

1.0

1.5

2.0

2.5

2009 2010 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020 2021

tons per day

As Figure IV-1 shows, the emissions impact from the proposed TRU ATCM 2010 

amendments is negligible, but nonetheless represents an adverse, although not 

substantial, emissions impact. The highest concentrations of diesel PM from TRUs are 

expected to occur at locations where numerous TRUs operate such as distribution 

facilities, ports and intermodal facilities. These locations could see slightly increased 

concentrations of approximately 0.04 tpd of diesel PM. 

B. Health Impacts 

 

The impacts associated with the proposed TRU ATCM 2010 amendments would result 

in slight increases of ambient particulate matter (PM) emissions and exposure to diesel 

PM and NOx. Estimating the impact of the diesel PM emission due to the proposed 

TRU ATCM 2010 amendments on potential cancer risk depends on location of the 

emission impacts. The diesel PM emission impacts between the end of 2010 and the 

end of 2017 due to the proposed TRU ATCM 2010 amendments may result in a small 

increase in potential health risks of less than one per million (see Chapter III for 

additional details). 

Staff believes that the majority of TRU owners will continue to comply with the in-use 

emissions standards by repowering with new replacement engines and TRU gen set 

owners will continue to replace the entire unit. If there is a change in this trend, so that 

more owners elect to retrofit with exhaust aftertreatment systems, a 2 to 5 percent fuel 
 IV-4 

penalty is typically associated with diesel particulate filters; and the increased fuel use 

would translate into increased carbon dioxide (CO2) emissions. While this potentially 

could occur, staff does not believe the TRU ATCM 2010 amendments, by themselves, 

would cause a significant change in the use of the retrofit option over the repower 

option. In general newer engines are expected to be more fuel efficient than the older 

engines being replaced, but there is some uncertainty whether this will be the case 

when engine manufacturers may need to utilize exhaust aftertreatment technologies to 

meet Tier 4 final new engine emissions standards in the 25 horsepower (hp) to less 

than 50 hp category. 

C. Environmental Impacts 

ARB staff anticipates that the proposed TRU ATCM 2010 amendments to allow owner’s 

to comply by meeting either the LETRU or ULETRU requirements and adjust the 

compliance deadline for prior flexibility engines, but limit use of future flexibility engines, 

will not significantly increase criteria, toxic, and greenhouse gas (GHG) emissions. As 

shown in Table VI-1, emissions reductions not realized consist of 0.037 tpd of PM and 

0.10 tpd of NOx in 2010. There would not be any change to the impacts discussed in the 

2003 Staff Report for potential compliance methods including diesel particulate filters 

(DPF). 

 D. Global Warming Impacts 

The following sections provide an overview of the current understanding of the potential 

climate impacts of the pollutants emitted by diesel engines, which are used to power all 

but a few TRUs and TRU gen sets. 

Particulate Matter (PM): PM from diesel engine exhaust is composed of combustion 

particles consisting of elemental and organic carbon and sulfate, all of which can form 

aerosols. Atmospheric aerosols play an important role in the climate system through 

modifications of the global energy budget: directly, by the scattering and absorption of 

radiation; indirectly, by the modification of cloud properties. Black carbon typically 

emitted as a fraction of PM from combustion processes, is the main light-absorbing 

component of aerosols and thereby causes global warming. In recent years, there has 

been increased attention to black carbon for its global warming potential through direct 

and semi-direct effects. 

Overall, the climate impact assessment of PM emitted by diesel engines is rather 

complex: radiative forcing of black carbon is positive (climate warming impact), while 

radiative forcing of sulfate particles is negative (cooling impact). The particles emitted 

from diesel engines represent a variety of compositions and sizes. The magnitude of 

the overall direct climate impact of black carbon emitted from diesel engines and 

information on emissions of diesel-exhaust particles, such as detailed characterization 

of chemical composition, microphysical characteristics and the fate of the particles in 

the environment are not well known. (ARB, 2008) A better characterization of diesel 
 IV-5 

engine emissions is needed to improve the understanding of the climate change 

impacts from control strategies. 

Nitrogen oxides (NOx): Through the production of tropospheric ozone, emissions of 

NOx have a climate warming impact. However, by affecting the concentration of 

hydroxyl radical (OH), they reduce the levels of methane, providing a cooling effect. 

The net climate impact of changes in NOx emissions will depend on whether ozone or 

methane production dominates. At this time, there is no consensus on which action is 

likely to dominate or on the overall magnitude of the impact due to changes in NOx

emissions resulting from the regulation. (ARB, 2008) 

Conclusion: With the proposed TRU ATCM 2010 amendments, the TRU ATCM would 

continue to substantially decrease diesel PM and NOx emissions, but defer a very small 

portion of the expected emission reductions until the 2017-2018 period. Additionally, 

staff expects the proposed TRU ATCM 2010 amendments to have a negligible effect on 

global warming. 

E. Reasonably Foreseeable Mitigation Measures 

ARB staff has concluded that the emissions impact from the proposed TRU ATCM 2010 

amendments will be negligible and will not have a significant adverse impact on the 

environment. The proposed TRU ATCM 2010 amendments are necessary in that they 

will add a compliance option for affected MY 2003 and MY 2004 engines and clarify the 

standards with regard to flexibility engines while ensuring that the goals of the ATCM to 

reduce emissions and risks from TRU diesel engines continue to be met. 

F. Reasonably Foreseeable Alternative Means of Compliance with the 

Proposed ATCM 

Having found that the amendments will not result in any significant environmental 

effects, it is not necessary to address alternatives to the proposed amendments under 

CEQA. However, staff has considered alternatives to the regulation as discussed in 

Chapter II of this report. 
 

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V-1 

V. ECONOMIC IMPACTS 

This chapter discusses the estimated incremental costs and incremental economic 

impacts associated with implementation of the proposed TRU ATCM 2010 

Amendments. The expected equipment incremental costs for potential compliance 

options, the cost and associated economic impacts on businesses, as well as an 

analysis of the cost-effectiveness of proposed TRU ATCM 2010 amendments to the 

regulation are presented. Estimates in this section are based on the costs incurred and 

incremental emissions during the years of 2010 to 2027. The costs, presented as net 

present value (NPV) in 2010 dollars, are included with an explanation of the 

methodology used in Section C. 

A. Summary of the Economic Impacts 

In assessing the costs and savings associated with the proposed TRU ATCM 2010 

amendments, ARB staff developed estimates for regulatory costs and savings 

associated with the proposed amendments to the in-use standards for MY 2003 and 

MY 2004 engines for TRU operators, as well as the regulatory costs of additional 

recordkeeping and reporting for the OEMs. The estimated regulatory costs for TRU 

operators include the incremental capital cost differential between installing a Level 2 

VDECS to meet LETRU rather than installing a Level 3 VDECS for ULETRU adjusted 

for the estimated percentage of use of VDECS for compliance, the cost of a Level 3 

VDECS on the surviving TRUs in 2017, and the time value of money associated with 

the additional ULETRU step. If a business chooses to replace the TRU engine rather 

than retrofit with a VDECS, there is no incremental cost from the proposed TRU ATCM 

2010 amendments as engine replacement is a compliance option in both regulatory 

scenarios. The proposed amendment to provide additional compliance time for 

flexibility engines has no change in economic impacts from the original TRU ATCM as 

the original economic impacts were based on year of sale, not the model year of the 

engine. However, it does provide some relief to businesses that were anticipating 

expenditures based on the model year of the TRU purchased, but are currently faced 

with unexpected early expenditures based on the model year of the engine. 

There will be compliance cost savings due to changing the in-use standard to allow 

compliance to be achieved with the optional LETRU standard because the Level 2 

VDECS required to meet the LETRU standard costs about $2,000 less than the Level 3 

VDECS required to meet ULETRU. The total savings would be about $2.1 million 

(annualized over the seven year operational life and presented in 2010 dollars). 

However, since the affected engines still operating in 2017 and 2018 would still need to 

meet ULETRU, these compliance costs would reduce the savings by about 

$1.79 million in 2010 dollars. After considering the additional cost to OEMs for 

recordkeeping and reporting, staff estimates that the net cost savings for compliance 

with the proposed TRU ATCM 2010 amendments to the regulation to be approximately 

$160,000 (2010 dollars) from 2010 through 2027. 
V-2 

Staff evaluated the economic impacts the proposed TRU ATCM 2010 amendments had 

on businesses by estimating the effect of the regulatory costs on small businesses and 

typical businesses. The impact produces a significant cost savings in early years for all 

business, but has a cost impact in later years if the TRU owner decides to comply with 

ULETRU when the engine is 14-years old. The OEMs incur annual reporting costs that 

are not significant; however they have an initial report that includes the previous five 

years of data. 

One state agency would be impacted by the proposed TRU ATCM 2010 amendments 

to the regulation. The California Department of Corrections operates refrigerated trucks 

and trailers used to service correctional facilities, three TRUs of which are impacted by 

this amendment to the in-use engine standards. The capital cost savings to this state 

agency is estimated to be a maximum of $6,000. Refrigerated trucks and trailers are 

owned and operated by at least 25 local school districts and county agencies, which 

may have maximum cost savings of $10,000, and by the Federal Bureau of Prisons, 

which may have maximum cost savings of $4,000.

Cost-effectiveness is expressed in terms of costs in dollars per unit of emissions 

reduced (pounds or tons). As the proposed TRU ATCM 2010 amendments will 

generate cost savings and emissions reductions that were anticipated but will not be 

realized, we will not describe the impacts in terms of cost-effectiveness. 

 B. Legal Requirements 

In this section we explain the legal requirements that must be satisfied in analyzing the 

economic impacts of the proposed TRU ATCM 2010 amendments to the TRU ATCM. 

Section 11346.3 of the Government Code requires State agencies assess the potential 

for adverse economic impacts on California business enterprises and individuals when 

proposing to adopt or amend any administrative regulation. The assessment shall 

include a consideration of the impact of the proposed amended regulation on California 

jobs, business expansion, elimination or creation, and the ability of California business 

to compete with businesses in other states. Also, California state agencies are required 

to estimate the cost or savings to any State or local agency in accordance with 

instructions adopted by the Department of Finance (DOF). The estimate shall include 

any non-discretionary cost or savings to local agencies and the cost or savings in 

federal funding to the State. 

In addition, Health and Safety Code section 57005 requires the ARB to perform an 

economic impact analysis of submitted alternatives to a proposed regulation before 

adopting any major regulation. A major regulation is defined as a regulation that will 

have a potential cost to California business enterprises in an amount exceeding 

10 million dollars in any single year. Because the estimated cost of the TRU ATCM 

2010 amendments to the TRU ATCM does not exceed 10 million dollars in any single 

year, the proposed TRU ATCM 2010 amendments to the TRU ATCM do not constitute 

a major regulation. 
V-3 

The following is a description of the methodology used to estimate costs as well as ARB 

staff’s analysis of the economic impacts on California businesses, as well as, federal, 

State, and local agencies. 

C. Methodology for Estimating Costs Associated with Proposed 

Amendments 

In this section, the estimated costs associated with the proposed TRU ATCM 2010 

amendments are discussed. Briefly, the methodology entailed: 

• Estimating the regulatory costs associated with the proposed amendments to the 

in-use performance standards for MY 2003 and MY 2004 engines. 

• Estimating the regulatory costs of additional recordkeeping and reporting for the 

OEMs. The only costs associated with the flexibility engine adjustment are OEM 

reporting to identify TRUs with flexibility engines. No additional reporting costs 

are anticipated for TRU owners since the required information will be provided by 

the OEM and the registration updates will be done by ARB staff. 

• Costs were estimated in 2010 dollars and also adjusted to NPV using a 

five percent discount rate. 

1. Differential in VDECS Retrofit Costs for Level 2 and Level 3: 

The estimated costs for purchasing and installing VDECS in an in-use TRU were 

determined using manufacturers suggested cost data from the Level 2 VDECS 

manufacturers and the Level 3 VDECS manufacturers. There are currently two Level 2 

VDECS manufacturers with two sizes of VDECS and one Level 3 VDECS manufacturer 

marketing VDECS for TRUs. The estimated costs included the cost of the filter, new 

injectors as required by the VDECS verifications, and the labor for installation. Staff’s 

estimate of the average costs for purchase and installation of a VDECS retrofit, as well 

as the cost differential are shown in Table V-1. 
V-4 

Table V-1: Estimated Average VDECS Retrofit Costs 

by Equipment Type (2010 Dollars) 

Equipment Type 

Horsepower 

Category 

(hp) 

Cost of Level 2 

VDECS1

Cost of Level 

3 VDECS1

Incremental 

Cost 

Decrease 

between 

Level 3 and 

Level 2 

California-based truck 

van 

Less than 15 $3,650 $6,000 $2,350 

California-based truck 

van 

Less than 25 $3,650 $6,000 $2,350 

California-based 

semi-trailer 25- <50 $4,705 $6,000 $1,295 

Out-of-state semi-trailer 25- <50 $4,705 $6,000 $1,295 

Railcar 25- <50 $4,705 $6,000 $1,295 

California-based 

container on 

semi-trailer/railcar 

25- <50 $4,705 $6,000 $1,295 

 1. Includes VDECS, labor, and ancillary equipment costs. 

Table V-2 presents estimates of the number of affected engines in 2010 and 2011 and 

cost of installing Level 2 VDECS on these engines. Staff has adjusted the incremental 

cost assuming that about 30 percent of TRU operators are expected to comply with the 

TRU ATCM by retrofitting with a VDECS. This percentage adjustment is based on the 

compliance percentage for 2002 engines. The detailed calculations associated with this 

cost savings estimate are located in Matrix 1 of Appendix B: Proposed TRU ATCM 

2010 Amendments In-Use Compliance Cost Estimates. 
V-5 

Table V-2: Incremental Cost Savings from Proposed 

Amendment Extending the Level 2 VDECS Requirement to 

MY 2003 and MY 2004 Engines (2010 Dollars) 

Number of 

TRUs Affected 

Number of 

TRUs 

Expected to 

Use Level 2 

Incremental 

Level 2 VDECS 

Cost Savings 

(2010 Dollars) Equipment Type 

Horsepower 

Category 

(hp) 

2010 2011 2010 2011 2010 2011 

California-based 

truck van Less than 15 403 442 121 133 $2,350 $2,253 

California-based 

truck van 15-<25 149 161 45 40 $2,350 $2,233 

California-based 

semi-trailer 25-<50 2,038 0 611 0 $1,295 N/A 

Out-of-state 

semi-trailer 25-<50 672 0 202 0 $1,295 N/A 

Railcar 25-<50 150 0 45 0 $1,295 N/A 

California-based 

container on 

semi-trailer/railcar 

25-<50 292 0 45 0 $1,295 N/A 

2. Future Level 3 VDECS Costs 

If Level 2 VDECS are installed on MY 2003 and MY 2004 engines, an additional 

ULETRU compliance step must be performed on surviving engines by December 31 of 

the 14th year after the model year of the engine (2017 for MY 2003 engines and 2018 

for MY 2004 engines less than 25 hp). Again, staff has adjusted the incremental cost 

assuming that about 30 percent of TRU operators are expected to comply with the TRU 

ATCM by retrofitting with a VDECS. This is a conservative assumption as staff 

anticipates that most TRU operators with Level 2 VDECS will comply with the regulation 

in 2017 and 2018 by replacing their existing TRUs rather than retrofitting with a Level 3 

VDECS because these TRUs will be at the end of their useful service life. Table V-3 

presents estimates of the number of surviving engines in 2017 and the cost of installing 

Level 3 VDECS on the surviving engines. These costs were derived by applying a 

five percent discount rate to the 2010 costs listed in Table V-1. The detailed 

calculations associated with this cost estimate are located in Matrix 1 of Appendix B: 

Proposed TRU ATCM 2010 Amendments In-Use Compliance Cost Estimates. 
V-6 

Table V-3: Costs from Proposed Amendment Extending the 

Level 3 VDECS Compliance Deadline for MY 2003 and MY 2004 Engines 

to 2017 and 2018 (2010 Dollars) 

Number of TRUs 

Affected 

Number of TRUs 

Expected to Use 

Level 3 VDECS 

Level 3 VDECS 

Cost 

(2010 Dollars) Equipment Type 

Horsepower 

Category 

(hp) 2017 2018 2017 2018 2017 2018 

California-based 

truck van Less than 15 126 132 38 40 $4,190 $3,981 

California-based 

truck van 15-25 47 48 14 14 $4,190 $3,981

California-based 

semi-trailer 25-50 638 0 191 0 $4,190 $3,981

Out-of state 

semi-trailer 25-50 211 0 63 0 $4,190 $3,981

Railcar 25-50 47 0 14 0 $4,190 $3,981

California-based 

container on 

semi-trailer/railcar 

25-50 92 0 28 0 $4,190 $3,981

 3. Flexibility Engine Adjustments 

Staff anticipates that the only change in costs from flexibility engines from the economic 

analysis in the 2003 Staff Report is attributed to the one-time reporting cost for TRU 

manufacturers. In the 2003 Staff Report, capital costs were expected in the year of 

sale, not the effective engine model year, therefore there is no incremental change in 

capital cost as this amendment proposes to return the costs to year of sale rather than 

the 7th year after the effective engine model year. There are increased emissions 

impacts associated with this adjustment as the emissions for the year of sale (Tier 2 in 

effect) were estimated from the current tier engines (Tier 2) for the year of sale, which is 

lower than the emissions than the emissions from the flexibility engines (Tier 1). 

 4. Operation and Maintenance Costs 

Staff does not anticipate that there will be a significant change in the operating and 

maintenance costs for the proposed Level 2 VDECS in-use standard compared to the 

current Level 3 VDECS standard as noted in the 2003 Staff Report. 

 5. Recordkeeping and Reporting Costs

Under staff’s proposal, OEMs are required to report flexibility engine data to ARB, as 

well as unit and engine data for both prior and current production years. The cost for 

collecting and reporting this data to ARB was estimated by contacting the OEMs for 

estimates of the time to prepare these reports. The flexibility engine reporting and the 

initial prior production reporting will occur in 2010 and is based on estimates provided 
V-7 

by the OEMs for reporting of flexibility engines. ARB staff estimates a cost of about 

$19,000 for initial reporting of flexibility engines and $25,000 for initial reporting of 

five years of data for prior production years. Based on ARBER registrations, ARB 

estimates that approximately 10,000 TRUs per year will require prior year production 

reporting for an estimated cost of $5,000. Current production year reporting is 

estimated to be approximately $3,400 per year based on an estimate of the number of 

models per production year. 

D. Total Regulatory Costs 

Table V-4 provides the regulatory costs attributed to the proposed TRU ATCM 2010 

amendments from the calculations located in Matrix 1 and Matrix 2 of Appendix B. The 

in-use engine regulatory costs are derived from the cost differential between Level 2 

and Level 3 VDECS, the future cost of Level 3 VDECS in 2017, and the reporting cost. 

The net total regulatory cost savings for the TRU ATCM 2010 amendments over the 

years 2010 to 2027 are estimated to be about $160,000 (2010 dollars). 

Table V-4: Total Estimated Regulatory Costs for Proposed 

TRU ATCM 2010 Amendments (2010 Dollars) 

Proposed TRU ATCM 2010 Amendments Regulatory Cost or (Savings) 

NPV Incremental Cost Savings for MY 2003 

and MY 2004 < 25 hp Savings (2010 $) ($810,000) 

NPV Incremental Cost Savings for MY 2003 > 

25 hp Savings 

(2010 $) 

($1,290,000) 

NPV ULETRU Cost for MY 2003 and MY 

2004 < 25 hp (2010 $) $460,000 

NPV ULETRU Cost for MY 2003 > 25 hp 

(2010 $) $1,330,000 

NPV OEM Reporting Cost (2010 $) $150,000 

Operating and Maintenance Cost 

(2010 $) $0 

NPV Net Total Cost or (Savings) 

(2010 $) ($160,000)

All values rounded. 

E. Estimated Costs to Businesses 

The costs and economic impacts on businesses are presented in this section. The 

overall impact on business competitiveness, employment, and other impacts on 

business are also presented. 
V-8 

1. Potential Impact on Employment, Business Creation, Elimination or 

Expansion

 a. Potential Impact on Employment 

The proposed TRU ATCM 2010 amendments are not expected to cause a measurable 

change in California employment and payroll. The proposed TRU ATCM 2010 

amendments are likely to result in no change in employment in businesses as 

compared to the 2003 Staff Report. 

b. Potential Impact on Business Creation, Elimination, or Expansion 

The proposed TRU ATCM 2010 amendments would have a positive impact on the 

status of California businesses. The proposed TRU ATCM 2010 amendments reduce 

the economic burden on businesses which have affected MY 2003 and MY 2004 

engines, and extend the current compliance dates for flexibility engines. These 

businesses may benefit from the proposed addition of a less expensive compliance 

alternative for MY 2003 and MY 2004 engines, and the proposed relief from the 

unexpected compliance costs associated with flexibility engines. 

c. Potential Impact on Business Competitiveness 

The proposed TRU ATCM 2010 amendments would have no significant impact on the 

ability of California businesses to compete with businesses in other states. The 

proposed TRU ATCM 2010 amendments are likely to result in no change in business 

competitiveness as compared to the 2003 Staff Report, as Non-California-based TRUs 

operating in California will be required to meet the same regulatory requirements as 

California-based TRUs. 

2. Estimated Regulatory Cost for Small and Typical Business

About 80 percent of the companies that own TRUs are considered small businesses, 

having less than 20 TRUs. The estimated regulatory cost for small and typical business 

is presented in Table V-5. The estimated regulatory cost savings from these TRU 

ATCM 2010 amendments for a small business ranges from $2,000 for one unit to 

$40,000 for 20 units, with an average of $21,000. The estimated regulatory cost 

savings for a typical business ranges from $42,000 for 21 units to $100,000 for 50 units 

with an average of $71,000. The estimated regulatory costs for OEMs are estimated at 

about $44,000 initially and about $8,000 per year thereafter. 
V-9 

Table V-5: Estimated Incremental Regulatory Cost Savings for 

Small and Typical Business (2010 Dollars) 

Incremental Cost 

Savings to Small 

Business 

Incremental Cost 

Savings to Typical 

Business 

Year 

1 Unit 20 units 21 Units 50 Units 

Cost to OEMs

Capital Cost Savings 

(2010 $) 

$2,000 $40,000 $42,000 $100,000 N/A 

Annualized Capital 

Cost Savings 

(2010 $) 

$400 $8,000 $8,000 $40,000 N/A 

OEM Initial 

Reporting Costs 

(2010 $) 

N/A N/A N/A N/A $44,000 

OEM Annual 

Reporting Costs 

(2010 $) 

N/A N/A N/A N/A $8,000 

All values rounded.

F. Cost to Local, State, and Federal Agencies 

One state agency would be impacted by the proposed TRU ATCM 2010 amendments 

to the regulation. The California Department of Corrections operates refrigerated trucks 

and trailers used to service correctional facilities, three of which are impacted by this 

amendment to the in-use engine requirements. The capital cost savings to this state 

agency is estimated to be a maximum of $6,000. Refrigerated trucks and trailers are 

owned and operated by at least 25 local school districts and local agencies, which may 

have a maximum cost savings of $10,000, and by the Federal Bureau of Prisons, which 

may have a maximum cost savings of $4,000.

The proposed TRU ATCM 2010 amendments are not expected to add significant costs 

above those already required to implement and enforce the proposed amended 

regulation. ARB’s administrative costs for outreach, educational efforts, and technical 

assistance would be absorbed within existing budgets and resources. 

G. Cost-Effectiveness 

Cost-effectiveness is expressed in terms of costs in dollars per unit of emissions 

reduced (pounds or tons). As the proposed TRU ATCM 2010 amendments to the TRU 

ATCM will generate cost savings and emissions reductions not realized, it is not 

practical to describe the impacts in terms of cost-effectiveness. 

Table V-6 shows the range of cost effectiveness for ARB regulations. The cost savings 

and emission reductions lost from the proposed TRU ATCM 2010 amendments are 

negligible and do not affect the original cost-effectiveness range of the TRU ATCM as 

presented in the 2003 Staff Report. 
V-10 

Table V-6: Comparison of Diesel PM Cost Effectiveness of the 

Proposed TRU ATCM 2010 Amendments to Other ARB Regulations 

Diesel PM Cost- Effectiveness 

Regulation or Airborne Toxic Control Measure 

Dollars/ Pound PM 

Commercial Harbor Craft (2007) $29 

Commercial Harbor Craft (2010 Amendments) $35 

In-Use Off-Road Diesel Vehicles $40 

Cargo Handling Equipment Proposal $41 

Solid Waste Collection Vehicle Rule $28 

Stationary Diesel Engine ATCM $4 - $26 

Transport Refrigeration Unit ATCM (2004) $10 - $20 

Transport Refrigeration Unit ATCM 

(2010 Amendments) $10 - $20 
VI-1 

VI. Public Outreach and Future Activities 

 A. Public Outreach 

Staff has provided opportunities for participation in the rulemaking process. Staff’s 

public outreach efforts included three public workshops at which draft regulatory 

concepts, language, emissions impacts, health risk impacts, and economic impacts 

were provided. Staff’s public outreach efforts included meetings, webcasts, 

teleconferences, telephone contacts, and emails with TRU owners and fleet operators, 

trade associations, trade journal reporters, TRU original equipment manufacturers, TRU 

dealers and service centers, truck and trailer dealers, brokers, leasing companies, 

diesel particulate matter emissions control system manufacturers, environmental 

groups, engine rebuilders, and other interested parties. Staff also created a website 

and maintained an email address list that includes over 5,100 addresses to 

automatically update interested parties about rulemaking developments. The TRU 

website can be accessed at: http://www.arb.ca.gov/diesel/tru.htm 

 B. Environmental Justice 

The proposed amendments result in a short-term negligible increase diesel PM 

emissions and will impact diesel PM emissions at distribution centers, grocery stores, 

and other facilities where TRUs operate. Communities near distribution centers are 

often more heavily impacted by TRUs operating at these locations. On 

December 13, 2001, the Board approved “Policies and Actions for Environmental 

Justice,” which formally established a framework for integration of environmental justice 

into ARB’s programs, consistent with the directive of California state law. These 

policies apply to all communities in California; however, environmental justice issues 

have been raised specifically in the context of low-income areas and ethnically diverse 

communities. The proposed amendments are consistent with our environmental justice 

policy to reduce health risk in all communities, including those with low-income and 

ethnically diverse populations. 

 C. Future Activities 

When staff began this rule amendment process our goal was to bring to the Board a 

series of amendments addressing implementation, enforcement, and economic issues. 

As we progressed through the first two workshops, the number of potential amendments 

grew as did the number of possible approaches to address issues and concerns. It 

became clear to staff that additional data collection and analysis would be needed 

before we would be in a position to recommend specific rule changes to the Board. 

However, there were several amendments that required Board action in 2010 because 

of compliance dates that become effective at the end of the year. As a result, staff 

decided to bring the rulemaking forward in two phases. Phase 1, which is the subject of 

this Staff Report, would address time-critical amendments that urgently need Board 

approval before the end of the year. 
VI-2 

Phase 2, which we tentatively plan to bring to the Board in July 2011, would address the 

remaining issues and concerns that are not as time-critical. This will provide staff 

additional time to adequately develop the remaining proposed amendments, address 

stakeholder concerns, and complete the necessary update to the emissions inventory. 

Below is a list of the issues we will be working on: 

Changes to Emission Standards

• Clarify ULETRU standard for less than 25 hp engines meeting Tier 4f – require 

highest level VDECS retrofit available or alternative technology when 7 years old 

Changes to the Compliance Schedule

• Extend LETRU compliance period by one year for complying by original 

December 31, 2008, compliance date (engine model years 2001 and older) 

• Extend LETRU compliance period by one year for complying by 

December 31, 2009, compliance date (engine model year 2002) 

• Provide an alternative compliance schedule for low-use TRUs using automated 

GPS/wireless recordkeeping 

Sell Thru Provisions

• Establish the “effective model year” for TRUs where the difference between the 

model year of the engine and model year of the TRU is no more than 1 year to 

be the more recent model year 

Monitoring, Reporting, Recordkeeping, and Labeling Provisions

• Require OEMs to provide unit labels identifying the effective model year 

• Require engine rebuilders to provide labels identifying the effective model year 

• Require engine rebuilders, sellers, and installers to provide unit and engine data 

to ARB and purchaser 

• Add monitoring, recordkeeping, and reporting requirements for Alternative 

Technologies, such as hybrid-electric TRUs and hybrid cryogenic temperature 

control systems 

• Clarify dealer registration requirements and handling of noncompliant units 

Other Proposed Changes

• Clarify purchase, transport, and storage requirements for noncompliant units 

• Exempt TRUs used during State or federal declared emergencies 

• Provide Executive Officer authority to grant limited exemptions where complying 

technology has not been delivered on time or is not available 

• Extend compliance co-responsibility to the entity that arranges transport (e.g. 

brokers, shippers, or receivers) 

• Clarify the existing prohibition on the sale of noncompliant units
VII - 1

VII. RECOMMENDATION

ARB staff recommends the Board approve the proposed TRU ATCM 2010 amendments 

to the regulations, as presented in Appendix A, for the following reasons: 

Proposed Amendment to the In-Use Emissions Standards for MY 2003 and MY 2004 

Engines

• Level 3 VDECS were anticipated being available as a compliance option for TRUs 

early in 2010. This has not occurred. Amending the ULETRU requirements is 

necessary given that there is only one Level 3 VDECS currently available, that 

verification of this VDECS did not occur until July 2010, that the availability of this 

VDECS is limited, that the supporting dealer network is in the initial stages of 

development, and that there are no Level 3 VDECS that fit in the TRU housing for 

<25 hp units. 

• Level 2 VDECS are readily available on the market, and have been installed in 

thousands of model year (MY) 2002 and older TRUs, so the dealer and installation 

network is established and these products have been thoroughly demonstrated. 

• Level 2 VDECS are compatible with MY 2003 engines in the 25 hp to less than 

50 hp category and the VDECS verifications have been extended to include this 

model year. 

• Level 2 VDECS are compatible with MY 2003 and 2004 engines in the less than 

25 hp category and the VDECS verifications have been extended to include this 

model year. 

Flex Engine Provisions

• Staff finds that because TRU owners were unaware that purchasing a TRU 

equipped with a flexibility engines would not have the same operating life as an 

engine meeting the tier standards in effect at the time of manufacture, using the 

manufacturer year for flexibility engines installed in the past is appropriate. 

However, going forward, the effective model year for flexibility engines needs to be 

used to provide an incentive to original equipment manufacturers to install the 

cleanest engines that are available in new equipment as soon as possible and to 

ensure that if flexibility engines that meet dirtier prior-tier standards are installed in 

new equipment, they are cleaned up as soon as possible. The effective model year 

of an engine that was manufactured to a prior tier standard that was not the standard 

currently in effect at the time of manufacture would be the last year that the prior tier 

standard was in effect. 

Reporting Provisions

• To facilitate staff efforts to provide enhancements to the ARBER registration system, 

making it easier for owners to register, and to improve the emissions inventory, TRU 

and TRU gen set OEMs need to periodically report unit and engine data for the 

coming production year and prior production years.
(This Page Left Intentionally Blank) 
R-1

REFERENCES 

(ARB, 2000) California Air Resources Board. Risk Reduction Plan to Reduce 

Particulate Matter Emissions from Diesel-Fueled Engines and Vehicles. Sacramento, 

California. October 2000. 

(ARB, 2003) Air Resources Board, Staff Report: Initial Statement of Reasons for 

proposed Rulemaking of the Airborne Toxic Control Measure for In-Use Diesel-Fueled 

Transport Refrigeration Units (TRU) and TRU Generator Sets, and Facilities where 

TRUs Operate, October 2003. 

(ARB, 2008) Air Resources Board, Initial Statement of Reasons for Proposed 

Rulemaking: Fuel Sulfur and Other Operational Requirements for Ocean-Going 

Vessels Within California Waters and 24 Nautical Miles of the California Baseline. 

June 2008. 

(ARB, 2010) Air Resources Board, Diesel PM Control Technology Options for 

complying with TRU ATCM, August 2010 

(CalEPA, 2007) Business, Housing, and Transportation Agency, and California 

Environmental Protection Agency, Goods Movement Action Plan. January 2007.

(CFR, 2010a) Title 40, Code of Federal Regulations, Part 89, section 89.102. Effective 

dates, optional inclusion, flexibility for equipment manufacturers. Current as of 

September 1, 2010. 

(CFR, 2010b) Title 40, Code of Federal Regulations, Part 1039, section 1039.625. 

What requirements apply under the program for equipment manufacturer flexibility? 

Current as of September 1, 2010. 

(CFR, 2010c) Title 40, Code of Federal Regulations, Part 1068, section 1068.265. 

What provisions apply to engines that are conditionally exempted from certification? 

Current as of September 1, 2010. 

(CCR, 2010) Title 13, California Code of Regulations, section 2423. Exhaust Emission 

Standards and Test Procedures – Off-Road Compression Ignition Engines. Operative 

1-6-2006 (Register 2005, No. 49). 

(U.S. EPA, 2009) California State Nonroad Engine and Vehicle Pollution Control 

Standards; Authorization of Transport Refrigeration Unit Engine Standards, Notice of 

Decision. Federal Register, Vol. 74, No. 11, page 3030, Friday, January 16, 2009, 

Notices. 
(This Page Left Intentionally Blank) 
APPENDIX A 

PROPOSED AMENDMENT OF 

AIRBORNE TOXIC CONTROL MEASURE 

FOR IN-USE DIESEL-FUELED TRANSPORT 

REFRIGERATION UNITS (TRU) AND TRU GENERATOR SETS, 

AND FACILITIES WHERE TRUs OPERATE 

TITLE 13, CALIFORNIA CODE OF REGULATIONS 

SECTION 2477
(This Page Left Intentionally Blank)
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Airborne Toxic Control Measure for In-Use Diesel-Fueled Transport Refrigeration 

Units (TRU) and TRU Generator Sets, and Facilities Where TRUs Operate

____________________________________________________________________ 

Amend article 8, Off-Road Airborne Toxic Control Measures, and section 2477, within 

division 3, chapter 9, title 13, California Code of Regulations, to read as follows: (Note: 

Proposed amendments are shown in underline to indicate additions and strikeout to 

indicate deletions.) 

Article 8. Off-Road Airborne Toxic Control Measures 

Section 2477. Airborne Toxic Control Measure for In-Use Diesel-Fueled 

Transport Refrigeration Units (TRU) and TRU Generator Sets, and Facilities 

Where TRUs Operate. 

(a) Purpose. Diesel particulate matter (PM) was identified in 1998 as a toxic air 

contaminant. This regulation implements provisions of the Diesel Risk Reduction 

Plan, adopted by the Air Resources Board in October, 2000, as mandated by the 

Health and Safety Code Sections 39650-39675, to reduce emissions of substances 

that have been determined to be toxic air contaminants. Specifically, this 

regulation will use a phased approach to reduce the diesel PM emissions from inuse transport refrigeration units (TRUs) and TRU generator (gen) set equipment 

used to power electrically driven refrigerated shipping containers and trailers that 

are operated in California. 

(b) Applicability. 

(1) Except as provided in subsection (c), this regulation applies to owners and 

operators of diesel-fueled TRUs and TRU gen sets (see definition of operator 

and owner in subsection (d) that operate in the state of California. This 

specifically includes: 

(A) Operators and owners of California-based TRUs and TRU gen sets that are 

installed on trucks, or trailers, shipping containers, or railcars; and 

(B) Operators and owners of non-California-based TRUs and TRU gen sets that 

are installed on trucks, trailers, shipping containers, or trailers. 

(2) This regulation applies to facilities located in California with 20 or more loading 

dock doors serving refrigerated areas where perishable goods are loaded or 

unloaded for distribution on trucks, trailers, shipping containers, or rail cars that 

are equipped with TRUs and TRU gen sets and that are owned, leased, or 

contracted for by the facility, its parent company, affiliate, or subsidiary that are 

under facility control (see definition). 
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(3) To the extent not already covered under subsections (b)(1) and (b)(2), above, 

subsection (g) of this regulation shall apply to any person engaged in this State 

in the business of selling to an ultimate purchaser, or renting or leasing new or 

used TRUs or TRU gen sets, including, but not limited to, manufacturers, 

distributors, and dealers. 

(4) TRU and TRU gen set original equipment manufacturers that directly or indirectly 

sell or offer for sale TRUs and TRU gen sets to the California market.

(4)(5) Severability. If any subsection, paragraph, subparagraph, sentence, 

clause, phrase, or portion of this regulations 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. 

(c) Exemptions. This regulation does not apply to military tactical support equipment. 

(d) Definitions. For purposes of this regulation, the following definitions apply: 

(1) “Affiliate or Affiliation” refers to a relationship of direct or indirect control or 

shared interests between the subject business and another business. 

(2) “Alternative Fuel” means natural gas, propane, ethanol, methanol, or 

advanced technologies that do not rely on diesel fuel, except as a pilot 

ignition source at an average ratio of less than 1 part diesel fuel to 10 parts 

total fuel on an energy equivalent basis. Alternative fuels also means any 

of these fuels used in combination with each other or in combination with 

other non-diesel fuels. Alternative-fueled engines shall not have the 

capability of idling or operating solely on diesel fuel at any time. 

(3) “Alternative-Fueled Engine” means an engine that is fueled with a fuel 

meeting the definition of alternative fuel. 

(4) “Alternative Diesel Fuel” means any fuel used in diesel engines that is not 

commonly or commercially known, sold or represented as diesel fuel No. 1-

D or No. 2-D, pursuant to the specification for Diesel Fuel Oils D975-81, 

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. Natural gas is not an alternative diesel 

fuel. An emission control strategy using a fuel additive will be treated as an 

alternative diesel fuel based strategy unless: 

(A) The additive is supplied to the vehicle or engine fuel by an on-board dosing 

mechanism, or 
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(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 vehicle or 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. 

(5) “ARB” means the California Air Resources Board.

(6) “B100 Biodiesel Fuel” means 100% biodiesel fuel derived from vegetable 

oil or animal fat and complying with ASTM D 6751-02 and commonly or 

commercially known, sold, or represented as “neat” biodiesel or B100. 

B100 biodiesel fuel is an alternative diesel fuel. 

(7) “B100 Biodiesel-Fueled” (compression-ignition engine) means a 

compression-ignition engine that is fueled by B100 biodiesel fuel. 

(8) “Business” means an entity organized for profit including, but not limited to, 

an individual, sole proprietorship, partnership, limited liability partnership, 

corporation, limited liability company, joint venture, association or 

cooperative; or solely for purposes of the Prompt Payment Act 

(Government Code 927 et seq.), a duly authorized nonprofit corporation. 

(9) “California-Based TRUs and TRU Gen Sets” means TRUs and TRU gen 

sets equipped on trucks, trailers, shipping containers, or railcars that a 

reasonable person would find to be regularly assigned to terminals within 

California. 

(10) “CARB Diesel Fuel” means any diesel fuel that is commonly or 

commercially known, sold or represented as diesel fuel No. 1-D or No. 2-D, 

pursuant to the specification for Diesel Fuel Oils D975-81 and meets the 

specifications defined in 13 CCR 2281, 13 CCR 2282, and 13 CCR 2284. 

(11) “Carbon Monoxide (CO)” means a colorless, odorless gas resulting from 

the incomplete combustion of hydrocarbon fuels. 

(12) "Carrier” means any person, party, or entity who undertakes the transport 

of goods from one point to another. 

(13) "Certification" means the obtaining of an Executive Order for a new offroad 

compression-ignition engine family that complies with the off-road 

compression-ignition emission standards and requirements specified in the 

California Code of Regulations, Title 13, Section 2423. A "certified engine" 

is an engine that belongs to an engine family that has received a 

certification Executive Order. 
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(14) "Certification Data" means the ARB Executive Order number and related 

exhaust emission data for each test cycle mode used to certify the engine 

family and obtain the certification level shown in the certification Executive 

Order. Such data includes modal exhaust emissions data for nitrogen 

oxides, nonmethane hydrocarbons, carbon monoxide, and particulate 

matter includes, as a minimum, torque, engine speed, weighting factor, 

power, mass emission rate (grams per hour), and certification test fuel. 

(15) “Compression Ignition (CI) Engine” means an internal combustion engine 

with operating characteristics significantly similar to the theoretical diesel 

combustion cycle. The regulation of power by controlling fuel supply in lieu 

of a throttle is indicative of a compression ignition engine. 

(16) “Consignee” (see receiver). 

(17) "Consignor” (see shipper). 

(18) "Cryogenic Temperature Control System" means a heating and cooling 

system that uses a cryogen, such as liquid carbon dioxide or liquid nitrogen 

that is routed through an evaporator coil that cools air blown over the coil. 

The cryogenic system uses a vapor motor to drive a fan and alternator, and 

a propane-fired heater superheats the carbon dioxide for heating and 

defrosting. Electrically driven fans may be used instead of a vapor motor 

and heating and defrost needs may be met by using electric heaters and/or 

vehicle engine coolant. 

(19) "Deterioration Factor (DF)" means a factor that is applied to the certification 

emission test data to represent emissions at the end of the useful life of the 

engine. Separate DFs apply to each measured pollutant, except that a 

combined NMHC+NOx DF applies to engines that do not use 

aftertreatment devices. Decreasing emissions over time would not be 

allowed to offset increasing emissions of the other pollutant in this 

combined DF. 

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

sold, or represented as diesel fuel, including any mixture of primarily liquid 

hydrocarbons – organic compounds consisting exclusively of the elements 

carbon and hydrogen – that is sold or represented as suitable for use in an 

internal combustion, compression-ignition engine. 

(21) “Diesel-Fueled” means fueled by diesel fuel or CARB diesel fuel in whole or 

in part, except as allowed for a pilot ignition source under the definition for 

“alternative fuel”. 
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(22) "Diesel Oxidation Catalyst (DOC)” means the use of a catalyst to promote 

the oxidation processes in diesel exhaust. Usually refers to an emission 

control device that includes a flow-through substrate where the surfaces 

that contact the exhaust flow have been catalyzed to reduce emissions of 

the organic fraction of diesel particulates, gas-phase hydrocarbons, and 

carbon monoxide. 

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

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

Periodically the collected particles are either physically removed or oxidized 

(burned off) in a process called regeneration. 

(24) “Diesel Particulate Matter” means the particles found in the exhaust of 

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

species to form structures of complex physical and chemical properties. 

(25) “Dual-Fuel Engine” means an engine designed to operate on a combination 

of alternative fuel, such as compressed natural gas (CNG) or liquefied 

petroleum gas (LPG), and conventional fuel, such as diesel or gasoline. 

These engines have two separate fuel systems, which either inject both 

fuels simultaneously into the engine combustion chamber or fumigate the 

gaseous fuel with the intake air and inject the liquid fuel into the combustion 

chamber. 

(26) “Effective model year” or “effective engine model year” is an alternative 

model-year designation (see definition of “model year”) for a new 

replacement engine, rebuilt replacement engine, or flexibility engine when 

the engine does not meet, at the time of manufacture, the most stringent 

emission tier standard for a new engine in effect for the horsepower rating 

of the engine. When an engine is manufactured to meet a less stringent 

prior-tier emissions standard than is currently in effect, the effective model 

year is the last year that the prior-tier emission standard was in effect. 

Table 1 lists the tier standards that apply to TRUs and TRU gen sets and 

the corresponding effective model years.

 Table 1

 Effective Model Year

Prior-Tier Engine 

Emissions Standard

Tier Standard

Effective Years

Effective Model 

Year

Tier 1, 25-50 Hp (trailer) 1999-2003 2003

Tier 1, under 25 Hp (truck) 2000-2004 2004

Tier 2, 25-50 Hp (trailer) 2004-2007 2007

Tier 2, under 25 Hp (truck) 2005-2007 2007

Tier 4i, 25-50 hp (trailer) 2008-2012 201211

 

11 Effective model year applies for this tier only after Tier 4f becomes effective in 2013 for 25 to less than 50 hp 

engines.
A-6 

(26)(27) “Emergency” means any of the following times: 

(A) A failure or loss of normal power service that is not part of an “interruptible 

service contract” (see definition in subsection (d)); 

(B) A failure of a facility’s internal power distribution system, provided the failure 

is beyond the reasonable control of the operator; 

(C) When an affected facility is placed under an involuntary “rotating outage” 

(see definition in subsection (d)). 

(27)(28) “Emission Control Strategy” means any device, system, or strategy 

employed with a diesel-fueled CI engine that is intended to reduce emissions. 

Examples of emission control strategies include, but are not limited to, particulate 

filters, diesel oxidation catalysts, selective catalytic reduction systems, alternative 

fuels, fuel additives used in combination with particulate filters, alternative diesel 

fuels, and combinations of the above. 

(28)(29) “Emissions Rate” means the weight of a pollutant emitted per unit of time 

(e.g., grams per second). 

(29)(30) “Executive Officer” means the Executive Officer of the California Air 

Resources Board or his or her delegate. 

(30)(31) “Facility” means any facility where TRU-equipped trucks, trailers, shipping 

containers or railcars are loaded or unloaded with perishable goods. This 

includes, but is not limited to, grocery distribution centers, food service 

distribution centers, cold storage warehouses, and intermodal facilities. Each 

business entity at a commercial development is a separate facility for the 

purposes of this regulation, provided the businesses are “independently owned 

and operated” (see definition in subsection (d)). 

(31)(32) “Facility Control (of TRUs or TRU Gen Sets)” means the TRUs or TRU gen 

sets located at the facility are owned or leased by the facility, its parent company, 

affiliate, or a subsidiary, or under contract for the purpose of providing carrier 

service to the facility, and the TRUs' or TRU gen sets' arrival, departure, loading, 

unloading, shipping and/or receiving of cargo is determined by the facility, parent 

company, affiliate, or subsidiary (e.g scheduled receiving, dispatched 

shipments). 

(32)(33) “Fischer-Tropsch Diesel Fuel” See “ultra-low-aromatic synthetic diesel fuel”. 

(34) “Flexibility engine” means an engine installed in new equipment by an original 

equipment manufacturer under the Transitional Program for Equipment 

Manufacturers in accordance with title 40 Code of Federal Regulations (40 CFR) 
A-7 

sections 89.102 and 1039.625, and title 13 CCR section 2423(d). Such engines 

shall use the “effective model year” designation for purposes of compliance with

this subarticle, except as allowed under subsection (e)(1)(B)5.a.

(33)(35)"Fuel Additive” means any substance designed to be added to fuel or fuel 

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

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

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

emission control strategies in decreasing emissions, or improving fuel economy or 

increasing performance of the engine. 

(34)(36)"Generator Set (gen set)” means a CI engine coupled to a generator used as 

a source of electricity. 

(35)(37)"Hybrid Cryogenic Temperature Control System” means a temperature 

control system that uses a cryogenic temperature control system in conjunction 

with a conventional TRU. 

(36)(38) “Independently Owned and Operated” means a business concern that 

independently manages and controls the day-to-day operations of its own 

business through its ownership and management, without undue influence by an 

outside entity or person that may have an ownership and/or financial interest in 

the management responsibilities of the applicant business or small business. 

(37)(39)"Intermodal Facility” means a facility involved in the movement of goods in 

one and the same loading unit or vehicle which uses successively several modes 

of transport without handling of the goods themselves in changing modes. Such 

a facility is typically involved in loading and unloading refrigerated shipping 

containers and trailers to and from railcars, trucks, and ocean-going ships. 

(38)(40)"Interruptible Service Contract” means any arrangement in which a 

nonresidential electrical customer agrees to reduce or consider reducing its 

electrical consumption during periods of peak demand or at the request of the 

System Operator in exchange for compensation, or assurances not to be blacked 

out or other similar non-monetary assurances. 

(39)(41)"In Use TRU, TRU gen set, or engine” means a TRU, TRU gen set, or 

engine that is not a “new” TRU, TRU gen set, or engine. 

(40)(42) “Low Emission TRU (LETRU or L)” means a TRU or TRU gen set that 

meets the performance standards described under paragraph (e)(1)(A)1. or 

(e)(1)(A)2. 

(41)(43) “Manufacturer” means a business as defined in Government Code § 

14837(c). 
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(42)(44) “Military tactical support equipment (TSE)” means equipment that meets 

military specifications, owned by the U.S. Department of Defense and/or the U.S. 

military services, and used in combat, combat support, combat service support, 

tactical or relief operations, or training for such operations. 

(43)(45) “Model Year (MY)” means the following:

(A) The designation used for engines manufactured to meet the emissions tier 

standard in effect for new engines at time of manufacture (see alternative 

designation, “effective model year, defined above); and 

(B) The diesel-fueled engine manufacturer’s annual production period, which 

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

annual production period, the calendar year. 

(44)(46) “New TRU, TRU Gen Set, or Engine" means any TRU, TRU gen set, or 

engine that has never been subject to a retail sale or lease to an “ultimate 

purchaser” (see definition in subsection (d)). 

(45)(47) “Nitrogen Oxide (NOx)” means compounds of nitric oxide (NO), nitrogen 

dioxide (NO2), and other oxides of nitrogen. Nitrogen oxides are typically created 

during combustion processes and are major contributors to smog formation and

acid deposition. 

(46)(48)”Non-California-Based TRUs and TRU Gen Sets” means TRUs and TRU 

gen sets that are equipped on or used in trucks, trailers, shipping containers, or 

railcars that a reasonable person would find to be regularly assigned to terminals 

outside of California and operate in California from time to time for the purpose of 

transporting perishable goods into or out of the state. 

(47)(49) “Non-methane Hydrocarbons (NMHC)” means the sum of all hydrocarbon 

air pollutants except methane. NMHCs are precursors to ozone formation. 

(48)(50) “Operate” means to start, cause to function, program the temperature 

controller, select an operating program or otherwise control, fuel, monitor to 

assure proper operation, or keep in operation. 

(49)(51) “Operator” means any person, party or entity that operates a TRU or TRU 

gen set for the purposes of transporting perishable goods, excluding an 

employee driver and third party maintenance and repair service, and including 

but not limited to: 

(D) Manufacturer, producer, supplier, carrier, shipper, consignor, consignee, 

receiver, distribution center, or warehouse of perishable goods; 
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(E) An individual, trust, firm, joint stock company, business concern, partnership, 

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

to, a government corporation; 

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

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

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

law. 

(50)(52) “Owner” means any person that legally holds the title (or its equivalent) 

showing ownership of a TRU or TRU gen set, excluding a bank or other financial 

lending institution, and including but not limited to: 

(A) Manufacturer, producer, supplier, carrier, shipper, consignor, consignee, 

receiver, distribution center, warehouse; 

(B) An individual, trust, firm, joint stock company, business concern, partnership, 

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

to, a government corporation; 

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

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

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

law. 

(51)(53) “Owner/Operator” means a requirement applies to the owner and/or 

operator of a TRU or TRU gen set, as determined by agreement or contract 

between the parties if the two are separate business entities. 

(52)(54) “Parent Company” means a company that has a controlling interest in 

another company, usually through ownership of more than one-half the voting 

stock. 

(53)(55) “Particulate Matter (PM)” means the particles found in the exhaust of CI 

engines, which may agglomerate and adsorb other species to form structures of 

complex physical and chemical properties. 

(54)(56) “Rated Brake Horsepower” means the power delivered, according to the 

statement of the engine manufacturer, at the rated speed. 

(55)(57) “Real Emission Reductions” means that an action is taken that results in 

reductions in the PM emission rate of an in-use engine (e.g. a VDECS is installed 

that reduced the PM emissions rate by more than 50%). 

(56)(58) “Receiver” means the person, party, or entity that receives shipped goods, 

cargo, or commodities. 
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(57)(59) “Refrigerated Trailer” means a trailer van, railcar, or shipping container 

equipped with a TRU or TRU gen set. Pursuant to Health and Safety Code 

section 39618, refrigerated trailers are mobile sources and shall be regulated by 

the ARB on a statewide basis. 

(58)(60) “Rotating Outage” means a controlled involuntary curtailment of electrical 

power service to consumers as ordered by the system operator - see definition in 

subsection (d). 

(59)(61) “Shipper” means the person, party, or entity who usually owns or supplies 

the commodities shipped by a carrier. 

(60)(62) “System Operator” means one of the several organizations that control 

energy in California. System operators include, but are not limited to, the 

California Independent System Operator, the Los Angeles Department of Water 

and Power, the Imperial Irrigation District, the Sacramento Municipal Utility 

District. 

(61)(63) “Terminal” means any place where a TRU or TRU gen set equipped truck, 

trailer, shipping container, railcar or TRU gen set is regularly garaged, 

maintained, operated, or dispatched from, including a dispatch office, cross-dock 

facility, maintenance shop, business, or private residence. 

(62)(64)"Tier 4 Nonroad/Offroad Emission Standards" means the emission 

standards and associated procedures promulgated by U.S. Environmental 

Protection Agency in "Control of Emissions of Air Pollution from Nonroad Diesel 

Engines and Fuel; Final Rule" (Vol. 69, No. 124 Fed.Reg. pp. 38957-39273 (June 

29, 2004). 

(63)(65) “Transport Refrigeration Unit (TRU)” means refrigeration systems powered 

by integral internal combustion engines designed to control the environment of 

temperature sensitive products that are transported in trucks and refrigerated 

trailers. TRUs may be capable of both cooling and heating. 

(64)(66) “TRU Generator Set (TRU gen set)” means a generator set that is designed 

and used to provide electric power to electrically driven refrigeration units of any 

kind. This includes, but is not limited to gen sets that provide electricity to 

electrically powered refrigeration systems for semi-trailer vans and shipping 

containers. 

(65)(67) “Ultimate Purchaser” means with respect to a new TRU, TRU gen set, or 

engine, the first person who in good faith purchases a new TRU, TRU gen set, or 

engine for purposes other than resale. 
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(66)(68) “Ultra-Low-Aromatic Synthetic Diesel Fuel” means fuel produced from 

natural gas, coal, or biomass by the Fischer-Tropsch gas-to-liquid chemical 

conversion process, or similar process that meets the following properties: 

Table 12

Property ASTM Value

 Sulfur Content (ppmw) D5453-93 <1 

 Total Aromatic Content (wt %) D5186-96 <1.5% 

 Polynuclear Aromatic Content (wt %) D5186-96 <0.5%

 Natural Cetane Number D613-84 >74 

(67)(69) “Ultra-Low Emission TRU (ULETRU or U)” means a TRU or TRU gen set 

that meets the performance standards described under subparagraph (e)(1)(A)1. 

and (e)(1)(A)2. or that uses an “alternative technology” in accordance with 

subparagraph (e)(1)(A)3. 

(68)(70) “Verification Classification Level” means the classification assigned to a 

Diesel Emission Control Strategy by the Executive Officer as defined in the 

Verification Procedure, Warranty and In-Use Compliance Requirements for InUse Strategies to Control Emission from Diesel Engines (13 CCR Sections 2700 

– 2710). PM reductions correspond as follows: Level 1: > 25%; Level 2: >50%; 

Level 3: >85% or 0.01 g/hp-hr. 

(69)(71) “Verified Diesel Emission Control Strategy” (VDECS) means an emission 

control strategy designed primarily for the reduction of diesel particulate matter 

emissions that has been verified per the Verification Procedure, Warranty and InUse Compliance Requirements for In-Use Strategies to Control Emissions from 

Diesel Engines (13 CCR Sections 2700 – 2710). Examples of diesel retrofit 

systems that may be verified include, but are not limited to, diesel particulate 

filters, diesel oxidation catalysts, fuel additives (e.g. fuel-borne catalysts), 

alternative fuels (e.g. dual fuel), alternative diesel fuels, and combinations of the 

above. 

(e) Requirements. 

(1) In-Use Operation: 

(A) In-Use Performance Standards: In accordance with the schedule set forth 

below in paragraph (e)(1)(B), no owner/operator shall operate a TRU or 

TRU gen set in California unless it meets the in-use emission category 

performance standards set forth below. 

1. In-Use performance standard categories for TRU and TRU gen set 

engines with rated brake horsepower less than 25 horsepower (<25 hp) 

are shown in Table 23, along with the engine certification standards or 
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the level of Verified Diesel Emission Control Strategy (VDECS) (see 

definition) that is necessary to qualify for each category. 

Table 23

 <25 HP TRU and TRU Gen Set In-Use PM Performance Standards

In-Use Emission Category 

Engine 

Certification 

(g/hp-hr) 

Level of VDECS 

Equipped with 

 Low Emission TRU (LETRU or L) 0.3012 Level 2 

 Ultra-Low Emission TRU 

(ULETRU or U) 

NA13 Level 3 

a. Compliance can be achieved by: 

I. Using a certified engine meeting the applicable nonroad/offroad 

emissions standards for all regulated pollutants and the in-use PM 

performance standard. Only engines for which certification data 

and deterioration factors have been provided to ARB shall be 

considered when determining compliance. The Executive Officer 

will consider such submittals, publish, and make available a list of 

qualifying engines. 

II. Equipping the engine with the required Level of VDECS. 

2. In-Use performance standard categories for TRU and TRU gen set 

engines with rated brake horsepower greater than or equal to 25 

horsepower (>25 hp) are shown in Table 34, along with the engine 

certification standards or the level of VDECS that is necessary to qualify 

for each category. 

 Table 34

 >25 HP TRU and TRU Gen Set In-Use PM Performance Standards

In-Use Emission Category Engine 

Certification 

(g/hp-hr) 

Level of VDECS 

Equipped with 

 Low Emission TRU (LETRU or L) 0.2214 Level 2

 Ultra-Low Emission TRU 

(ULETRU or U) 

0.0215 Level 3 

 

12 The Engine Certification value for the Low Emission TRU category corresponds to the "Interim" Tier 4 

Nonroad/Offroad Emission Standards that are to go into effect in 2008.

13 Not Applicable – must choose another compliance option ARB and U.S. EPA will perform a technical review in 

2007 to evaluate DOC or filter-based standard for <25 hp category new engines in 2013. If a more stringent “long 

term” level for new tier 4 (as identified in the Tier 4 Nonroad/Offroad Emission Standards) engines is adopted by U.S. 

EPA for this horsepower category, the Board will consider adopting an engine certification in-use performance 

standard for ULETRU for <25 hp TRUs and TRU gen sets. 

14 The Engine Certification value for Low Emission TRU category corresponds to the "Interim" Tier 4 Nonroad/Offroad 

Emission Standards that are to go into effect in 2008.
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a. Compliance can be achieved by: 

I. Using a certified engine meeting the applicable nonroad/offroad 

emissions standards for all regulated pollutants and the in-use PM 

performance standard. Only engines for which certification data 

and deterioration factors have been provided to ARB shall be 

considered when determining compliance. The Executive Officer 

will consider such submittals, publish, and make available a list of 

qualifying engines. 

II. Equipping the engine with the required Level of VDECS. 

3. As an alternative to meeting the ULETRU in-use performance standards 

in subsections (e)(1)(A)1. and 2., an owner/operator may operate a TRU 

or TRU gen set in California meeting one of the Alternative Technology 

options listed below. Alternative Technologies qualify to meet the 

ULETRU in-use performance standard only if the TRU or TRU gen set is 

operated under the conditions included in the description listed below. 

a. Electric standby, provided that the TRU is not operated under diesel 

engine power while at a facility, except during an emergency. 

b. Cryogenic temperature control systems or hybrid cryogenic 

temperature control systems, provided that the TRU does not operate 

under diesel engine power while at a facility, except during an 

emergency. 

c. Alternative-fueled engines (see definition in subsection (d)). If the 

engine is a CI engine, a VDECS is required. 

Note: If the engine is not a compression ignition diesel fueled 

engine, this regulation would not apply, but the engine may have to 

meet other emission standards (e.g. large spark-ignited engine 

standards if >25 hp). 

d. Fuel exclusively with an alternative diesel fuel (see definition in 

subsection (d)) that has been verified as a VDECS, provided it is 

used in accordance with the requirements of subsection (e)(2)(A) and 

the alternative diesel fuel contains no conventional diesel or CARB 

diesel fuel. 

e. Power by fuel cells. If a reformer is used with diesel fuel as the 

source of hydrocarbons, then emissions must be evaluated and 

verified through the Verification Procedure Warranty and In-Use 

 

15 The Engine Certification value for the Ultra-Low Emission TRU category corresponds to the "Long Term" Tier 4 

“final” Nonroad/Offroad Emission Standards that will go into effect in 2012 or 2013.
A-14 

Compliance Requirements for In-Use Strategies to Control Emissions 

from Diesel Engines (13CCR section 2700 – 2710).

f. Equip with any other system approved by the Executive Officer to not 

emit diesel PM or increase public health risk while at a facility. 

(B) In-Use Compliance Dates.: In-use compliance dates are based upon the 

engine MY or effective MY, except as allowed under subparagraph 

(e)(1)(B)5.a.

1. No owner/operator shall operate a 2001 and older model year (MY) TRU 

or TRU gen set engine in California unless it meets the in-use 

performance criteria set forth in paragraph (e)(1)(A) for 

a. LETRU on or before December 31, 2008, and 

b. ULETRU on or before December 31, 2015, as shown in Tables 45

and 56. 

2. No owner/operator shall operate a 2002 MY TRU or TRU gen set engine 

in California unless it meets the in-use performance criteria set forth in 

paragraph (e)(1)(A) for 

a. LETRU on or before December 31, 2009, and 

b. ULETRU on or before December 31, 2016, as shown in Tables 45

and 56. 

3. No owner/operator shall operate a 2003 MY TRU or TRU gen set engine 

in California unless it meets the in-use performance criteria set forth in 

subsection (e)(1)(A) for

a. LETRU on or before December 31, 2010, and

b. ULETRU on or before December 31, 2017, as shown in Tables 5

and 6.

4. No owner/operator shall operate a 20032004 MY and subsequent MY 

TRU or TRU gen set engine in California unless it meets the in-use 

performance criteria set forth in paragraph (e)(1)(A) for ULETRU on or 

before December 31st of the seventh year past the unitengine’s model 

year, as shown in Tables 45

16 and 566

, with the following exception:.

 

16 Model years 2013 and subsequent (not shown in Table 5 and 6), shall meet ULETRU by December 31st of the 

seventh year after the engine model year or effective model year, except as allowed under subparagraph 

(e)(1)(B)5.
A-15 

a. Less than 25 hp model year 2004 engines shall meet the in-use 

performance criteria set forth in paragraph (e)(1)(A), shown in Table 5, 

for:

I. LETRU on or before December 31, 2011, and

II. ULETRU by December 31, 2018.

Table 45: <25 HP TRU and TRU Gen Set Engines

 In-Use Compliance Dates 

In-Use Compliance Year17

MY ‘07 ‘08 ‘09 ‘10 ‘11 ‘12 ‘13 ‘14 ‘15 ‘16 ‘17 ‘18 ‘19 ‘20 

 ’01 & 

Older 

L L L L L L L U U U U U U 

 ‘02 L L L L L L L U U U U U 

 ‘03 UL UL UL UL UL UL UL U U U U 

 ‘04 UL UL UL UL UL UL UL U U U 

 ‘0518 U U U U U U U U U 

 ‘06 U U U U U U U U 

 ‘07 U U U U U U U 

 ‘08 U U U U U U 

 ‘09 U U U U U 

 ‘10 U U U U 

 ‘11 U U U 

 ‘12 U U 

 ‘13 U 

 

17 Compliance date is December 31st of the compliance year shown. “MY” means model year. Black shaded areas 

are years with no requirements since in-use compliance year precedes model year . Dark shaded areas without 

letter codes have no requirements, pending in-use compliance date. “L” means must meet LETRU in-use 

performance standards. “U” means must meet ULETRU in-use performance standards. 

18 TRUs and TRU gen sets with MY 20035 engines and subsequent MY engines shall be required to comply with 

ULETRU requirements by the end of the seventh year after the model year or effective model year, except as 

allowed under subparagraph (e)(1)(B)5. The exception to this is >25 hp 2013 and subsequent model years, since 

these model years would meet ULETRU in-use performance standards as new engines.
A-16 

Table 56: >25 HP TRU and TRU Gen Set Engines 

 In-Use Compliance Dates 

In-Use Compliance Year19 

MY ‘07 ‘08 ‘09 ‘10 ‘11 ‘12 ‘13 ‘14 ‘15 ‘16 ‘17 ‘18 ‘19 ‘20 

 ’01 & 

Older 

L L L L L L L U U U U U U 

 ‘02 L L L L L L L U U U U U 

 ‘03 UL UL UL UL UL UL UL U U U U 

 ‘0420 U U U U U U U U U U 

 ‘05 U U U U U U U U U 

 ‘06 U U U U U U U U 

 ‘07 U U U U U U U 

 ‘08 U U U U U U 

 ‘09 U U U U U 

 ‘10’ U U U U 

 ‘11 U U U 

 ‘12 U U 

 ‘13 U

5. Requirements for TRUs or TRU gen sets that are equipped with flexibility 

engines and operated in California.

a. Flexibility engines installed in TRUs and TRU gen sets 

manufactured prior to [effective date of amendments], and operated 

in California shall meet the in-use performance standards of 

subsection (e)(1)(A) by December 31st of the seventh year after the 

TRU or TRU gen set engine’s manufacture year instead of the 

effective model year provided the TRU or TRU gen set owner 

registers the flexibility engine equipped TRU or TRU gen set in 

ARBER in accordance with subsection (e)(1)(E) by [60 days after 

the effective date of these amendments].

b. To allow TRU and TRU gen set owners to meet the registration 

requirements of subparagraph (a) above, the original equipment 

manufacturer shall by [30 days after the effective date of these 

amendments]:

 I. Provide the following unit and flexibility engine information to 

ARB in electronic format:

 

19 Compliance date is December 31st of the compliance year shown. “MY” means model year. Black shaded areas 

are years with no requirements since in-use compliance year precedes model year . Dark shaded areas without 

letter codes have no requirements, pending in-use compliance date. “L” means must meet LETRU in-use 

performance standards. “U” means must meet ULETRU in-use performance standards. 

20 TRUs and TRU gen sets with MY 20034 engines and subsequent MY engines shall be required to comply with 

ULETRU requirements by the end of the seventh year after the model year or effective model year, except as 

allowed under subparagraph (e)(1)(B)5.. The exception to this is >25 hpTier 4 final standards go into effect in

2013 and subsequent model years, since these model yearswhich would meet ULETRU in-use performance 

standards as new engines in the 25 hp to less than 50 hp category. If engines installed by original equipment 

manufacturers do not meet ULETRU in 2013, then subparagraph (e)(1)((A)5. applies.
A-17 

i. TRU or TRU gen set manufacturer;

ii. TRU or TRU model name;

iii. TRU or TRU gen set serial number;

iv. TRU manufacture date;

v. Engine manufacturer

vi. Engine Family;

vii. Engine manufacture year; and

viii. Engine serial number;

II. Notify the TRU or TRU gen set owners in writing that:

i. The unit they own is equipped with a flexibility or TPEM 

engine; and

ii. The owner must register the TRU or TRU gen set that is 

equipped with a flexibility engine in ARBER by [60 days after 

the effective date of amendments];

III. Provide directly or through its dealers instructions and 

assistance on registration in ARBER to all owners of TRUs and 

TRU gen sets equipped with flexibility engines that request such 

help, which shall include specific instructions and assistance 

that ensures that information entered in ARBER is consistent 

with what appears on the unit label and engine emissions label, 

including the model year.

c. The following requirements shall apply to flexibility engines installed 

in TRUs and TRU gen sets manufactured after [the effective date of 

the amendments], and operated in California:

I. The owner of a TRU or TRU gen set that is operated in 

California shall comply with the in-use performance standards 

set forth in subsection (e)(1)(A) by December 31st of the seventh 

year after the engine’s effective model year.

II. The original equipment manufacturer shall provide the following, 

written disclosures to the interested ultimate purchaser of a 

TRU or TRU gen set that is equipped with a flexibility engine 

prior to its sale:

i. The TRU or TRU gen set has a flexibility engine that meets a 

less stringent emissions standard than was in effect at the 

time the flexibility engine was manufactured;

ii. The effective model year of the flexibility engine;

iii. If the owner registers the unit in ARBER, the owner must 

report the effective model year of the engine, not the model 

year of engine manufacture, and failure to do so may result 

in the owner being cited;
A-18 

iv. If the TRU or TRU gen set is operated in California, the 

owner will be responsible at a future date for the engine 

meeting the ULETRU in-use standard based on the effective 

model year of the engine, in accordance with subsection 

(e)(1)(B) .

(C) Replacements Due to Failures. 

1. If a VDECS fails within its warranty period, the owner/operator of the 

TRU or TRU gen set must replace it with the same VDECS or a higher 

verification classification level, if available. 

2. If a VDECS fails outside its warranty period and a higher verification 

classification level VDECS is available, then the owner/operator of the 

TRU or TRU gen set shall upgrade to the highest level VDECS required 

under paragraphs (e)(1)(A)1. and (e)(1)(A)2. that is determined to be 

cost-effective by the Executive Officer. 

(D) In-Use Recordkeeping and Reporting. In-use recordkeeping and reporting 

shall be completed by the operator in accordance with the requirements of 

subsection (f)(1). 

(E) ARB Identification Numbering Requirements. Identification numbers will 

be issued to help expedite the inspection procedure and prevent shipping 

delays. 

1. California-based TRUs and TRU gen sets: 

a. On or before January 31, 2009, owner/operators of all Californiabased TRUs and TRU gen sets subject to this regulation shall apply 

for an ARB identification number for all California-based TRUs or 

TRU gen sets operated by the operator by submitting an application 

that includes the information listed below. 

I. Operator name, address, and contact information for the 

responsible official (e.g. phone number, email address, fax 

number). 

II. Owner name, address, and contact information (if other than 

operator). 

III. TRU or TRU gen set make, model, model year, and serial 

number. 

IV. TRU engine make, model, model year, and serial number. 
A-19 

V. Terminal or terminals that the TRU-equipped truck or trailer is 

assigned to, with address and contact information. 

VI. Other associated identification numbers, which may include (as 

applicable): 

i. Vehicle Identification Number (VIN) of the TRU-equipped truck 

or trailer. 

ii. Vehicle license number of the TRU-equipped truck or trailer. 

iii. Railcar recording mark and car number. 

iv. Shipping container number (for TRU-equipped shipping 

containers only). 

v. Company equipment number (if any). 

VII. Compliance status with paragraph (e)(1)(A) requirements. If 

compliance not as-yet required, mark N/A. 

i. Date when compliance was achieved. 

ii. What performance standard was met (e.g. LETRU or 

ULETRU). 

iii. How compliance was achieved (e.g. new compliant TRU, TRU 

engine replacement, or description of VDECS that was used). 

iv. Identify who did the installation work (if applicable). 

b. Applications shall be submitted by one of the following methods: 

I. Mail or deliver a physical report to ARB at the address listed 

immediately below: 

California Air Resources Board 

Stationary Source Division (TRU) 

P.O. Box 2815 

Sacramento, CA 95812 

II. Electronically submit through ARB's web site. The web address 

will be identified in an advisory. 

c. TRUs and TRU gen sets added to an operator’s TRU operations after 

January 31, 2009 shall be brought into compliance with subsection 
A-20 

(e)(1)(E). An application shall be submitted to ARB within 30 days of 

the unit entering the operator’s control: 

I. Requesting an ARB I.D. number for a new TRU or TRU gen set 

that was not previously numbered, or 

II. Requesting a change in owner or operator (or other pertinent 

application information) for used equipment that already has an 

ARB I.D. number. 

d. Failure to apply or submittal of false information is a violation of state 

law subject to civil penalty. 

e. On or before February 1, 2009, the Executive Officer shall begin 

issuing identification numbers to TRU and TRU gen set operators for 

each unit based in California for which a complete application has 

been filed. The number will include a 2-digit prefix for model year 

(e.g. 2001 model year would have a prefix 01); a 6-digit serial 

number; a check-digit, and a letter indicating compliance status with 

in-use performance standards (either “L” or “U”). In the event that an 

operator applies for an early compliance certificate in accordance 

with subsection (e)(1)(F), ARB will also issue a certificate which 

acknowledges early compliance per (e)(1)(F)3. 

f. Within 30 days of receipt of the ARB-issued identification number, 

owner/operators shall permanently affix or paint the identification 

number on the TRU or TRU gen set chassis housing in clear view 

according to the following specification: 

I. The ARB identification number shall be preceded by the letters 

“ARB”. 

II. Letters and numbers shall contrast sharply in color with the color 

of the background surface on which the letters are placed. 

III. The location of the I.D. number shall be as follows: 

i. Truck and trailer TRUs - both sides of TRU chassis housing. 

ii. Rail car and shipping container TRUs– both sides of the TRU. 

iii. TRU gen sets – both sides of gen set housing. 

IV. Letters and numbers shall be readily legible during daylight hours, 

from a distance of 50 feet (15.24 meters) while unit is stationary. 
A-21 

V. Marking shall be kept maintained in a manner that retains the 

legibility required by the subparagraph immediately above. 

2. Non-California-based TRUs and TRU Gen Sets: 

a. Operators of non-California-based TRUs and TRU gen sets may 

voluntarily apply for ARB identification numbers for TRUs that are 

based outside of California but operate within California during the 

normal course of business. Non-California-based operators may 

voluntarily submit the same application information listed above in 

subparagraph (e)(1)(E)1.a., above, using the same methods of 

submittal listed in subparagraph (e)(1)(e)1.b., above. Upon 

application approval, ARB would issue identification numbers to the 

operator in accordance with subparagraph (e)(1)(E)1.e., above. The 

non-California-based operator would then permanently affix or paint 

the identification number on the TRU or TRU gen set chassis in clear 

view, in accordance with (e)(1)(E)1.f., above. 

(F) Early Compliance with LETRU In-Use Performance Standards. 

1. For 2002 and older MY TRU and TRU gen set engines, operators or 

owners that meet the LETRU in-use performance standard earlier than 

required in paragraph (e)(1)(B) may apply to the Executive Officer for a 

delay in the ULETRU in-use performance standard. Except as provided 

below, early compliance would be achieved through any of the options 

available in paragraph (e)(1)(A). 

a. This delay would not be available to the operator or owner if the 

engine manufacturer of the replacement engine is using the early 

compliance with engine emissions standards in U.S. EPA’s 

Averaging, Banking, and Trading Program (or California’s equivalent 

program). 

b. Early compliance is conditioned upon real emission reductions (refer 

to definition in sub section (d)) occurring earlier than the applicable 

compliance deadline. 

c. This delay may not be available to the operator or owner if public 

funds were used for early compliance. The applicant shall disclose 

whether public funds were used for any portion of early compliance 

and what program the funding came from. 

2. Early LETRU compliance with real emission reductions would allow 

specific units to delay compliance with ULETRU in-use performance 

standards by up to three years, according to the rounding conventions 

and examples listed below. 
A-22 

a. Each year of early compliance with the LETRU in-use performance 

standards would be rewarded with 1 year delay in the ULETRU inuse performance standard. 

I. One full year early compliance qualifies for one full year delay in 

meeting ULETRU compliance. 

II. Two full years early compliance qualifies for two full years delay in 

meeting ULETRU compliance. 

III. Three full years early compliance qualifies for three full years 

delay in meeting ULETRU compliance. 

b. A partial year of early LETRU compliance would be rounded to the 

nearest full year for the delayed ULETRU requirements. 

I. Early LETRU compliance of 183 days or more in a calendar year 

would count toward a one year ULETRU delay. 

II. Early LETRU compliance of 182 days or less in a calendar year 

would not count toward a ULETRU delay. 

3. Upon receipt of an application to delay ULETRU compliance, the 

Executive Officer shall determine if the application demonstrates early 

compliance with LETRU in-use performance standards in accordance 

with subsection (e)(1)(F)1., and if the application is approved, shall delay 

the in-use ULETRU compliance date for specific TRUs and TRU gen 

sets operating in California in accordance with subparagraph (e)(1)(F)2. 

4. Upon approval of the application, ARB shall issue a certificate and ARB 

identification number in accordance with subsection (e)(1)(E)1.e. which 

acknowledges early compliance with LETRU requirements and discloses 

the number of years delay granted, and resulting ULETRU compliance 

date. 

5. The operator shall maintain a legible copy of the certificate in a watertight sleeve mounted inside the TRU or TRU gen set chassis housing. 

The operator shall paint the identification number in clear view in 

accordance with subsection (e)(1)(E)1.f. on the specific TRU or TRU gen 

set that was granted the compliance extension. 

(2) Fuel Requirements.

(A) Operators Choosing to Use Alternative Diesel Fuels. Operators 

choosing to use alternative diesel fuels in compression ignition TRU and 

TRU gen set engines to meet the requirements of subsection (e)(1) shall: 
A-23 

1. Maintain records in accordance with subsection (f)(1)(B) of this 

regulation. 

2. Use only fuel that is a VDECS alternative diesel fuel that contains no 

conventional diesel or CARB diesel fuel in TRUs or TRU gen sets 

operated in California. 

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

the proper fuel that is required to be in compliance. 

4. In the event that the operator decides to revert to using conventional 

diesel or CARB diesel fuel, the operator shall comply with the 

requirements of subsection (e)(1) within 10 days of discontinuation of 

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

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

use and shall include an update to any ARB I.D. number application or 

annual report submitted to comply with subsections (e)(1)(E), (e)(1)(F), 

or (f)(1). 

(B) Operators that Retrofit TRUs or TRU Gen Sets with a VDECS. 

Operators that retrofit TRUs or TRU gen sets with a VDECS that requires 

certain fuel properties to be met in order to achieve the required PM 

reduction or PM emissions shall only fuel the subject TRU or TRU gen set 

with fuel that meets these specifications when operating in the state of 

California. In addition, operators that choose a VDECS that requires certain 

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

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

nature of the emitted PM shall only fuel the subject TRU or TRU gen set with 

fuel that meets these specifications. 

(f) Monitoring, Recordkeeping, and Reporting Requirements. 

(1) TRU and TRU Gen Set Operator Recordkeeping and Reporting. 

(A) Operator Reporting. 

1. All operators subject to this regulation shall submit an Operator Report to 

ARB by January 31, 2009 that shall include the following information: 

a. Operator name, address, and contact information for the responsible 

official (phone number, email address, fax number).

b. List of all terminals owned or leased by the operator located within 

California, with address, phone number, and terminal contact name. 
A-24 

c. TRU and TRU gen set inventory information for each TRU and TRU 

gen set based in California that is owned or leased by the operator: 

I. TRU or gen set make, model, model year, and serial number. 

II. TRU owner, and if other than operator, owner name, address, and 

contact. 

III. Engine make, model, model year, and serial number. 

IV. Terminal(s) that the TRU is assigned to. 

V. ARB TRU or TRU gen set identification number, if already issued. 

If the ARB identification number has not been issued or there has 

been a change in the other identification numbers listed below 

since the prior annual report, then provide the following 

identification numbers (as applicable): 

i. Vehicle Identification Number. 

ii. Vehicle license number. 

iii. Railcar recording mark and car number. 

iv. Shipping container number (for TRU-equipped shipping 

containers only). 

v. Company equipment number. 

VI. Compliance status with paragraph (e)(1)(A) requirements. 

2. The Operator Report shall be updated within 30 days when changes to 

any of the above operator information occur. 

a. Operator Reports shall be submitted by one of the following methods: 

I. Mail or deliver a physical report to ARB at the address listed 

immediately below: 

California Air Resources Board 

Stationary Source Division (TRU) 

P.O. Box 2815 

Sacramento, CA 95812 

II. Electronically submit through ARB's web site. The web address 

will be identified in an advisory. 
A-25 

3. Failure to report or submittal of false information is a violation of state law 

subject to civil penalty. 

(B) Alternative Diesel Fuel Use and Fuel Additive Recordkeeping and 

Reporting. 

1. Operators that choose a compliance pathway that involves the use of 

alternative diesel fuel in accordance with subparagraph (e)(1)(A)3.d. 

(e.g. B100 biodiesel fuel or ultra-low-aromatic synthetic diesel fuel) 

and/or a VDECS that includes the use of a fuel additive (e.g. fuel-borne 

catalyst) shall maintain records that document exclusive use of the 

chosen fuel or additive for each affected CI engine and hours of 

operation. Appropriate records would be copies of receipts or invoices of 

appropriate fuel and/or fuel additive and daily operating hour logs. 

2. Records shall be kept available for a minimum of three (3) years and 

shall be compiled and made available to the ARB upon request. 

3. Failure to keep records or submittal of false information is a violation of 

state law subject to civil penalty. 

(2) Facility Monitoring, Recordkeeping, and Reporting. 

(A) Facility Reporting. All facilities subject to this subsection shall submit a 

Facility Report to ARB by January 31, 2006, containing the following 

information, as of December 31, 2005: 

1. Contact information for the facility’s responsible official. 

2. Provide all North American Industrial Classification System codes 

(NAICS) applicable to the facility. 

3. The number of loading dock doors serving refrigerated storage space. 

4. The number of square feet of refrigerated storage space. 

5. The number of TRUs or TRU gen sets under facility control by model year 

and horsepower category. 

6. The number of refrigerated trucks, trailers, shipping containers, or railcars 

leased or rented. 

7. The total annual TRU engine operating hours for all TRUs or TRU gen 

sets under facility control during 2005 (e.g. total TRU engine operating 

time for both on-road and off-road operations). 
A-26 

8. The average weekly number of inbound refrigerated trucks, trailers, 

shipping containers, and railcars delivering goods to the facility during 

2005, calculated by dividing the annual total inbound refrigerated loads 

by 52. 

9. The average weekly number of outbound refrigerated trucks, trailers, 

shipping containers and railcars delivering goods from the facility during 

2005, calculated by dividing the annual total outbound refrigerated loads 

by 52. 

10. The average total number of hours per week that outbound TRU or TRU 

gen set engines operate while at the facility during 2005. Average TRU 

or TRU gen set engine operating time at facility for outbound refrigerated 

loads may be used if the result is representative of the outbound TRU or 

TRU gen set operations at facilities, as determined by the Executive 

Officer. Average values would be determined for outbound loads based 

on recordkeeping, conducted in accordance with subparagraph 

(f)(2)(B)2., and applied to the total annual number of refrigerated 

outbound loads, and then weekly averages calculated as follows: 

Average TRU or TRU gen set engine operating time per outbound 

refrigerated load multiplied by the total annual number of outbound 

loads, divided by 52 weeks equals the average total number of hours per 

week that outbound TRU or TRU gen set engines operate while at the 

facility. 

11. The average total number of hours per week that inbound TRU or TRU 

gen set engines operate while at the facility during 2005. Average TRU 

or TRU gen set engine operating time at facility for inbound refrigerated 

loads may be used if the result is representative of the inbound TRU or 

TRU gen set operations at facilities, as determined by the Executive 

Officer. Average values would be determined for inbound loads based 

on recordkeeping, conducted in accordance with subparagraph 

(f)(2)(B)2., and applied to the total annual number of refrigerated inbound 

loads, and then weekly averages calculated as follows: Average TRU or 

TRU gen set engine operating time per inbound refrigerated load 

multiplied by the total annual number of inbound loads, divided by 52 

weeks equals the average total number of hours per week that inbound 

TRU or TRU gen set engines operate while at the facility. 

12. The number of refrigerated trailers (as defined) that are used at the 

facility for cold storage, the total annual number of hours of TRU engine 

operation associated with these refrigerated trailers, and the total annual 

number of hours of operation using electric standby associated with 

these refrigerated trailers. 
A-27 

(B) Recordkeeping.

1. Recordkeeping that substantiates the information reported in the Facility 

Report shall be maintained and shall be compiled and made available to 

State inspectors upon request for a minimum of three (3) years. 

2. The Executive Officer may approve alternative recordkeeping and 

calculation procedures for determining the average weekly hours of TRU 

engine operation at a facility for inbound and outbound refrigerated loads, 

provided the Executive Officer finds that the alternative procedures meet 

the intent of subparagraph (f)(2). 

(C) Facility Report Submittals. Facility Reports shall be submitted by one of 

the following methods: 

1. Mail or deliver a physical report to ARB at the address listed immediately 

below: 

California Air Resources Board 

Stationary Source Division (TRU) 

P.O. Box 2815 

Sacramento, CA 95812 

2. Electronically submit through ARB's web site. The web address will be 

identified in an advisory. 

(D) Failure to report or submittal of false information. Failure to report or 

submittal of false information is a violation of state law subject to civil 

penalty. 

(3) Original Equipment Manufacturer Reporting

(A) Current Production Reports: Beginning [30 days after the effective date of the 

amendment], and by January 1st and June 30th of each calendar year 

thereafter, TRU and TRU gen set original equipment manufacturers shall 

provide to ARB the information listed below for all TRUs and TRU gen sets 

that will be manufactured and marketed for sale in the following markets: 

California, United States, Canada, and Mexico. The following data shall be 

provided for TRUs and TRU gen sets that will be produced during the 

six-month period following the report due date for each market area:

1. TRU or TRU genset manufacturer and model name, as it appears on the 

unit label; and

2. The following engine information for each TRU or TRU gen set model:
A-28 

a. Engine manufacturer;

b. Engine model, as it appears on the engine emissions label;

c. Engine model, as it appears on the serial number label, if different;

d. Engine Family;

e. Rated horsepower and rated speed;

f. Displacement (liters);

g. Exhaust Emissions Control System

h. Tier standard met

i. ARB’s Executive Order that the engines are manufactured under

3. Current Production Reports shall be submitted by one of the following 

methods:

a. Mail or deliver a physical report in electronic format to ARB at the 

address listed immediately below:

California Air Resources Board

Stationary Source Division (TRU)

1001 I Street

Sacramento, CA 95814

b. Electronically submit to ARB's TRU Program via email at: 

tru@arb.ca.gov

4. Original equipment manufacturers that produce less than 100 TRUs or 

TRU gen sets per calendar year may submit Current Production Year 

Reports within ten days of installing the first engine in a production run of 

a new model.

(B) Prior Production Reports:

1. Prior unit and engine data. TRU and TRU gen set original equipment 

manufacturers shall:

a. By [30 days after the effective date of this amendment], provide a 

production report to ARB with the information listed below in 

subparagraph 3 for the previous five calendar years for each TRU or 

TRU gen set produced for sale in California, North America, Canada, 

and Mexico; or

b. If the TRU or TRU gen set original equipment manufacturer elects not 

to provide the information in subparagraph (f)(3)(B)1.a., then within 

30 days of any request from ARB, the TRU or TRU gen set original 

equipment manufacturer shall provide a production report to ARB with 

the information listed below in subparagraph 3 for the unit and engine 

serial numbers provided in ARB’s request.
A-29 

2. Monthly production reports. TRU and TRU gen set original equipment 

manufacturers shall either:

a. Beginning [30 days after the effective date of this amendment], provide 

by the 15th of each calendar month, a monthly production report to 

ARB with the information listed below in subparagraph 3 for the 

previous calendar month for each TRU or TRU gen set produced for 

sale in California, North America, Canada, and Mexico; or

b. As an alternative, the TRU or TRU gen set original equipment 

manufacturer may request reporting that is equivalent to and at least 

as effective as subparagraph (f)(3)(B)2.a., immediately above, subject 

to Executive Officer approval.

3. Original equipment manufacturers shall provide the following information 

for each TRU and TRU gen set:

a. TRU or TRU gen set model name, as it appears on the unit label

b. TRU or TRU gen set serial number

c. Engine manufacturer

d. Engine model, as it appears on the engine emissions label

e. Engine model, as it appears on the serial number label, if different;

f. Engine Family

g. Engine serial number

h. Rated horsepower and rated speed

i. Tier standard met

4. Prior Production Reports and Flexibility Engine Reports shall be submitted 

on CD or DVD to:

California Air Resources Board

Stationary Source Division (TRU)

1001 I Street

Sacramento, CA 95814

(C) Confidentiality of current and prior production reports. TRU and TRU gen set 

original equipment manufacturers may designate current and prior production 

report information as confidential or trade secret, and such information will be 

handled in accordance with title 17, CCR, section 91000.

(g) Prohibitions.

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

purchaser, or renting or leasing new or used TRUs or TRU gen sets, including, 

but not limited to, manufacturers, distributors, and dealers, shall intentionally or 

negligently import, deliver, purchase, receive, or otherwise acquire a new or 
A-30 

used TRU or TRU gen set engine that does not meet the performance 

requirements or alternatives set forth in section (e)(1) above. 

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

purchaser new or used TRU or TRU gen set engines, including, but not limited 

to, manufacturers, distributors, and dealers, shall sell, or offer to sell, to an 

ultimate purchaser who is a resident of this State or a person that could 

reasonably be expected to do business in this State a new or used TRU or TRU 

gen set engine that does not meet the performance requirements or alternatives 

set forth in section (e)(1) above. 

(3) No person who is engaged in this State in the business of renting or leasing 

new or used TRU or TRU gen set engines, including, but not limited to, 

manufacturers, distributors, and dealers, shall lease, offer to lease, rent, or offer 

to rent, in this state any new or used TRU or TRU gen set engine that does not 

meet the performance requirements or alternatives set forth in section (e)(1) 

above. 

(4) Operators of affected facilities and operators of affected TRUs and TRU gen 

sets are prohibited from taking action to divert affected TRUs to alternative 

staging areas in order to circumvent the requirements of this section. 

(h) Penalties.

(1) All persons, as defined in section 19 of the Health and Safety Code, found to be 

in violation of title 13, CCR, section 2477 may be cited and subject to the 

penalty provisions set forth in Health and Safety Code sections 39674, 39675, 

42400 et seq., 42402 et seq., and 42410. 

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

39674, 39675, 42400 et seq., 42400.1, 42400.2, 42400.3.5, 42402 et seq., 42402.2,

42410, 43013, 43018, California Health and Safety Code. Reference: sections 39618, 

39650, 39658, 39659, 39666, 39667, 39674, 39675, 42400, et seq. 42400.1, 42400.2, 

42400.3.5, 42402 et seq., 42402.2, 42410, 40717.9, 43013, and 43018. 
APPENDIX B 

PROPOSED TRU ATCM 2010 AMENDMENTS IN-USE 

COMPLIANCE COST ESTIMATES 
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B-2 
B-3 
B-4 
B-5 
B-6 
APPENDIX C 

ACRONYMS 
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C-1 

Appendix C 

LIST OF ACRONYMS AND ABBREVIATIONS 

$/lb Dollars per pound 

AB Assembly bill 

ARB, or the Board Air Resources Board 

ATCM Airborne Toxic Control Measure 

CCR California Code of Regulations 

DECS Diesel Emission Control System or Strategy 

DPF Diesel particulate filter 

DRRP, or Plan Risk Reduction Plan to Reduce Particulate Matter Emissions from 

Diesel-Fueled Engines and Vehicles Risk Reduction Plan 

ED Enforcement Division of ARB 

EO Executive Officer of the Air Resource Board 

E/S Electric standby 

g/hp-hr Grams per horsepower-hour 

> Greater than 

> Greater than or equal to 

H&SC Health and Safety Code 

< Less than 

< Less than or equal to 

LETRU Low Emissions Transport Refrigeration Unit 

MY Model year 

NMHC Non-methane hydrocarbons 

NOx Oxides of nitrogen 

O & M Operation and maintenance 

PM Particulate matter 

PTSD Planning and Technical Support Division of ARB

SSD Stationary Source Division of ARB 

TAC Toxic air contaminant 

tpd Tons per day 

TRU Transport Refrigeration Unit 

TRU OEM Transport Refrigeration Unit Original Equipment Manufacturer 

ULETRU Ultra-Low Emission Transport Refrigeration Unit 

U. S. EPA United States Environmental Protection Agency 

VDECS Verified Diesel Emission Control Strategy