TITLE 13. CALIFORNIA AIR RESOURCES BOARD

NOTICE OF PUBLIC HEARING TO CONSIDER PROPOSED AMENDMENTS TO THE 

AIRBORNE TOXIC CONTROL MEASURE FOR IN-USE DIESEL-FUELED 

TRANSPORT REFRIGERATION UNITS (TRU) AND TRU GENERATOR SETS, AND 

FACILITIES WHERE TRUs OPERATE

The Air Resources Board (ARB or Board) will conduct a public hearing at the time and 

place noted below to consider the adoption of amendments to the regulation affecting

transport refrigeration units (TRU) and TRU generator sets (TRU gen set) (collectively, 

TRUs and TRU gen sets shall be referred to as TRUs).

1

 The proposed amendments 

would primarily provide model year (MY) 2001 through 2003 TRU engines that complied 

with applicable Low Emission TRU (LETRU) in-use performance standards by specified 

time periods, a one or two year extension from the more stringent Ultra-Low Emission 

TRU (ULETRU) in-use performance standards. This extension would serve to restore 

competitive fairness to those businesses that elected to comply with the regulation 

during 2008 through 2010, although other businesses opted to defer their compliance 

efforts in light of the U.S. EPA’s delay in issuing ARB an authorization to enforce the 

regulation. The proposed amendments would also clarify manual recordkeeping 

requirements for electric standby-equipped TRUs, and ultimately require automated 

electronic tracking system requirements for such TRUs, establish requirements for 

businesses that arrange, hire, contract, or dispatch the transport of goods in 

TRU-equipped trucks, trailers or containers (i.e., brokers, shippers or receivers), and

clarify issues that were identified during the implementation of the regulation.

DATE: October 20, 2011

TIME: 9:00 a.m.

PLACE: California Environmental Protection Agency

Air Resources Board

Byron Sher Auditorium

1001 I Street

Sacramento, California 95814

This item may be considered at a two-day meeting of the Board, which will commence 

at 9:00 a.m., on Thursday, October 20, 2011, and may continue at 8:30 a.m., Friday, 

October 21, 2011. This item may not be considered until Friday, October 21, 2011. 

Please consult the agenda for the meeting, which will be available at least ten days 

before October 20, 2011, to determine the day on which this item will be considered.

 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 and TRU generator sets.
2

INFORMATIVE DIGEST OF PROPOSED ACTION AND POLICY STATEMENT 

OVERVIEW

Sections Affected: Proposed amendment of section 2477 and adoption of sections 

2477.1, 2477.2, 2477.3, 2477.4, 2477.5, 2477.6, 2477.7, 2477.8, 2477.9, 2477.10, 

2477.11, 2477.12, 2477.13, 2477.14, 2477.15, 2477.16, 2477.17, 2477.18, 2477.19, 

2477.20, and 2477.21, California Code of Regulations (CCR), title 13, Division 3, 

Chapter 9, Article 8.

Background: Over 90 percent of Californians breathe unhealthful air at times. To 

improve air quality and human health, ARB establishes requirements to reduce 

emissions from new and in-use on-road and off-road vehicles, engines, and other 

sources.

The California Toxic Air Contaminant Identification and Control Program, established

under California law by Assembly Bill 1807 (Stats. 1983, Ch. 1047) and set forth in

Health and Safety Code (H&S Code) sections 39650-39675, requires ARB to identify 

and control air toxicants in California. In 1998, the Board identified particulate matter 

(PM) emissions from diesel-fueled engines as a toxic air contaminant (TAC). Two years 

later, in September 2000, the Board adopted the Risk Reduction Plan to Reduce 

Particulate Matter Emissions from Diesel-Fueled Engines and Vehicles (Diesel Risk 

Reduction Plan (RRP)). The Diesel RRP established a goal of reducing emissions and 

the resultant health risk from virtually all diesel-fueled engines and vehicles within the 

State of California by the year 2020, and included the goal of reducing diesel PM by 

85 percent in 2020 from the baseline emissions in 2000. The Diesel RRP also identified 

various control measures for achieving the goals. These measures included new, more 

stringent standards for all new diesel-fueled engines and vehicles, the replacement of 

older in-use engines with new, cleaner engines, the use of diesel emission control 

strategies on in-use engines, and the use of low-sulfur and alternative diesel fuels.

TRU diesel engines currently (2011) emit approximately 1.4 tons per day of diesel PM. 

Staff determined that there are situations where the public’s estimated 70-year potential 

cancer risk resulting from exposure to diesel PM emissions from TRUs is in excess of a 

100 in a million, because of the high cancer-causing potential of diesel PM and the 

potential for large numbers of TRUs to operate at one location, such as distribution 

centers located near residential areas.

On May 16, 2002, the Board approved the Verification Procedure, Warranty and In-Use 

Compliance Requirements for In-Use Strategies to Control Emissions from Diesel 

Engines (title 13 CCR, sections 2700-2710). This regulation establishes procedures for 

the verification of diesel emission control strategies by ARB that can be utilized in

various diesel-fueled engines, including those in TRUs, to significantly reduce diesel PM 

emissions.

Health and Safety Code (H&S Code) sections 39666 and 39667 require ARB to adopt 

regulations to achieve the maximum possible reduction in public exposure to TACs 
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through the application of best available control technology (BACT), or a more effective 

control method, in consideration of cost, risk, environmental impacts, and other 

specified factors.

The TRU ATCM is part of ARB’s ongoing effort to reduce PM emissions from 

diesel-fueled engines and vehicles, and to improve air quality. ARB adopted the TRU 

Airborne Toxic Control Measure (ATCM) in 2004. The TRU ATCM established in-use 

performance standards for TRUs and TRU gen sets that were to be phased in 

commencing on December 31, 2008. In March 2005, ARB requested that the 

U.S. Environmental Protection Agency (U.S. EPA) grant ARB authorization to adopt and 

enforce the TRU ATCM pursuant to Clean Air Act (CAA) section 209(e)(2); U.S. EPA 

granted California such authorization on January 16, 2009. However, because 

U.S. EPA’s authorization was granted after the first compliance date specified in the 

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

standards until January 2010.

On February 2, 2011, the Board adopted amendments to the TRU ATCM that provided 

owners of MY 2003 TRU engines in the 25 horsepower (hp) and greater category, and 

of MY 2003 and MY 2004 engines in the less than 25 hp category, the option to meet 

the less stringent Low-Emission TRU (LETRU) in-use performance standard in lieu of 

complying with the otherwise applicable Ultra-Low-Emission TRU (ULETRU) in-use 

performance standard. The Board also adopted amendments to clarify that “flexibility” 

engines installed in TRUs by original equipment manufacturers before the effective date 

of those amendments under either the federal Transitional Program for Equipment 

Manufacturers or California’s equipment manufacturer flexibility program (title 13 CCR, 

section 2423(d)), would be provided seven years of operational life, and that flexibility 

engines installed after that date would be subject to shorter operational lives under the 

amendments. Finally, the amendments established new reporting requirements on 

TRU original equipment manufacturers.

Description of the Proposed Regulatory Action:

ARB staff is proposing to amend the TRU ATCM to primarily provide model year (MY) 

2001 through 2003 TRU engines that complied with applicable LETRU in-use 

performance standards by specified time periods, a one- or two-year extension from the 

more stringent ULETRU in-use performance standards. The proposed amendments 

would also clarify manual recordkeeping requirements for electric standby-equipped 

TRUs, and ultimately require automated electronic tracking system requirements for 

such TRUs; establish requirements for businesses that arrange, hire, contract, or 

dispatch the transport of goods in TRU-equipped trucks, trailers or containers 

(i.e., brokers, shippers, or receivers); and clarify issues that were identified during the 

implementation of the regulation. A more detailed description of the proposed 

amendments is presented below.

Applicability

The proposed amendments would apply to owners of MY 2001, 2002, and 2003 and 

older TRU engines that met the LETRU in-use standards by their originally-specified 
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compliance dates. Freight brokers and forwarders, shippers, and receivers would be 

affected by the proposed amendments if they arrange the transport of perishable goods 

on California highways with refrigerated carriers. The amendments would also affect 

owners of TRUs that are equipped with electric standby, and TRU original equipment 

manufacturers, dealers, repair shops, lessors and lessees, and engine rebuilders.

Extend ULETRU Compliance Date for MY 2001 and Older TRU Engines That Complied 

With the LETRU In-Use Performance Standard by December 31, 2008

This proposed amendment would extend the ULETRU compliance date by one year for 

those MY 2001 and older TRU engines that complied with the LETRU in-use standard 

by December 31, 2008. This proposed amendment would serve to restore competitive 

fairness to those businesses that elected to comply with the original TRU regulation 

during 2008 through 2010, although other businesses opted to defer their compliance 

efforts given their uncertainty resulting from U.S. EPA’s delay in issuing ARB an 

authorization to enforce the regulation. This proposed amendment would accordingly 

extend the current ULETRU compliance deadline for qualifying TRU engines from 

December 31, 2015, until December 31, 2016.

Extend ULETRU Compliance Deadline for MY 2003 and Older TRU Engines That 

Complied With the LETRU In-Use Performance Standard by December 31, 2009 or 

December 31, 2010

At the Board’s November 18, 2010 public hearing to consider the 2010 amendments to 

the TRU ATCM, the Board directed staff to evaluate industry’s request that the current 

seven-year operational life for TRUs be extended up to three additional years. 

Industry’s request would therefore extend the ULETRU compliance dates for MY 2004 

and newer model TRU engines by up to three years. Staff evaluated the public health 

risk near distribution centers using updated TRU engine activity information and the 

current U.S. EPA-sanctioned air dispersion model, and determined that the public 

health risk at the current seven-year operational life for TRUs still results in potential 

cancer risk levels of concern in communities near facilities where TRUs congregate. 

Extending the operational life of TRUs would only increase these risks. Accordingly, 

staff is not recommending that the current operational life for MY 2004 and newer TRU 

engines be extended.

However, staff is proposing to extend the ULETRU compliance date by one year for 

MY 2003 and older TRU engines that complied with the LETRU in-use performance 

standard by specified dates (December 31, 2009 for MY 2001 and MY 2002 TRU 

engines; December 31, 2010 for MY 2003 TRU engines). This proposed amendment 

would operate in conjunction with the proposed amendment described immediately 

above, so that MY 2001 and older engines that complied with the LETRU standard by 

December 31, 2008 could qualify for a total of a two-year extension from the ULETRU 

standard compliance date. This proposed amendment would provide economic relief to 

owners who had to take action during the height of the recession. Furthermore, the 

proposed amendment would only have a minimal emissions impact since most of the 
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affected in-use TRU engines would already be controlled to LETRU levels and the 

near-source public health risk impacts associated with those emissions would be 

minimal.

Clarify Operational and Recordkeeping Requirements, and Require Automated 

Electronic Recordkeeping of Hybrid Electric, Electric-Standby (E/S) Equipped, and 

Hybrid Cryogenic TRUs 

The TRU ATCM currently allows TRU owners to utilize hybrid electric, hybrid cryogenic, 

and electric-standby (E/S) equipped TRUs as compliance options (Alternative 

Technology compliance option). This option applies if such TRUs are operated in a 

manner that eliminates diesel engine operations at the facilities where TRUs operate. 

When staff established the Alternative Technology compliance provision in the original 

TRU ATCM, it intended that owners using this option needed to document, via 

recordkeeping, that TRU engine operations at facilities were in fact eliminated. 

However, manual records submitted by owners have been incomplete and inconsistent. 

The proposed amendments would therefore specify the information required to be 

provided in manual records.

The proposed amendments clarify that Alternative Technology compliant TRUs are 

allowed to operate under diesel engine power from the time they enter the facility fence 

line or property line until they are parked, from a parking spot to the gate upon leaving 

the facility, and while being moved to and from loading docks to parking spots by yard 

hostlers. Engine run time within a facility fence line would be limited to no more than 

five minutes each time the unit moves within the facility fence line or property boundary. 

The proposed amendments also clarify, that to qualify as an Alternative Technology, 

facilities in California where E/S-equipped TRUs are based must have electric power 

plugs located where TRU equipped trucks are parked for the initial van chill-down and 

while awaiting dispatch and at the loading spaces. These power plug requirements also 

apply to any nonretail facility in California where an E/S-equipped TRU truck picks up or 

delivers goods if the van load includes perishable goods. At retail delivery and pick-up 

points, including but not limited to restaurants, grocery stores, convenience stores, and 

cafeterias, TRU engine run time is allowed, but limited to no more than 30 minutes per 

delivery/pick-up point. Electric power plugs are required at retail delivery and pick-up 

points if more than 30 minutes of TRU engine run time is necessary. Finally, hybrid 

electric or E/S TRUs must be equipped with non-resettable hour meters that record both 

engine and shore-powered electric motor run time (separately). This will facilitate hour 

meter reading records that are required. 

The proposed amendments phase-in electronic recordkeeping for hybrid electric and 

E/S TRUs. At least 50 percent of an owner’s fleet of hybrid electric or E/S-equipped 

TRUs that have passed an in-use compliance deadline would need to be equipped with 

electronic tracking systems by December 31, 2012, and the remainder of those units 

would be equipped by December 31, 2013. In addition, 100 percent of an owner’s 

hybrid electric or E/S-equipped TRUs that have a December 31, 2013 in-use 
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compliance date would also have to meet the electronic tracking system requirement. 

Every year thereafter, all of hybrid electric or E/S-equipped units that are required to 

meet an in-use standard by the end of the year would be required to meet the electronic 

tracking system requirement. The electronic tracking systems must provide automated 

Global Positioning System (GPS) tracking, engine run time monitoring, recordkeeping 

and reporting. Staff believes that the use of automated tracking and reporting systems 

will result improve enforceability and labor savings that more than pay for the capital 

and operating costs of such systems. 

The proposed amendments will require out-of-state owners that elect to use the 

Alternative Technology compliance option to register those TRUs in ARBER (in-state 

owners are already required to register all of their units). 

Requirements That Freight Brokers and Forwarders, Shippers, and Receivers Ensure

That the Carriers They Hire Use California-Compliant TRUs

This proposed amendment would require a business entity that arranges, hires, 

contracts for, or dispatches the transport of perishable goods in TRU-equipped trucks, 

trailers, shipping containers, or railcars to require the carriers they hire or contract with 

to only dispatch equipment with TRUs that comply with the TRU ATCM’s in-use 

standards if they travel on California highways or railways. That business entity would 

also be required to provide the driver with their company contact information and a bill 

of lading that includes shipper, carrier, and receiver information. The driver, in turn 

would be required to provide this information to an ARB inspector, upon request.

Limited Exemption for Mobile Catering Service TRUs

This proposed amendment would provide a limited exemption to mobile catering 

companies for TRUs that are used during emergencies, such as TRUs on refrigerated 

trucks and trailers that are used to feed emergency responders, such as firefighters 

suppressing wildfires. The proposed exemption would allow qualifying mobile catering 

services to defer compliance with the in-use performance standards until January 2025. 

Clarifying Requirements for Repowering a TRU With a New Replacement Engine or a 

Rebuilt Engine

The proposed amendments clarify that new or rebuilt replacement engines used to 

repower a TRU must meet more stringent emissions standards than the TRU’s original 

engine, and are subject to the TRU ATCM’s in-use standards that are based on the new 

or rebuilt replacement engine’s model year or effective model year. 

Current tier new replacement engines would use the engine model year shown on the 

engine emissions label to determine the in-use standard that must be met and the 

in-use compliance deadline. Prior-tier new replacement engines would use the effective 

model year of the engine, as defined, to determine the in-use standard that must be met 

and the in-use compliance deadline. 
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The proposed amendments would require rebuilt replacement engines to meet the 

requirements of a new section of the TRU ATCM (section 2477.16) that clarifies federal

and State requirements applicable to TRU engines. The amendments also clarify that 

when a rebuilt engine meets a prior-tier new engine emissions standard, the effective 

model year is used, which is the last year that the tier standard was in effect. However, 

if a rebuilt engine meets a tier standard for new engines that is currently in effect, then 

the model year, for the purposes of the TRU ATCM would be the year that the engine 

was rebuilt. Section 2477.16 also includes supplemental label requirements that 

include the model year.

Clarifying TRU Dealer Requirements to Allow California Dealers to Acquire Noncompliant TRUs and to Transmit Registration Information to the Ultimate Purchaser

The proposed amendments allow dealers doing business in California to purchase, 

receive, or acquire and possess noncompliant TRUs in California under certain 

circumstances (e.g., to accept non-compliant trade-ins when TRU owners buy new or 

newer compliant TRUs). 

The proposed amendments also require dealers that sell new units or replacement 

engines, whether new or rebuilt, to pass a registration information document to the 

ultimate purchaser at point of sale. The registration document would come with the new 

unit or new replacement engine from the TRU original equipment manufacturer (OEM), 

or from the rebuilt engine supplier. If a new replacement engine is not supplied with a 

registration information document, then the dealer must provide a registration 

information document, which would include all of the engine information needed to 

register the unit in ARBER.

Provide Extensions When Compliance Technology is Not Available or Based on Delays 

Due to Private Financing, Equipment Manufacture Delays, or Installer Delays

The proposed amendments would authorize the Executive Officer to grant up to an 

one-year extension of a compliance deadline if no compliance technology is available 

for a specific TRU or TRU gen set within six months of a compliance date, or a one-time 

extension, not to exceed four months, if financing, delivery, or installation is delayed. 

These amendments provide flexibility in addressing issues related to Verified Diesel 

Emissions Control Strategies (VDECS) and other compliance options which may not be 

fully available on the market immediately prior to a compliance date.

Clarify Exemptions for Obviously Non-Operational Equipment and Refrigeration 

Systems Not Powered by Integral Diesel Engines

The proposed amendments clarify that obviously non-operational TRUs and TRU gen 

sets are exempt from certain subsections of the TRU ATCM, and that transport 

refrigeration systems that are not driven by an integral diesel internal combustion 

engine are exempt from the TRU ATCM. 
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Clarify Prohibitions on Selling Non-compliant TRUs

The proposed amendments extend the prohibitions of selling non-compliant TRUs to

any person selling such non-complaint units. Auctioneers and motor carriers are now 

expressly included in the section prohibiting persons from intentionally or negligently 

importing, delivering, purchasing, or otherwise acquiring non-compliant new or used 

TRU or TRU gen set engines. The proposed amendments also require a seller of a 

non-compliant unit to disclose to a potential buyer located outside of California that the 

unit is not compliant with the in-use requirements and cannot be legally operated in 

California. In addition, the proposed amendments also prohibit an owner of a TRU 

equipped with an Alternative Technology, such as electric standby, from selling it, 

without disclosing in writing that it must be used in a way that qualifies it as an 

Alternative Technology.

Clarify and Streamline Requirements for Lessors and Lessees

The proposed amendments would formalize policies that staff developed in conjunction 

with companies that lease or rent TRU-equipped trucks and trailers which streamline 

issues related to the ARBER registration requirements, Operator Reports, and the 

in-use standards. 

Allow Use of Unit Manufacture Year Instead of Engine Model Year to Determine 

Compliance Requirements and Dates

The proposed amendments allow the year that a TRU was manufactured, instead of the 

TRU engine model year, to be used in determining the applicable in-use performance 

standards and the related compliance deadline, provided that the difference between 

the unit manufacture year and the engine model year is no more than one year. If the 

difference between the unit manufacture year and model year is greater than one year, 

the engine model year must be used to determine compliance dates. However, the 

engine model year must be used when determining VDECS compatibility and must also 

be entered into the space for engine model year when registering the TRU in ARBER.

Allow the Use of Unique Identification Numbers Instead of Affixing an ARB Identification 

Number (IDN)

The TRU ATCM currently requires owners of California-based TRUs to apply for ARB 

Identification Numbers (IDN) and affix or paint the IDNs onto the TRU or TRU generator 

set (gen set) housing. ARB IDNs are voluntary for out-of-state-based units. The 

proposed amendments will allow the use of Bureau International des Containers (BIC) 

codes, or reporting marks in place of ARB IDNs, provided: the owner must still apply for 

an ARB IDN if the unit is California-based, the BIC-Code or reporting mark must be 

unique for each piece of equipment, and the BIC-Code or reporting mark must meet the 

same readability specifications currently required for ARB IDNs. 
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Additional Requirements for TRU Original Equipment Manufacturers (OEMs)

The proposed amendments require TRU OEMS that plan to equip TRUs with flexibility 

engines to: notify ARB at least 12 months in advance of the first flexibility engine 

installation in production; beginning 120 days after the effective date of the regulation,

provide a supplemental engine emissions label for each flexibility engine installed in 

new TRUs and attach this label to the engine in an easily accessible place; and provide 

a written disclosure to prospective buyers, prior to sale of new TRUs, notifying them 

when a TRU is equipped with a flexibility engine, the effective model year of the engine, 

the ULETRU compliance deadline, and that the effective model year must be entered 

for the model year when the unit is registered in ARBER. 

Beginning 120 days after the effective date of the amendments, the proposed 

amendments also require TRU OEMs to provide, for prior-tier replacement engines,

supplemental engine emissions labels for each new replacement engine they supply. 

This label would list all of the engine information needed to register the equipment in 

ARBER (if the engine manufacturer’s emissions control label does not provide this 

information). Additionally, TRU OEMs would be required to provide written disclosure 

with each prior-tier engine supplied. This written disclosure would be passed on to 

interested buyers, notifying them that they are buying a prior-tier replacement engine 

that was manufactured to meet a less stringent prior-tier emissions standard than is 

currently required. This notification would also provide the effective model year of the 

prior-tier replacement engine and the ULETRU compliance deadline. Finally, the OEMs 

would be required to provide a registration information document with each prior-tier 

replacement engine they supply that would be passed on to the end user. The 

registration information document would include all of the engine information needed to 

register the equipment in ARBER and be consistent with the information that is on the 

engine emissions label and supplemental engine label. 

Beginning 120 days after the effective date of the amendments, the proposed 

amendments require TRU OEMs provide, for current-tier replacement engines and new 

TRUs and TRU Gen Sets, a registration information document with each current-tier 

replacement engine or new TRU or TRU Gen Set they supply that would be passed on 

to the end-user. This document would also include all of the engine information needed 

to register the equipment in ARBER and be consistent with the registration information 

that is on the engine emissions label and supplemental engine label.

Additional Requirements for Dealers and Repair Shops

The proposed amendments require dealers and repair shops to pass the registration 

information documents, which are supplied with new units, new replacement engines, 

and rebuilt engines, to the end-user. If a registration information document was not 

included with a replacement engine, the dealer or repair shop would have to provide it. 
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Additional Requirements for Engine Rebuilders 

The proposed amendments require engine rebuilders to follow the federal and State 

engine rebuild practices of 40 CFR sections 89.130 and 1068.120, and title 13, CCR 

section 2423(l), and provide the supplemental rebuilt engine labels including engine 

model, engine effective model year (if prior-tier standard is met) or model year (if 

current-tier standard is met), and horsepower rating. Supplemental engine labels would 

need to be affixed to the rebuilt engine in a readily accessible location in accordance 

with 40 CFR section 89.110 (for Tier 2), or 40 CFR section 1039.135 (for Tier 4i). 

Engine rebuilders would also be required to provide, within 30 days of request, 

documentation and engineering arguments demonstrating that they have complied with 

the engine rebuilding practices of 40 CFR sections 89.130 and 1068.120, and title 13

CCR section 2423(l). This technical demonstration must be completed, signed, and 

stamped by a licensed mechanical engineer with knowledge of the design and function 

of diesel engines and the control of their emissions. As part of the evaluation of the 

demonstration, the Executive Officer may require an emissions test to be conducted if 

the documentation and engineering arguments are not found to be satisfactory.

Engine rebuilders would also be required to provide a registration information document 

with each rebuilt engine that provides all of the engine information required under 

section 2477.5(e), with instructions to the dealer or repair shop to pass this document 

through to the end-user. The information on the registration information document 

would need to be consistent with the information that is on the supplemental engine 

label.

Clarify Registration Requirements, Consistent with ARBER Screens

During implementation, staff learned that additional information was needed to validate 

the registration information that was required by the original regulation. Staff believes 

that most of the additional data elements fall within the umbrella of existing data 

requirements and they are currently implemented in ARBER; however, adding them 

specifically would clarify the requirements and improve enforceability. Therefore,

proposed amendments add registration information requirements to section 2477.5(e), 

which are consistent with current ARBER registration screens. 

With the above-described proposed amendments, the TRU ATCM would continue to 

substantially decrease diesel PM and NOx emissions, but would defer a small portion of 

emissions one or two years toward the end of the in-use standards phase-in 

(2016-2018).

COMPARABLE FEDERAL REGULATIONS

There are no federal regulations comparable to the TRU ATCM for in-use TRUs. Under 

federal Clean Air Act (CAA) section 213, U.S. EPA is without authority to adopt in-use 
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standards for off-road (non-road) engines.2

Section 209(e)(1) of the CAA conclusively preempts states, including California, from 

adopting requirements for new off-road engines less than 175 hp that are used in farm 

or construction equipment. Under section 209(e)(2), California may adopt and enforce 

emission standards and other requirements for off-road engines and equipment not 

conclusively preempted by section 209(e)(1), so long as California applies for and 

receives authorization from the Administrator of U.S. EPA. TRU engines are not used 

in farm and construction equipment and are thus not preempted. California requested 

and received authorization from U.S. EPA for the initially adopted TRU ATCM in 

January 2009.3

AVAILABILITY OF DOCUMENTS AND AGENCY CONTACT PERSONS

ARB staff has prepared a Staff Report: Initial Statement of Reasons (ISOR) for the 

proposed regulatory action, which includes a summary of the potential environmental 

and economic impacts of the proposal. The report is entitled, Proposed Amendment of 

the Airborne Toxic Control Measure for In-Use Diesel-Fueled Transport Refrigeration 

Units and TRU Generator Sets, and Facilities Where TRUs Operate.

Copies of the ISOR and the full text of the proposed regulatory language, in underline 

and strike-out format to allow comparison with the existing TRU ATCM, may be 

accessed on ARB’s website listed below, or may be obtained from the Public 

Information Office, Air Resources Board, 1001 I Street, Visitors and Environmental 

Services Center, First Floor, Sacramento, California, 95814, (916) 322-2990, on

September 2, 2011.

Upon its completion, the Final Statement of Reasons (FSOR) will be available and 

copies may be requested from the agency contact persons in this notice, or may be 

accessed on ARB’s website for this rulemaking at: 

http://www.arb.ca.gov/regact/2011/tru2011/tru2011.htm.

Inquiries concerning the substance of the proposed regulations may be directed to the 

designated agency contact persons, Richard Boyd, Manager of the Process Evaluation 

Section, Emission Assessment Branch, Stationary Source Division at (916) 322-8285,

or Rod Hill, Staff Air Pollution Specialist, Stationary Source Division at (916) 327-5636.

Further, the agency representative and designated back-up contact persons to whom 

nonsubstantive inquiries concerning the proposed administrative action may be 

directed, are Ms. Lori Andreoni, Manager, Board Administration & Regulatory 

Coordination Unit, (916) 322-4011, or Ms. Amy Whiting, Regulations Coordinator, 

(916) 322-6533. The Board has compiled a record for this rulemaking action, which 

 2 The California term “off-road” and the federal term “nonroad” refer to the same sources and are used 

interchangeably.

3 74 Fed Reg 3030 (January 16, 2009).
12

includes all the information upon which the proposal is based. This material is available 

for inspection upon request to the contact persons.

This notice, the ISOR and all subsequent regulatory documents, including the FSOR,

when completed, are available on ARB’s website for this rulemaking at

http://www.arb.ca.gov/regact/2011/tru2011/tru2011.htm.

COSTS TO PUBLIC AGENCIES AND TO BUSINESSES AND PERSONS AFFECTED

The determinations of the Board's Executive Officer concerning the costs or savings 

necessarily incurred by public agencies and private persons and businesses in 

reasonable compliance with the proposed amendments are presented below. A 

detailed assessment of the economic impacts of the proposed regulatory action can be 

found in the Staff Report.

Costs or Savings to Businesses and Private Individuals

In developing this regulatory proposal, ARB staff evaluated the potential economic 

impacts on representative private persons or businesses. 

Overall, there will be a net cost savings for compliance with the proposed amendments 

of approximately $13 million (2011 dollars) from 2011 through 2029. Extending the 

in-use standard for ULETRU for MY 2003 and older engines which met LETRU by their 

respective compliance dates will result in a one-time cost savings of approximately 

$320,000 in 2011 dollars. The cost savings from using electronic recordkeeping for 

electric standby units compared to manual recordkeeping is about $3.9 million. The 

cost to brokers, shippers or receivers for ensuring that the carriers they contract with 

only dispatch equipment with compliant TRUs is approximately $900,000 annually, with 

a total of approximately 11 million dollars from 2011 to 2029. A one-time cost savings 

for exempting TRUs used in emergencies is about $320,000. A cost savings of about 

$21 million is estimated for allowing use of the TRU model year rather than the engine 

model year to determine compliance dates. Requiring OEMs, dealers, installers, and 

rebuilders to provide supplemental engine labeling and registration information 

documentation will result in costs of approximately $200,000 annually, with a total of 

$1.6 million from 2011 to 2020.

The Executive Officer has made an initial determination that the proposed regulatory 

action would not have a significant statewide adverse economic impact directly affecting 

businesses, including the ability of California businesses to compete with businesses in 

other states, or on representative private persons.

Alternatives to the proposed amendments are described in more detail in the Staff 

Report.

In accordance with Government Code section 11346.3, the Executive Officer has 

determined that the proposed regulatory action would not affect the creation or 

elimination of jobs within the State of California, the creation of new businesses or 
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elimination of existing businesses within the State of California, or the expansion of 

businesses currently doing business within the State of California. A detailed 

assessment of the economic impacts of the proposed regulatory action can be found in 

the ISOR.

The Executive Officer has also determined, pursuant to California Code of Regulations, 

title 1, section 4, that the proposed regulatory action would affect small businesses 

because staff anticipates there will be cost savings if TRU and TRU gen set owners 

choose the retrofit compliance option. Compliance costs would not be affected if 

owners choose the repower option.

In accordance with Government Code sections 11346.3(c) and 11346.5(a)(11), the 

Executive Officer has found that the reporting requirements of the regulation which 

apply to businesses are necessary for the health, safety, and welfare of the people of 

the State of California.

Before taking final action on the proposed regulatory amendments, the Board must 

determine that no reasonable alternative considered by the Board, or that has otherwise 

been identified and brought to the attention of the Board, would be more effective in 

carrying out the purpose for which the action is proposed, or would be as effective and 

less burdensome to affected private persons than the proposed action.

Costs or Savings to Local and State Government Agencies

Pursuant to Government Code sections 11346.5(a)(5), the Executive Officer has 

determined that the proposed regulatory action would not create any costs to or 

mandates on any local agency or school district that is reimbursable by the State 

pursuant to Government Code, title 2, division 4, part 7 (commencing with section 

17500).

Pursuant to Government Code sections 11346.5(a)(6), the Executive Officer has further 

determined, based on estimates prepared in accordance with instruction adopted by the 

Department of Finance, that the proposed regulatory action would not create additional 

costs to any State agency or to any local agency or school district, whether or not 

reimbursable by the State pursuant to Government Code, title 2, division 4, part 7 

(commencing with section 17500), create other nondiscretionary costs on local 

agencies, and affect costs or savings in federal funding to the State.

Several local agencies, school districts, and State agencies own TRUs, so the 

compliance cost savings discussed above may apply to these agencies if they own 

MY 2003 and older TRU engines or engines with a model year that is one year older 

than the unit manufacture year.

SUBMITTAL OF COMMENTS

Interested members of the public may also present comments orally or in writing at the 

meeting, and comments may be submitted by postal mail or by electronic submittal 

before the meeting. The public comment period for this regulatory action will begin on 
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September 3, 2011. To be considered by the Board, written comments, not physically 

submitted at the meeting, must be submitted on or after September 3, 2011, and 

received no later than 12:00 noon on October 19, 2011, and must be addressed to 

the following:

Postal mail: Clerk of the Board, Air Resources Board

1001 I Street, Sacramento, California 95814

Electronic submittal: http://www.arb.ca.gov/lispub/comm/bclist.php

Please note that under the California Public Records Act (Gov. Code, § 6250 et seq.), 

written and oral comments, attachments, and associated contact information (e.g., your 

mailing address, phone number, email address, etc.) become part of the public record 

and can be released to the public upon request. Additionally, this information may 

become available via Google, Yahoo, and any other search engines.

The Board requests, but does not require, that 20 copies of any written statement be 

submitted and that all written statements be filed at least 10 days prior to the hearing so 

that ARB staff and Board members have time to fully consider each comment. The 

Board encourages members of the public to bring to the attention of staff in advance of 

the hearing any suggestions for modification of the proposed regulatory action.

STATUTORY AUTHORITY AND REFERENCES

This regulatory action is proposed under the authority granted in Health and Safety 

Code, sections 39600, 39601, 39618, 39658, 39659, 39666, 39667, 39674, 39675, 

42400, 42400.14, 42400.2, 42400.3.5, 42402. 42402.2, 42410, 43013, 43018. This 

action is proposed to implement, interpret, and make specific sections 39618, 39650, 

39658, 39659, 39666, 39667, 39674, 39675, 42400, 42400.1, 42400.2, 42400.3.5, 

42402, 42402.2, 42410, 40717.9, 43013, and 43018.

HEARING PROCEDURES

The public hearing will be conducted in accordance with the California Administrative 

Procedure Act, Government Code, title 2, division 3, part 1, chapter 3.5 (commencing 

with section 11340).

Following the public hearing, the Board may adopt the regulatory language as originally 

proposed, or with non-substantial or grammatical modifications. The Board may also 

adopt the proposed regulatory language with other modifications if the text as modified 

is sufficiently related to the originally proposed text that the public was adequately 

placed on notice and that the regulatory language as modified could result from the 

proposed regulatory action; in such event, the full regulatory text, with the modifications 

clearly indicated, will be made available to the public, for written comment, at least 

15 days before it is adopted.
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The public may request a copy of the modified regulatory text from ARB’s Public 

Information Office, Air Resources Board, 1001 I Street, Visitors and Environmental 

Services Center, First Floor, Sacramento, California, 95814, (916) 322-2990.

SPECIAL ACCOMMODATION REQUEST

Special accommodation or language needs can be provided for any of the following:

• An interpreter to be available at the hearing;

• Documents made available in an alternate format (i.e., Braille, large print, etc.) or 

another language;

• A disability-related reasonable accommodation.

To request these special accommodations or language needs, please contact the Clerk 

of the Board at (916) 322-5594 or by facsimile at 916) 322-3928 as soon as possible, 

but no later than 10 business days before the scheduled Board hearing. 

TTY/TDD/Speech to Speech users may dial 711 for the California Relay Service.

Comodidad especial o necesidad de otro idioma puede ser proveído para alguna de las 

siguientes:

• Un intérprete que esté disponible en la audiencia.

• Documentos disponibles en un formato alterno (por decir, sistema Braille, o en 

impresión grande) u otro idioma. 

• Una acomodación razonable relacionados con una incapacidad. 

Para solicitar estas comodidades especiales o necesidades de otro idioma, por favor 

llame a la oficina del Consejo al (916) 322-5594 o envíe un fax a (916) 322-3928 lo más 

pronto posible, pero no menos de 10 días de trabajo antes del día programado para la 

audiencia del Consejo. TTY/TDD/Personas que necesiten este servicio pueden marcar 

el 711 para el Servicio de Retransmisión de Mensajes de California.

CALIFORNIA AIR RESOURCES BOARD

/s/

_________________________________

James N. Goldstene

Executive Officer

Date: August 31, 2011