1 ** FINAL REGULATION ORDER **

Airborne Toxic Control Measure for In-U se Diesel-Fueled Transport Refrigeration Units (TRU) and TRU Generator Sets, and Facilities Where TRUs Operate

________________________ _________________________ ___________________

Amend article 8, Off-Road Airborne Toxic C ontrol Measures, and section 2477, within division 3, chapter 9, title 13, California Code of Regulations, to re ad as follows: (Note: Proposed amendments are shown in underline to indicate additions and strikeout to indicate deletions.)

Article 8. Off-Road Airbor ne Toxic Control Measures

Section 2477. Airborne Toxic Cont rol 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 pr ovisions of the Diesel Risk Reduction Plan, adopted by the Air Resources Boar d 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 reduc e the diesel PM emissions from inuse transport refrigeration units (TRUs ) and TRU generator (gen) set equipment used to power electrically driven refriger ated shipping containers and trailers that are operated in California.

(b) Applicability

.

(1) Except as provided in subsection (c ), this regulation ap plies 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 loca ted 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, or2 contracted for by the facility , its parent company, affiliate, or subsidiary that are under facility control (see definition).

(3) To the extent not already covered under subsections (b)(1) and (b)(2), above, subsection (g) of this regulation shall ap ply 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 manuf acturers that directly or indirectly

sell or offer for sale TRUs and TRU gen sets to the California market.

(4)(5) Severability. If any subsec tion, paragraph, subpar agraph, sentence, clause, phrase, or portion of this regulat ions is, for any reason, held invalid, unconstitutional, or unenforceable by any c ourt of competent jurisdiction, such portion shall be deemed as a separate, di stinct, 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 regulatio n, the following definitions apply:

(1) “Affiliate or Affiliation” refers to a rela tionship of direct or indirect control or shared interests between the subj ect 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 le ss 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 wit h each other or in combination with

other non-diesel fuels. Alternativ e-fueled engines shall not have the capability of idling or operating sole ly on diesel fuel at any time.

(3) “Alternative-Fueled Engi ne” 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 specific ation 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. Exam ples of alternative diesel fuels include, but are not limited to, bi odiesel, Fischer Tropsch fuels, and

emulsions of water in diesel fuel. Na tural gas is not an alternative diesel fuel. An emission control strategy us ing a fuel additive will be treated as an alternative diesel fuel based strategy unless:3 (A) The additive is supplied to the vehi cle or engine fuel by an on-board dosing mechanism, or

(B) The additive is directly mixed into the base fuel in side the fuel tank of the vehicle or engine, or

(C) The additive and base fuel are not mi xed until vehicle or engine fueling commences, and no more additive plus bas e 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% bi odiesel fuel derived from vegetable oil or animal fat and complying with ASTM D 6751-02 and commonly or commercially known, sold, or repres ented as “neat” biodiesel or B100.

B100 biodiesel fuel is an alternative diesel fuel.

(7) “B100 Biodiesel-Fueled” (compr ession-ignition engine) means a compression-ignition engine that is fueled by B100 biodiesel fuel.

(8) “Business” means an entity organized fo r profit including, but not limited to, an individual, sole proprietorship, part nership, limited liability partnership, corporation, limited liability company , joint venture, association or cooperative; or solely for purpos es of the Prompt Payment Act (Government Code 927 et s eq.), a duly authorized non profit corporation.

(9) “California-Based TRUs and TRU Gen Sets” means TRUs and TRU gen sets equipped on trucks, trailers, ship ping containers, or railcars that a reasonable person would find to be regul arly assigned to terminals within

California.

(10) “CARB Diesel Fuel” means any dies el 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 Die sel 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 colo rless, 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"4 is an engine that belongs to an engine family that has received a

certification Executive Order.

(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, ca rbon monoxide, and particulate matter includes, as a minimum, tor que, engine speed, weighting factor, power, mass emission rate (grams per hour), and certification test fuel.

(15) “Compression Ignition (CI) Engine” m eans an internal combustion engine with operating characteristics significantly similar to the theoretical diesel combustion cycle. The regulation of pow er 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 Syst em" 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 t hat cools air blown over the coil. The cryogenic system uses a vapor moto r 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 in stead 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 us eful 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, in cluding any mixture of primarily liquid hydrocarbons – organic compounds consis ting exclusively of the elements carbon and hydrogen – that is sold or represented as suitable for use in an internal combustion, comp ression-ignition engine.

(21) “Diesel-Fueled” means fueled by diesel f uel or CARB diesel fuel in whole or in part, except as allowed for a pilot ignition source under the definition for

“alternative fuel”.5 (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-t hrough substrate where the surfaces

that contact the exhaust flow have been catalyzed to reduce emissions of the organic fraction of diesel parti culates, gas-phase hydrocarbons, and

carbon monoxide.

(23) “Diesel Particulate Filter (DPF)” means an emission control technology that reduces PM emissions by trapping the parti cles in a flow filter substrate. Periodically the collected particles are either physically removed or oxidized (burned off) in a proc ess 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 comp lex physical and chemical properties.

(25) “Dual-Fuel Engine” means an engine des igned to operate on a combination of alternative fuel, such as compre ssed natural gas (CNG) or liquefied petroleum gas (LPG), and conventional fu el, such as diesel or gasoline. These engines have two separate fuel systems, which either inject both fuels simultaneously into the engine co mbustion chamber or fumigate the gaseous fuel with the intake air and inject the liquid fuel into the combustion

chamber.

(26) “Effective model year” or “effec tive engine model year” is an alternative model-year designation (see definit ion 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 manuf actured to meet a less stringent prior-tier emissions standard than is curr ently in effect, the effective model year is the last year that the prio r-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 2012 1

1 Effective model year applies for this tier only after Ti er 4f becomes effective in 2013 for 25 to less than 50 hp engines.6 (26)(27) “Emergency” means any of the following times:

(A) A failure or loss of normal power servic e that is not part of an “interruptible service contract” (see defin ition in subsection (d));

(B) A failure of a facility’s internal po wer distribution system, provided the failure is beyond the reasonable c ontrol 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” m eans 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, sele ctive catalytic reduction systems, alternative fuels, fuel additives used in combination wit h 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 w here TRU-equipped trucks, trailers, shipping

containers or railcars are loaded or unloaded with perishable goods. This includes, but is not limited to, grocer y distribution cent ers, 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 faci lity, its parent company, affiliate, or a subsidiary, or under contra ct for the purpose of providing carrier service to the facility, and the TRUs' or TR U gen sets' arrival, departure, loading, unloading, shipping and/or receiving of ca rgo is determined by the facility, parent company, affiliate, or subsidiary (e.g scheduled receiving, dispatched shipments).

(32)(33) “Fischer-Tropsch Diesel Fuel” See “u ltra-low-aromatic synt hetic diesel fuel”. (34) “Flexibility engine” means an engine in stalled in new equipment by an original equipment manufacturer under the Trans itional Program for Equipment

Manufacturers in accordance with title 40 Code of Federal Regulations (40 CFR) sections 89.102 and 1039.625, and title 13 CCR section 2423(d). Such engines7 shall use the “effective model year” designation for purposes of compliance with this subarticle, except as a llowed under subsection (e)(1)(B)5.a.

(33)(35)"Fuel Additive” means any subst ance designed to be added to fuel or fuel systems or other engine-relat ed engine systems such that it is present in-cylinder during combustion and has any of the following effects: decreased emissions, improved fuel economy, increased performanc e 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 Syst em” means a temperature control system that uses a cryogenic tem perature control system in conjunction

with a conventional TRU.

(36)(38) “Independently Ow ned and Operated” means a business concern that independently manages and controls the da y-to-day operations of its own business through its ownership and m anagement, without undue influence by an outside entity or person that may have an ownership and/ or financial interest in the management responsibilities of the app licant business or small business.

(37)(39)"Intermodal Facility” means a fac ility 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 railc ars, trucks, and ocean-going ships.

(38)(40)"Interruptible Service Contra ct” 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 compensat ion, 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 st andards described under paragraph (e)(1)(A)1. or (e)(1)(A)2.

(41)(43) “Manufacturer” means a busine ss as defined in Government Code § 14837(c).8 (42)(44) “Military tactical support equipment (TSE)” me ans equipment that meets military specifications, owned by the U.S. Department of Defense and/or the U.S. military services, and used in combat, co mbat support, combat service support, tactical or relief operations, or training for such operations.

(43)(45) “Model Year (M Y)” means the following:

(A) The designation used for engines manuf actured to meet the emissions tier standard in effect for new engines at ti me of manufacture (see alternative designation, “effective model year, defined above); and

(B) The diesel-fueled engine manufactu rer’s annual production period, which includes January 1 st 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 re tail sale or lease to an “ultimate purchaser” (see definition in subsection (d)).

(45)(47) “Nitrogen Oxide (N Ox)” means compounds of ni tric oxide (NO), nitrogen dioxide (NO 2 ), and other oxides of nitrogen. Nit rogen oxides are typically created during combustion processes and are ma jor 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 tru cks, trailers, shipping containers, or railcars that a reasonable pers on would find to be regularly assigned to terminals outside of California and operate in Californ ia from time to ti me 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 t hat operates a TRU or TRU gen set for the purposes of transpor ting perishable goods, excluding an employee driver and third party maint enance and repair serv ice, and including

but not limited to:

(A) Manufacturer, producer, supplier, carrier, shipper, consignor, consignee, receiver, distribution center, or warehouse of perishable goods;9 (B) An individual, trust, fi rm, joint stock company, busi ness concern, partnership, limited liability company, asso ciation, or corporation including but not limited to, a government corporation;

(C) Any city, county, district, commi ssion, 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 l egally holds the title (or its equivalent)

showing ownership of a TRU or TRU gen set, excluding a bank or other financial lending institution, and in cluding but not limited to:

(A) Manufacturer, producer, supplier, carrier, shipper, consignor, consignee, receiver, distribution center, warehouse;

(B) An individual, trust, fi rm, joint stock company, busi ness concern, partnership, limited liability company, asso ciation, or corporation including but not limited to, a government corporation;

(C) Any city, county, district, commi ssion, 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 Matte r (PM)” means the particles found in the exhaust of CI engines, which may agglomerate and adsorb ot her species to form structures of complex physical and chemical properties.

(54)(56) “Rated Brake Hors epower” means the power deliv ered, according to the statement of the engi ne 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 t he person, party, or entity t hat receives shipped goods, cargo, or commodities.10 (57)(59) “Refrigerated Traile r” 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 m obile sources and shall be regulated by

the ARB on a statewide basis.

(58)(60) “Rotating Outage” m eans 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 operator s include, but are not limited to, the California Independent System Operator, the Los Angeles Department of Water and Power, the Imperial Irrigation Distr ict, the Sacramento Municipal Utility

District.

(61)(63) “Terminal” means any place wher e a TRU or TRU gen set equipped truck, trailer, shipping container, railcar or TRU gen set is regularly garaged, maintained, operated, or di spatched from, including a di spatch office, cross-dock facility, maintenance shop, busin ess, or private residence.

(62)(64)"Tier 4 Nonroad/Offroad Emi ssion Standards" means the emission standards and associated procedures pr omulgated by U.S. Environmental Protection Agency in "Control of Emissi ons 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 Refriger ation Unit (TRU)” means refrigeration systems powered by integral internal combustion engines designed to control the environment of temperature sensitive products that ar e 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 electr ically driven refrigeration units of any kind. This includes, but is not limited to gen sets that provide electricity to electrically powered refrigeration syst ems 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 fait h purchases a new TRU, TRU gen set, or engine for purposes other than resale.11 (66)(68) “Ultra-Low-Aromati c Synthetic Diesel Fuel” means fuel produced from natural gas, coal, or biomass by the Fischer-Tropsch gas-to-liquid chemical conversion process, or similar proce ss 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 Cont ent (wt %) D5186-96 <0.5%

Natural Cetane Number D613-84 >74

(67)(69) “Ultra-Low Emission TRU (ULET RU or U)” means a TRU or TRU gen set that meets the performanc e standards described under subparagraph (e)(1)(A)1. and (e)(1)(A)2. or that uses an “alter native technology” in accordance with subparagraph (e)(1)(A)3.

(68)(70) “Verification Class ification Level” means the cl assification assigned to a Diesel Emission Control Strategy by t he Executive Officer as defined in the Verification Procedure, Warranty and In -Use Compliance Requirements for InUse Strategies to Control Emission fr om 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 Contro l Strategy” (VDECS) means an emission control strategy designed pr imarily for the reduction of diesel particulate matter emissions that has been verified per the Verification Procedure, Warranty and InUse Compliance Requirements for In-Use St rategies 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, f uel additives (e.g. fuel-borne catalysts), alternative fuels (e.g. dual fuel), alternat ive 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 ow ner/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 ca tegories for TRU and TRU gen set engines with rated brake horsepowe r less than 25 horsepower (<25 hp) are shown in Table 23, along with t he engine certificati on standards or12 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) 0.30 1 2 Level 2

Ultra-Low Emission TRU (ULETRU or U) NA 2 3 Level 3

a. Compliance can be achieved by:

I. Using a certified engine meet ing the applicable nonroad/offroad emissions standards for all regulat ed 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 t he required Level of VDECS.

2. In-Use performance standard ca tegories for TRU and TRU gen set engines with rated brake horsepowe r 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) 0.22 3 4 Level 2

Ultra-Low Emission TRU (ULETRU or U) 0.02 4 5 Level 3

1 2 The Engine Certification value for the Low Emission TRU category corresponds to the "Interim" Tier 4

Nonroad/Offroad Emission Stand ards that are to go into effect in 2008.

2 3 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 identifi ed in the Tier 4 Nonroad/Offroad Emission St andards) engines is adopted by U.S. EPA for this horsepower category, the Board will consi der adopting an engin e certification in-use performance standard for ULETRU for <25 hp TRUs and TRU gen sets.

3 4 The Engine Certification value for Low Emission T RU category corresponds to the "Interim" Tier 4

Nonroad/Offroad Emission Stand ards that are to go into effect in 2008.13 a. Compliance can be achieved by:

I. Using a certified engine meet ing the applicable nonroad/offroad emissions standards for all regulat ed 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 t he required Level of VDECS.

3. As an alternative to meeting t he 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 th e TRU is not operated under diesel engine power while at a facilit y, except during an emergency.

b. Cryogenic temperature contro l systems or hybrid cryogenic temperature control systems, provi ded that the TRU does not operate under diesel engine power while at a facility, except during an

emergency.

c. Alternative-fueled engines (see def inition in subsection (d)). If the engine is a CI engine, a VDECS is required.

Note: If the engine is not a co mpression 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 alternat ive diesel fuel (see definition in subsection (d)) that has been verifi ed as a VDECS, provided it is used in accordance with the requirem ents of subsection (e)(2)(A) and

the alternative diesel fuel contai ns 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

4 5 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 2013.14 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 s hall operate a 2002 MY TRU or TRU gen set engine

in California unless it meets the in-u se 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 s hall operate a 2003 MY TRU or TRU gen set engine

in California unless it meets the in-u se 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.

3. 4. No owner/operator shall operate a 20032004 MY and subsequent MY TRU or TRU gen set engine in Califor nia unless it m eets the in-use performance criteria set forth in paragraph (e)(1)(A) for ULETRU on or

before December 31 st of the seventh year past the unit’s engine’s model year, as shown in Tables 45 6 and 56 6 , with the following exception:.

6 Model years 2013 and subsequent (not shown in T able 5 and 6), shall meet ULETRU by December 31 st of the
seventh year after the engine model year or effective model year, except as allowed under subparagraph (e)(1)(B)5.15 a. Less than 25 hp model year 2004 engines shall meet the in-use performance criteria set forth in par agraph (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

MY In-Use Compliance Year 5 7

‘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 6 UL UL UL UL UL UL UL U U U U

‘04 UL UL UL UL UL UL UL U U U

‘05 8 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 7 Compliance date is December 31 st of the compliance year shown. “MY” means model year. Black shaded areas are years with no requirements since in-use compliance ye ar precedes model year . Dark shaded areas without letter codes have no requirements, pending in-use comp liance date. “L” means must meet LETRU in-use performance standards. “U” means must m eet ULETRU in-use performance standards.

6 8 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.16 Table 56: >25 HP TRU and TRU Gen Set Engines In-Use Compliance Dates

MY In-Use Compliance Year 7 9

‘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 8 UL UL UL UL UL UL UL U U U U

‘04 10 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 installe d in TRUs and TRU gen sets manufactured prior to March 7, 2011, and operated in California shall meet the in-use perfo rmance standards of subsection (e)(1)(A) by December 31 st of the seventh year after the TRU or TRU gen set engine’s manufacture y ear 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 May 6, 2011.

b. To allow TRU and TRU gen set ow ners to meet the registration requirements of subparagraph (a) abov e, the original equipment manufacturer shall by April 6, 2011: I. Provide the following unit and flexibility engine information to

ARB in electronic format: i. TRU or TRU gen set manufacturer; ii. TRU or TRU model name;

7 9 Compliance date is December 31 st of the compliance year shown. “MY” means model year. Black shaded areas are years with no requirements since in-use compliance ye ar precedes model year . Dark shaded areas without letter codes have no requirements, pending in-use comp liance date. “L” means must meet LETRU in-use performance standards. “U” means must meet ULETRU in-use performance standards.

8 10 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 201 3, then subparagraph (e)(1)((A)5. applies.17 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 equipp ed 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 May 6, 2011;

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 specif ic 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 appl y to flexibility engines installed in TRUs and TRU gen sets manufac tured after March 7, 2011, 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 31 st of the seventh year after the engine’s effective model year.

II. The original equipment manufactu rer shall provide the following,

written disclosures to the inte rested 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 uni t 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; 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 st andard based on the effective18 model year of the engine, in accordance with subsection (e)(1)(B) .

(C) Replacements Due to Failures

.

1. If a VDECS fails within its warrant y 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 warrant y period and a higher verification

classification level VDECS is availa ble, 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 . Identificat ion numbers will be issued to help expedite the inspec tion 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 fo r all California-based TRUs or TRU gen sets operated by the operator by submitting an application

that includes the info rmation 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 cont act information (if other than operator).

III. TRU or TRU gen set make, model, model year, and serial

number.

IV. TRU engine make, model, m odel year, and serial number.

V. Terminal or terminals that the TRU-equipped truck or trailer is assigned to, with address and contact information.19 VI. Other associated identificati on 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 paragr aph (e)(1)(A) requirements. If compliance not as-yet required, mark N/A.

i. Date when compliance was achieved.

ii. What performance standar d was met (e.g. LETRU or ULETRU).

iii. How compliance was achieved (e.g. new compliant TRU, TRU engine replacement, or descripti on 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 repor t 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 (e)(1)(E). An applicati on shall be submitted to ARB within 30 days of the unit entering the operator’s control:20 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 fals e 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 i ndicating compliance status with in-use performance standards (either “L” or “U”). In the event that an operator applies for an early complia nce 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 t he ARB-issued ident ification 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 identificat ion 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 read ily legible during daylight hours,

from a distance of 50 f eet (15.24 meters) while unit is stationary.

V. Marking shall be kept maintai ned in a manner that retains the legibility required by the s ubparagraph immediately above.21 2. Non-California-based TRUs and TRU Gen Sets:

a. Operators of non-Ca lifornia-based TRUs and TRU gen sets may voluntarily apply for ARB identificat ion numbers for TRUs that are based outside of California but oper ate within California during the

normal course of business. N on-California-based operators may voluntarily submit the same appl ication 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 iss ue identification numbers to the operator in accordance with subpar agraph (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 appl y to the Executive Officer for a delay in the ULETRU in-use perform ance 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 availabl e to the operator or owner if the engine manufacturer of the replac ement engine is using the early compliance with engine emissions standards in U.S. EPA’s Averaging, Banking, and Trading Progr am (or California’s equivalent program).

b. Early compliance is conditioned u pon 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 compli ance with ULETRU in-use performance standards by up to three years, according to the rounding conventions and examples listed below.

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.22 I. One full year early compliance q ualifies for one full year delay in meeting ULETRU compliance.

II. Two full years early compliance qual ifies for two full years delay in meeting ULETRU compliance.

III. Three full years early compli ance qualifies for three full years delay in meeting ULETRU compliance.

b. A partial year of early LETR U 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 da ys 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 perf ormance 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 wit h LETRU requirements and discloses the number of years delay granted , and resulting ULETRU compliance

date.

5. The operator shall maintain a legibl e 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 require ments of subsection (e)(1) shall:

1. Maintain records in accordance wi th subsection (f)(1)(B) of this regulation.23 2. Use only fuel that is a VDECS alter native 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 vi ew near the fill spout that identifies the proper fuel that is required to be in compliance.

4. In the event that the operator dec ides to revert to using conventional diesel or CARB diesel fuel, the operator shall comply with the requirements of subsection (e)(1) wit hin 10 days of discontinuation of

alternative diesel fuel use. Wi thin 10 days of discontinuation, the operator shall notify the Executive Office r 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 thes e specifications when oper ating 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 co ntaminants, other harmful compounds, or in the nature of the emitted PM shall only f uel the subject TRU or TRU gen set with

fuel that meets t hese 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 regulati on shall submit an Operator Report to ARB by January 31, 2009 that shall include the following information:

a. Operator name, address, and contac t information for the responsible official (phone number, em ail address, fax number).

b. List of all terminals owned or l eased by the operator located within California, with address, phone number, and terminal contact name.

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, m odel year, and serial number.24 II. TRU owner, and if other than oper ator, owner name, address, and

contact.

III. Engine make, model, model year, and serial number.

IV. Terminal(s) that t he TRU is assigned to.

V. ARB TRU or TRU gen set identific ation number, if already issued.

If the ARB identificat ion number has not been issued or there has been a change in the other identif ication numbers listed below since the prior annual report, then provide the following

identification number s (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 paragr aph (e)(1)(A) requirements.

2. The Operator Report shall be u pdated within 30 days when changes to any of the above operator information occur.

a. Operator Reports shall be submit ted by one of the following methods:

I. Mail or deliver a physical repor t 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.

3. Failure to report or submittal of fals e information is a violation of state law subject to civil penalty. (B) Alternative Diesel Fuel Use and Fuel Additive Recordkeeping and Reporting

.25 1. Operators that choose a compliance pathway that involves the use of

alternative diesel fuel in accor dance with subparagraph (e)(1)(A)3.d. (e.g. B100 biodiesel fuel or ultra-lo w-aromatic synthetic diesel fuel)

and/or a VDECS that inclu des the use of a fuel additive (e.g. fuel-borne catalyst) shall maintain records th at 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 additi ve and daily operating hour logs.

2. Records shall be kept available fo r a minimum of th ree (3) years and shall be compiled and made avai lable 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, Reco rdkeeping, and Reporting

.

(A) Facility Reporting . All facilities subject to th is 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 fa cility’s responsible official.

2. Provide all North American Indus trial Classification System codes (NAICS) applicable to the facility.

3. The number of loading dock doors se rving 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 refrigerat ed trucks, trailers, shippi ng 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 2 005 (e.g. total TRU engine operating time for both on-road and off-road operations).

8. The average weekly number of inbound refrigerated trucks, trailers, shipping containers, and railcars deliv ering 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 deliver ing goods from the facility during26 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 num ber 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 calcul ated 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 oper ate while at the facility.

12. The number of refriger ated trailers (as defined) that are used at the facility for cold storage, the tota l annual number of hours of TRU engine operation associated with these refri gerated trailers, and the total annual number of hours of operat ion using electric standby associated with these refrigerated trailers.

(B) Recordkeeping.

1. Recordkeeping that substantiates t he 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 approv e alternative recordkeeping and calculation procedures for determini ng the average weekly hours of TRU27 engine operation at a facility fo r inbound and outbound refrigerated loads, provided the Executive Officer finds t hat 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 submi ttal of false information . Failure to report or

submittal of false information is a viol ation of state law subject to civil penalty.

(3) Original Equipment Manufacturer Reporting

(A) Current Production Reports: Begi nning April 6, 2011, and by January 1 st and

June 30 th of each calendar year thereafte r, 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 market s: California, United St ates, Canada, and Mexico. The following data shall be provided fo r TRUs and TRU gen sets that will be produced during the six-month period fo llowing 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 fo r each TRU or TRU gen set model:

a. Engine manufacturer; b. Engine model, as it appears on the engine emissions label; c. Engine model, as it appears on the se rial number label, if different; d. Engine Family; e. Rated horsepower and rated speed; f. Displacement (liters); g. Exhaust Emissions Control System

h. Tier standard met28 i. ARB’s Executive Order that t he 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 forma t 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 AR B'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 ma y submit Current Production Year Reports within ten days of installing t he 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 April 6, 2011, 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 s ubparagraph (f)(3)(B)1.a., then within 30 days of any request from ARB, t he TRU or TRU gen set original equipment manufacturer shall provide a production repo rt to ARB with

the information listed below in su bparagraph 3 for the unit and engine serial numbers provided in ARB’s request.

2. Monthly production reports. TRU and TRU gen set original equipment

manufacturers shall either:

a. Beginning April 6, 2011, provide by the 15th of each calendar month, a monthly production report to ARB wit h the information listed below in subparagraph 3 for the previous cal endar month for each TRU or TRU gen set produced for sale in Califor nia, North Amer ica, Canada, and Mexico; or29 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 se rial 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 ma y designate current and prior production report information as conf idential or trade secret, and such information will be

handled in accordance with titl e 17, CCR, section 91000.

(g) Prohibitions.

(1) No person who is engaged in this State in the business of se lling to an ultimate purchaser, or renting or leasing new or used TRUs or TRU gen sets, including, but not limited to, manufactur ers, distributors, and dealers, shall intentionally or negligently import, deliver, purchase, rece ive, or otherwise acquire a new or used TRU or TRU gen set engine that does not meet the performance requirements or alternatives se t forth in section (e)(1) above.

(2) No person who is engaged in this State in the business of se lling 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 TRU30 gen set engine that does not meet the perfo rmance 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 engi nes, including, but not limited to, manufacturers, distributors, and dealers, shall lease, offer to leas e, rent, or offer to rent, in this state any new or used TRU or TRU gen set engine that does not meet the performance require ments 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, sect ion 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 and 43018, Health and Safety C ode. Reference: Ssections 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, Health and Safety Code.